-----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, KfRoMu1zb7sNbD/1IVDcNCWDcAhm6HX0lAd9+M1wvwn45h/i5cWJPp13PJeaz6/N vETM8W37Im898jU8e15uyQ== 0000021175-02-000029.txt : 20021120 0000021175-02-000029.hdr.sgml : 20021120 20021120144154 ACCESSION NUMBER: 0000021175-02-000029 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000630 FILED AS OF DATE: 20021120 EFFECTIVENESS DATE: 20021120 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CNA FINANCIAL CORP CENTRAL INDEX KEY: 0000021175 STANDARD INDUSTRIAL CLASSIFICATION: FIRE, MARINE & CASUALTY INSURANCE [6331] IRS NUMBER: 366169860 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-00346 FILM NUMBER: 02834625 BUSINESS ADDRESS: STREET 1: CNA PLZ STREET 2: 235 CITY: CHICAGO STATE: IL ZIP: 60685 BUSINESS PHONE: 3128225000 MAIL ADDRESS: STREET 1: CNA PLAZA STREET 2: 235 CITY: CHICAGO STATE: IL ZIP: 60685 13F-HR/A 1 cnafjuntm.txt FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: June 30, 2000 Check here if Amendment [ x ]; Amendment Number:1 This Amendment (Check only one.): [ x ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: CNA Financial Corporation Address: CNA Plaza Chicago,IL 60685 13F File Number: 28-346 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: Lynne Gugenheim Title: Senior Vice President and Deputy General Counsel Phone: (312) 822 4921 Signature, Place, and Date of Signing: November 12, 2002 Chicago, Illinois, 60685 I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934 Report Type (Check only one.): [ X ] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: Assets reported herein are described as having shared investment discretion among Loews Corporation, CNA Financial Corporation,The Continental Corporation, Continental Casualty Company and Continental Assurance Company. Each of the foregoing entities specifically disclaims ownership of any securities in this report which are not beneficially owned by that entity and states that such assets are solely under the control of its board of directors. The characterization of shared investment discretion with parent holding companies is made solely as a consequence of SEC interpretations regarding control of the subsidiary through share ownership. Loews Corporation owns approximately 90% of the outstanding shares of CNA Financial Corporation; CNA Financial Corporation owns 100% of the outstanding shares of Continental Casualty Company and The Continental Corporation; and Continental Casualty Company owns 100% of the outstanding shares of Continental Assurance Company. Loews Corporation will report separately on securities over which it has investment discretion which are not part of this report. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 4 Form 13F Information Table Entry Total: 235 Form 13F Information Table Value Total: 2,027,915 (in thousands) List of Other Included Managers: No. 13F File Number Name 1 28-172 The Continental Corporation 2 28 -217 Loews Corporation 3 28-386 Continental Assurance Company 4 28-387 Continental Casualty Company 13F INFORMATION TABLE CLASS VALUE OTHER PUT/ INVSTMT VOTING AUTHORITY NAME OF ISSUER TITLE CUSIP (X1000) MGRS AMOUNT TYPE CALL DSCRETN SOLE SH NONE ACME COMMUNICATIONS INC COM 004631107 12,311 4,2 674,595 SH DEFINED 674,595 ADVANCED ENERGY SUB NT CV 007973AA8 4,797 3,2 3,550,000 PRN DEFINED ADVANTICA RESTAURANT GROUP COM 00758B109 3,753 4,2 3,877,287 SH DEFINED 3,877,287 AES CORP JR SBDB CV 00130HAN5 5,317 3,2 3,045,000 PRN DEFINED AFFIL COMPUTER SB NT CV 008190AD2 4,602 3,2 4,720,000 PRN DEFINED AGILENT TECHNOLOGIES INC COM 00846U101 3,098 3,2 42,000 SH DEFINED 42,000 AGNICO-EAGLE MINES LTD COM 008474108 1,545 4,2 240,000 SH DEFINED 240,000 ALCOA INC COM 013817101 9,692 3,4,2 334,200 SH DEFINED 334,200 ALLIN COMMUNICATIONS CORP COM 019924109 786 4,2 340,000 SH DEFINED 340,000 ALLTEL CORP COM 020039103 6,216 4,2,1 100,352 SH DEFINED 100,352 AMERADA HESS COM 023551104 1,544 4,2 25,000 SH DEFINED 25,000 AMERICA ONLINE INC COM 02364J104 3,323 3,2 63,000 SH DEFINED 63,000 AMERICA WEST HOLDINGS CL B 023657208 364 3,2 21,278 SH DEFINED 21,278 AMERICAN BUSINESS FINL SVCS COM 02476B106 286 4,2 25,042 SH DEFINED 25,042 AMERICAN CAPITAL STRATEGIES COM 024937104 3,880 4,2 162,500 SH DEFINED 162,500 AMERICAN EXPRESS COM 025816109 4,431 3,2 85,000 SH DEFINED 85,000 AMERICAN INTL GROUP INC COM 026874107 1,072 4,2 9,127 SH DEFINED 9,127 AMERICAN TOWER NT CV 029912AE2 971 3,2 960,000 PRN DEFINED AMR CORP COM 001765106 1,256 4,2 47,500 SH DEFINED 47,500 ANADARKO PETROLEUM CORP COM 032511107 4,882 4,2 99,000 SH DEFINED 99,000 ANHEUSER BUSCH CO COM 035229103 2,622 4,2 35,100 SH DEFINED 35,100 ANTEC CORP SB NT CV 03664PAA3 3,983 4,2 2,250,000 PRN DEFINED AON CORP COM 037389103 795 4,2 25,600 SH DEFINED 25,600 APPLIED MATERIALS INC. COM 038222105 8,609 3,2 95,000 SH DEFINED 95,000 ARCHER DANIELS COM 039483102 9,321 4,2 949,978 SH DEFINED 949,978 ARGUSS COMMUNICATIONS INC COM 040282105 7,947 4.2 421,012 SH DEFINED 421,012 ASHANTI GOLDFIELDS GDR 043743202 1,015 4,2 580,000 SH DEFINED 580,000 AT & T CORPORATION COM 001957109 12,725 4,2 400,000 SH DEFINED 400,000 BANK UNITED CORP-CL A CL A 065412108 2,463 3,2 70,000 SH DEFINED 70,000 BAYCORP HOLDINGS LTD COM 072728108 3,140 3,2 386,442 SH DEFINED 386,442 BECTON DICKINSON & CO COM 075887109 3,586 4,2 125,000 SH DEFINED 125,000 BELL ATLANTIC CORP COM 077853109 2,287 3.2 45,000 SH DEFINED 45,000 BEVERLY ENTERPRISES INC COM 087851309 2,348 4,2 834,900 SH DEFINED 834,900 BLACKROCK INSD MUNI TERM COM 092474105 894 4,2 89,400 SH DEFINED 89,400 BLACKROCK MUNI TARGET TRUST COM 09247M105 866 4,2 85,500 SH DEFINED 85,500 BLOCK H & R INC COM 093671105 2,752 4,2 85,000 SH DEFINED 85,000 BOEING COMPANY COM 097023105 7,317 4,2 175,000 SH DEFINED 175,000 BOSTON PROPERTIES INC COM 101121101 8,324 2 215,500 SH DEFINED 215,500 BRISTOL-MYERS SQUIBB CO COM 110122108 8,738 3.2 150,000 SH DEFINED 150,000 BUCKHEAD AMERICA CORP COM 11835A105 111 3.2 21,579 SH DEFINED 21,579 BURLINGTON RESOURCES INC COM 122014103 3,634 3.2 95,000 SH DEFINED 95,000 CABOT INDUSTRIAL TRUST COM 127072106 276 3.2 14,000 SH DEFINED 14,000 CAMBREX CORP COM 132011107 383 2 8,500 SH DEFINED 8,500 CANADIAN NATL RAILWAY CO COM 136375102 7 3,2 224 SH DEFINED 224 CAPITAL ONE FINANCIAL CORP COM 14040H105 2,231 4,2 50,000 SH DEFINED 50,000 CARDINAL HEALTH INC. COM 14149Y108 4,782 3,2 64,625 SH DEFINED 64,625 CATELLUS DEVELOPMENT COM 149111106 1,616 4,2 107,724 SH DEFINED 107,724 CENTRAL VERMONT PUB SERV COM 155771108 518 4,2 47,100 SH DEFINED 47,100 CH ENERGY GROUP INC. COM 12541M102 1,103 4,2 32,500 SH DEFINED 32,500 CISCO SYSTEMS INC COM 17275R102 12,713 3,2 200,000 SH DEFINED 200,000 CITIGROUP INC COM 172967101 4,880 3,2 81,000 SH DEFINED 81,000 CNA INCOME SHARES INC COM 126119106 1,025 4,2 130,042 SH DEFINED 130,042 CNA SURETY CORPORATION COM 12612L108 323,463 4,2,1 27,096,347 SH DEFINED 27,096,347 COMCAST CORP CL A SPL 200300200 8,910 3,4,2 220,000 SH DEFINED 220,000 COMMUNICATION INTELLIGENCE COM 20338K106 3,363 4,2 750,000 SH DEFINED 750,000 CONECTIV INC COM 206829103 1,050 4,2 67,500 SH DEFINED 67,500 CONSOLIDATED EDISON INC COM 209115104 1,037 4,2 35,000 SH DEFINED 35,000 CREDENCE SYSTEMS CORP COM 225302108 331 2 6,000 SH DEFINED 6,000 CRESCENT REAL ESTATE EQT COM 225756105 1,229 4,2 60,000 SH DEFINED 60,000 CROWN RESOURCE CORP COM 228569109 355 4,2 501,400 SH DEFINED 501,400 DOW CHEMICAL CORP COM 260543103 4,890 4,2 162,000 SH DEFINED 162,000 DU PONT DE NEMOURS E.I. COM 263534109 2,844 4,2 65,000 SH DEFINED 65,000 EAST-WEST BANCORP INC. COM 27579R104 28,750 4,2 2,000,000 SH DEFINED 2,000,000 EBIX.COM INC COM 278715107 1,553 2.1 304,924 SH DEFINED 304,924 EMC CORPORATION COM 268648102 6,647 3,2 86,400 SH DEFINED 86,400 EMERSON ELECTRIC COMPANY COM 291011104 5,784 3,4,2 95,800 SH DEFINED 95,800 ENCOMPASS SERVICES CORP COM 29255U104 393 4,2 68,397 SH DEFINED 68,397 ENGEL GENERAL DEVELOPERS ORD M40515104 390 4,2 120,000 SH DEFINED 120,000 ENRON CORP COM 293561106 9,030 3,2 140,000 SH DEFINED 140,000 EQUANT NV NY REG SHS 294409107 1,935 3,2 45,000 SH DEFINED 45,000 EQUITY OFFICE PROPERTIES COM 294741103 1,378 2 50,000 SH DEFINED 50,000 EQUITY OFFICE PROPERTIES TR PFD CV B 294741509 1,758 4,2 41,600 SH DEFINED 41,600 EQUITY RESIDENTIAL PROPERTY TSH BEN INT 29476L107 9,197 2 200,000 SH DEFINED 200,000 ERICSSON (LM) TEL ADR CL B SE 294821400 300 2 15,000 SH DEFINED 15,000 ESTEE LAUDER COMPANIES CL A 518439104 49 4,2 1,000 SH DEFINED 1,000 EXCITE@HOME SB NT CV 045919AD9 12,996 3,4,2 18,500,000 PRN DEFINED FIRST DATA CORP COM 319963104 3,722 3,2 75,000 SH DEFINED 75,000 FORD MOTOR COMPANY COM 345370100 4,958 4,2 115,300 SH DEFINED 115,300 FRIEDMAN BILLINGS RAMSEY CL A 358433100 414 4,2 51,000 SH DEFINED 51,000 GENENTECH INC SUB DEB CV 368710AA7 6,878 4,2 7,165,000 PRN DEFINED GENERAL COMMUNICATION CL A 369385109 41 3,2 7,913 SH DEFINED 7,913 GENERAL ELECTRIC CO COM 369604103 6,837 3,2 129,000 SH DEFINED 129,000 GENERAL MOTORS CORP COM 370442105 8,568 4,2 147,563 SH DEFINED 147,563 GENERAL MOTORS CORP CL H 370442832 1,709 4,2 19,420 SH DEFINED 19,420 GENZYME CORP SB NT CV 372917AF1 4,465 3,2 2,700,000 PRN DEFINED GILLETTE CO. COM 375766102 3,284 3,2 94,000 SH DEFINED 94,000 GLAMIS GOLD LTD COM 376775102 2,233 4,2 1,152,840 SH DEFINED 1,152,840 GLENBOROUGH REALTY TRUST COM 37803P105 436 4,2 25,000 SH DEFINED 25,000 GLOBAL CROSSING LTD COM G3921A100 742,394 4,2 28,215,035 SH DEFINED 28,215,035 GOLD STANDARD INC COM 380724302 186 4,2 82,813 SH DEFINED 82,813 GOLDCORP INC CL A SUBVTG 380956102 536 4,2 75,000 SH DEFINED 75,000 GOLDEN STATE BANCORP COM 381197102 2,704 4,2 150,100 SH DEFINED 150,100 HAYES LEMMERZ INTL INC COM 420781106 3,432 4,2 284,500 SH DEFINED 284,500 HEALTHCARE REALTY TRUST COM 421946104 5,581 4,2 326,500 SH DEFINED 326,500 HEALTHSOUTH CORP. COM 421924101 7,187 4,2 1,000,000 SH DEFINED 1,000,000 HEWLET-PACKARD SB LYONZR 428236AC7 10,395 4,2 11,000,000 PRN DEFINED HEWLETT-PACK FIN SB LYONZR 428236AA1 14,175 4,2 15,000,000 PRN DEFINED HOME DEPOT COM 437076102 599 2 12,000 SH DEFINED 12,000 HORIZON GROUP PROPERTIES COM 44041U102 2 4,2 630 SH DEFINED 630 HOUSEHOLD INTL INC COM 441815107 2,078 4,2 50,000 SH DEFINED 50,000 HUMANA INC. COM 444859102 926 4,2 190,000 SH DEFINED 190,000 IKON MBIA INC. COM 55262C100 1,927 4,2 40,000 SH DEFINED 40,000 ILLINOIS TOOL WORKS INC COM 452308109 2,953 3,2 51,800 SH DEFINED 51,800 INFINITY BROADCASTING CORP CL A 45662S102 3,498 3,2 96,000 SH DEFINED 96,000 INSWEB CORPORATION COM 45809K103 2,978 4,2 1,401,467 SH DEFINED 1,401,467 INTEL CORP COM 458140100 4,626 3,2 34,600 SH DEFINED 34,600 INTERMEDIA COMMUNICATIONS COM 458801107 3,332 3,2 112,000 SH DEFINED 112,000 INTL BUSINESS MACHINE COM 459200101 9,028 3,4,2 82,400 SH DEFINED 82,400 INTERNATIONAL PAPER CO. COM 460146103 5,217 4,2 175,000 SH DEFINED 175,000 INTERSTATE BAKERIES COM 46072H108 1,936 4,2 138,300 SH DEFINED 138,300 JPS INDUSTRIES INC COM 46624E405 2,201 4,2 419,243 SH DEFINED 419,243 KEMPER INTERMEDIATE GOVT TR SH BEN INT 488413105 964 4,2 149,800 SH DEFINED 149,800 KEYSPAN CORPORATION COM 49337W100 6,063 4,2 197,160 SH DEFINED 197,160 KEYSTONE FINANCIAL INC COM 493482103 22 2,1 1,013 SH DEFINED 1,013 KROGER COMPANY COM 501044101 7,594 3,4,2 344,200 SH DEFINED 344,200 LASALLE RE HOLDINGS ORD G5383Q101 20,221 4,2 1,425,354 SH DEFINED 1,425,354 LIBERTY MEDIA COM 001957208 13,533 3,2 558,048 SH DEFINED 558,048 LIBERTY PROPERTY TRUST SH BEN INT 531172104 10,440 4,2 402,500 SH DEFINED 402,500 LIGHTSPAN INC COM 53226T103 41 3,2 7,500 SH DEFINED 7,500 LILLY (ELI) & CO. COM 532457108 779 3,2 7,800 SH DEFINED 7,800 LORAL SPACE & COMM COM G56462107 1,120 3,2 161,500 SH DEFINED 161,500 LSI CORP COM 502161102 1,624 3,2 30,000 SH DEFINED 30,000 MACK-CALI REALTY CORP COM 554489104 257 4,2 10,000 SH DEFINED 10,000 MCLEODUSA INC CL A 582266102 676 4,2 32,664 SH DEFINED 32,664 MEDIAONE GROUP, INC COM 58440J104 854 3,2 12,917 SH DEFINED 12,917 MEDTRONIC INC COM 585055106 5,978 3,2 120,000 SH DEFINED 120,000 MELLON FINANCIAL CORP COM 58551A108 474 2 13,000 SH DEFINED 13,000 MERIDIAN GOLD INC COM 589975101 395 4,2 65,000 SH DEFINED 65,000 MGIC AETNA INC. COM 008117103 321 4,2 5,000 SH DEFINED 5,000 MGIC GPU INC. COM 36225X100 947 4,2 35,000 SH DEFINED 35,000 MICROCELL TELECOMM CL B NONVTG 59501T304 385 4,2 10,647 SH DEFINED MICRON TECHNOLOGY INC COM 595112103 1,321 3,2 15,000 SH DEFINED 15,000 MICROSOFT CORP COM 594918104 3,840 3,2 48,000 SH DEFINED 48,000 MOLEX CL A NONVTG 608554200 3,045 3,2 86,993 SH DEFINED 86,993 MOTOROLA INC COM 620076109 3,400 3,2 117,000 SH DEFINED 117,000 MSDW ASIA PACIFIC FUND COM 61744U106 3,121 4,2 306,400 SH DEFINED 306,400 MSDW INDIA INVESTMENT FUND COM 61745C105 797 4,2 66,400 SH DEFINED 66,400 MSDW INSURED MUNICIPAL INC INSD MUN IN 61745P791 757 4,2 57,400 SH DEFINED 57,400 MUNIVEST FUND INC COM 626295109 5,423 4,2 711,200 SH DEFINED 711,200 MUNIYIELD INSURED FUND INC COM 62630E107 2,823 4,2 227,000 SH DEFINED 227,000 MUNIYIELD QUALITY FUND COM 626302103 8,363 4,2 693,300 SH DEFINED 693,300 NACCO INDS INC CL A CL A 629579103 601 4,2 17,100 SH DEFINED 17,100 NETOPIA INC COM 64114K104 642 2,1 15,957 SH DEFINED 15,957 NIAGARA MOHAWK HOLDINGS COM 653520106 3,299 4,2 236,700 SH DEFINED 236,700 NOKIA CORP ADR 654902204 2,747 3,2 55,000 SH DEFINED 55,000 NORFOLK SOUTHERN CORP. COM 655844108 3,577 4,2 240,500 SH DEFINED 240,500 NORTH FORK BANCORPORATION COM 659424105 2,229 4,2 147,250 SH DEFINED 147,250 NUVEEN MUNICIPAL VALUE FUND COM 670928100 378 4,2 44,800 SH DEFINED 44,800 OGE ENERGY CORP COM 670837103 1,467 4,2 79,300 SH DEFINED 79,300 ON COMMAND CORPORATION COM 682160106 5,023 4,2 352,480 SH DEFINED 352,480 ON COMMAND CORPORATION WT B 682160122 500 4,2 123,130 SH CALL DEFINED OWENS-ILL INC PFD CONV 690768502 1,466 4,2 65,900 SH DEFINED 65,900 PACTIV CORPORATION COM 695257105 2,756 4,2 350,000 SH DEFINED 350,000 PENNEY (J.C.) CO. INC. COM 708160106 3,595 4,2 195,000 SH DEFINED 195,000 PEPSI BOTTLING GROUP INC COM 713409100 6,590 4,2 225,800 SH DEFINED 225,800 PEPSICO INCORPORATED COM 713448108 4,088 3,2 92,000 SH DEFINED 92,000 PFIZER INC COM 717081103 6,384 3,2 133,000 SH DEFINED 133,000 PHARMACIA CORPORATION COM 71713U102 4,135 3,2 80,000 SH DEFINED 80,000 PITNEY-BOWES INC COM 724479100 1,800 3,2 45,000 SH DEFINED 45,000 PLACER DOME INC COM 725906101 4,498 4,2 470,352 SH DEFINED 470,352 POLICY MANAGEMENT SYSTEMS COE COM 731108106 23,355 4,2 1,519,024 SH DEFINED 1,519,024 POTASH CORP OF SASKATCHEWAN COM 73755L107 4,851 4,2 87,900 SH DEFINED 87,900 POTOMAC ELECTRIC POWER COM 737679100 8,206 4,2 315,600 SH DEFINED 315,600 PRIME HOSPITALITY CORP COM 741917108 60 4,2 6,375 SH DEFINED 6,375 PRIME RETAIL INC COM 741570105 16 4,2 12,600 SH DEFINED 12,600 PRISON REALTY TRUST INC COM 74264N105 530 4,2 157,000 SH DEFINED 157,000 PSINET INC COM 74437C101 2,035 3,2 81,000 SH DEFINED 81,000 QWEST COMMUNICATIONS INTL COM 749121109 500 2 10,000 SH DEFINED 10,000 RADIO ONE INC CL A 75040P108 744 2,1 25,173 SH DEFINED 25,173 RATIONAL SOFTWAR SUB NT CV 75409PAA1 5,252 3,2 3,600,000 SH DEFINED 3,600,000 RAYTHEON CO. COM CL B 755111408 732 4,2 38,000 SH DEFINED 38,000 RGS ENERGY GROUP INC COM 74956K104 1,726 4,2 77,500 SH DEFINED 77,500 RHYTHMS NETCONNECTIONS INC COM 762430205 63 4,2 5,000 SH DEFINED 5,000 ROBERT MONDAVI CORP CL A 609200100 307 2 10,000 SH DEFINED 10,000 ROCKWELL INTL CORP COM 773903109 3,011 4,2 95,600 SH DEFINED 95,600 ROSS STORES INC COM 778296103 341 4,2 20,000 SH DEFINED 20,000 RYDER SYSTEM INC COM 783549108 1,894 4,2 100,000 SH DEFINED 100,000 SAFEWAY INC COM 786514208 3,610 3,2 80,000 SH DEFINED 80,000 SANMINA CORP SB DB CV 800907AA5 2,276 3,2 1,130,000 PRN DEFINED SANMINA CORP SUB NTCV 800907AB3 826 3,2 410,000 PRN DEFINED SCANA CORP COM 80589M102 9,650 4,2 400,000 SH DEFINED 400,000 SCHERING PLOUGH COM 806605101 6,060 3,2 120,000 SH DEFINED 120,000 SCHLUMBERGER LIMITED COM 806857108 4,821 3,2 64,600 SH DEFINED 64,600 SEAGATE TECHNOLOGY INC. COM 811804103 825 4,2 15,000 SH DEFINED 15,000 SFX ENTERTAINMENT INC CL A 784178105 45 4,2 1,000 SH DEFINED 1,000 SIEBEL SYSTEMS INC COM 826170102 2,453 3,2 15,000 SH DEFINED 15,000 SIERRA PACIFIC RESOURCES COM 826428104 974 4,2 77,500 SH DEFINED 77,500 SIRIUS SATELLITE RADIO INC COM 82966U103 107,345 4,2 2,422,472 SH DEFINED 2,422,472 SIX FLAGS INC COM 740540208 248 2 10,900 SH DEFINED 10,900 SMITH CHARLES E RESIDENTIAL COM 832197107 285 4,2 7,500 SH DEFINED 7,500 SOLECTRON CORP COM 834182107 2,303 3,2 55,000 SH DEFINED 55,000 SPANISH BROADCASTING SYS CL A 846425882 206 4,2 10,000 SH DEFINED 10,000 SPRINT CORP COM 852061100 5,297 3,2,1 103,856 SH DEFINED 103,856 SPRINT CORP (PCS GROUP) COM SER1 852061506 85 2,1 1,428 SH DEFINED 1,428 STAR GAS PARTNER SR SUB UN 85512C204 284 4,2 42,434 PRN DEFINED STMICROELECTRON SUB LYONZR 861012AB8 42,257 3,4,2 24,550,000 PRN DEFINED STORAGE TECHNOLOGY COM PAR 862111200 30 3,2 2,754 SH DEFINED 2,754 SUN MICROSYSTEMS INC COM 866810104 6,820 3,2 75,000 SH DEFINED 75,000 SUNBEAM CORP SRSDCV ZR 867071AA0 15,278 4,2 97,000,000 PRN DEFINED TAUBMAN CENTERS INC COM 876664103 8,250 2 750,000 SH DEFINED 750,000 TECNOMATIX TECHNOLOGIES LTD ORD M8743P105 14 4,2 1,000 SH DEFINED 1,000 TELLABS INC COM 879664100 4,859 3,2 71,000 SH DEFINED 71,000 TEXAS INSTRUMENTS INCORPORATE COM 882508104 5,426 3,2 79,000 SH DEFINED 79,000 TEXTRON INC COM 883203101 1,901 3,2 35,000 SH DEFINED 35,000 THE HEALTHCARE COMPANY COM 404119109 2,430 4,2 80,000 SH DEFINED 80,000 THOUSAND TRAILS, INC COM 885502104 718 4,2 159,660 SH DEFINED 159,660 TRANSOCEON SEDCO FOREX INC ORD G90078109 2,704 3,2 50,606 SH DEFINED 50,606 TRIBUNE CO NEW COM 896047107 3,815 3,4,2 109,000 SH DEFINED 109,000 TRIQUINT SEMICON SB NT CV 89674KAA1 981 3,2 1,080,000 PRN DEFINED TVX GOLD INC COM 87308K101 1,564 4,2 2,501,900 SH DEFINED 2,501,900 TYCO INTERNATIONAL LTD COM 902124106 4,595 3,2 97,000 SH DEFINED 97,000 UGLY DUCKLING CORP COM 903512101 353 4,2 50,000 SH DEFINED 50,000 UNION PACIFIC COM 907818108 2,421 4,2 65,100 SH DEFINED 65,100 UNION PACIFIC RESOURCES COM 907834105 4,950 4,2 225,000 SH DEFINED 225,000 UNOCAL CORP COM 915289102 4,803 4,2 145,000 SH DEFINED 145,000 US AIR GROUP INC COM 911905107 293 4,2 7,500 SH DEFINED 7,500 US WEST INC COM 91273H101 25 2,1 293 SH DEFINED 293 USEC INC COM 90333E108 275 4,2 59,500 SH DEFINED 59,500 UST INC COM 902911106 14,687 4,2 1,000,000 SH DEFINED 1,000,000 USX - MARATHON GROUP INC COM 902905827 2,256 4,2 90,000 SH DEFINED 90,000 VAN KAMPEN ADV MUNI INC SH BEN INT 921124103 1,529 4,2 120,500 SH DEFINED 120,500 VAN KAMPEN MUNI OPPOR TR-II COM 920944105 486 4,2 43,000 SH DEFINED 43,000 VAN KAMPEN MUNI OPPOR TR COM 920935103 920 4,2 67,500 SH DEFINED 67,500 VAN KAMPEN VALUE MUNI INCOME COM 921132106 2,017 4,2 171,700 SH DEFINED 171,700 WAL MART STORES INC COM 931142103 3,141 3,2 54,500 SH DEFINED 54,500 WASHINGTON GAS LIGHT CO COM 938837101 1,251 4,2 52,000 SH DEFINED 52,000 WASTE MANAGEMENT INC COM 94106L109 1,710 4,2 90,000 SH DEFINED 90,000 WELLS FARGO & COMPANY COM 949746101 3,875 3,2 100,000 SH DEFINED 100,000 WILLIAMS COMMUNICATIONS CL A 969455104 2,647 4,2 80,000 SH DEFINED 80,000 WILLIAMS COS INC COM 969457100 8,517 3,4,2,1 204,312 SH DEFINED 204,312 WIND RIVER SYSTM SUB NT CONV 973149AC1 3,765 3,2 3,078,000 PRN DEFINED WISCONSIN ENERGY CORP COM 976657106 1,209 4,2 61,000 SH DEFINED 61,000 WORLDCOM INC. COM 98157D106 4,129 3,2 90,000 SH DEFINED 90,000 XEROX CORP COM 984121103 1,612 4,2 77,700 SH DEFINED 77,700 XTRA CORP COM 984138107 635 3,2 16,089 SH DEFINED 16,089
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