This Filing lists securities holdings reported on the Form 13F filed
on November 15, 1999 pursuant to a request for confidential treatment and for
which confidential treatment expired on November 15, 2000.
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 13F
FORM 13F CONFIDENTIAL COVER PAGE
Report for the Calendar Year or Quarter Ended: September 30, 1999
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: Lehman Brothers Holdings Inc.
Address: 3 World Financial Center
New York, New York 10285
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: 212 526-1988
Signature, Place and Date of Signing:
/s/ Oliver Budde New York, NY November 15, 2000
------------------ ------------ ---------------
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).)
<PAGE>
FORM 13F CONFIDENTIAL SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 1
Form 13F Information Table Entry Total: 96
Form 13F Information Table Value Total 1,265,221
-----------
(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.
<PAGE>
<TABLE>
<CAPTION>
<S> <C> <C> <C> <C> <C> <C> <C> <C>
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
-------------------------------- -------- --------- -------- ------- --- ---- ---------- -------- -------- -------- --------
AFC CABLE SYSTEMS INC. COMMON 000950105 10583 249015 SH DEFINED 01 249015 0 0
ALLERGAN SPECIALTY COMMON 018494104 1021 86500 SH DEFINED 01 86500 0 0
ALZA CORP COMMON 022615108 96657 2257700 SH DEFINED 01 2257700 0 0
ALZA CORP SUB LIQUID YIELD OPT CBONDCNV 022615AC2 2925 5000000 SH DEFINED 01 5000000 0 0
APCO ARGENTINA INC. COMMON 037489101 7039 429891 SH DEFINED 01 429891 0 0
AQUARION CO COMMON 03838W101 6715 187200 SH DEFINED 01 187200 0 0
ASARCO INC COMMON 043413103 3434 128100 SH DEFINED 01 128100 0 0
ATLANTIC RICHFIELD CO COMMON 048825103 86498 976000 SH DEFINED 01 976000 0 0
AVATAR HOLDINGS INC CBONDCNV 053494AD2 6154 6800000 SH DEFINED 01 6800000 0 0
WTS BJ SERVICES CO WARRANT 055482111 906 26000 SH DEFINED 01 26000 0 0
***B & H OCEAN CARRIERS LTD COMMON 055090104 75 40336 SH DEFINED 01 40336 0 0
BIG FLOWER HOLDINGS INC COMMON 089159107 15687 554100 SH DEFINED 01 554100 0 0
CD RADIO INC COMMON 125127100 2175 85300 SH DEFINED 01 85300 0 0
CMS ENERGY CORP-CL G COMMON 125896209 235 10000 SH DEFINED 01 10000 0 0
CNB BANCSHARES INC-IND COMMON 126126101 31609 596400 SH DEFINED 01 596400 0 0
CAPSTEAD MORTGAGE CORP-$1.26 PREFCONV 14067E308 427 43000 SH DEFINED 01 43000 0 0
CAPSTEAD MORTGAGE CORP REIT 14067E100 15152 3788000 SH DEFINED 01 3788000 0 0
CARDIOTHORACIC SYSTEMS INC COMMON 141907105 2512 150000 SH DEFINED 01 150000 0 0
CITYSCAPE FINANCIAL CORP COMMON 178778106 0 82100 SH DEFINED 01 82100 0 0
CORAM HEALTHCARE CORP COMMON 218103109 1375 2000000 SH DEFINED 01 2000000 0 0
CRESCENDO PHARMACEUTICALS CORP COMMON 225637107 5450 301748 SH DEFINED 01 301748 0 0
EASTERN UTILITIES ASSOCIATES COMMON 277173100 12891 431500 SH DEFINED 01 431500 0 0
EDISON BROTHERS STORES INC NEW COMMON 280875303 11 227122 SH DEFINED 01 227122 0 0
WTS EDISON BROTHERS STORES INC WARRANT 280875113 0 45051 SH DEFINED 01 45051 0 0
EVEREN CAPITAL CORP COMMON 299761106 15812 536000 SH DEFINED 01 536000 0 0
EXCEL TECHNOLOGY INC COMMON 30067T103 6140 411100 SH DEFINED 01 411100 0 0
EXCEL SWITCHING CORP COMMON 30067V108 9029 251700 SH DEFINED 01 251700 0 0
C WTS FEDERATED DEPARTMENT WARRANT 31410H119 9511 505600 SH DEFINED 01 505600 0 0
D WTS FEDERATED DEPARTMENT WARRANT 31410H127 6197 335000 SH DEFINED 01 335000 0 0
FIRST AUSTRALIA FUND INC COMMON 318652104 917 119400 SH DEFINED 01 119400 0 0
FIRST AMERICAN CORP-TENN COMMON 318900107 17119 399300 SH DEFINED 01 399300 0 0
FIRST SECURITY CORP-DEL COMMON 336294103 26156 1099900 SH DEFINED 01 1099900 0 0
FLORIDA PROGRESS CORP COMMON 341109106 70300 1520000 SH DEFINED 01 1520000 0 0
FRANCE GROWTH FUND INC COMMON 35177K108 6051 428400 SH DEFINED 01 428400 0 0
GILEAD SCIENCES INC. COMMON 375558103 4 63 SH DEFINED 01 63 0 0
HEARTLAND PARTNERS LP COMMON 422357103 3185 187400 SH DEFINED 01 187400 0 0
I C H CORP NEW COMMON 44926L300 164 13100 SH DEFINED 01 13100 0 0
INTERNATIONAL NETWORK SERVICES COMMON 460053101 76119 1399900 SH DEFINED 01 1399900 0 0
***IONA TECHNOLOGIES PLC ADR 46206P109 1351 105000 SH DEFINED 01 105000 0 0
KNOLL INC COMMON 498904101 27772 1033400 SH DEFINED 01 1033400 0 0
LIMITED INC COMMON 532716107 23332 610000 SH DEFINED 01 610000 0 0
***MACMILLAN BLOEDEL LTD ADR 554783209 34943 2227500 SH DEFINED 01 2227500 0 0
NEW ERA OF NETWORKS INC COMMON 644312100 4325 200000 SH DEFINED 01 200000 0 0
NEW GERMANY FUND INC COMMON 644465106 413 35000 SH DEFINED 01 35000 0 0
NICHOLS RESEARCH CORP COMMON 653818104 4869 182900 SH DEFINED 01 182900 0 0
PACIFICORP COMMON 695114108 5307 263800 SH DEFINED 01 263800 0 0
PERIPHONICS CORP COMMON 714005105 14297 455700 SH DEFINED 01 455700 0 0
POOL ENERGY SERVICE INC COMMON 732788104 23148 940000 SH DEFINED 01 23148 0 0
PREMARK INTERNATIONAL INC COMMON 740459102 45510 901200 SH DEFINED 01 901200 0 0
PROMUS HOTEL CORP (HOLDING CO) COMMON 74342P106 32562 1000000 SH DEFINED 01 1000000 0 0
QUALCOMM INC COMMON 747525103 11540 61000 SH DEFINED 01 61000 0 0
REPUBLIC NEW YORK CORP COMMON 760719104 75138 1223000 SH DEFINED 01 1223000 0 0
ST PAUL BANCORP INC COMMON 792848103 9847 430500 SH DEFINED 01 430500 0 0
SEQUENT COMPUTER SYSTEMS INC COMMON 817338106 18000 1000000 SH DEFINED 01 1000000 0 0
SIGCORP INC COMMON 826912107 1201 47100 SH DEFINED 01 47100 0 0
SMART MODULAR TECHNOLOGIES INC COMMON 831690102 2486 73000 SH DEFINED 01 73000 0 0
SOUTHWEST GAS CORP COMMON 844895102 11375 422300 SH DEFINED 01 422300 0 0
UTS SPIROS DEV CORP II INC/ UNTWCMP 848935201 3089 441400 SH DEFINED 01 441400 0 0
SWISS HELVETIA FUND INC COMMON 870875101 9931 700000 SH DEFINED 01 700000 0 0
TRIANGLE BANCORP INC-N.C. COMMON 895835106 333 18000 SH DEFINED 01 18000 0 0
U S T CORP COMMON 902900109 48904 1590400 SH DEFINED 01 1590400 0 0
UNION CARBIDE CORP COMMON 905581104 141519 2491000 SH DEFINED 01 2491000 0 0
UNITED WATER RESOURCES INC COMMON 913190104 26100 800000 SH DEFINED 01 800000 0 0
UNITRODE CORP COMMON 913283107 41302 983400 SH DEFINED 01 983400 0 0
VISIO CORP COMMON 927914101 3709 94500 SH DEFINED 01 94500 0 0
WICOR INC COMMON 929253102 11683 402000 SH DEFINED 01 402000 0 0
WESTERN BANCORP COMMON 957683105 13989 362200 SH DEFINED 01 362200 0 0
XOMED SURGICAL PRODUCTS INC COMMON 98412V107 7814 137100 SH DEFINED 01 137100 0 0
***LORAL SPACE & COMMON G56462107 1003 58400 SH DEFINED 01 58400 0 0
ALLIANCE SEMICONDUCTOR CORP COMMON 01877H100 743 70000 SH DEFINED 01 70000 0 0
C-CUBE MICROSYSTEMS INC CBONDCNV 125015AA5 32 25000 SH DEFINED 01 25000 0 0
CD RADIO INC COMMON 125127100 958 37600 SH DEFINED 01 37600 0 0
***HOME DEPOT INC CBONDCNV 437076AE2 145 50000 SH DEFINED 01 50000 0 0
ITC DELTACOM INC COMMON 45031T104 995 36200 SH DEFINED 01 36200 0 0
INTEGRATED DEVICE TECHNOLOGY CBONDCNV 458118AA4 555 589000 SH DEFINED 01 589000 0 0
MAGNA INTERNATIONAL INC CBONDCNV 559222AE4 99 99000 SH DEFINED 01 99000 0 0
MAGNA INTERNATIONAL INC CBONDCNV 559222AF1 1353 1500000 SH DEFINED 01 1500000 0 0
METRICOM INC CBONDCNV 591596AC5 155 100000 SH DEFINED 01 100000 0 0
MICRON TECHNOLOGIES CBONDCNV 595112AB9 194 167000 SH DEFINED 01 167000 0 0
PARK ELECTROCHEMICAL CORP CBONDCNV 700416AB6 673 703000 SH DEFINED 01 703000 0 0
QUANEX CORP COMMON 747620102 807 31500 SH DEFINED 01 31500 0 0
SAFEGUARD SCIENTIFICS INC COMMON 786449108 47 700 SH DEFINED 01 700 0 0
SINCLAIR BROADCAST GROUP INC PREFCONV 829226505 506 15250 SH DEFINED 01 15250 0 0
THERMO CARDIOSYSTEMS INC CBONDCNV 88355KAA9 1260 1510000 SH DEFINED 01 1510000 0 0
THERMO ECOTEK CORP CONV SUB CBONDCNV 88355RAB2 57 66000 SH DEFINED 01 66000 0 0
THERMO FIBERGEN INC COMMON 88355U109 721 64500 SH DEFINED 01 64500 0 0
RTS THERMO FIBERGEN INC RIGHT 88355U117 209 152500 SH DEFINED 01 152500 0 0
THERMO FIBERTEK INC CBONDCNV 88355WAA3 4719 5800000 SH DEFINED 01 5800000 0 0
***THERMO ELECTRON CORP CBONDCNV 883556AF9 1922 2210000 SH DEFINED 01 2210000 0 0
THERMO INSTRUMENTS SYSTEMS INC CBONDCNV 883559AE6 5725 7168000 SH DEFINED 01 7168000 0 0
THERMO OPTEK CORP CBONDCNV 883582AA6 5708 5840000 SH DEFINED 01 5840000 0 0
THERMOQUEST CORP CONV CBONDCNV 883655AB8 120 125000 SH DEFINED 01 125000 0 0
UNITED STATES CELLULAR CORP CBONDCNV 911684AA6 6767 10742000 SH DEFINED 01 10742000 0 0
VLSI TECHNOLOGY INC. CBONDCNV 918270AB5 914 901000 SH DEFINED 01 901000 0 0
WMX TECHNOLOGIES INC CBONDCNV 92929QAF4 16419 20085000 SH DEFINED 01 20085000 0 0
WINSTAR COMMUNICATIONS INC COMMON 975515107 391 10010 SH DEFINED 01 10010 0 0
</TABLE>
