-----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, ARgaAN9g82iXOijBDHIPo++cHUaSgbgCffptBosttr4WrozDR6JqPhzNlU+ZbInO o9j3Rd/9khHUmwIw5yqi0w== 0000950123-00-001191.txt : 20000215 0000950123-00-001191.hdr.sgml : 20000215 ACCESSION NUMBER: 0000950123-00-001191 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19991231 FILED AS OF DATE: 20000214 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ING BARING LLC CENTRAL INDEX KEY: 0001068877 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: SEC FILE NUMBER: 028-03761 FILM NUMBER: 540447 BUSINESS ADDRESS: STREET 1: 230 PARK AVE CITY: NEW YORK STATE: NY ZIP: 10169 BUSINESS PHONE: 2124096154 MAIL ADDRESS: STREET 1: 55 EAST 52ND STREET CITY: NEW YORK STATE: NY ZIP: 10055 13F-HR 1 ING BARINGS LLC 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 12/31/1999 ----------------- 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: ING Barings LLC ------------------------------------------------------------------------- Address: 55 East 52nd Street, ----------------------------------------------------------------------- New York, New York 10055 ----------------------------------------------------------------------- ----------------------------------------------------------------------- Form 13F File Number: 28-7338 ------------- The Institutional Investment Manager filing this report and the person by whom it is signed 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: Andrew Druch ------------------------------------------------------------------------- Title: General Counsel and Compliance Director ------------------------------------------------------------------------- Phone: 212-409-6135 ------------------------------------------------------------------------- Signature, Place, and Date of Signing: /s/ Andrew Druch New York, N.Y. 2/14/2000 - ------------------------------- -------------------------- ------------ [Signature] [City, State] [Date] Report Type (Check only one.): [X] 13F HOLDINGS REPORT. (Check if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check if no holdings reported are in this report, and all holdings are reported in this report and a portion are reported by other reporting manager(s).) [ ] 13F COMBINATION REPORT. (Check 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 2 FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 - Form 13F Information Table Entry Total: 128 --- Form 13F Information Table Value Total: $15,837 (thousands) --------- List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. NONE 3 13F FILING 12/31/99
ISSUER NAME TITLE OF CLASS CUSIP NUMBER SHARES Abbott Laboratories Common 002824100 200 Advanta Corp. Common 007942204 2000 Alltel Corp. Common 020039103 2200 Allstate Corp. Common 020002101 900 Allegiance Telecom Inc. Common 01747T102 1000 Amazon.Com Inc. Common 023135106 600 American Express Company Common 025816109 3140 American International Group Common 026874107 2568 American Online Inc. Common 023BSE983 1400 Amgen Inc. Common 031162100 370 Applied Materials Inc. Common 038222105 300 AT&T Corp Common 001957109 3300 AvalonBay Communities Inc. Common 053484101 100 Amli Residential Properties Common 001735109 100 Baker Hughes Inc. Common 057224107 500 Bellsouth Corp. Common 079860102 2000 Berkshire Hathaway Inc. Class B Common 084670207 86 Broadwing Inc. Common 111620100 3000 Bristol Myers Squibb Co. Common 110122108 2955 Carter Wallace Inc. Common 146281010 7200 CBS Corp Common 12490K107 6920 Cendant Corp Common 151313103 11401 Chevron Corp. Common 166751107 17,00 Chubb Corp. Common 171232101 2580 Cisco Systems Inc Common 17275R102 2695 Citigroup Inc. Common 172967101 7865 Citizens Utilities Co-Ser B Common 177342201 26 Coco Cola Co. Common 191216100 1500 Colgate Palmolive Co Common 194162103 4765 Compaq Computer Corp. Common 204493100 7000 Conseco Inc. Common 208464107 2916 Consolidated Stores Corp. Common 210149100 1000 Covad Communications Group Inc. Common 222814204 600 Crescent Real Estate Equities Co. Common 225756105 200 Crown Pacific Partners LP Common 228439105 100 Deere & Co. Common 244199105 600 Dell Computer Corp Common 247025109 1000 Delta & Pine Land Co. Common 247357106 1000
ISSUER NAME MARKET VALUE INVESTMENT DISCRETION VOTING RIGHTS --------------------- ------------- (000'S) Sole Shared Other Sole Shared None Abbott Laboratories 7263 X X Advanta Corp. 28126 X X Alltel Corp. 181,914 X X Allstate Corp. 21,600 X X Allegiance Telecom Inc. 24,000 X X Amazon.Com Inc. 50,513 X X American Express Company 522,026 X X American International Group 277,665 X X American Online Inc. 105613 X X Amgen Inc. 22223 X X Applied Materials Inc. 38006 X X AT&T Corp 167476 X X AvalonBay Communities Inc. 3431 X X Amli Residential Properties 2019 X X Baker Hughes Inc. 10532 X X Bellsouth Corp. 93626 X X Berkshire Hathaway Inc. Class B 157380 X X Broadwing Inc. 110625 X X Bristol Myers Squibb Co. 189,677 X X Carter Wallace Inc. 129,153 X X CBS Corp 429995 X X Cendant Corp 302845 X X Chevron Corp. 147263 X X Chubb Corp. 145287 X X Cisco Systems Inc 288703 X X Citigroup Inc. 422005 X X Citizens Utilities Co-Ser B 369 X X Coco Cola Co. 87,375 X X Colgate Palmolive Co 309725 X X Compaq Computer Corp. 189443 X X Conseco Inc. 52124 X X Consolidated Stores Corp. 16250 X X Covad Communications Group Inc. 33563 X X Crescent Real Estate Equities Co. 3675 X X Crown Pacific Partners LP 1788 X X Deere & Co. 26025 X X Dell Computer Corp 51000 X X Delta & Pine Land Co. 17375 X X
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ISSUER NAME TITLE OF CLASS CUSIP NUMBER SHARES Developers Diversified Realty Corp. Common 251591103 200 Dow Chemical Co. Common 260543103 1700 Duke Weeks Realty Corp. Common 264411505 200 Earthlink Network Inc. Common 270321102 500 Eli Lilly & Co. Common 532157108 800 E Spire Communications Inc. Common 269153102 3000 Excel Legacy Corp Common 300665106 500 Executone Information Systems Inc. Common 301607107 2000 Exxon Mobile Corp. Common 30231G102 3400 Fannie Mae Common 313586109 3300 Ford Motor Co. Common 345370100 1700 Freddie Mac Common 313400301 1000 General Electric Co. Common 369604103 5475 Gillete Co. Common 375766102 7930 Globalstar Telecommunications LTD. Common G3930h104 1000 Guidant Corp. Common 401698105 1000 Healtheon/Webmd Corporations Common 422209106 1000 Hewlett Packard Co. Common 428236103 2340 Hilton Hotels Corp. Common 432848109 1000 Home Depot Co. Common 437076102 2705 Household International Inc. Common 441815107 4500 Intel Corp. Common 458140100 6135 International Business Machines Corp. Common 459200101 6930 Interpublic Group Of Cos Inc. Common 460690100 2000 Johnson & Johnson Common 478160104 1700 Koninkluke Philips Common 500472204 460 Lucent Technologies Inc. Common 549463107 5340 Macerich Co. Common 554382101 100 MCI Worldcom Inc. Common 55268B106 2600 McDonalds Corp. Common 580135101 3400 Mead Corp. Common 582834107 3400 Medtronic Inc Common 585055106 6000 Metromedia International Group Common 591695101 15000 Mediconsult Com Inc. Common 58469J100 6500 Micro Therapeutics Inc. Common 59500W100 3000 Merck & Co. Inc. Common 589331107 3400 Microsoft Corp Common 594918104 2670 Mindspring Enterprises Inc. Common 602683104 900 Minnesota Mining & MFG Co. Common 604059105 1700 Modis Professional SVCS Inc. Common 607830106 100
ISSUER NAME MARKET VALUE INVESTMENT DISCRETION VOTING RIGHTS --------------------- ------------- (000'S) Sole Shared Other Sole Shared None Developers Diversified Realty Corp. 2575 X X Dow Chemical Co. 227,163 X X Duke Weeks Realty Corp. 3,900 X X Earthlink Network Inc. 21,250 X X Eli Lilly & Co. 53200 X X E Spire Communications Inc. 17439 X X Excel Legacy Corp 1657 X X Executone Information Systems Inc. 10876 X X Exxon Mobile Corp. 273,914 X X Fannie Mae 206,045 X X Ford Motor Co. 90,845 X X Freddie Mac 47063 X X General Electric Co. 838,748 X X Gillete Co. 326,621 X X Globalstar Telecommunications LTD. 44,000 X X Guidant Corp. 47000 X X Healtheon/Webmd Corporations 37500 X X Hewlett Packard Co. 262,762 X X Hilton Hotels Corp. 9625 X X Home Depot Co. 185463 X X Household International Inc. 167625 X X Intel Corp. 504,991 X X International Business Machines Corp. 748,440 X X Interpublic Group Of Cos Inc. 115376 X X Johnson & Johnson 158313 X X Koninkluke Philips 62100 X X Lucent Technologies Inc. 399503 X X Macerich Co. 2081 X X MCI Worldcom Inc. 137963 X X McDonalds Corp. 137064 X X Mead Corp. 147689 X X Medtronic Inc 218628 X X Metromedia International Group 261378 X X Mediconsult Com Inc. 40625 X X Micro Therapeutics Inc. 23064 X X Merck & Co. Inc. 228014 X X Microsoft Corp 305852 X X Mindspring Enterprises Inc. 23765 X X Minnesota Mining & MFG Co. 166388 X X Modis Professional SVCS Inc. 1425 X X
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ISSUER NAME TITLE OF CLASS CUSIP NUMBER SHARES Motorola Inc. Common 620076109 2200 Nabisco Group Hldg Corp. Common 62952P102 200 Nortel Networks Corp. Common 656569100 3965 Nokia Corp. Common 654902204 2000 Omnicom Group Inc. Common 681919106 500 Oracle Corp. Common 68389X105 1825 PRI Automation Inc. Common 69357H106 1000 Paine Webber Group Inc. Common 695629105 3300 Parkplace Entertainment Corp. Common 70069100 1000 Phillip Morris Companies Inc. Common 718154AT4020 200 Plains All American Pipeline Common 726503105 3000 Premiere Netconnections Inc. Common 74058F102 500 Proctor & Gamble Co. Common 742718109 3400 Progressive Corp. Common 743315103 300 Qwest Communciations International Inc. Common 799121109 1500 Reliastar Financial Corp. Common 7595V103 680 Rhythms Netconnections Inc. Common 762430205 700 Robotics Vision Systems Inc. Common 771074101 1000 Royal KPN Nederland NV Common 780641205 1000 Salem Communications Corp. Del Common 794093104 1500 Sea Containers Ltd. Class A Common 811371707 1000 Sector SPDR Trust (XLK) Common 81369Y803 200 Sirius Satellite Radio Inc. Common 82966U103 1000 Southern Co. Common 84587107 400 Southtrust Corp. Common 844730101 750 Standard & Poors Depository Common 78462F103 40 Star Gas Partnerships LP Common 85512C105 2500 Starmedia Network Inc. Common 855546107 600 Symbol Technologies Inc. Common 8710508107 2000 Summit Bancorp. Common 866005101 500 TCI Satellite Entertainment Class A Common 872298104 100 Telecominicaoes Brasileiras (TBH) Common 879287308 200 Teva Pharmaceutical Common 881624209 3200 Texas Instruments Common 882508104 2395 Time Warner Inc. Common 887315109 1000 TNT Post Groep NV Common 888742103 1000 United Parcel SVC Inc. Class B Common 911312106 500 USX-Marathon Group Common 902905827 1200 United Technologies Corp. Common 913017109 3840 Valley National Bancorp Common 919794107 1000
ISSUER NAME MARKET VALUE INVESTMENT DISCRETION VOTING RIGHTS --------------------- ------------- (000'S) Sole Shared Other Sole Shared None Motorola Inc. 323951 X X Nabisco Group Hldg Corp. 2125 X X Nortel Networks Corp. 402,040 X X Nokia Corp. 380000 X X Omnicom Group Inc. 50000 X X Oracle Corp. 196,670 X X PRI Automation Inc. 67,125 X X Paine Webber Group Inc. 128083 X X Parkplace Entertainment Corp. 12500 X X Phillip Morris Companies Inc. 4638 X X Plains All American Pipeline 39000 X X Premiere Netconnections Inc. 3500 X X Proctor & Gamble Co. 372514 X X Progressive Corp. 21938 X X Qwest Communciations International Inc. 64500 X X Reliastar Financial Corp. 30380 X X Rhythms Netconnections Inc. 21700 X X Robotics Vision Systems Inc. 9250 X X Royal KPN Nederland NV 96125 X X Salem Communications Corp. Del 33938 X X Sea Containers Ltd. Class A 26625 X X Sector SPDR Trust (XLK) 7765 X X Sirius Satellite Radio Inc. 44500 X X Southern Co. 9400 X X Southtrust Corp. 28360 X X Standard & Poors Depository 5875 X X Star Gas Partnerships LP 33125 X X Starmedia Network Inc. 24038 X X Symbol Technologies Inc. 127126 X X Summit Bancorp. 660 X X TCI Satellite Entertainment Class A 1600 X X Telecominicaoes Brasileiras (TBH) 25700 X X Teva Pharmaceutical 212965 X X Texas Instruments 232,015 X X Time Warner Inc. 72438 X X TNT Post Groep NV 28625 X X United Parcel SVC Inc. Class B 34500 X X USX-Marathon Group 29626 X X United Technologies Corp. 249,600 X X Valley National Bancorp 28,000 X X
6 13F FILING 12/31/99
ISSUER NAME TITLE OF CLASS CUSIP NUMBER SHARES Vitesse Semiconductor Corp. Common 928497106 500 Viacom Inc. Class B Common 925524308 1000 Wal-Mart Stores Inc. Common 931142103 5330 Walt Disney Co. Holding Co. Common 254687106 13210 Warner-Lambert Co. Common 934488107 600 Webvan Group Inc. Common 94845V103 1500 Williams Companies Common 969457100 6625 ZI Corporation Common 988918108 500
ISSUER NAME MARKET VALUE INVESTMENT DISCRETION VOTING RIGHTS --------------------- ------------- (000'S) Sole Shared Other Sole Shared None Vitesse Semiconductor Corp. 26,219 X X Viacom Inc. Class B 60,438 X X Wal-Mart Stores Inc. 368,437 X X Walt Disney Co. Holding Co. 386,393 X X Warner-Lambert Co. 49163 X X Webvan Group Inc. 24750 X X Williams Companies 202786 X X ZI Corporation 10500 X X
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