-----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, FlkBRsnzEtpQKZeXymmNXHTdWxCbj/6kGnyo2TkbtSMj8miPKP8w6saBfJKfh8aR knpYV4Nnhanw3qeAD8aKig== 0001085146-04-000251.txt : 20040712 0001085146-04-000251.hdr.sgml : 20040712 20040712153444 ACCESSION NUMBER: 0001085146-04-000251 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040630 FILED AS OF DATE: 20040712 EFFECTIVENESS DATE: 20040712 FILER: COMPANY DATA: COMPANY CONFORMED NAME: MAPLE SECURITIES USA INC CENTRAL INDEX KEY: 0001277275 IRS NUMBER: 133719140 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10660 FILM NUMBER: 04910206 BUSINESS ADDRESS: STREET 1: 10 EXCHANGE PL CITY: JERSEY CITY STATE: NJ ZIP: 07302 BUSINESS PHONE: 2013695000 MAIL ADDRESS: STREET 1: 10 EXCHANGE PLACE STREET 2: 26 TH FL CITY: JERSEY CITY STATE: NJ ZIP: 07302 13F-HR 1 mapl2q04.txt MAPLE SECURITIES USA UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: June 30, 2004 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: Maple Securities USA Inc. Address: 10 Exchange Place, 26th Floor Jersey City, NJ 07302 13F File Number: 28-10660 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: Geri Finlayson Title: Compliance Manager Phone: 201-369-3077 Signature, Place, and Date of Signing: /s/ Jeff Sargent Jersey City, NJ July 08, 2004 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: 0 Form13F Information Table Entry Total: 195 Form13F Information Table Value Total: $117,816 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. NONE FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 3COM CORP COM 885535104 101 16200 SH SOLE 16200 0 0 ABITIBI-CONSOLIDATED INC COM 003924107 762 110900 SH SOLE 110900 0 0 ADAPTEC INC COM 00651F108 105 12500 SH SOLE 12500 0 0 ADVANCE AUTO PARTS INC COM 00751Y106 326 7400 SH SOLE 7400 0 0 ADVANCED FIBRE COMMUNICATION COM 00754A105 2929 145000 SH SOLE 145000 0 0 ADVANCED MICRO DEVICES INC NOTE 4.500%12/0 007903AF4 308 135685 SH SOLE 135685 0 0 ADVANCED MICRO DEVICES INC COM 007903107 7 71600 SH PUT SOLE 71600 0 0 AIR PRODS & CHEMS INC COM 009158106 1059 20200 SH SOLE 20200 0 0 ALARIS MEDICAL SYSTEMS INC COM 011637105 750 34000 SH SOLE 34000 0 0 ALCAN INC COM 013716105 351 8500 SH SOLE 8500 0 0 AMERICAN EAGLE OUTFITTERS NE COM 02553E106 280 9700 SH SOLE 9700 0 0 AMERICAN FINL GROUP INC OHIO COM 025932104 299 9800 SH SOLE 9800 0 0 AMERICAN GREETINGS CORP NOTE 7.000% 7/1 026375AJ4 361 198788 SH SOLE 198788 0 0 AMERICAN INTL GROUP INC COM 026874107 919 12900 SH SOLE 12900 0 0 AMERISOURCE HEALTH CORP NOTE 5.000%12/0 03071PAD4 34 28318 SH SOLE 28318 0 0 AMERISOURCEBERGEN CORP COM 03073E105 0 52500 SH PUT SOLE 52500 0 0 AMKOR TECHNOLOGY INC COM 031652100 98 12000 SH SOLE 12000 0 0 AMPHENOL CORP NEW CL A 032095101 386 11600 SH SOLE 11600 0 0 ANADARKO PETE CORP COM 032511107 363 6200 SH SOLE 6200 0 0 ANALOG DEVICES INC COM 032654105 343 7300 SH SOLE 7300 0 0 ANNTAYLOR STORES CORP COM 036115103 284 9800 SH SOLE 9800 0 0 APOGENT TECHNOLOGIES INC COM 03760A101 2560 80000 SH SOLE 80000 0 0 APPLEBEES INTL INC COM 037899101 801 34800 SH SOLE 34800 0 0 ARCHER DANIELS MIDLAND CO COM 039483102 211 12600 SH SOLE 12600 0 0 ARCHSTONE SMITH TR COM 039583109 284 9700 SH SOLE 9700 0 0 AT&T WIRELESS SVCS INC COM 00209A106 1517 106000 SH SOLE 106000 0 0 AUTOLIV INC COM 052800109 759 18000 SH SOLE 18000 0 0 AUTOMATIC DATA PROCESSING IN COM 053015103 364 8700 SH SOLE 8700 0 0 AVNET INC COM 053807103 465 20500 SH SOLE 20500 0 0 AVX CORP NEW COM 002444107 473 32800 SH SOLE 32800 0 0 BAKER HUGHES INC COM 057224107 244 6500 SH SOLE 6500 0 0 BANK NEW YORK INC COM 064057102 589 20000 SH SOLE 20000 0 0 BANK UTD CORP LITIGATN CONT CTF RT CONTGT 065416117 2 32000 SH SOLE 32000 0 0 BANKNORTH GROUP INC NEW COM 06646R107 230 7100 SH SOLE 7100 0 0 BARD C R INC COM 067383109 260 4600 SH SOLE 4600 0 0 BARR PHARMACEUTICALS INC COM 068306109 242 7200 SH SOLE 7200 0 0 BEST BUY INC COM 086516101 273 5400 SH SOLE 5400 0 0 BEVERLY ENTERPRISES INC COM NEW 087851309 104 12100 SH SOLE 12100 0 0 BORDERS GROUP INC COM 099709107 794 33900 SH SOLE 33900 0 0 BP PLC SPONSORED ADR 055622104 364 6800 SH SOLE 6800 0 0 BRIGHAM EXPLORATION CO COM 109178103 103 11200 SH SOLE 11200 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 1553 63400 SH SOLE 63400 0 0 BROWN FORMAN CORP CL B 115637209 255 5300 SH SOLE 5300 0 0 C D W CORP COM 12512N105 274 4300 SH SOLE 4300 0 0 C H ROBINSON WORLDWIDE INC COM 12541W100 325 7100 SH SOLE 7100 0 0 CAPITAL ONE FINL CORP COM 14040H105 232 3400 SH SOLE 3400 0 0 CEMEX S A SPON ADR 5 ORD 151290889 302 10400 SH SOLE 10400 0 0 CERIDIAN CORP NEW COM 156779100 254 11300 SH SOLE 11300 0 0 CHARTER ONE FINL INC COM 160903100 4136 93600 SH SOLE 93600 0 0 CIMA LABS INC COM 171796105 246 7300 SH SOLE 7300 0 0 CISCO SYS INC COM 17275R102 369 15600 SH SOLE 15600 0 0 CITIZENS COMMUNICATIONS CO COM 17453B101 447 37000 SH SOLE 37000 0 0 CLEAR CHANNEL COMMUNICATIONS COM 184502102 672 18200 SH SOLE 18200 0 0 COCA COLA CO COM 191216100 1277 25300 SH SOLE 25300 0 0 COMPUWARE CORP COM 205638109 93 14100 SH SOLE 14100 0 0 CONOCOPHILLIPS COM 20825C104 541 7100 SH SOLE 7100 0 0 COX COMMUNICATIONS INC NEW CL A 224044107 514 18500 SH SOLE 18500 0 0 CUMMINS INC COM 231021106 356 5700 SH SOLE 5700 0 0 D R HORTON INC COM 23331A109 406 14300 SH SOLE 14300 0 0 DAIMLERCHRYSLER AG ORD D1668R123 305 6500 SH SOLE 6500 0 0 DARDEN RESTAURANTS INC COM 237194105 244 11900 SH SOLE 11900 0 0 DELL INC COM 24702R101 501 14000 SH SOLE 14000 0 0 DOVER CORP COM 260003108 467 11100 SH SOLE 11100 0 0 DOW CHEM CO COM 260543103 614 15100 SH SOLE 15100 0 0 DU PONT E I DE NEMOURS & CO COM 263534109 208 4700 SH SOLE 4700 0 0 DUN & BRADSTREET CORP DEL NE COM 26483E100 706 13100 SH SOLE 13100 0 0 EASTMAN CHEM CO COM 277432100 235 5100 SH SOLE 5100 0 0 EDWARDS LIFESCIENCES CORP COM 28176E108 393 11300 SH SOLE 11300 0 0 ETHAN ALLEN INTERIORS INC COM 297602104 226 6300 SH SOLE 6300 0 0 EXXON MOBIL CORP COM 30231G102 639 14400 SH SOLE 14400 0 0 FAIRCHILD SEMICONDUCTOR INTL COM 303726103 175 10700 SH SOLE 10700 0 0 FIRST DATA CORP COM 319963104 347 7800 SH SOLE 7800 0 0 FISERV INC COM 337738108 311 8000 SH SOLE 8000 0 0 FLEXTRONICS INTL LTD ORD Y2573F102 336 21100 SH SOLE 21100 0 0 FREEMARKETS INC COM 356602102 272 41800 SH SOLE 41800 0 0 GALLAGHER ARTHUR J & CO COM 363576109 401 13200 SH SOLE 13200 0 0 GANNETT INC COM 364730101 229 2700 SH SOLE 2700 0 0 GENERAL DYNAMICS CORP COM 369550108 208 2100 SH SOLE 2100 0 0 GILLETTE CO COM 375766102 479 11300 SH SOLE 11300 0 0 GOLD BANC CORP INC COM 379907108 1834 118339 SH SOLE 118339 0 0 GREENPOINT FINL CORP COM 395384100 3493 88000 SH SOLE 88000 0 0 GTECH HLDGS CORP COM 400518106 347 7500 SH SOLE 7500 0 0 HELMERICH & PAYNE INC COM 423452101 206 7900 SH SOLE 7900 0 0 HEWLETT PACKARD CO COM 428236103 346 16400 SH SOLE 16400 0 0 HILB ROGAL & HOBBS CO COM 431294107 385 10800 SH SOLE 10800 0 0 HOLLYWOOD ENTMT CORP COM 436141105 1282 96000 SH SOLE 96000 0 0 HUBBELL INC CL B 443510201 345 7400 SH SOLE 7400 0 0 IMMUNOGEN INC COM 45253H101 101 16800 SH SOLE 16800 0 0 IMS HEALTH INC COM 449934108 532 22700 SH SOLE 22700 0 0 INGERSOLL-RAND COMPANY LTD CL A G4776G101 334 4900 SH SOLE 4900 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 528 6000 SH SOLE 6000 0 0 INTERPUBLIC GROUP COS INC COM 460690100 148 10800 SH SOLE 10800 0 0 INTUIT COM 461202103 478 12400 SH SOLE 12400 0 0 INVISION TECHNOLOGIES INC COM 461851107 2365 47404 SH SOLE 47404 0 0 ITT INDS INC IND COM 450911102 921 11100 SH SOLE 11100 0 0 J P MORGAN CHASE & CO COM 46625H100 638 16480 SH SOLE 16480 0 0 JABIL CIRCUIT INC COM 466313103 757 30100 SH SOLE 30100 0 0 JEFFERSON PILOT CORP COM 475070108 406 8000 SH SOLE 8000 0 0 JOHNSON & JOHNSON COM 478160104 217 3900 SH SOLE 3900 0 0 JOHNSON CTLS INC COM 478366107 918 17200 SH SOLE 17200 0 0 KELLOGG CO COM 487836108 443 10600 SH SOLE 10600 0 0 KIMBERLY CLARK CORP COM 494368103 625 9500 SH SOLE 9500 0 0 KINDER MORGAN ENERGY PARTNER UT LTD PARTNER 494550106 256 6300 SH SOLE 6300 0 0 KING PHARMACEUTICALS INC COM 495582108 344 30100 SH SOLE 30100 0 0 KONINKLIJKE PHILIPS ELECTRS NY REG SH NEW 500472303 465 17100 SH SOLE 17100 0 0 KROLL INC COM 501049100 2526 68500 SH SOLE 68500 0 0 L-3 COMMUNICATIONS HLDGS INC COM 502424104 253 3800 SH SOLE 3800 0 0 LEHMAN BROS HLDGS INC COM 524908100 383 5100 SH SOLE 5100 0 0 LIMITED BRANDS INC COM 532716107 254 13600 SH SOLE 13600 0 0 LINCARE HLDGS INC COM 532791100 305 9300 SH SOLE 9300 0 0 LINCOLN NATL CORP IND COM 534187109 264 5600 SH SOLE 5600 0 0 LOWES COS INC NOTE 2/1 548661CF2 146 164480 SH SOLE 164480 0 0 M & T BK CORP COM 55261F104 593 6800 SH SOLE 6800 0 0 MANDALAY RESORT GROUP COM 562567107 2127 31000 SH SOLE 31000 0 0 MARIMBA INC COM 56781Q109 678 83400 SH SOLE 83400 0 0 MARRIOTT INTL INC NEW CL A 571903202 578 11600 SH SOLE 11600 0 0 MBIA INC COM 55262C100 491 8600 SH SOLE 8600 0 0 MBNA CORP COM 55262L100 557 21600 SH SOLE 21600 0 0 MCCORMICK & CO INC COM NON VTG 579780206 234 6900 SH SOLE 6900 0 0 MEDIMMUNE INC COM 584699102 828 35400 SH SOLE 35400 0 0 MEDTRONIC INC COM 585055106 297 6100 SH SOLE 6100 0 0 MERISTAR HOSPITALITY CORP COM 58984Y103 101 14800 SH SOLE 14800 0 0 MERRILL LYNCH & CO INC COM 590188108 777 14400 SH SOLE 14400 0 0 METLIFE INC COM 59156R108 326 9100 SH SOLE 9100 0 0 METRIS COS INC COM 591598107 105 12100 SH SOLE 12100 0 0 MICREL INC COM 594793101 243 20000 SH SOLE 20000 0 0 MKS INSTRUMENT INC COM 55306N104 264 11600 SH SOLE 11600 0 0 MOHAWK INDS INC COM 608190104 483 6600 SH SOLE 6600 0 0 MORGAN STANLEY COM NEW 617446448 295 5600 SH SOLE 5600 0 0 NATIONAL INSTRS CORP COM 636518102 560 18300 SH SOLE 18300 0 0 NCR CORP NEW COM 62886E108 213 4300 SH SOLE 4300 0 0 NEUROCRINE BIOSCIENCES INC COM 64125C109 305 5900 SH SOLE 5900 0 0 NEWELL RUBBERMAID INC COM 651229106 467 19900 SH SOLE 19900 0 0 NORTHROP GRUMMAN CORP COM 666807102 676 12600 SH SOLE 12600 0 0 NOVELLUS SYS INC COM 670008101 374 11900 SH SOLE 11900 0 0 OCCIDENTAL PETE CORP DEL COM 674599105 445 9200 SH SOLE 9200 0 0 OMNICOM GROUP INC COM 681919106 660 8700 SH SOLE 8700 0 0 ORBITAL SCIENCES CORP *W EXP 08/31/200 685564130 135 15000 SH SOLE 15000 0 0 OXFORD HEALTH PLANS INC COM 691471106 4513 82000 SH SOLE 82000 0 0 PACCAR INC COM 693718108 208 3600 SH SOLE 3600 0 0 PACIFIC SUNWEAR CALIF INC COM 694873100 219 11200 SH SOLE 11200 0 0 PARKER HANNIFIN CORP COM 701094104 594 10000 SH SOLE 10000 0 0 PAYCHEX INC COM 704326107 1158 34200 SH SOLE 34200 0 0 PAYLESS SHOESOURCE INC COM 704379106 175 11800 SH SOLE 11800 0 0 PEPSICO INC COM 713448108 377 7000 SH SOLE 7000 0 0 PERKINELMER INC COM 714046109 482 24100 SH SOLE 24100 0 0 PFIZER INC COM 717081103 582 17000 SH SOLE 17000 0 0 PIER 1 IMPORTS INC COM 720279108 201 11400 SH SOLE 11400 0 0 PLATINUM UNDERWRITER HLDGS L COM G7127P100 322 10600 SH SOLE 10600 0 0 POLYONE CORP COM 73179P106 104 14100 SH SOLE 14100 0 0 PRINCIPAL FINANCIAL GROUP IN COM 74251V102 646 18600 SH SOLE 18600 0 0 PROCTER & GAMBLE CO COM 742718109 1143 21000 SH SOLE 21000 0 0 PROVIDENT FINL GROUP INC COM 743866105 3302 83700 SH SOLE 83700 0 0 REGENERON PHARMACEUTICALS COM 75886F107 107 10200 SH SOLE 10200 0 0 REPUBLIC SVCS INC COM 760759100 604 20900 SH SOLE 20900 0 0 RETAIL VENTURES INC COM 76128Y102 89 11500 SH SOLE 11500 0 0 ROYAL DUTCH PETE CO NY REG EUR .56 780257804 284 5500 SH SOLE 5500 0 0 SAKS INC COM 79377W108 196 13100 SH SOLE 13100 0 0 SCHEIN HENRY INC COM 806407102 353 5600 SH SOLE 5600 0 0 SCIENTIFIC ATLANTA INC COM 808655104 334 9700 SH SOLE 9700 0 0 SCOTTS CO CL A 810186106 427 6700 SH SOLE 6700 0 0 SEI INVESTMENTS CO COM 784117103 206 7100 SH SOLE 7100 0 0 SKYWORKS SOLUTIONS INC COM 83088M102 107 12300 SH SOLE 12300 0 0 SMUCKER J M CO COM NEW 832696405 679 14800 SH SOLE 14800 0 0 SOLECTRON CORP COM 834182107 108 16700 SH SOLE 16700 0 0 SONOCO PRODS CO COM 835495102 405 15900 SH SOLE 15900 0 0 ST JUDE MED INC COM 790849103 416 5500 SH SOLE 5500 0 0 STMICROELECTRONICS N V NY REGISTRY 861012102 343 15600 SH SOLE 15600 0 0 SUNGARD DATA SYS INC COM 867363103 811 31200 SH SOLE 31200 0 0 SUPERIOR ENERGY SVCS INC COM 868157108 106 10600 SH SOLE 10600 0 0 SYMBOL TECHNOLOGIES INC COM 871508107 160 10900 SH SOLE 10900 0 0 SYNOPSYS INC COM 871607107 253 8900 SH SOLE 8900 0 0 SYSCO CORP COM 871829107 315 8800 SH SOLE 8800 0 0 TARGET CORP COM 87612E106 645 15200 SH SOLE 15200 0 0 TELETECH HOLDINGS INC COM 879939106 105 12000 SH SOLE 12000 0 0 TEMPLE INLAND INC COM 879868107 207 3000 SH SOLE 3000 0 0 TITAN CORP COM 888266103 129 10000 SH SOLE 10000 0 0 TJX COS INC NEW COM 872540109 743 30800 SH SOLE 30800 0 0 TRANSCANADA CORP COM 89353D107 385 19500 SH SOLE 19500 0 0 TULARIK INC COM 899165104 1247 50300 SH SOLE 50300 0 0 UNION PAC CORP COM 907818108 517 8700 SH SOLE 8700 0 0 UNISOURCE ENERGY CORP COM 909205106 2599 104600 SH SOLE 104600 0 0 US ONCOLOGY INC COM 90338W103 1427 97000 SH SOLE 97000 0 0 VANS INC COM 921930103 1037 50500 SH SOLE 50500 0 0 VARIAN INC COM 922206107 585 13900 SH SOLE 13900 0 0 VARIAN MED SYS INC COM 92220P105 412 5200 SH SOLE 5200 0 0 WACHOVIA CORP 2ND NEW COM 929903102 938 21100 SH SOLE 21100 0 0 WADDELL & REED FINL INC CL A 930059100 236 10700 SH SOLE 10700 0 0 WAL MART STORES INC COM 931142103 949 18000 SH SOLE 18000 0 0 WASHINGTON MUT INC COM 939322103 297 7700 SH SOLE 7700 0 0 WEBMETHODS INC COM 94768C108 101 11900 SH SOLE 11900 0 0 WELLPOINT HEALTH NETWORK NEW COM 94973H108 7527 67200 SH SOLE 67200 0 0 WESTWOOD ONE INC COM 961815107 628 26400 SH SOLE 26400 0 0 XICOR INC COM 984903104 605 40000 SH SOLE 40000 0 0 XILINX INC COM 983919101 259 7800 SH SOLE 7800 0 0
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