Form 13f Holdings Report (13f-hr)
06 Novembro 2012 - 5:05PM
Edgar (US Regulatory)
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, 2012
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: Lehman Brothers Holdings Inc.
Address: 1271 Avenue of the Americas
New York, New York 10020
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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: William J. Fox
Title: Chief Financial Officer and Executive Vice President
Phone: 646-285-9000
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Signature, Place and Date of Signing:
/s/ William J. Fox
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New York, NY
November 6, 2012
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NOTE (Pursuant to Special Instruction 5): Lehman Brothers Holdings
Inc. ("LBHI") and Lehman Brothers Incorporated ("LBI") (together, the
"Managers") are unable to provide the information required on this
Form 13F. On September 15, 2008 LBHI, and at later dates a number of
its affiliates, filed voluntary petitions for relief under Chapter 11
of the United States Code (the "Bankruptcy Code") in the United States
Bankruptcy Court for the Southern District of New York (the
"Bankruptcy Court") in a jointly administered proceeding captioned In
re Lehman Brothers Holdings Inc., et. al. under Case No. 08-13555. On
September 19, 2008, the Securities Investor Protection Corporation
under the Securities Investor Protection Act of 1970, as amended
("SIPA") commenced a proceeding against LBI in the United States
District Court for the Southern District of New York (the "District
Court") in the case captioned Securities Investors Protection
Corporation v. Lehman Brothers Inc., Case No. 08-CIV-8119 (GEL). On
September 19, 2008, the District Court entered the Order Commencing
Liquidation (the "LBI Liquidation Order") pursuant to the provisions
of SIPA. The LBI Liquidation Order provided, among other things, the
appointment of James W. Giddens as trustee for the SIPA liquidation of
LBI and removed the
proceeding to the Bankruptcy Court under Case No. 08-1420 (JMP) SIPA.
For purposes of this filing and despite LBI's SIPA proceeding, the
Managers are treating LBI as an Included Manager.
The Managers are unable to provide the information required on this
Form 13F primarily due to (1) the commencement of various
administrative or civil rehabilitation proceedings of subsidiaries
comprising significant parts of LBHI's European and Asian businesses,
which have resulted in significant portions of the Managers'
securities trading records and systems being unavailable to, and
non-accessible by, the Managers, and (2) the sale since September 15,
2008 of significant businesses comprising the Managers' historical
business (the "Sale"). As a result of the Sale, and actions taken by
certain creditors with respect to Section 13(f) Securities that had
been pledged by the Managers, or their affiliates, as collateral to
those creditors, the Managers cannot compile an accurate accounting of
Section 13(f) Securities held. The Managers are currently engaged in
an expensive and time consuming process to reconcile discrepancies in
information the Managers have with respect to Section 13(f)
Securities. Even with continued significant efforts and expense, the
Managers may not be able to provide a record of Section 13(f)
Securities held.
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
Report Summary:
Number of Other Included Managers: 1
Form 13F Information Table Entry Total: N/A
Form 13F Information Table Value Total N/A
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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.
Lehman Brothers (CE) (USOTC:LEHKQ)
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