-----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, Anroen+w+6IhSnfscRSBc7nuPdf3MsCsVCnbj9jjCc15vj+VXa7qafRakBmH1yEa H+rPVHHL3OdFycPF+HIdng== 0001214717-07-000009.txt : 20070320 0001214717-07-000009.hdr.sgml : 20070320 20070320150532 ACCESSION NUMBER: 0001214717-07-000009 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20061231 FILED AS OF DATE: 20070320 DATE AS OF CHANGE: 20070320 EFFECTIVENESS DATE: 20070320 FILER: COMPANY DATA: COMPANY CONFORMED NAME: GEODE CAPITAL MANAGEMENT LLC CENTRAL INDEX KEY: 0001214717 IRS NUMBER: 043537967 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-10386 FILM NUMBER: 07706059 BUSINESS ADDRESS: STREET 1: 1 POST OFFICE SQUARE STREET 2: 28TH FLOOR CITY: BOSTON STATE: MA ZIP: 02109 BUSINESS PHONE: 617-392-8533 MAIL ADDRESS: STREET 1: 1 POST OFFICE SQUARE STREET 2: 28TH FLOOR CITY: BOSTON STATE: MA ZIP: 02109 13F-HR/A 1 gcm13fhra2-123106.txt United States Securities and Exchange Commission Washington, D.C. 20549 Form 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: December 31, 2006 Check here if Amendment [ X]; Amendment Number: 2 This Amendment (Check only one): [ ] is a restatement [ X] adds new holdings entries Institutional Investment Manager Filing this Report: Name: Geode Capital Management, LLC Address: One Post Office Square, 28th Floor Boston, MA 02109 13F File Number: 28-10386 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 integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Jeffrey S. Miller Title: Chief Operating Officer Geode Capital Management, LLC Phone: 617-392-8533 Signature, Place, and Date of Signing: /s/ Jeffrey S. Miller Boston, MA March 20, 2007 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT [ ] 13F NOTICE [ ] 13F COMBINATION REPORT FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 2 Form 13F Information Table Entry Total: 34 Form 13F Information Table Value Total: $235,182 (x1000) List of Other Included Managers: No. Form 13F File Number Name 1 28-10533 Geode Capital Holdings LLC 2 28-10985 Geode Capital Management LP
VALUE SHARES/ SH/ PUT/ INVSTMT -----VOTING AUTHORITY----- NAME OF ISSUER . -TITLE OF CLASS- --CUSIP-- X$1000 PRN AMT PRN CALL DSCRETN.-MANAGERS SOLE SHARED NONE AAI 7 07/01/23 NOTE 7.000% 7/0 00949PAB4 18551 14000000 PRN DEFINED 1 2 14000000 0 0 ADCT 0 06/15/13 FRNT 6/1 000886AB7 3825 4000000 PRN DEFINED 1 2 4000000 0 0 AEL 5 1/4 12/06/24 NOTE 5.250%12/0 025676AE7 5938 5000000 PRN DEFINED 1 2 5000000 0 0 AMLN 2 1/2 04/15/11 NOTE 2.500% 4/1 032346AD0 3786 3000000 PRN DEFINED 1 2 3000000 0 0 ATK 3 08/15/24 NOTE 3.000% 8/1 018804AK0 8884 7500000 PRN DEFINED 1 2 7500000 0 0 CCRT 3 5/8 05/30/25 NOTE 3.625% 5/3 20478NAB6 5097 4500000 PRN DEFINED 1 2 4500000 0 0 CEGE 3 1/8 11/01/11 NOTE 3.125%11/0 150921AB0 552 750000 PRN DEFINED 1 2 750000 0 0 CEPH 2 06/01/15 NOTE 2.000% 6/0 156708AP4 8227 5000000 PRN DEFINED 1 2 5000000 0 0 F 4 1/4 12/15/36 NOTE 4.250%12/1 345370CF5 9633 9000000 PRN DEFINED 1 2 9000000 0 0 FRONTLINE LTD COM USD2.50 COMSTK G3682E127 628 19500 SH DEFINED 1 19500 0 0 GM 4 1/2 DEB SR CONV A 370442741 11033 436100 PRN DEFINED 1 2 436100 0 0 HGSI 2 1/4 10/15/11 NOTE 2.250%10/1 444903AK4 2641 2500000 PRN DEFINED 1 2 2500000 0 0 HGSI 2 1/4 08/15/12 NOTE 2.250% 8/1 444903AM0 8230 8500000 PRN DEFINED 1 2 8500000 0 0 INCY 3 1/2 02/15/11 NOTE 3.500% 2/1 45337CAE2 4790 6000000 PRN DEFINED 1 2 6000000 0 0 IPATH DOW JONES-AIG COMMDTY DJAIG CMDTY 36 06738C778 337 6890 PRN DEFINED 1 6890 0 0 JAKK 4 5/8 06/15/23 NOTE 4.625% 6/1 47012EAB2 5238 4000000 PRN DEFINED 1 2 4000000 0 0 LVLT 6 09/15/09 NOTE 6.000% 9/1 52729NAG5 3750 4000000 PRN DEFINED 1 2 4000000 0 0 MCG CAPITAL CORP COM COM 58047P107 284 13987 SH DEFINED 1 13987 0 0 MESA 2.115 02/10/24 NOTE 2.115% 2/1 590479AD3 4393 8000000 PRN DEFINED 1 2 8000000 0 0 MNKD 3 3/4 12/15/13 NOTE 3.750%12/1 56400PAA0 8265 8000000 PRN DEFINED 1 2 8000000 0 0 NPO 3.9375 10/15/15 DBCV 3.937%10/1 29355XAB3 2514 2000000 PRN DEFINED 1 2 2000000 0 0 NT 4 1/4 09/01/08 NOTE 4.250% 9/0 656568AB8 21348 22054000 PRN DEFINED 1 2 22054000 0 0 ONNN 1 7/8 12/15/25 NOTE 1.875%12/1 682189AD7 5091 4000000 PRN DEFINED 1 2 4000000 0 0 SIL 4 09/15/24 NOTE 4.000% 9/1 03760XAD3 3161 3500000 PRN DEFINED 1 2 3500000 0 0 TRN 3 7/8 06/01/36 NOTE 3.875% 6/0 896522AF6 11128 11000000 PRN DEFINED 1 2 11000000 0 0 TWTC 2 3/8 04/01/26 DBCV 2.375% 4/0 887319AC5 2526 2000000 PRN DEFINED 1 2 2000000 0 0 UBS AG COMSTK H89231338 36608 606800 SH DEFINED 1 606800 0 0 VGR 5 11/15/11 NOTE 5.000%11/1 92240MAE8 3810 3000000 PRN DEFINED 1 2 3000000 0 0 VGR 5 11/15/11 NOTE 5.000%11/1 92240MAH1 5715 4500000 PRN DEFINED 1 2 4500000 0 0 VRX 4 11/15/13 NOTE 4.000%11/1 91911XAD6 1910 2000000 PRN DEFINED 1 2 2000000 0 0 WCC 2 5/8 10/15/25 DBCV 2.625%10/1 95082PAE5 3862 2500000 PRN DEFINED 1 2 2500000 0 0 WPI 1 3/4 03/15/23 DBCV 1.750% 3/1 942683AC7 3690 4000000 PRN DEFINED 1 2 4000000 0 0 XJT 4 1/4 08/01/23 NOTE 4.250% 8/0 30218UAB4 3794 4000000 PRN DEFINED 1 2 4000000 0 0 XMSR 1 3/4 12/01/09 NOTE 1.750%12/0 983759AC5 15941 18725000 PRN DEFINED 1 2 18725000 0 0
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