-----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, Awe89n+yXv0XylIllC82JUsXc7+/IpX/88GUA/ne9ilWqla28eMdGq7h7xav8uXW 6H8FxifH9+4UZz68Bxzfhg== 0000806085-04-000095.txt : 20040517 0000806085-04-000095.hdr.sgml : 20040517 20040517131758 ACCESSION NUMBER: 0000806085-04-000095 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20030331 FILED AS OF DATE: 20040517 EFFECTIVENESS DATE: 20040517 FILER: COMPANY DATA: COMPANY CONFORMED NAME: LEHMAN BROTHERS HOLDINGS INC CENTRAL INDEX KEY: 0000806085 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 133216325 STATE OF INCORPORATION: DE FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-03182 FILM NUMBER: 04811094 BUSINESS ADDRESS: STREET 1: LEHMAN BROTHERS STREET 2: 745 SEVENTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 2125267000 MAIL ADDRESS: STREET 1: LEHMAN BROTHERS STREET 2: 745 SEVENTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10019 FORMER COMPANY: FORMER CONFORMED NAME: SHEARSON LEHMAN HUTTON HOLDINGS INC DATE OF NAME CHANGE: 19901017 13F-HR/A 1 f04-05_1713famendcovsumm.txt 13F/A 1ST QTR. 2003 COVER & SUMMARY PAGES This filing lists securities holdings reported on the form 13F filed on or about May 15, 2003 pursuant to a request for confidential treatment and for which confidential treatment expired on or about May 15, 2004. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F/A Form 13F CONFIDENTIAL COVER PAGE Report for the Calendar Year or Quarter Ended: March 31, 2003 Check here if Amendment [ x ]; Amendment Number: 1 This Amendment (Check only one.): [ ] is a restatement [ x ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Lehman Brothers Holdings Inc. Address: 745 Seventh Avenue New York, New York 10019 Form 13F File Number: 28-3182 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 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: Oliver Budde Title: Vice President Phone: 212 526-0778 Signature, Place and Date of Signing: /s/ Oliver Budde New York, NY May 17, 2004 Report Type (Check only one.): [ X ] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by another reporting manager(s).) [ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) FORM 13F SUMMARY PAGE - CONFIDENTIAL PORTION Report Summary: Number of Other Included Managers: 1 Form 13F Information Table Entry Total: 110 Form 13F Information Table Value Total 655,306 ------------------------ (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. No. Form 13F File Number Name __ ____________________ _____ 1 28-1159 Lehman Brothers Inc. EX-99 2 f04-05_1713fconfaamendfinal.txt 13F/A CONFIDENTIAL PART A 1ST QTR. 2003
TITLE OF VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (X$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - -------------------------------- -------- --------- -------- ------- --- ---- ---------- -------- -------- -------- -------- WTS ELAN CORP PLC COMMON G29539155 2 75600 SH DEFINED 01 75600 0 0 WTS ELAN CORP PLC COMMON G29539163 13 91700 SH DEFINED 01 91700 0 0 ***VIATEL HOLDING BERMUDA LTD COMMON G93447103 410 278246 SH DEFINED 01 278246 0 0 AES CORP COMMON 00130H105 1810 500000 SH DEFINED 01 500000 0 0 AT&T CORP COMMON 001957505 14580 900000 SH DEFINED 01 900000 0 0 AEROSPACE CREDITORS COMMON 008017105 70 56034 SH DEFINED 01 56034 0 0 WTS BRADLEES INC COMMON 104499116 12 48652 SH DEFINED 01 48652 0 0 CSF HOLDINGS INC-ESCROW COMMON 126335991 0 149700 SH DEFINED 01 149700 0 0 CALIFORNIA COASTAL COMMUNITIES COMMON 129915203 1033 167726 SH DEFINED 01 167726 0 0 CHARTER COMMUNICATIONS INC DEL COMMON 16117M107 3816 4598580 SH DEFINED 01 4598580 0 0 CHARTER COMMUNICATION INC DEL CBONDCNV 16117MAB3 20790 99000000 SH DEFINED 01 99000000 0 0 ***CIENA CORP CBONDCNV 171779AA9 12750 17000000 SH DEFINED 01 17000000 0 0 COLLECTING BANK N.A. CLASS 193905106 0 262115 SH DEFINED 01 262115 0 0 ***CORNING INC CBONDCNV 219350AJ4 36788 54300000 SH DEFINED 01 54300000 0 0 EBS PENSION L L C-UNIT COMMON 268246105 21 219027 SH DEFINED 01 219027 0 0 EDISON BROTHERS STORES INC NEW COMMON 280875303 0 227122 SH DEFINED 01 227122 0 0 EL PASO CORP CBONDCNV 28336LAC3 23248 62835000 SH DEFINED 01 62835000 0 0 GERMANY FUND INC COMMON 374143105 62 15800 SH DEFINED 01 15800 0 0 GRANT PRIDECO INC COMMON 38821G101 13305 1103300 SH DEFINED 01 1103300 0 0 HEALTHSOUTH CORP COMMON 421924101 162 2250000 SH DEFINED 01 2250000 0 0 HOUSEHOLD INTERNATIONAL INC COMMON 441815107 22624 800000 SH DEFINED 01 800000 0 0 IDT CORP COMMON 448947101 2996 200000 SH DEFINED 01 200000 0 0 IDT CORPORATION COMMON 448947309 2334 154700 SH DEFINED 01 154700 0 0 INTERNET CAPITAL GROUP CBONDCNV 46059CAA4 980 2000000 SH DEFINED 01 2000000 0 0 NORTEL NETWORKS CORP NEW CBONDCNV 656568AB8 4440 6000000 SH DEFINED 01 6000000 0 0 PARKER DRILLING CORP CBONDCNV 701081AD3 2101 2200000 SH DEFINED 01 2200000 0 0 PETRIE STORES LIQUIDATING TR COMMON 716437108 352 519100 SH DEFINED 01 519100 0 0 RITE AID CORP COMMON 767754104 2240 1000000 SH DEFINED 01 1000000 0 0 SANMINA CORP CBONDCNV 800907AD9 12306 27500000 SH DEFINED 01 27500000 0 0 SIRIUS SATELLITE RADIO INC COMMON 82966U103 17264 23650133 SH DEFINED 01 23650133 0 0 SWISS HELVETIA FUND INC COMMON 870875101 284 32100 SH DEFINED 01 32100 0 0 TENET HEALTHCARE CORP COMMON 88033G100 7516 450074 SH DEFINED 01 450074 0 0 TOWN & COUNTY CORP-6% CONV PFD COMMON 892027400 75 49580 SH DEFINED 01 49580 0 0
EX-99 3 f04-05_1713fconfbamendfinal.txt 13F/A CONFIDENTIAL PART B 1ST QTR. 2003
TITLE OF VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (X$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - -------------------------------- -------- --------- -------- ------- --- ---- ---------- -------- -------- -------- -------- ***FOSTER WHEELER LTD COMMON G36535105 44 34400 SH DEFINED 01 34400 0 0 ***WTS LORAL SPACE & COMMON G56462180 38 265055 SH DEFINED 01 265055 0 0 AMGEN INC CBONDCNV 031162AE0 23438 30790000 SH DEFINED 01 30790000 0 0 ANADARKO PETROLEUM CORP CBONDCNV 032511AP2 6531 11117000 SH DEFINED 01 11117000 0 0 ANTHEM INC COMMON 03674B104 2881 43500 SH DEFINED 01 43500 0 0 ATMEL CORP COMMON 049513104 152 95100 SH DEFINED 01 95100 0 0 BAXTER INTERNATIONAL INC COMMON 071813406 1023 26575 SH DEFINED 01 26575 0 0 CABLEVISION SYSTEMS CORP-CL A CLASS 12686C109 1158 61000 SH DEFINED 01 61000 0 0 CELESTICA INC CBONDCNV 15101QAA6 1252 2610000 SH DEFINED 01 2610000 0 0 CENDANT CORP COMMON 151313103 2463 194000 SH DEFINED 01 194000 0 0 CENTERPOINT PROPERTIES TRUST PREFCONV 151895307 1506 22500 SH DEFINED 01 22500 0 0 CEPHALON INC CBONDCNV 156708AC3 5383 5600000 SH DEFINED 01 5600000 0 0 CEPHALON INC CBONDCNV 156708AE9 2513 2789000 SH DEFINED 01 2789000 0 0 CHARLES RIVER LABORATORIES INC CBONDCNV 159863AL3 1523 1525000 SH DEFINED 01 1525000 0 0 CITRIX SYSTEMS INC CBONDCNV 177376AB6 5224 12150000 SH DEFINED 01 12150000 0 0 ***COMVERSE TECHNOLOGY INC CBONDCNV 205862AJ4 1122 1239000 SH DEFINED 01 1239000 0 0 CONEXANT SYSTEMS INC CBONDCNV 207142AF7 2175 3626000 SH DEFINED 01 3626000 0 0 CURAGEN CORP COMMON 23126R101 1371 334568 SH DEFINED 01 334568 0 0 CURAGEN CORP CBONDCNV 23126RAC5 10570 15545000 SH DEFINED 01 15545000 0 0 CYPRESS SEMICONDUCTOR CORP CBONDCNV 232806AE9 139 155000 SH DEFINED 01 155000 0 0 DEVON ENERGY CORPORATION NEW CBONDCNV 25179MAD5 10463 19603000 SH DEFINED 01 19603000 0 0 DOUBLECLICK INC CBONDCNV 258609AC0 19 20000 SH DEFINED 01 20000 0 0 ***EOP OPER LTD PARTNERSHIP CBONDCNV 268766BR2 1182 1132000 SH DEFINED 01 1132000 0 0 ENZON INC CBONDCNV 293904AB4 11969 15321000 SH DEFINED 01 15321000 0 0 FIRST DATA CORP CBONDCNV 319963AD6 16429 15038000 SH DEFINED 01 15038000 0 0 FOSTER WHEELER LTD CBONDCNV 35024PAB8 4514 17705000 SH DEFINED 01 17705000 0 0 GENERAL MOTORS CORP COMMON 370442733 9520 419400 SH DEFINED 01 419400 0 0 GENERAL MOTORS CORP COMMON 370442741 11273 470700 SH DEFINED 01 470700 0 0 GREATER BAY BANCORP CBONDCNV 391648AJ1 94 150000 SH DEFINED 01 150000 0 0 HARTFORD FINANCIAL SERVICES COMMON 416515203 1040 25000 SH DEFINED 01 25000 0 0 HOST MARRIOTT CORP-NEW REIT COMMON 44107P104 3320 479900 SH DEFINED 01 479900 0 0 HUMAN GENOME SCIENCES INC CBONDCNV 444903AF5 10047 12520000 SH DEFINED 01 12520000 0 0 HUMAN GENOME SCIENCES INC CBONDCNV 444903AH1 6862 9104000 SH DEFINED 01 9104000 0 0 INTEGRA LIFESCIENCES HOLDINGS COMMON 457985208 2530 110000 SH DEFINED 01 110000 0 0 INTERMUNE INC CBONDCNV 45884XAA1 5307 5451000 SH DEFINED 01 5451000 0 0 INVITROGEN CORP CBONDCNV 46185RAD2 3022 3469000 SH DEFINED 01 3469000 0 0 JUNIPER NETWORKS INC CBONDCNV 48203RAA2 69 82000 SH DEFINED 01 82000 0 0 ***LSI LOGIC CORP CBONDCNV 502161AE2 29643 32177000 SH DEFINED 01 32177000 0 0 LSI LOGIC CORP CBONDCNV 502161AG7 10418 12168000 SH DEFINED 01 12168000 0 0 LABOR READY INC CBONDCNV 505401AB5 7463 7142000 SH DEFINED 01 7142000 0 0 LIBERTY MEDIA CORP CBONDCNV 530715AN1 3950 6125000 SH DEFINED 01 6125000 0 0 MERCURY INTERACTIVE CORP CBONDCNV 589405AB5 2612 2783000 SH DEFINED 01 2783000 0 0 MERRILL LYNCH & CO INC CBONDCNV 590188A73 46172 47415000 SH DEFINED 01 47415000 0 0 MIRANT CORP COMMON 604675108 1924 1203000 SH DEFINED 01 1203000 0 0 MIRANT CORP CBONDCNV 604675AC2 3309 6350000 SH DEFINED 01 6350000 0 0 MOTOROLA INC COMMON 620076208 7576 256300 SH DEFINED 01 256300 0 0 NRG ENERGY INC COMMON 629377201 507 59700 SH DEFINED 01 59700 0 0 NETWORK ASSOCS INC CBONDCNV 64123LAB7 6156 5330000 SH DEFINED 01 5330000 0 0 NEWELL RUBBERMAID INC COMMON 651229106 269 9500 SH DEFINED 01 9500 0 0 NISOURCE INC COMMON 65473P600 348 165000 SH DEFINED 01 165000 0 0 NORTHROP GRUMMAN CORP COMMON 666807102 1355 15800 SH DEFINED 01 15800 0 0 OMNICARE INC CBONDCNV 681904AD0 1498 1500000 SH DEFINED 01 1500000 0 0 PMC-SIERRA INC CBONDCNV 69344FAB2 7910 9225000 SH DEFINED 01 9225000 0 0 POGO PRODUCING CO SUB NT CONV CBONDCNV 730448AE7 11968 11159000 SH DEFINED 01 11159000 0 0 PRUDENTIAL FINANCIAL INC COMMON 744320102 15818 540800 SH DEFINED 01 540800 0 0 PUBLIC SERVICE ENTERPRISE COMMON 744573106 1339 36500 SH DEFINED 01 36500 0 0 QUANTA SERVICES INC COMMON 74762E102 1352 422600 SH DEFINED 01 422600 0 0 QUANTA SVCS INC CBONDCNV 74762EAA0 1498 2160000 SH DEFINED 01 2160000 0 0 RF MICRO DEVICES INC CBONDCNV 749941AB6 1527 1697000 SH DEFINED 01 1697000 0 0 RAYTHEON CO COMMON 755111507 3600 126900 SH DEFINED 01 126900 0 0 SEMCO ENERGY INC PREFERED 78412D307 1491 461700 SH DEFINED 01 461700 0 0 S3 INC SUB NOTE CONV CBONDCNV 784849AC5 70 2342000 SH DEFINED 01 2342000 0 0 SEALED AIR CORP NEW COMMON 81211K100 2897 72200 SH DEFINED 01 72200 0 0 SEMPRA ENERGY COMMON 816851109 1013 40600 SH DEFINED 01 40600 0 0 SEPRACOR INC CBONDCNV 817315AL8 691 950000 SH DEFINED 01 950000 0 0 SIEBEL SYSTEMS INC CBONDCNV 826170AC6 11026 11096000 SH DEFINED 01 11096000 0 0 SIMON PROPERTY GROUP INC NEW PREFCONV 828806406 262 2692 SH DEFINED 01 2692 0 0 SIX FLAGS INC COMMON 83001P109 621 110900 SH DEFINED 01 110900 0 0 SOLECTRON CORP COMMON 834182206 3243 310360 SH DEFINED 01 310360 0 0 SYMANTEC CORP CBONDCNV 871503AB4 1356 1000000 SH DEFINED 01 1000000 0 0 TECO ENERGY INC COMMON 872375209 468 30000 SH DEFINED 01 30000 0 0 TXU CORP COMMON 873168884 16381 577000 SH DEFINED 01 577000 0 0 TEVA PHARMACAUTICAL FIN LLC CBONDCNV 88163VAB5 17148 15661000 SH DEFINED 01 15661000 0 0 TOYS R US INC COMMON 892335209 5405 176993 SH DEFINED 01 176993 0 0 TRANSOCEAN SECDCO FOREX INC CBONDCNV 893830AA7 41419 67212000 SH DEFINED 01 67212000 0 0 UNITED STATES CELLULAR CORP CBONDCNV 911684AA6 1820 4559000 SH DEFINED 01 4559000 0 0 UNITED STATES STEEL CORP PREFCONV 912909207 4403 105650 SH DEFINED 01 105650 0 0 VERTEX PHARMACEUTICALS CBONDCNV 92532FAD2 4293 5350000 SH DEFINED 01 5350000 0 0 VITESSE SEMICONDUCTOR CORP CBONDCNV 928497AB2 537 615000 SH DEFINED 01 615000 0 0
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