13F-HR 1 h86632e13f-hr.txt ECT INVESTMENTS, INC. - 03/31/2001 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: March 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: ECT INVESTMENTS, INC. Address: P.O. BOX 1792 HOUSTON, TX 77251 13F File Number: 28-05377 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: GARY J. HICKERSON Title: PRESIDENT Phone: 713-853-7617 Signature, Place, and Date of Signing: /s/ GARY J. HICKERSON HOUSTON, TEXAS May 15, 2001 --------------------- -------------- ------------ [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).) 2 FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 42 Form 13F Information Table Value Total: $173608 (thousands) 3 FORM 13F INFORMATION TABLE

4 ----------------------------------------------------------------------------------------------------------------------------------- RATIONAL SOFTWARE CORP SUB NT CONV 5%07 75409PAC7 9020 11000 PRN SOLE 01 11000 0 0 ----------------------------------------------------------------------------------------------------------------------------------- RELIANT ENERGY INC COM 75952J108 4072 90000 SH SOLE 01 90000 0 0 ----------------------------------------------------------------------------------------------------------------------------------- SANMINA CORP SUB NTCV 4.25%04 800907AB3 12045 11000 PRN SOLE 01 11000 0 0 ----------------------------------------------------------------------------------------------------------------------------------- SERENA SOFTWARE INC COM 817492101 748 82000 SH SOLE 01 82000 0 0 ----------------------------------------------------------------------------------------------------------------------------------- SUNOCO INC COM 86764P101 811 25000 SH CALL SOLE 01 25000 0 0 ----------------------------------------------------------------------------------------------------------------------------------- TRITON ENERGY LTD ORD G90751101 2993 159500 SH SOLE 01 159500 0 0 ----------------------------------------------------------------------------------------------------------------------------------- TYCO INTL LTD NEW LYON ZERO 20 902124AC0 6620 9000 PRN SOLE 01 9000 0 0 ----------------------------------------------------------------------------------------------------------------------------------- USX MARATHON GROUP COM 902905827 7815 290000 SH SOLE 01 290000 0 0 ----------------------------------------------------------------------------------------------------------------------------------- ULTRAMAR DIAMOND SHAMROCK CORP COM 904000106 724 20000 SH CALL SOLE 01 20000 0 0 ----------------------------------------------------------------------------------------------------------------------------------- VALERO ENERGY CORP NEW COM 91913Y100 266 7500 SH CALL SOLE 01 7500 0 0 ----------------------------------------------------------------------------------------------------------------------------------- VITRIA TECHNOLOGY COM 92849Q104 190 50000 SH SOLE 01 50000 0 0 ----------------------------------------------------------------------------------------------------------------------------------- VOICESTREAM WIRELESS CORP COM 928615103 4987 54000 SH SOLE 01 54000 0 0 ----------------------------------------------------------------------------------------------------------------------------------- REPORT SUMMARY 42 DATA RECORDS 173608 -----------------------------------------------------------------------------------------------------------------------------------

ECT INVESTMENTS INC 13F-HR