-----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, Nm/nG4hXOtkITLApa0ZIazDBu20k1gE8vVmiGgSHWtdfAKLEl7vskzV4bjXURU46 5Q9jsBbWV3FcfQ2mKR9Dlg== 0001167129-02-000004.txt : 20020414 0001167129-02-000004.hdr.sgml : 20020414 ACCESSION NUMBER: 0001167129-02-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20011231 FILED AS OF DATE: 20020214 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SUNRISE PARTNERS LLC /CT CENTRAL INDEX KEY: 0001103882 IRS NUMBER: 061374252 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-05431 FILM NUMBER: 02549213 BUSINESS ADDRESS: STREET 1: TWO AMERICAN LANE CITY: GREENWICH STATE: CT ZIP: 06836-2571 BUSINESS PHONE: 2038628000 MAIL ADDRESS: STREET 1: TWO AMERICAN LANE CITY: GREENWICH STATE: CT ZIP: 06836-2571 13F-HR 1 sun.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: DECEMBER 31,2001 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: Sunrise Partners LLC Address: Two American Lane Greenwich, CT 06836-2571 13F File Number: 028-05431 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: Randall U. Tam Title: Vice President, Dawn General Partner Corp., Manager Phone: 203-861-3288 Signature, Place and Date of Signing: Randall U. Tam Greenwich, Connecticut FEBRUARY 14,2002 Report Type (Check only one.): [ X ] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 Form 13F Information Table Entry Total: 635 Form 13F Information Table Value Total: $1,996,163 List of Other Included Managers: No. 13F File Number Name 01 28-3106 Paloma Securities L.L.C. 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 - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- ANADIGICS 5.00% 11/15/06 144A SDBCV 032515AA6 10689 11020000 PRN SOLE 11020000 AOL TIME WARNER INC COM 00184A105 8628 268799 SH SOLE 268799 APACHE CORP CV 6.50%2002*ACES SDBCV 037411600 1261 30000 SH SOLE 30000 ASYST TECH 5.75% 7/3/08 SDBCV 04648XAB3 10968 10250000 PRN SOLE 10250000 ATMI CV 5.25% 11/15/06 144A SDBCV 00207RAA9 7123 5500000 PRN SOLE 5500000 AT&T CANADA INC COM 00207Q202 8755 290000 SH CALL SOLE 0 AMERICAN WATER WORKS INC COM 030411102 4688 112296 SH SOLE 112296 FRANKLIN RES CV 0% 5/11/31 SDBCV 354613AC5 1060 1875000 PRN SOLE 1875000 BOOKHAM TECH PLC - ADR ADR 09856Q108 245 100000 SH SOLE 100000 BROOKS AUTO 4.75% 6/1/08 SDBCV 11434AAB6 732 800000 PRN SOLE 800000 CEPHALON 2.50% 12/15/2006 144A SDBCV 156708AD1 25070 23000000 PRN SOLE 23000000 CELESTICA CVB 0% 8/1/20 SDBCV 15101QAA6 2140 5000000 PRN SOLE 5000000 CHINA YUCHAI INTL LTD COM G21082105 586 1220200 SH SOLE 1220200 ECHOSTAR CV 5.75% 5/15/08 144A SDBCV 278762AE9 2256 2500000 PRN SOLE 2500000 DUKE ENERGY CORP COM 264399106 220 5600 SH PUT SOLE 0 GEORGIA PAC COM 373298108 2609 94500 SH SOLE 94500 INVITROGEN 2.25% 12/15/06 144A SDBCV 46185RAC4 42798 44350000 PRN SOLE 44350000 JDS UNIPHASE CORP COM 46612J101 794 91000 SH SOLE 91000 LIMITED INC COM 532716107 1030 70000 SH SOLE 70000 LTX CORP CV 4.25% 8/14/06 144A SDBCV 502392AD5 3617 3640000 PRN SOLE 3640000 MITSUBISHI BK CV 3.00%11/30/02 SDBCV 55262XAA2 5000 5000000 PRN SOLE 5000000 MEDTRONIC CV 1.25 9/15/21 144A SDBCV 585055AA4 5313 5000000 PRN SOLE 5000000 MERRILL LYNCH CV 0% 5/23/31 SDBCV 590188A65 5125 10000000 PRN SOLE 10000000 PHILIP MORRIS COS INC COM 718154107 247 5400 SH SOLE 5400 NISOURCE INC COM 65473P105 1866 80900 SH SOLE 80900 NRG ENERGY INC COM 629377102 1450 92800 SH SOLE 92800 NORTEL CV 4.25% 9/1/8 144A SDBCV 656568AA0 18350 18850000 PRN SOLE 18850000 NEWS CORP LTD - 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YAHOO! 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