13F-HR 1 f130901.txt 13F THORNBURG INVESTMENTS QRT ENDED 9-30-01 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, 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: Thornburg Investment Management, Inc. Address: 119 East Marcy Street, Suite 202 Santa Fe, New Mexico 87501 Form 13F File Number: 28-7812 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: Michael Murphy Title: Compliance Specialist Phone: 505-954-5293 Signature, Place, and Date of Signing: Michael Murphy Santa Fe, New Mexico 11/13/01 Signature City, State Date Report Type (Check only one.): [X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: None I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIRS EXCHANGE ACT OF 1934. 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 ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- ACTUATE CORP COM COM 00508B102 163 39000 SH SOLE 39000 ADVENT SOFTWARE INC COM COM 007974108 26068 692380 SH SOLE 692380 ALLIANCE CAP MGMT L P UNIT LTD COM 018548107 41582 909900 SH SOLE 909900 AMDOCS LTD ORD COM G02602103 317 11900 SH SOLE 11900 AMERICAN HOME PRODS CP COM COM 026609107 64103 1100485 SH SOLE 1100485 ANNUITY & LIFE RE HLDS ORD COM G03910109 2737 80620 SH SOLE 80620 AOL TIME WARNER INC COM COM 00184A105 60441 1826005 SH SOLE 1826005 AQUILA INC DEL CL A COM 03840J106 222 10200 SH SOLE 10200 BANK NEW YORK INC COM COM 064057102 42604 1217250 SH SOLE 1217250 CARDINAL HEALTH INC COM COM 14149Y108 244 3300 SH SOLE 3300 CAREMARK RX INC COM COM 141705103 37159 2227765 SH SOLE 2227765 CHRISTOPHER & BANKS CP COM COM 171046105 241 8000 SH SOLE 8000 COMCAST CORP CL A SPL COM 200300200 40335 1124485 SH SOLE 1124485 CVS PHARMACY COM 126650100 35514 1069693 SH SOLE 1069693 DORAL FINL CORP COM COM 25811P100 256 6600 SH SOLE 6600 DST SYS INC DEL COM COM 233326107 31195 721282 SH SOLE 721282 DURAMED PHARMACEUTICAL COM COM 266354109 293 14500 SH SOLE 14500 E M C CORP MASS COM COM 268648102 31318 2665365 SH SOLE 2665365 E TRADE GROUP INC COM COM 269246104 30182 4988732 SH SOLE 4988732 EFUNDS CORP COM COM 28224R101 250 15000 SH SOLE 15000 FAMOUS DAVES AMER INC COM COM 307068106 228 24000 SH SOLE 24000 FOUNDRY NETWORKS INC COM COM 35063R100 9477 1566445 SH SOLE 1566445 FOX ENTMT GROUP INC CL A COM 35138T107 33662 1762392 SH SOLE 1762392 GENZYME CORP COM GENL DIV COM 372917104 32753 721115 SH SOLE 721115 HEALTH MGMT ASSOC INC CL A COM 421933102 40632 1957210 SH SOLE 1957210 HUDSON CITY BANCORP COM COM 443683107 11851 495870 SH SOLE 495870 INDIA FD INC COM COM 454089103 1337 168595 SH SOLE 168595 INSTINET GROUP INC COM COM 457750107 140 14300 SH SOLE 14300 INTUIT COM COM 461202103 455 12700 SH SOLE 12700 JOHNSON & JOHNSON COM COM 478160104 249 4500 SH SOLE 4500 KIMBERLY CLARK CORP COM COM 494368103 54300 875805 SH SOLE 875805 KRAFT FOODS INC-A COM 50075N104 5432 158045 SH SOLE 158045 LOCKHEED MARTIN CORP COM COM 539830109 27908 637900 SH SOLE 637900 LOWES COS INC COM COM 548661107 39358 1243525 SH SOLE 1243525 MBNA CORP COM COM 55262L100 47665 1573620 SH SOLE 1573620 MERCURY INTERACTIVE CP COM COM 589405109 209 11000 SH SOLE 11000 MICROSOFT CORP COM COM 594918104 58296 1139265 SH SOLE 1139265 PALL CORP COM COM 696429307 16264 836200 SH SOLE 836200 PEPSICO INC COM COM 713448108 68967 1422000 SH SOLE 1422000 PFIZER INC COM COM 717081103 61700 1538645 SH SOLE 1538645 POSSIS MEDICAL INC COM COM 737407106 172 14700 SH SOLE 14700 QUALCOMM INC COM COM 747525103 357 7500 SH SOLE 7500 RADIOSHACK CORP COM COM 750438103 40298 1661780 SH SOLE 1661780 RAYTHEON CO COM NEW COM 755111507 59351 1707950 SH SOLE 1707950 SHAW GROUP INC COM COM 820280105 239 8500 SH SOLE 8500 SIEBEL SYS INC COM COM 826170102 23177 1781440 SH SOLE 1781440 SIMON PPTY GROUP NEW COM COM 828806109 50776 1886895 SH SOLE 1886895 SOUTHERN CO COM COM 842587107 35012 1460035 SH SOLE 1460035 SPRINT CORP COM FON GROUP COM 852061100 51179 2131590 SH SOLE 2131590 SPRINT CORP PCS COM SER 1 COM 852061506 32066 1219685 SH SOLE 1219685 STAPLES INC COM COM 855030102 29429 2204390 SH SOLE 2204390 TELEPHONE & DATA SYS COM COM 879433100 51711 548370 SH SOLE 548370 TENET HEALTHCARE CORP COM COM 88033G100 93262 1563485 SH SOLE 1563485 TRIQUINT SEMICONDUCTOR COM COM 89674K103 189 11800 SH SOLE 11800 UNITED HEALTHCARE CORP COM COM 91324P102 259 3900 SH SOLE 3900 UNOCAL CORP COM COM 915289102 60831 1871735 SH SOLE 1871735 VERISIGN INC COM COM 92343E102 239 5700 SH SOLE 5700 VERIZON COMMUNICATIONS COM COM 92343V104 69203 1278934 SH SOLE 1278934 WASHINGTON MUT INC COM COM 939322103 80435 2090299 SH SOLE 2090299 WELLPOINT HLT NETW NEW COM COM 94973H108 80615 738575 SH SOLE 738575 WELLS FARGO & CO NEW COM COM 949746101 52184 1173988 SH SOLE 1173988 XTO ENERGY INC COM COM 98385X106 306 21900 SH SOLE 21900 ASE TEST LTD ORD tkr-ASTSF ADR 2066798 505 65570 SH SOLE 65570 BP AMOCO P L C SPONSORED ADR ADR 055622104 63318 1287734 SH SOLE 1287734 CADBURY SCHWEPPES PLC ADR ADR 127209302 2556 100635 SH SOLE 100635 CEMEX S A SPON ADR 5 ORD ADR 151290889 2380 115890 SH SOLE 115890 CNOOC LTD SPONSORED ADR ADR 126132109 2621 131045 SH SOLE 131045 COFLEXIP SPONSORED ADR tkr-CXI ADR 192384105 815 10000 SH SOLE 10000 GEMPLUS INTL S A ADR ADR 36866Y102 192 41865 SH SOLE 41865 ING GROEP N V SPONSORED ADR ADR 456837103 1080 40452 SH SOLE 40452 NOKIA CORP SPONSORED ADR ADR 654902204 29607 1891830 SH SOLE 1891830 NOVARTIS A G SPONSORED ADR ADR 66987V109 3574 91840 SH SOLE 91840 PETROCHINA CO LTD SPONSORED A ADR 71646E100 1838 95830 SH SOLE 95830 HYUNDAI MTR CO SPON GDR GDR 449187707 1882 293400 SH SOLE 293400 OTP BANK GDR REG S tkr-OTPD GDR X60746116 2050 42500 SH SOLE 42500 EMBRAER-EMPRESA BRAS DE AERON COM 2428569 813 252600 SH SOLE 252600 ALBERTA ENERGY LTD COM COM 012873956 1903 56100 SH SOLE 56100 BCE EMERGIS INC COM tkr-IFM CN COM 05536D103 1776 96235 SH SOLE 96235 BACHEM AG tkr-BANB SW COM 5471656 732 20400 SH SOLE 20400 JULIUS BAER HLDGS AG tkr-BAER COM 7194177 22921 76952 SH SOLE 76952 LEICA GEOSYSTEMS HLDGS AG COM 4064693 1622 9536 SH SOLE 9536 ASM PACIFIC TECHNOLOGY tkr-522 COM 6002453 643 554480 SH SOLE 554480 CHINA UNICOM tkr-762 HK COM 6263830 1077 1000000 SH SOLE 1000000 GRUPO CONTINENTAL SA COM 2415066 151 125000 SH SOLE 125000 WAL-MART DE MEXICO SA DE CV tk COM 2135212 2823 1350000 SH SOLE 1350000 RICHTER GEDEON VEGYESZETI GYAR COM 4042387 974 17500 SH SOLE 17500 SWEDISH MATCH AB tkr-SWMA SS COM 5048566 3008 588723 SH SOLE 588723 SAMSUNG ELECTRONICS CO tkr-059 COM 6771720 35623 333200 SH SOLE 333200 CANON INC COM 6172323 2333 85000 SH SOLE 85000 FAST RETAILING CO tkr-9983JP COM 6332439 1132 10075 SH SOLE 10075 NTT MOBILE COMMUNICATION NETWO COM 6129277 36017 2665 SH SOLE 2665 TAIWAN SEMICONDUCTOR MANUFACTU COM 6889106 1887 1394400 SH SOLE 1394400 BAE SYSTEMS COM 0263494 13174 2718400 SH SOLE 2718400 CADBURY SCHWEPPES tkr-CBRY LN COM 0610700 3146 486200 SH SOLE 486200 SHELL TRANSPORT & TRADING CO t COM 0803414 2909 390000 SH SOLE 390000 SMITH & NEPHEW COM 0922320 2020 399900 SH SOLE 399900 TESCO tkr-TSCO LN COM 0884700 3704 989180 SH SOLE 989180 BANCO POPULAR ESPANOL tkr-POP COM 5857836 3490 100860 SH SOLE 100860 BANK OF IRELAND(GOVERNOR & CO COM 3060625 2621 332200 SH SOLE 332200 DEUTSCHE BOERSE AG COM 7021963 2063 59600 SH SOLE 59600 DYCKERHOFF AG tkr-DYK3 GR COM 5761573 2606 201545 SH SOLE 201545 ENI COM 7145056 1990 160300 SH SOLE 160300 FLUGHAFEN WIEN AG tkr-FLUG AV COM 4359690 2478 90744 SH SOLE 90744 FRAPORT AG COM 7107551 1929 92900 SH SOLE 92900 GEMPLUS INTERNATIONAL SA tkr-G COM 4764001 895 401300 SH SOLE 401300 MUHLBAUER HLDING AG tkr-MUB NM COM 5499272 1151 47697 SH SOLE 47697 OYJ HARTWALL ABP tkr-HARAS FH COM 5446944 2096 118050 SH SOLE 118050 SPRINT CORP - UNITS PFD 852061605 16535 607900 SH SOLE 607900
Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: None Form 13F Information Table Entry Total: 108 Form 13F Information Table Value Total: $2,058,062 (thousands) List of Other Included Managers: None