-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, JocDwYJr0a/9iLWUX28v6CHB0K/eAsN3rmHreP8FOo1Kv6yCEUCL04UgWoumRGsZ g0FDOu4vV6JgjNy60ymn+g== 0001034626-03-000001.txt : 20030220 0001034626-03-000001.hdr.sgml : 20030220 20030219174402 ACCESSION NUMBER: 0001034626-03-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20021231 FILED AS OF DATE: 20030220 EFFECTIVENESS DATE: 20030220 FILER: COMPANY DATA: COMPANY CONFORMED NAME: TQA INVESTORS L L C /NY CENTRAL INDEX KEY: 0001034626 IRS NUMBER: 133862304 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06206 FILM NUMBER: 03573451 BUSINESS ADDRESS: STREET 1: 405 LEXINGTON AVE CITY: NEW YORK STATE: NY ZIP: 10194 BUSINESS PHONE: 2125994200 MAIL ADDRESS: STREET 1: 405 LEXINGTON AVE CITY: NEW YORK STATE: NY ZIP: 10174 13F-HR 1 dec.txt UNITED STATES SECURITIES AND EXCHANGE COMMISION Washington, D.C. 20549 FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: DECEMBER 31, 2002 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: TQA Investors, LLC Address: 405 Lexington Avenue 45th Floor New York, NY 10174 13F File Number: 28-06206 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered intergral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Bartholomew C. Tesoriero Title: CFO Phone: 212-599-4200 Signature, Place, and Date of Signing: Bartholomew C. Tesoriero New York, New York FEBRUARY 19, 2003 Report Type (Check only one.): [ X ] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: None I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: None Form 13F Information Table Entry Total: 91 Form 13F Information Table Value Total: $654,211,185.12 List of Other Included Managers: None No. 13F File Number Name 01 02 03 Name of Reporting Manager: TQA Investors, L.L.C. FORM 13f INFORMATION TABLE Voting Authority (Shares) Name of Issuer Title of Class CUSIP Value Shares/ sh/ Put Investment Other a) Sole b) Share c) None (x 1000) Princpal Prn Cal Discretion Managers ACTION PERF 4.75% 4/01/05 DEBT 004933AB3 2391 2550000 PRN SOLE 2550000 AFFILIATED COMP 3.5% 2/15/06 DEBT 008190AF7 7622 5518000 PRN SOLE 5518000 AGILENT TECH INC 3% 12/1/21 DEBT 00846UAB7 3994 4150000 PRN SOLE 4150000 ALEXION PHARM 5 3/4% 3/15/07 DEBT 015351AB5 3015 4500000 PRN SOLE 4500000 ALLTEL CORP 7.75% 5/1705 PREF STOCK 0200398222 17759 345973 SH SOLE 345973 AMAZON.COM 4.75% 2/1/09 DEBT 023135AF3 3646 4927000 PRN SOLE 4927000 AMD 4.5% 12/01/07 DEBT 007903AF4 11996 10500000PRN SOLE 10500000 AMD 4.75% 2/1/22 DEBT 007903AE7 3451 5500000 PRN SOLE 5500000 AMGEN 0% 3/1/32 DEBT 031162AE0 14750 20000000PRN SOLE 20000000 AMKOR TECH 5% 3/15/07 DEBT 031652AH3 4588 9293000 PRN SOLE 9293000 AMKOR TECH 5.75% 6/01/06 DEBT 031652AN0 2166 3750000 PRN SOLE 3750000 ATMEL CORP 0% 5/23/21 CVB DEBT 049513AE4 818 3000000 PRN SOLE 3000000 BAXTER 7% 2/16/06 PREF STOCK 071813406 12500 250000 SH SOLE 250000 BAXTER INTL 1.25% 06/01/2 DEBT 071813AR0 21677 21786000PRN SOLE 21786000 BEA SYSTEMS 4% 12/15/06 DEBT 073325AD4 17205 18907000PRN SOLE 18907000 BISYS GR 4% 3/15/06 DEBT 055472AB0 7078 7500000 PRN SOLE 7500000 BRIGHTPOINT 0% 3/11/18 DEBT 109473AC2 1083 2000000 PRN SOLE 2000000 CENDANT 3% 05/04/21 DEBT 151313AH6 21015 21200000PRN SOLE 21200000 CHARTER 5.75% 10/15/05 DEBT 16117MAB3 3039 13000000PRN SOLE 13000000 CHARTER COMM 4.75% 6/01/06 DEBT 16117MAC1 1330 7000000 PRN SOLE 7000000 CHESAPEAKE ENERGY 6.75% CVP PREF STOCK 165167503 10778 180000 SH SOLE 180000 CIENA 3.75% 2/1/08 DEBT 171779AA9 2845 4000000 PRN SOLE 4000000 COR THERA 4.5% 6/15/06 CVB DEBT 217753AG7 549 500000 PRN SOLE 500000 COR THERA MLNM 5% 03/01/07 DEBT 217753AD4 9743 9000000 PRN SOLE 9000000 COX COMMUN .348% 2/23/21 DEBT 224044BC0 7152 9950000 PRN SOLE 9950000 CV THERAPEUTICS 4.75% 3/07/07 DEBT 126667AB0 1620 2340000 PRN SOLE 2340000 ECHOSTAR COMM 5.75% 5/15/08 DEBT 278762AG4 13090 14385000PRN SOLE 14385000 EL PASO 4.75% CVP PREF STOCK 283678209 8893 488600 SH SOLE 488600 EL PASO CORP 0% 2/28/21 DEBT 28336LAC3 788 2500000 PRN SOLE 2500000 ELECTRONIC DATA STOCK 285661104 306 16600 SH SOLE 16600 ELECTRONIC DATA 0% 10/10/21 DEBT 285661AB0 6120 8000000 PRN SOLE 8000000 ETRADE 6.75% 5/15/08 DEBT 269246AD6 10032 11750000PRN SOLE 11750000 FINISAR 5.25% 10/15/8 CVB DEBT 31787AAC5 2983 7000000 PRN SOLE 7000000 FORD TRST II 6.5% 1/15/32 CVP PREF STOCK 345395206 26218 648000 SH SOLE 648000 GAP INC 5.75% 3/15/09 DEBT 364760AJ7 504 400000 PRN SOLE 400000 GEN SEMICOND. 5.75% 12/15/06 DEBT 370787AB9 2678 2860000 PRN SOLE 2860000 GEN SEMICOND. 5.75% 12/15/06T DEBT 370787AA1 3183 3400000 PRN SOLE 3400000 GENCORP 5.75% 04/15/07 DEBT 368682AE0 5525 6500000 PRN SOLE 6500000 GENESCO 5.5% 4/15/05 DEBT 371532AL6 2678 2500000 PRN SOLE 2500000 GENZYME 3% 5/15/21 CVB DEBT 372917AK0 926 1000000 PRN SOLE 1000000 HCC INSURANCE 2% 9/1/21 DEBT 404132AA0 802 750000 PRN SOLE 750000 ICN PHARM 6.5% 7/15/08 DEBT 448924AM2 816 1000000 PRN SOLE 1000000 INT PAPER 0% 06/20/21 DEBT 460146BM4 2656 5000000 PRN SOLE 5000000 INTERMUNE 5.75% 7/15/06 DEBT 45884XAA1 4234 4250000 PRN SOLE 4250000 JC PENNEY 5% 10/15/08 DEBT 708160BV7 6834 6350000 PRN SOLE 6350000 L-3 COMM 4% 9/15/11 DEBT 502424AD6 19600 17500000PRN SOLE 17500000 LABORATORY 0% 09/11/21 DEBT 50540RAC6 6688 10000000PRN SOLE 10000000 LENNAR CORP. 0% 7/29/18 DEBT 526057AA2 13806 19583000PRN SOLE 19583000 LOEWS CORP 3.125% 9/15/07 DEBT 540424AL2 18501 20500000PRN SOLE 20500000 LOWES COMPANIES 0% 2/16/21 DEBT 548661CF2 18563 25000000PRN SOLE 25000000 LSI LOGIC 4% 11/01/06 DEBT 502161AG7 8200 10000000PRN SOLE 10000000 MARSH SUPERMKT 7% 2/15/03 DEBT 571783AB5 495 500000 PRN SOLE 500000 MEDAREX 4.5% 6-30-06 DEBT 583916AA9 323 500000 PRN SOLE 500000 MEDIACOM COMM 5.25% 07/01/06 DEBT 58446KAA3 6909 8250000 PRN SOLE 8250000 MEDTRONIC INC 1.25% 9/15/21 DEBT 585055AB2 20966 19920000PRN SOLE 19920000 MIRANT 5.75% 07/15/07 DEBT 604675AC2 2113 5000000 PRN SOLE 5000000 MRV COMM 5% 6/15/03 DEBT 553477AB6 239 250000 PRN SOLE 250000 NABORS INDS 0% 2/5/21 DEBT 629568AF3 18793 29830000PRN SOLE 29830000 NCO GROUP 4.75% 4/6 CVB DEBT 628858AB8 1290 1500000 PRN SOLE 1500000 NEWBERGER BERMAN 0% 5/4/21 DEBT 641234AC3 15531 17500000PRN SOLE 17500000 NEXTEL 6% 6/1/11 CVB DEBT 65332VBC6 12613 14560000PRN SOLE 14560000 NEXTEL COMM. 4.75% 7/1/07 DEBT 65332VAT0 4236 5050000 PRN SOLE 5050000 OFFSHORE LOG 6% 12/15/03 DEBT 676255AF9 6046 5650000 PRN SOLE 5650000 OHIO CASUALTY 5% 3/19/22 DEBT 677240AC7 4638 5000000 PRN SOLE 5000000 OMNICOM 0% 2/7/31CVB DEBT 681919AK2 32120 32000000PRN SOLE 32000000 PMC-SIERRA 3.75% 8/15/06 DEBT 69344FAB2 1131 1500000 PRN SOLE 1500000 PMI GROUP 2.5% 7/15/21 DEBT 69344MAE1 15523 14457000PRN SOLE 14457000 PPL CORP STOCK 69351T106 1214 35000 SH SOLE 35000 PROFIT RECOVERY 4.75% 11/6 T DEBT 743168AA4 2931 2185000 PRN SOLE 2185000 QUADRAMED 5.25% 05/01/05 DEBT 74730WAC5 520 850000 PRN SOLE 850000 QUEST DIAGNOSTICS INC STOCK 74834L100 1314 23100 SH SOLE 23100 RATIONAL SOFTWARE 5% 2/01/07 DEBT 75409PAC7 19787 19375000PRN SOLE 19375000 RECKSON 7.625% 12/31/49 CVP PREF STOCK 75621K205 5470 243100 SH SOLE 243100 RECKSON ASSOC REALTY CORP CL B STOCK 75621K304 3517 157000 SH SOLE 157000 REGENERON 5.5% 10/17/08 DEBT 75886FAB3 6353 7000000 PRN SOLE 7000000 REINSURANCE GRP 5.75% 12/15/50 PREF STOCK 759351307 8960 195000 SH SOLE 195000 SEPRACOR 5% 02/15/07 DEBT 817315AL8 5270 8500000 PRN SOLE 8500000 SHAW GROUP 0% 5/21 CVB DEBT 820280AC9 1277 2192000 PRN SOLE 2192000 SINCLAIR BROAD PREF STOCK 829226505 3868 104900 SH SOLE 104900 SUNOCO 6.75% 6/15.12 DEBT 866762AG2 518 500000 PRN SOLE 500000 SUNTRUST BANKS INC STOCK 867914103 484 8500 SH SOLE 8500 TECH DATA 2% 12/15/21 DEBT 878237AC0 3089 3500000 PRN SOLE 3500000 TOTAL RENAL 7% 05-15-09 DEBT 89151AAC1 2008 2000000 PRN SOLE 2000000 TOWER AUTOMOTIVE 5% 8/01/04 DEBT 891707AE1 1946 2150000 PRN SOLE 2150000 TRAVELERS PPTY 4.5% 4/15/32 PREF STOCK 89420G307 16347 724300 SH SOLE 724300 TYCO INTL 0% 11/17/20 M DEBT 902124AC0 7300 10000000PRN SOLE 10000000 VECTOR GR 6.25% 7/15/08 DEBT 92240MAC2 325 500000 PRN SOLE 500000 VERIZON GLO 0% 05/15/21-04 DEBT 92344GAN6 29063 50000000PRN SOLE 50000000 VORNADO REALTY 6.5% SER.A PREF STOCK 929042208 3342 64200 SH SOLE 64200 WHOLE FOODS 0% 3/2/18 DEBT 966837AC0 1481 2500000 PRN SOLE 2500000 WORLD COLOR 6% 10/1/07 DEBT 981443AA2 6435 6210000 PRN SOLE 6210000 TOTAL 654211
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