-----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, AuqTmiUw+Mty6r8kF9x0qXV7vBIbattUxmFqsQK94UFIfIcg3irzxUQOTrWoxddJ Lhqd45g6wMXzC/MxxEiPmA== 0001056527-04-000019.txt : 20041029 0001056527-04-000019.hdr.sgml : 20041029 20041029120328 ACCESSION NUMBER: 0001056527-04-000019 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20031231 FILED AS OF DATE: 20041029 DATE AS OF CHANGE: 20041029 EFFECTIVENESS DATE: 20041029 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CIBC WORLD MARKETS CORP CENTRAL INDEX KEY: 0001056527 IRS NUMBER: 132798343 STATE OF INCORPORATION: DE FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-06918 FILM NUMBER: 041104985 BUSINESS ADDRESS: STREET 1: 417 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10016 BUSINESS PHONE: 2128564000 MAIL ADDRESS: STREET 1: 417 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10016 FORMER COMPANY: FORMER CONFORMED NAME: CIBC OPPENHEIMER CORP DATE OF NAME CHANGE: 19990326 13F-HR/A 1 cr1203.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F-HR/A FORM 13F COVER PAGE THIS FILING LISTS SECURITIES HOLDINGS REPORTED ON THE FORM 13F FILED ON February 13, 2004, PURSUANT TO A REQUEST FOR CONFIDENTIAL TREATMENT AND FOR WHICH CONFIDENTIAL TREATMENT EXPIRES ON June 15, 2004. Report for the Calendar Year or Quarter Ended: __12/31/03____ 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: ____CIBC World Markets_______________________ Address: _417 Fifth Avenue, Fourth Floor___________ _New York, NY 10016______________________ __________________________________________ 13F File Number: 028-06918________ 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: ___Vince Saponar_________________________ Title: ___Executive Director____________________ Phone: ___212-667-6239__________________________ Signature, Place, and Date of Signing: ___Vince Saponar____ ___NEW YORK, NY___ __02/6/04___ [Signature] [City, State] [Date] 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 other 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).) List of Other Managers Reporting for this Manager: NONE FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: _______0_______ Form 13F Information Table Entry Total: ____80___ Form 13F Information Table Value Total: $___113,913___ (thousands) List of Other Included Managers: NONE PAGE: 1 FORM 13F NAME OF REPORTING MANAGER: CIBC WORLD MARKETS CORP. DATE DEC03 (ITEM 1) (ITEM 2) (ITEM 3) (ITEM 4) (ITEM 5) (ITEM 6) (ITEM 7) (ITEM 8) INVESTMENT DISCRETION VOTING AUTHORITY _____________________ ________________ TITLE FAIR SHARES OR SHARED SHARED (SHARES) OF MARKET PRINCIPAL SOLE DEFINED OTHER SOLE SHARED NONE NAME OF ISSUES CLASS CUSIP NO VALUE AMOUNT (A) (B) (C) MGR (A) (B) (C) _________________ _____ ________ ______ _________ ___ ___ ___ _____ ___ ___ ___ ASML HLDG NV N Y SH N07059111 141,522 7,062 7,062 7,062 FLEXTRONICS INTL LTD ORD Y2573F102 752,302 50,900 50,900 50,900 ACXIOM CORP NOTE 005125AB5 1,229,004 1,050,000 1,050,000 1050,000 ADVANCED MICRO DEVICES INC DBCV 007903AE7 1,899,712 1,859,000 1,859,000 1859,000 AFFYMETRIX INC NOTE 00826TAB4 50,835 50,000 50,000 50,000 AGNICO EAGLE MINES LTD SDCV 008474AB4 1,286,098 1,166,000 1,166,000 1166,000 ALLERGAN INC COM 018490102 130,390 1,700 1,700 1,700 AMAZON COM INC NOTE 023135AF3 9,602,357 9,543,000 9,543,000 9543,000 AMERICAN TOWER CORP NOTE 029912AB8 282 300 300 300 AMERISOURCE HEALTH CORP NOTE 03071PAD4 1,906,394 1,588,000 1,588,000 1588,000 AMKOR TECHNOLOGY INC NOTE 031652AH3 25,125 25,000 25,000 25,000 AON CORP DBCV 037389AT0 26,005 21,000 21,000 21,000 AXCELIS TECHNOLOGIES INC NOTE 054540AB5 1,204,935 1,245,000 1,245,000 1245,000 BROCADE COMMUNICATIONS SYS I NOTE 111621AB4 4,525,859 5,002,000 5,002,000 5002,000 BROOKS AUTOMATION INC NOTE 11434AAB6 80,300 80,000 80,000 80,000 CKE RESTAURANTS INC NOTE 12561EAB1 529,000 529,000 529,000 529,000 CV THERAPEUTICS INC NOTE 126667AB0 8,886,064 9,827,000 9,827,000 9827,000 CEPHALON INC NOTE 156708AE9 284,922 300,000 300,000 300,000 CHARMING SHOPPES INC COM 161133103 55,495 10,258 10,258 10,258 CHECKPOINT SYS INC SDCV 162825AB9 1,026,873 979,000 979,000 979,000 CIENA CORP NOTE 171779AA9 506,000 550,000 550,000 550,000 COMMUNITY HEALTH SYS INC NEW COM 203668108 547,342 20,600 20,600 20,600 COMPUTER NETWORK TECHNOLOGY NOTE 204925AC5 8,515,457 9,250,000 9,250,000 9250,000 CURAGEN CORP SDCV 23126RAC5 870,000 1,000,000 1,000,000 1000,000 CYMER INC NOTE 232572AE7 727,807 630,000 630,000 630,000 CYPRESS SEMICONDUCTOR CORP NOTE 232806AH2 1,162,341 764,000 764,000 764,000 DUANE READE INC NOTE 263578AC0 141,875 250,000 250,000 250,000 EDO CORP NOTE 281347AD6 650,034 600,000 600,000 600,000 ENZON PHARMACEUTICALS INC NOTE 293904AB4 34,800 40,000 40,000 40,000 FEI CO NOTE 30241LAB5 19,800 20,000 20,000 20,000 FEI CO COM 30241L109 82,880 3,700 3,700 3,700 FAIR ISAAC CORP COM 303250104 280,155 5,700 5,700 5,700 FORD MTR CO CAP TR II PFD TR 345395206 4,786,181 85,800 85,800 85,800 FREEPORT-MCMORAN COPPER & GO NOTE 35671DAF2 652,720 220,000 220,000 220,000 FREEPORT-MCMORAN COPPER & GO NOTE 35671DAK1 240,166 145,000 145,000 145,000 GAP INC DEL NOTE 364760AJ7 164,809 107,000 107,000 107,000 GENERAL MLS INC DBCV 370334AU8 162,995 234,000 234,000 234,000 GENZYME CORP SDCV 372917AK0 17,336 17,000 17,000 17,000 GILEAD SCIENCES INC NOTE 375558AD5 2,840,115 2,080,000 2,080,000 2080,000 HNC SOFTWARE INC NOTE 40425PAC1 2,523,329 2,305,000 2,305,000 2305,000 HANOVER COMPRESSOR CO NOTE 410768AC9 92,343 100,000 100,000 100,000 HARTFORD FINL SVCS GROUP INC COM 416515104 29,500 500 500 500 HUMAN GENOME SCIENCES INC NOTE 444903AH1 4,345,335 4,749,000 4,749,000 4749,000 HUTCHINSON TECHNOLOGY INC NOTE 448407AE6 574,213 460,000 460,000 460,000 ICN PHARMACEUTICALS INC NEW NOTE 448924AM2 2,293,082 2,150,000 2,150,000 2150,000 INTERNATIONAL RECTIFIER CORP NOTE 460254AE5 4,345,144 4,324,000 4,324,000 4324,000 INTERPUBLIC GROUP COS INC NOTE 460690AJ9 29,280 32,000 32,000 32,000 INVITROGEN CORP NOTE 46185RAB6 2,870,941 2,768,000 2,768,000 2768,000 INVITROGEN CORP NOTE 46185RAD2 1,914,263 1,818,000 1,818,000 1818,000 IVAX CORP NOTE 465823AG7 788,508 775,000 775,000 775,000 JOHNSON & JOHNSON COM 478160104 159,774 3,100 3,100 3,100 PAGE TOTAL 76,011,999 PAGE: 2 FORM 13F NAME OF REPORTING MANAGER: CIBC WORLD MARKETS CORP. DATE DEC03 (ITEM 1) (ITEM 2) (ITEM 3) (ITEM 4) (ITEM 5) (ITEM 6) (ITEM 7) (ITEM 8) INVESTMENT DISCRETION VOTING AUTHORITY _____________________ ________________ TITLE FAIR SHARES OR SHARED SHARED (SHARES) OF MARKET PRINCIPAL SOLE DEFINED OTHER SOLE SHARED NONE NAME OF ISSUES CLASS CUSIP NO VALUE AMOUNT (A) (B) (C) MGR (A) (B) (C) _________________ _____ ________ ______ _________ ___ ___ ___ _____ ___ ___ ___ LNR PPTY CORP NOTE 501940AF7 1,232,625 950,000 950,000 950,000 LSI LOGIC CORP NOTE 502161AG7 2,613,536 2,672,000 2,672,000 2672,000 LSI LOGIC CORP COM 502161102 654,303 74,100 74,100 74,100 LTX CORP COM 502392103 124,245 8,250 8,250 8,250 LAM RESEARCH CORP NOTE 512807AE8 2,316,765 2,283,000 2,283,000 2283,000 LATTICE SEMICONDUCTOR CORP NOTE 518415AE4 520,205 500,000 500,000 500,000 LEVEL 3 COMMUNICATIONS INC NOTE 52729NAS9 690,000 1,000,000 1,000,000 1000,000 LUCENT TECHNOLOGIES INC DBCV 549463AH0 3,553,350 3,000,000 3,000,000 3000,000 MANUGISTICS GROUP INC NOTE 565011AB9 2,332,825 2,500,000 2,500,000 2500,000 MEDIMMUNE INC COM 584699102 93,906 3,700 3,700 3,700 NETWORKS ASSOCS INC NOTE 64123LAB7 271,587 250,000 250,000 250,000 NEXTEL COMMUNICATIONS INC NOTE 65332VBC6 4,989 4,000 4,000 4,000 NORTEL NETWORKS CORP NEW NOTE 656568AB8 5,176,282 5,468,000 5,468,000 5468,000 PARKER DRILLING CO NOTE 701081AD3 35,262 35,000 35,000 35,000 PHELPS DODGE CORP COM 717265102 418,275 5,500 5,500 5,500 PROVINCE HEALTHCARE CO NOTE 743977AC4 710,640 705,000 705,000 705,000 PROVINCE HEALTHCARE CO NOTE 743977AE0 493,970 500,000 500,000 500,000 RPM INTL INC NOTE 749685AK9 2,329,286 4,240,000 4,240,000 4240,000 RITE AID CORP NOTE 767754BA1 118,022 100,000 100,000 100,000 ROGERS COMMUNICATIONS INC DBCV 775109AE1 2,283,150 2,455,000 2,455,000 2455,000 SCI SYS INC NOTE 783890AF3 104,225 110,000 110,000 110,000 SANMINA SCI CORP SDCV 800907AD9 2,568,750 5,000,000 5,000,000 5000,000 SANMINA SCI CORP COM 800907107 31,525 2,500 2,500 2,500 SEPRACOR INC SDCV 817315AL8 3,852,120 4,000,000 4,000,000 4000,000 SONIC AUTOMOTIVE INC NOTE 83545GAE2 31,360 32,000 32,000 32,000 SYMANTEC CORP COM 871503108 382,839 11,100 11,100 11,100 UNIVERSAL HLTH SVCS INC DBCV 913903AL4 2,325,361 3,526,000 3,526,000 3526,000 VEECO INSTRS INC DEL COM 922417100 158,144 5,600 5,600 5,600 VISHAY INTERTECHNOLOGY INC NOTE 928298AD0 2,473,825 4,042,000 4,042,000 4042,000 PAGE TOTAL 37,901,372 GRAND TOTAL 113,913,371
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