-----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, MxxHaLv1YA5SB1HZMerEozkmy0wHiNxvEbzG6ln02ururmVI49lWkHfr5tdqj07s iPFr6YDYNRZ4zmMgItQDRQ== 0001085146-04-000371.txt : 20041022 0001085146-04-000371.hdr.sgml : 20041022 20041022085039 ACCESSION NUMBER: 0001085146-04-000371 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040930 FILED AS OF DATE: 20041022 DATE AS OF CHANGE: 20041022 EFFECTIVENESS DATE: 20041022 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: 041090721 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 mapl3q04.txt MAPLE SECURITIES UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 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 October 19, 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: 198 Form13F Information Table Value Total: $110,993 (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 - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 3M CO COM 88579Y101 1343 16800 SH SOLE 16800 0 0 ACE LTD ORD G0070K103 340 8500 SH SOLE 8500 0 0 ADTRAN INC COM 00738A106 485 21400 SH SOLE 21400 0 0 ADVANCE AUTO PARTS INC COM 00751Y106 251 7300 SH SOLE 7300 0 0 ADVANCED FIBRE COMMUNICATION COM 00754A105 795 50000 SH SOLE 50000 0 0 ADVANCED MICRO DEVICES INC COM 007903107 0 11600 SH PUT SOLE 11600 0 0 AFLAC INC COM 001055102 658 16800 SH SOLE 16800 0 0 ALBERTO CULVER CO COM 013068101 500 11500 SH SOLE 11500 0 0 ALCOA INC COM 013817101 1021 30400 SH SOLE 30400 0 0 ALLTEL CORP COM 020039103 724 13200 SH SOLE 13200 0 0 AMERICAN EXPRESS CO COM 025816109 205 4000 SH SOLE 4000 0 0 AMERICAN GREETINGS CORP NOTE 7.000% 7/1 026375AJ4 379 198788 SH SOLE 198788 0 0 AMERICAN INTL GROUP INC COM 026874107 571 8400 SH SOLE 8400 0 0 AMERISOURCE HEALTH CORP NOTE 5.000%12/0 03071PAD4 30 28318 SH SOLE 28318 0 0 AMERISOURCEBERGEN CORP COM 03073E105 0 52500 SH PUT SOLE 52500 0 0 AMGEN INC COM 031162100 516 9100 SH SOLE 9100 0 0 ANHEUSER BUSCH COS INC COM 035229103 204 4100 SH SOLE 4100 0 0 APPLEBEES INTL INC COM 037899101 224 8900 SH SOLE 8900 0 0 APPLERA CORP COM AP BIO GRP 038020103 818 43400 SH SOLE 43400 0 0 ASML HLDG NV N Y SHS N07059111 267 20800 SH SOLE 20800 0 0 AT&T WIRELESS SVCS INC COM 00209A106 2499 169100 SH SOLE 169100 0 0 AUTOMATIC DATA PROCESSING IN COM 053015103 338 8200 SH SOLE 8200 0 0 AUTOZONE INC COM 053332102 571 7400 SH SOLE 7400 0 0 AVOCENT CORP COM 053893103 442 17000 SH SOLE 17000 0 0 BANK OF AMERICA CORPORATION COM 060505104 480 11100 SH SOLE 11100 0 0 BANK UTD CORP LITIGATN CONT CTF RT CONTGT 065416117 1 32000 SH SOLE 32000 0 0 BARD C R INC COM 067383109 402 7100 SH SOLE 7100 0 0 BORG WARNER INC COM 099724106 316 7300 SH SOLE 7300 0 0 BP PLC SPONSORED ADR 055622104 304 5300 SH SOLE 5300 0 0 BRIGGS & STRATTON CORP COM 109043109 251 3100 SH SOLE 3100 0 0 BROWN & BROWN INC COM 115236101 255 5600 SH SOLE 5600 0 0 BROWN FORMAN CORP CL B 115637209 480 10500 SH SOLE 10500 0 0 C D W CORP COM 12512N105 870 15000 SH SOLE 15000 0 0 CABOT CORP COM 127055101 323 8400 SH SOLE 8400 0 0 CADBURY SCHWEPPES PLC ADR 127209302 414 13400 SH SOLE 13400 0 0 CADENCE DESIGN SYSTEM INC COM 127387108 215 16500 SH SOLE 16500 0 0 CELESTICA INC SUB VTG SHS 15101Q108 128 10100 SH SOLE 10100 0 0 CERIDIAN CORP NEW COM 156779100 289 15700 SH SOLE 15700 0 0 CERTEGY INC COM 156880106 204 5500 SH SOLE 5500 0 0 CHECK POINT SOFTWARE TECH LT ORD M22465104 196 11600 SH SOLE 11600 0 0 CHOICEPOINT INC COM 170388102 533 12500 SH SOLE 12500 0 0 CHUBB CORP COM 171232101 267 3800 SH SOLE 3800 0 0 CHURCH & DWIGHT INC COM 171340102 636 22700 SH SOLE 22700 0 0 CISCO SYS INC COM 17275R102 427 23600 SH SOLE 23600 0 0 CITIGROUP INC COM 172967101 741 16800 SH SOLE 16800 0 0 CLEAR CHANNEL COMMUNICATIONS COM 184502102 448 14400 SH SOLE 14400 0 0 CMS ENERGY CORP COM 125896100 199 21000 SH SOLE 21000 0 0 COCA COLA CO COM 191216100 396 9900 SH SOLE 9900 0 0 COGNOS INC COM 19244C109 287 8100 SH SOLE 8100 0 0 COMCAST CORP NEW CL A 20030N101 285 10100 SH SOLE 10100 0 0 COMERICA INC COM 200340107 326 5500 SH SOLE 5500 0 0 COMMERCE BANCSHARES INC COM 200525103 360 7500 SH SOLE 7500 0 0 COMPUTER ASSOC INTL INC COM 204912109 386 14700 SH SOLE 14700 0 0 CONAGRA FOODS INC COM 205887102 295 11500 SH SOLE 11500 0 0 CONOCOPHILLIPS COM 20825C104 331 4000 SH SOLE 4000 0 0 CONVERGYS CORP COM 212485106 236 17600 SH SOLE 17600 0 0 CYMER INC COM 232572107 257 9000 SH SOLE 9000 0 0 DANA CORP COM 235811106 288 16300 SH SOLE 16300 0 0 DELL INC COM 24702R101 687 19300 SH SOLE 19300 0 0 DIEBOLD INC COM 253651103 382 8200 SH SOLE 8200 0 0 DIGITALNET HLDGS INC COM 25389B103 1493 49434 SH SOLE 49434 0 0 DOVER CORP COM 260003108 855 22000 SH SOLE 22000 0 0 DST SYS INC DEL COM 233326107 249 5600 SH SOLE 5600 0 0 DU PONT E I DE NEMOURS & CO COM 263534109 376 8800 SH SOLE 8800 0 0 DUN & BRADSTREET CORP DEL NE COM 26483E100 675 11500 SH SOLE 11500 0 0 EDWARDS LIFESCIENCES CORP COM 28176E108 546 16300 SH SOLE 16300 0 0 EQUITABLE RES INC COM 294549100 515 9500 SH SOLE 9500 0 0 EQUITY RESIDENTIAL SH BEN INT 29476L107 257 8300 SH SOLE 8300 0 0 EXPRESS SCRIPTS INC COM 302182100 202 3100 SH SOLE 3100 0 0 EXXON MOBIL CORP COM 30231G102 710 14700 SH SOLE 14700 0 0 FAIRMONT HOTELS RESORTS INC COM 305204109 401 14700 SH SOLE 14700 0 0 FASTENAL CO COM 311900104 207 3600 SH SOLE 3600 0 0 FEDEX CORP COM 31428X106 205 2400 SH SOLE 2400 0 0 FILENET CORP COM 316869106 197 11300 SH SOLE 11300 0 0 FISERV INC COM 337738108 623 17900 SH SOLE 17900 0 0 FISHER SCIENTIFIC INTL INC COM NEW 338032204 478 8200 SH SOLE 8200 0 0 GENERAL MLS INC COM 370334104 493 11000 SH SOLE 11000 0 0 GILLETTE CO COM 375766102 271 6500 SH SOLE 6500 0 0 GOLD BANC CORP INC COM 379907108 380 28171 SH SOLE 28171 0 0 GOODRICH CORP COM 382388106 210 6700 SH SOLE 6700 0 0 GRANT PRIDECO INC COM 38821G101 276 13500 SH SOLE 13500 0 0 GREENPOINT FINL CORP COM 395384100 4070 88000 SH SOLE 88000 0 0 HARSCO CORP COM 415864107 413 9200 SH SOLE 9200 0 0 HOLLYWOOD ENTMT CORP COM 436141105 278 28210 SH SOLE 28210 0 0 HONEYWELL INTL INC COM 438516106 1229 34300 SH SOLE 34300 0 0 HUNT J B TRANS SVCS INC COM 445658107 293 7900 SH SOLE 7900 0 0 IMS HEALTH INC COM 449934108 365 15300 SH SOLE 15300 0 0 INFORMATION HLDGS INC COM 456727106 1135 41700 SH SOLE 41700 0 0 INGERSOLL-RAND COMPANY LTD CL A G4776G101 319 4700 SH SOLE 4700 0 0 INTEGRATED DEVICE TECHNOLOGY COM 458118106 546 57300 SH SOLE 57300 0 0 INTEL CORP COM 458140100 718 35800 SH SOLE 35800 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 660 7700 SH SOLE 7700 0 0 INTERNATIONAL GAME TECHNOLOG COM 459902102 417 11600 SH SOLE 11600 0 0 INTERSIL CORP CL A 46069S109 364 22857 SH SOLE 22857 0 0 INTL PAPER CO COM 460146103 351 8700 SH SOLE 8700 0 0 INVERESK RESH GROUP INC COM 461238107 3338 90500 SH SOLE 90500 0 0 INVISION TECHNOLOGIES INC COM 461851107 2658 59090 SH SOLE 59090 0 0 ITT INDS INC IND COM 450911102 535 6700 SH SOLE 6700 0 0 JANUS CAP GROUP INC COM 47102X105 329 24200 SH SOLE 24200 0 0 JONES APPAREL GROUP INC COM 480074103 257 7200 SH SOLE 7200 0 0 KING PHARMACEUTICALS INC COM 495582108 214 18000 SH SOLE 18000 0 0 KONINKLIJKE PHILIPS ELECTRS NY REG SH NEW 500472303 1241 54200 SH SOLE 54200 0 0 LENNOX INTL INC COM 526107107 168 11300 SH SOLE 11300 0 0 LIBERTY MEDIA CORP NEW COM SER A 530718105 613 70400 SH SOLE 70400 0 0 LINENS N THINGS INC COM 535679104 509 22000 SH SOLE 22000 0 0 LNR PPTY CORP COM 501940100 681 11000 SH SOLE 11000 0 0 LOWES COS INC NOTE 2/1 548661CF2 150 164480 SH SOLE 164480 0 0 LUBRIZOL CORP COM 549271104 335 9700 SH SOLE 9700 0 0 M & T BK CORP COM 55261F104 631 6600 SH SOLE 6600 0 0 MANDALAY RESORT GROUP COM 562567107 3803 55400 SH SOLE 55400 0 0 MANOR CARE INC NEW COM 564055101 509 17000 SH SOLE 17000 0 0 MARSH & MCLENNAN COS INC COM 571748102 219 4800 SH SOLE 4800 0 0 MARTIN MARIETTA MATLS INC COM 573284106 230 5100 SH SOLE 5100 0 0 MASCO CORP COM 574599106 272 7900 SH SOLE 7900 0 0 MELLON FINL CORP COM 58551A108 351 12700 SH SOLE 12700 0 0 MERCANTILE BANKSHARES CORP COM 587405101 206 4300 SH SOLE 4300 0 0 METLIFE INC COM 59156R108 208 5400 SH SOLE 5400 0 0 METTLER TOLEDO INTERNATIONAL COM 592688105 349 7400 SH SOLE 7400 0 0 MGIC INVT CORP WIS COM 552848103 685 10300 SH SOLE 10300 0 0 MILLER HERMAN INC COM 600544100 241 9800 SH SOLE 9800 0 0 MILLIPORE CORP COM 601073109 339 7100 SH SOLE 7100 0 0 MORGAN STANLEY COM NEW 617446448 562 11400 SH SOLE 11400 0 0 NEW YORK TIMES CO CL A 650111107 238 6100 SH SOLE 6100 0 0 NEWELL RUBBERMAID INC COM 651229106 697 34800 SH SOLE 34800 0 0 NEWMONT MINING CORP COM 651639106 605 13300 SH SOLE 13300 0 0 NEWPORT CORP COM 651824104 275 24000 SH SOLE 24000 0 0 NIKE INC CL B 654106103 236 3000 SH SOLE 3000 0 0 NORDSON CORP COM 655663102 209 6100 SH SOLE 6100 0 0 O REILLY AUTOMOTIVE INC COM 686091109 842 22000 SH SOLE 22000 0 0 OCCIDENTAL PETE CORP DEL COM 674599105 425 7600 SH SOLE 7600 0 0 OCULAR SCIENCES INC COM 675744106 1794 37400 SH SOLE 37400 0 0 ORBITZ INC CL A 68556Y100 326 12000 SH SOLE 12000 0 0 PACTIV CORP COM 695257105 206 8900 SH SOLE 8900 0 0 PAYCHEX INC COM 704326107 1088 36100 SH SOLE 36100 0 0 PEPSICO INC COM 713448108 394 8100 SH SOLE 8100 0 0 PERKINELMER INC COM 714046109 394 22900 SH SOLE 22900 0 0 PFIZER INC COM 717081103 1119 36600 SH SOLE 36600 0 0 PIONEER NAT RES CO COM 723787107 644 18700 SH SOLE 18700 0 0 PMI GROUP INC COM 69344M101 787 19400 SH SOLE 19400 0 0 POLYCOM INC COM 73172K104 560 28300 SH SOLE 28300 0 0 PRAXAIR INC COM 74005P104 260 6100 SH SOLE 6100 0 0 PROCTER & GAMBLE CO COM 742718109 649 12000 SH SOLE 12000 0 0 PROTECTIVE LIFE CORP COM 743674103 212 5400 SH SOLE 5400 0 0 QUEST DIAGNOSTICS INC COM 74834L100 414 4700 SH SOLE 4700 0 0 RADIO ONE INC CL D NON VTG 75040P405 493 34700 SH SOLE 34700 0 0 RARE HOSPITALITY INTL INC COM 753820109 242 9100 SH SOLE 9100 0 0 REGIS CORP MINN COM 758932107 522 13000 SH SOLE 13000 0 0 RENAL CARE GROUP INC COM 759930100 331 10300 SH SOLE 10300 0 0 RIGGS NATL CORP WASH DC COM 766570105 235 10600 SH SOLE 10600 0 0 ROCKWELL COLLINS INC COM 774341101 553 14900 SH SOLE 14900 0 0 ROUSE CO COM 779273101 2273 34000 SH SOLE 34000 0 0 ROYAL DUTCH PETE CO NY REG EUR .56 780257804 737 14300 SH SOLE 14300 0 0 RUBY TUESDAY INC COM 781182100 819 29400 SH SOLE 29400 0 0 SAPPI LTD SPON ADR NEW 803069202 466 32600 SH SOLE 32600 0 0 SCHERING PLOUGH CORP COM 806605101 457 24000 SH SOLE 24000 0 0 SCHLUMBERGER LTD COM 806857108 666 9900 SH SOLE 9900 0 0 SCHWAB CHARLES CORP NEW COM 808513105 184 20100 SH SOLE 20100 0 0 SCIENTIFIC ATLANTA INC COM 808655104 539 20800 SH SOLE 20800 0 0 SCOTTS CO CL A 810186106 307 4800 SH SOLE 4800 0 0 SHELL TRANS & TRADING PLC ADR NY SHS NEW 822703609 507 11400 SH SOLE 11400 0 0 SIEBEL SYS INC COM 826170102 99 13200 SH SOLE 13200 0 0 SOUTHTRUST CORP COM 844730101 1145 27500 SH SOLE 27500 0 0 SPX CORP COM 784635104 240 6800 SH SOLE 6800 0 0 ST PAUL TRAVELERS INC COM 792860108 247 7500 SH SOLE 7500 0 0 STANLEY WKS COM 854616109 506 11900 SH SOLE 11900 0 0 STARWOOD HOTELS&RESORTS WRLD PAIRED CTF 85590A203 259 5600 SH SOLE 5600 0 0 STATE STR CORP COM 857477103 316 7400 SH SOLE 7400 0 0 STORAGE TECHNOLOGY CORP COM PAR $0.10 862111200 343 13600 SH SOLE 13600 0 0 SUNGARD DATA SYS INC COM 867363103 596 25100 SH SOLE 25100 0 0 SWIFT TRANSN CO COM 870756103 233 13900 SH SOLE 13900 0 0 SYMBOL TECHNOLOGIES INC COM 871508107 337 26700 SH SOLE 26700 0 0 SYSCO CORP COM 871829107 487 16300 SH SOLE 16300 0 0 TALBOTS INC COM 874161102 297 12000 SH SOLE 12000 0 0 TARGET CORP COM 87612E106 597 13200 SH SOLE 13200 0 0 TCF FINL CORP COM 872275102 205 6800 SH SOLE 6800 0 0 TEMPLE INLAND INC COM 879868107 470 7000 SH SOLE 7000 0 0 TIFFANY & CO NEW COM 886547108 544 17700 SH SOLE 17700 0 0 TOTAL S A SPONSORED ADR 89151E109 245 2400 SH SOLE 2400 0 0 TRANSATLANTIC HLDGS INC COM 893521104 293 5400 SH SOLE 5400 0 0 TRANSOCEAN INC ORD G90078109 214 6000 SH SOLE 6000 0 0 UBS AG NAMEN AKT H8920M855 393 5600 SH SOLE 5600 0 0 UNION PAC CORP COM 907818108 398 6800 SH SOLE 6800 0 0 UNISOURCE ENERGY CORP COM 909205106 2547 104600 SH SOLE 104600 0 0 UNISYS CORP COM 909214108 411 39900 SH SOLE 39900 0 0 UNIVERSAL HLTH SVCS INC CL B 913903100 508 11700 SH SOLE 11700 0 0 USF CORP COM 91729Q101 437 12200 SH SOLE 12200 0 0 VARIAN INC COM 922206107 533 14100 SH SOLE 14100 0 0 VERISIGN INC COM 92343E102 236 11900 SH SOLE 11900 0 0 VIACOM INC CL B 925524308 214 6400 SH SOLE 6400 0 0 VIAD CORP COM NEW 92552R406 339 14300 SH SOLE 14300 0 0 WAL MART STORES INC COM 931142103 569 10700 SH SOLE 10700 0 0 WASHINGTON MUT INC COM 939322103 406 10400 SH SOLE 10400 0 0 WASTE MGMT INC DEL COM 94106L109 814 29800 SH SOLE 29800 0 0 WATERS CORP COM 941848103 489 11100 SH SOLE 11100 0 0 WELLPOINT HEALTH NETWORK NEW COM 94973H108 5643 53700 SH SOLE 53700 0 0 WENDYS INTL INC COM 950590109 282 8400 SH SOLE 8400 0 0 WESTWOOD ONE INC COM 961815107 707 35800 SH SOLE 35800 0 0 WRIGHT MED GROUP INC COM 98235T107 203 8100 SH SOLE 8100 0 0
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