-----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, Bk/leQMJVmG7mRmabS0Xw/nFijgvB7s4ejtGrcswp5wmLqhthbBVEcOUC+CVpI0v ebkTnd85cPymCB1lPXWPww== 0001034626-03-000004.txt : 20030501 0001034626-03-000004.hdr.sgml : 20030501 20030501161815 ACCESSION NUMBER: 0001034626-03-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030331 FILED AS OF DATE: 20030501 EFFECTIVENESS DATE: 20030501 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: 03677105 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 joe.txt UNITED STATES SECURITIES AND EXCHANGE COMMISION Washington, D.C. 20549 FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: MARCH 31, 2003 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 APRIL 29, 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: 88 Form 13F Information Table Value Total: $580,492,030.53 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 2488 2550000 PRN SOLE 2550000 AMD 4.75% 2/1/22 DEBT 007903AE7 3733 5500000 PRN SOLE 5500000 AMD 4.5% 12/01/07 DEBT 007903AF4 16706 14800000PRN SOLE 14800000 AFFILIATED COMP 3.5% 2/15/06 DEBT 008190AF7 3663 3018000 PRN SOLE 3018000 AGILENT TECH INC 3% 12/1/21 DEBT 00846UAB7 4221 4600000 PRN SOLE 4600000 ALEXION PHARM 5 3/4% 3/15/07 DEBT 015351AB5 3060 4500000 PRN SOLE 4500000 ALL SCRIPTS HEALTHCARE STOCK 01988P108 28 10000 SH SOLE 10000 AMAZON.COM 4.75% 2/1/09 DEBT 023135AF3 8363 9927000 PRN SOLE 9927000 AMERICAN GREETINGS 7% 7/15/06 DEBT 026375AJ4 3953 3000000 PRN SOLE 3000000 AMGEN 0% 3/1/32 DEBT 031162AE0 15350 20000000PRN SOLE 20000000 AMKOR TECH 5% 3/15/07 DEBT 031652AH3 6459 9293000 PRN SOLE 9293000 AMKOR TECH 5.75% 6/01/06 DEBT 031652AN0 4334 5750000 PRN SOLE 5750000 ANIXTER INTL 0% 6/28/20 DEBT 035290AC9 316 1000000 PRN SOLE 1000000 ATMEL CORP 0% 5/23/21 CVB DEBT 049513AE4 941 3000000 PRN SOLE 3000000 BISYS GR 4% 3/15/06 DEBT 055472AB0 6329 6500000 PRN SOLE 6500000 BAXTER 7% 2/16/06 PREF STOCK 071813406 963 25000 SH SOLE 25000 BEA SYSTEMS 4% 12/15/06 DEBT 073325AD4 10609 11407000PRN SOLE 11407000 BENCHMARK ELECT 6% 8/15/06 DEBT 08160HAC5 3015 3000000 PRN SOLE 3000000 CV THERAPEUTICS 4.75% 3/07/07 DEBT 126667AB0 1852 2340000 PRN SOLE 2340000 CENDANT CORP 0% 2/13/21 DEBT 151313AF0 4437 6800000 PRN SOLE 6800000 CENDANT 3% 05/04/21 DEBT 151313AH6 8000 8000000 PRN SOLE 8000000 CHARTER 5.75% 10/15/05 DEBT 16117MAB3 1045 4750000 PRN SOLE 4750000 CHARTER COMM 4.75% 6/01/06 DEBT 16117MAC1 183 1000000 PRN SOLE 1000000 CHECKPOINT SYS 5.25%11/1/05 DEBT 162825AB9 4309 4500000 PRN SOLE 4500000 CHUBB 7% 11/16/05 PREF STOCK 171232309 2123 100000 SH SOLE 100000 CIENA 3.75% 2/1/08 DEBT 171779AA9 4508 6000000 PRN SOLE 6000000 COR THERA MLNM 5% 03/01/07 DEBT 217753AD4 14608 13250000PRN SOLE 13250000 COR THERA 4.5% 6/15/06 CVB DEBT 217753AG7 13891 12500000PRN SOLE 12500000 DR HORTON INC 0% 5/11/21 DEBT 23331AAH2 9924 17000000PRN SOLE 17000000 ETRADE 6.75% 5/15/08 DEBT 269246AD6 10046 11750000PRN SOLE 11750000 ECHOSTAR COMM 5.75% 5/15/08 DEBT 278762AG4 12123 11885000PRN SOLE 11885000 EL PASO CORP 0% 2/28/21 DEBT 28336LAC3 383 1000000 PRN SOLE 1000000 EL PASO 4.75% CVP PREF STOCK 283678209 7179 320200 SH SOLE 320200 FINISAR 5.25% 10/15/8 CVB DEBT 31787AAC5 2873 6000000 PRN SOLE 6000000 FORD TRST II 6.5% 1/15/32 CVP PREF STOCK 345395206 24877 698000 SH SOLE 698000 GAP INC 5.75% 3/15/09 DEBT 364760AJ7 9093 7400000 PRN SOLE 7400000 GENCORP 5.75% 04/15/07 DEBT 368682AE0 3780 4500000 PRN SOLE 4500000 GEN SEMICOND. 5.75% 12/15/06T DEBT 370787AA1 3230 3400000 PRN SOLE 3400000 GEN SEMICOND. 5.75% 12/15/06 DEBT 370787AB9 3192 3360000 PRN SOLE 3360000 GENESCO 5.5% 4/15/05 DEBT 371532AL6 2525 2500000 PRN SOLE 2500000 GENZYME 3% 5/15/21 CVB DEBT 372917AK0 5873 6000000 PRN SOLE 6000000 HCC INSURANCE 2% 9/1/21 DEBT 404132AA0 9417 8750000 PRN SOLE 8750000 HEXCEL CORP 7% 8/1/03 DEBT 428291AA6 1005 1000000 PRN SOLE 1000000 ICN PHARM 6.5% 7/15/08 DEBT 448924AM2 840 1000000 PRN SOLE 1000000 INCO 5.75% 7-1-04 DEBT 453258AK1 2035 2000000 PRN SOLE 2000000 INTERMUNE 5.75% 7/15/06 DEBT 45884XAA1 3169 3250000 PRN SOLE 3250000 INT PAPER 0% 06/20/21 DEBT 460146BM4 2650 5000000 PRN SOLE 5000000 INTERPUBLIC GRP 0% 12/14/21 DEBT 460690AQ3 24448 29500000PRN SOLE 29500000 LSI LOGIC 4% 11/01/06 DEBT 502161AG7 16483 19000000PRN SOLE 19000000 L-3 COMM 4% 9/15/11 DEBT 502424AD6 17655 16500000PRN SOLE 16500000 LABORATORY 0% 09/11/21 DEBT 50540RAC6 19319 27500000PRN SOLE 27500000 LAMAR ADVERTISING 5.25% 09/06M DEBT 512815AF8 3026 3000000 PRN SOLE 3000000 LENNAR CORP. 0% 7/29/18 DEBT 526057AA2 5965 8583000 PRN SOLE 8583000 LENNOX 6.25% 6/01/09 DEBT 526107AB3 2305 2000000 PRN SOLE 2000000 LOEWS CORP 3.125% 9/15/07 DEBT 540424AL2 26535 29000000PRN SOLE 29000000 LOWES COMPANIES 0% 2/16/21 DEBT 548661CF2 7600 10000000PRN SOLE 10000000 MRV COMM 5% 6/15/03 DEBT 553477AB6 252 250000 PRN SOLE 250000 MEDAREX 4.5% 6-30-06 DEBT 583916AA9 340 500000 PRN SOLE 500000 MEDIACOM COMM 5.25% 07/01/06 DEBT 58446KAA3 14608 15750000PRN SOLE 15750000 NCO GROUP 4.75% 4/6 CVB DEBT 628858AB8 1307 1500000 PRN SOLE 1500000 NABORS INDS 0% 2/5/21 DEBT 629568AF3 13228 20350000PRN SOLE 20350000 NAVISTAR FINL 4.75% 4/01/09 DEBT 638902AM8 2025 2500000 PRN SOLE 2500000 NEWBERGER BERMAN 0% 5/4/21 DEBT 641234AC3 13718 15500000PRN SOLE 15500000 NEXTEL COMM. 4.75% 7/1/07 DEBT 65332VAT0 9535 10050000PRN SOLE 10050000 NEXTEL 6% 6/1/11 CVB DEBT 65332VBC6 11819 12060000PRN SOLE 12060000 OFFSHORE LOG 6% 12/15/03 DEBT 676255AF9 6766 6650000 PRN SOLE 6650000 OHIO CASUALTY 5% 3/19/22 DEBT 677240AC7 4850 5000000 PRN SOLE 5000000 OMNICOM 0% 2/7/31CVB DEBT 681919AK2 29663 30000000PRN SOLE 30000000 PARADYNE NETWORKS INC STOCK 69911G107 20 15000 SH SOLE 15000 JC PENNEY 5% 10/15/08 DEBT 708160BV7 5334 5242000 PRN SOLE 5242000 PHOTRONICS INC 6% 6/1/04 DEBT 719405AA0 991 1000000 PRN SOLE 1000000 PROFIT RECOVERY 4.75% 11/6 T DEBT 743168AA4 2578 2185000 PRN SOLE 2185000 QUADRAMED 5.25% 05/01/05 DEBT 74730WAC5 720 900000 PRN SOLE 900000 RECKSON 7.625% 12/31/49 CVP PREF STOCK 75621K205 5591 243100 SH SOLE 243100 RECKSON ASSOC REALTY CORP CL B STOCK 75621K304 3038 157000 SH SOLE 157000 REGENERON 5.5% 10/17/08 DEBT 75886FAB3 2104 3000000 PRN SOLE 3000000 REINSURANCE GRP 5.75% 12/15/50 PREF STOCK 759351307 12143 255000 SH SOLE 255000 SEPRACOR 5% 02/15/07 DEBT 817315AL8 6263 8550000 PRN SOLE 8550000 SHAW GROUP 0% 5/21 CVB DEBT 820280AC9 1612 2519000 PRN SOLE 2519000 SINCLAIR BROAD (YIELD ENHANCE) PREF STOCK 829226505 3803 104900 SH SOLE 104900 SIZELER PROP 9% 7/15/09 DEBT 830137AB1 309 300000 PRN SOLE 300000 SUNOCO 6.75% 6/15.12 DEBT 866762AG2 1025 1000000 PRN SOLE 1000000 TECH DATA 2% 12/15/21 DEBT 878237AC0 4106 4500000 PRN SOLE 4500000 TOTAL RENAL 7% 05-15-09 DEBT 89151AAC1 5081 5000000 PRN SOLE 5000000 TOWER AUTOMOTIVE 5% 8/01/04 DEBT 891707AE1 11876 13650000PRN SOLE 13650000 TRAVELERS PPTY 4.5% 4/15/32 PREF STOCK 89420G307 11715 523000 SH SOLE 523000 VECTOR GR 6.25% 7/15/08 DEBT 92240MAC2 350 500000 PRN SOLE 500000 VERITAS SOFTWARE 1.856% 8/06 M DEBT 92343RAA1 6694 7500000 PRN SOLE 7500000 TOTAL 580492
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