13F-HR 1 dec3101.txt 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 ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- UnitedGlobalCom common stock COM 913247508 116 23196 SH DEFINED 23196 ACE Limited 8.25% FELINE PRIDE PFD CV 004408209 2437 30000 SH DEFINED 30000 Apache Corp. $2.015 dep. shs. PFD CV 037411600 3745 81600 SH DEFINED 81600 Cox Communications, Inc. 7% FE PFD CV 224044305 2207 40000 SH DEFINED 40000 Equity Securities Trust II 6.2 PFD CV 29477Q204 1058 45000 SH DEFINED 45000 Kerr-McGee Corp. DECS 5.5% 200 PFD CV 492386305 2213 60000 SH DEFINED 60000 MediaOne, Inc. PIES-a 7% 2002 PFD CV 58440J500 1380 50000 SH DEFINED 50000 Northrop Grumman Corp. 7.25% e PFD CV 666807409 2786 25000 SH DEFINED 25000 PartnerRe Ltd. 8% PEPS Units PFD CV G68603201 2841 50000 SH DEFINED 50000 Prudential Financial Capital T PFD CV 744320201 2022 35000 SH DEFINED 35000 RC Trust I 8.25% Equity Securi PFD CV 755111606 2241 40000 SH DEFINED 40000 Sprint Corp. 7.125% equity Uni PFD CV 852061605 1525 60000 SH DEFINED 60000 Adelphia Communications Corp. PFD CV 006848402 1029 10000 SH DEFINED 10000 Calpine Capital trust 5.5% cv. PFD CV 13134E309 2518 58400 SH DEFINED 58400 Continental Airlines, Inc. cv. PFD CV 210796207 1132 40000 SH DEFINED 40000 Lucent Technologies, Inc. 8% c PFD CV 549463206 2281 2000 SH DEFINED 2000 National Australia Bank Ltd. 7 PFD CV 632525309 2400 80000 SH DEFINED 80000 Reinsurance Group of America 5 PFD CV 759351307 4041 80000 SH DEFINED 80000 SovereignCapitalTrustII unit:7 PFD CV 845905306 2786 40000 SH DEFINED 40000 TXU Corp. 8.75% equity units p PFD CV 873168504 1408 27500 SH DEFINED 27500 UnitedGlobalCom dep shs rep 7% PFD CV 913247805 256 38000 SH DEFINED 38000 Washington Mutual Inc. Cap Tr PFD CV 939322848 478 10000 SH DEFINED 10000 Washington Mutual Inc. Cap Tr PFD CV 93933U308 3349 70000 SH DEFINED 70000 Credit Suisse First Boston Cor 22541H201 1300 102000 PRN DEFINED 102000 AES Corp. cv. jr. sub. deb. CONV 00130HAN5 2219 2500000 PRN DEFINED 2500000 Adelphia Communications Corp. CONV 006848BG9 1409 1600000 PRN DEFINED 1600000 Affiliated Computer Services, CONV 008190AE0 2089 1500000 PRN DEFINED 1500000 Alza Corp. cv. sub deb. (3% YT CONV 02261WAB5 2755 3300000 PRN DEFINED 3300000 America Online cv. sub. deb. 3 CONV 02364JAC8 1879 3500000 PRN DEFINED 3500000 American Greetings Corporation CONV 026375AH8 1863 1500000 PRN DEFINED 1500000 American Tower Corp. cv. notes CONV 029912AD4 951 1400000 PRN DEFINED 1400000 Amerisource Health Corp. cv. s CONV 03071PAB8 2821 2000000 PRN DEFINED 2000000 Anadigics, Inc. cv. sr. notes CONV 032515AA6 1939 2000000 PRN DEFINED 2000000 Analog Devices, Inc. cv. sub. CONV 032654AC9 2381 2500000 PRN DEFINED 2500000 Anixter International, Inc. li CONV 035290AA3 2290 8000000 PRN DEFINED 8000000 Anixter International, Inc. li CONV 035290AC9 973 3400000 PRN DEFINED 3400000 Bell Atlantic Fin'l Services c CONV 07785GAB6 3052 3000000 PRN DEFINED 3000000 Bisys Group, Inc. cv. sub. not CONV 055472AA2 2366 2000000 PRN DEFINED 2000000 Brinker International, Inc. cv CONV 109641AA8 2236 3500000 PRN DEFINED 3500000 Brooks Automation, Inc. cv. su CONV 11434AAB6 455 500000 PRN DEFINED 500000 Brooks Automation, Inc. cv. su CONV 11434AAA8 1821 2000000 PRN DEFINED 2000000 Calpine Corp. cv. sr. notes 14 CONV 131347AZ9 581 500000 PRN DEFINED 500000 Cephalon Inc. cv. notes 144A CONV 156708AD1 1624 1500000 PRN DEFINED 1500000 Charter Communications, Inc. c CONV 16117MAB3 1523 1500000 PRN DEFINED 1500000 Community Health Systems, Inc. CONV 203668AA6 3000 3000000 PRN DEFINED 3000000 Costco Wholesale Corp. cv. sub CONV 22160QAA0 2040 2000000 PRN DEFINED 2000000 Costco Wholesale Corp. cv. sub CONV 22160QAC6 1530 1500000 PRN DEFINED 1500000 Credit Suisse First Boston Cor CONV 2254C0AM1 2715 3000000 PRN DEFINED 3000000 Credit Suisse First Boston Cor CONV 2254C0AZ0 2509 3000000 PRN DEFINED 3000000 Devon Energy Corp. cv. sub. de CONV 25179MAA1 1003 1000000 PRN DEFINED 1000000 Devon Energy Corp. cv. sub. de CONV 25179MAB9 2024 2000000 PRN DEFINED 2000000 El Paso Corp.sr.cv. 144A (4% y CONV 28336LAA7 2656 6600000 PRN DEFINED 6600000 Elan Finance Corp. Ltd. liquid CONV 284129AC7 990 1400000 PRN DEFINED 1400000 Elan Finance Corp. Ltd. liquid CONV 284129AA1 1414 2000000 PRN DEFINED 2000000 Exch. Certificates Corp. exch. CONV 30149TAD7 2707 3000000 PRN DEFINED 3000000 Exch. Certificates Corp. exch. CONV 30149TAB1 1750 2000000 PRN DEFINED 2000000 Extreme Networks, Inc. cv. sub CONV 30226DAA4 906 1000000 PRN DEFINED 1000000 Hanover Compressor Co. cv. not CONV 410768AC9 1858 2000000 PRN DEFINED 2000000 ICN Pharmaceuticals, Inc. cv. CONV 448924AK6 3514 3000000 PRN DEFINED 3000000 Interpublic Group Cos., Inc. c CONV 460690AF7 2450 2600000 PRN DEFINED 2600000 Invitrogen Inc. cv. sub. notes CONV 46185RAC4 1934 2000000 PRN DEFINED 2000000 Ivax Corp. cv. senior sub. not CONV 465823AD4 2519 2500000 PRN DEFINED 2500000 Kerr-McGee Corp. cv. sub. deb. CONV 492386AP2 2355 2100000 PRN DEFINED 2100000 Kulicke & Soffa Industries, In CONV 501242AE1 969 1000000 PRN DEFINED 1000000 L-3 Communications Holdings, I CONV 502424AA2 2592 2000000 PRN DEFINED 2000000 L-3 Communications Holdings, I CONV 502424AC8 2073 2000000 PRN DEFINED 2000000 Lehman Brothers Holdings, Inc. CONV 524908DN7 3720 4000000 PRN DEFINED 4000000 Liberty Media Group cv. sub. n CONV 530715AK7 902 1500000 PRN DEFINED 1500000 Masco Corp. cv. sr. nts (3.125 CONV 574599AW6 2043 5000000 PRN DEFINED 5000000 National Data Corp. cv. sub. n CONV 635621AA3 4352 4000000 PRN DEFINED 4000000 News America, Inc. liquid yiel CONV 652482AY6 2946 6000000 PRN DEFINED 6000000 Nortel Networks Corp. cv. sr. CONV 656568AA0 971 1000000 PRN DEFINED 1000000 Ogden Corp. euro. cv. sub. deb CONV 4655978 1600 2500000 PRN DEFINED 2500000 Ogden Corp. euro. cv. sub. deb CONV 4656012 645 1000000 PRN DEFINED 1000000 Online Resources & Communicati CONV 68273GAA9 764 1100000 PRN DEFINED 1100000 Province Healthcare Company cv CONV 743977AD2 2941 3000000 PRN DEFINED 3000000 Roche Holdings, Inc. liquid yi CONV 771196AG7 1963 2630000 PRN DEFINED 2630000 School Specialty, Inc. cv. sub CONV 807863AC9 494 500000 PRN DEFINED 500000 School Specialty, Inc. cv. sub CONV 807863AB1 2965 3000000 PRN DEFINED 3000000 Sepracor, Inc. cv. notes 144A CONV 817315AF1 2085 2000000 PRN DEFINED 2000000 Solectron Corp. liquid yield o CONV 834182AL1 980 2300000 PRN DEFINED 2300000 Spacehab, Inc. cv. sub. notes CONV 846243AA1 702 1405000 PRN DEFINED 1405000 Sunrise Assisted Living, Inc. CONV 86768KAC0 4991 5004000 PRN DEFINED 5004000 Swiss Re America Holding euro. CONV 4791272 1966 2000000 PRN DEFINED 2000000 Tecnost International, N.V. am CONV 878756AA3 2709 3000000 PRN DEFINED 3000000 United Parcel Service, Inc. c CONV 911312AB2 2934 3000000 PRN DEFINED 3000000 Verizon Global Funding Corp. c CONV 5519352 3990 4000000 PRN DEFINED 4000000 XL Capital, Ltd. cv. sub. deb. CONV 98372PAA6 1922 3000000 PRN DEFINED 3000000 Young & Rubicam cv. sub. notes CONV 987425AC9 2994 3100000 PRN DEFINED 3100000