-----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, UK4LK+Q/4wb6fNvFwXKhATxBy2dlgCWdwnk0JR1De7OaM+SkizSM6ta9Ysu+u5Hk A01CVpIeLVdNpN1k/u+EhA== /in/edgar/work/0000061227-00-000034/0000061227-00-000034.txt : 20001114 0000061227-00-000034.hdr.sgml : 20001114 ACCESSION NUMBER: 0000061227-00-000034 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000930 FILED AS OF DATE: 20001113 FILER: COMPANY DATA: COMPANY CONFORMED NAME: MACKAY SHIELDS FINANCIAL CORP CENTRAL INDEX KEY: 0000061227 STANDARD INDUSTRIAL CLASSIFICATION: [0000 ] IRS NUMBER: 132631681 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: SEC FILE NUMBER: 028-00046 FILM NUMBER: 761831 BUSINESS ADDRESS: STREET 1: 9 WEST 57TH STREET STREET 2: 37TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 212-230-3828 MAIL ADDRESS: STREET 1: 9 WEST 57TH STREET CITY: NEW YORK STATE: NY ZIP: 10019 13F-HR/A 1 0001.txt FORM 13F HOLDINGS REPORT FORM 13F UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Report for the Calendar Year or Quarter Ended: 9/30/2000 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: MacKay Shields LLC Address: 9 West 57th Street New York, New York 10019 Form 13F File Number: 28-46 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: Russell A. Thompson Title: Chief Compliance Officer Phone: 212-230-3835 Signature, Place, and Date of Signing: /s/ Russell A. Thompson New York, New York November 13, 2000 Report Type (Check only one): [X] 13F HOLDINGS REPORT [ ] 13F NOTICE [ ] 13F COMBINATION REPORT Form 13F Summary Page Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 447 Form 13F Information Table Value Total: $20,172,886
FORM 13F PAGE 1 FILE NO. 28-46 REPORTING MANAGER : MACKAY-SHIELDS FINANCIAL 9/30/2000 - ---------------------------------------------------------------------------------------------------------------------------------- ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 NAME OF ISSUER TITLE CUSIP FAIR SHARES OR INVEST DSCRTION MGRS VOTING AUTHORITY OF NUMBER MARKET PRINCIPAL SHARED CLASS VALUE AMOUNT SOLE SHARED OTHER SOLE SHARED NONE (A) (B) (C) (A) (B) (C) - ---------------------------------------------------------------------------------------------------------------------------------- AGCO CP Common 00108410 522,500 44,000 44,000 44,000 AES CORP Common 00130H10 661,470,250 9,656,500 9,656,500 9,656,500 AK STL HLDG CORP Common 00154710 922,678 98,419 98,419 98,419 AT&T CORP Common 00195710 74,638,938 2,540,900 2,540,900 2,540,900 ASA LTD Common 00205010 335,000 20,000 20,000 20,000 ABBOTT LABS Common 00282410 36,432,875 766,000 766,000 766,000 ABGENIX INC Common 00339B10 9,253,031 114,500 114,500 114,500 ABITIBI PRICE INC Common 00392410 11,288,766 1,204,135 1,204,135 1,204,135 ACTIVE POWER INC Common 00504W10 930,000 15,000 15,000 15,000 ADAPTEC INC CNV Conv Bnd P2 00651FAC 6,470,870 7,624,000 7,624,000 7,624,000 ADELPHIA COMMUNICATIONS-CL A Common 00684810 2,756,250 100,000 100,000 100,000 ADVANTAGE LEARNING SYS INC Common 00757K10 6,121,913 174,600 174,600 174,600 AEROFLEX INC Common 00776810 10,216,113 210,100 210,100 210,100 ADVANCED ENERGY IND CONV BOND Conv Bnd P2 007973AA 5,769,094 6,195,000 6,195,000 6,195,000 ADVENT SOFTWARE Common 00797410 10,998,325 157,400 157,400 157,400 AFFILIATED MANAGERS GROUP Common 00825210 12,161,850 213,600 213,600 213,600 AGILE SOFTWARE CORP Common 00846X10 13,589,556 151,100 151,100 151,100 AGNICO EAGLE MINES CNV Conv Bnd P2 008474AA 6,527,958 10,129,000 10,129,000 10,129,000 AIR PRODUCTS & CHEMICALS Common 00915810 50,281,200 1,396,700 1,396,700 1,396,700 ALAMOSA PCS HOLDINGS INC Common 01159310 2,902,419 179,300 179,300 179,300 ALCOA INC Common 01381710 36,845,736 1,455,634 1,455,634 1,455,634 ALKERMES INC Common 01642T10 6,531,488 169,100 169,100 169,100 ALLEGHENY ENERGY INC Common 01736110 2,063,080 54,025 54,025 54,025 ALLERGAN INC Common 01849010 170,196,447 2,015,650 2,015,650 2,015,650 ALLIED RISER CNV 144A Conv Bnd P2 019496AA 7,125,000 12,000,000 12,000,000 12,000,000 ALLSTATE CORP Common 02000210 46,902,944 1,349,725 1,349,725 1,349,725 ----------- ---------- ---------- ----------- COLUMN TOTALS 1,193,254,278 58,034,388 58,034,388 58,034,388 FORM 13F PAGE 2 FILE NO. 28-46 REPORTING MANAGER : MACKAY-SHIELDS FINANCIAL 9/30/2000 - --------------------------------------------------------------------------------------------------------------------------------- ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 NAME OF ISSUER TITLE CUSIP FAIR SHARES OR INVEST DSCRETN MGRS VOTING AUTHORITY OF NUMBER MARKET PRINCIPAL SHARED CLASS VALUE AMOUNT SOLE SHARED OTHER SOLE SHARED NONE (A) (B) (C) (A) (B) (C) - --------------------------------------------------------------------------------------------------------------------------------- ALPHA INDUSTRIES INC Common 02075310 7,190,594 211,100 211,100 211,100 ALPHARMA INC-CL A Common 02081310 13,410,825 219,400 219,400 219,400 ALZA CORP Common 02261510 6,556,700 75,800 75,800 75,800 AMERADA HESS CORP Common 02355110 3,333,488 49,800 49,800 49,800 AMERICA ONLINE INC Common 02364J10 4,837,500 90,000 90,000 90,000 AMERICA ONLINE INC CONV BOND Conv Bnd P2 02364JAC 8,351,875 16,100,000 16,100,000 16,100,000 AMERICAN GENERAL CORP Common 02635110 119,793,445 1,535,813 1,535,813 1,535,813 AMERICAN INTL GROUP INC Common 02687410 420,436,043 4,393,845 4,393,845 4,393,845 AMERICAN STANDARD COMPANIES Common 02971210 90,586,955 2,038,525 2,038,525 2,038,525 AMERICAN TOWER CORP CONV BD Conv Bnd P2 029912AF 5,730,000 6,000,000 6,000,000 6,000,000 AMERICREDIT CORP Common 03060R10 8,983,738 311,800 311,800 311,800 AMERISOURCE HEALTH CORP Common 03071P10 17,803,600 378,800 378,800 378,800 AMGEN Common 03116210 306,858,321 4,394,480 4,394,480 4,394,480 AMPHENOL CORP -CL A Common 03209510 9,013,206 158,300 158,300 158,300 ANADARKO PETE CORP Common 03251110 8,934,351 134,432 134,432 134,432 ANALOG DEVICES Common 03265410 206,769,525 2,504,400 2,504,400 2,504,400 ANDRX CORP Common 03455310 56,585,250 606,000 606,000 606,000 ANIXTER INTL INC CONV Conv Bnd P2 035290AA 4,943,750 17,500,000 17,500,000 17,500,000 ANNTAYLOR STORES CORP Common 03611510 7,822,031 203,500 203,500 203,500 ANTEC CORP Common 03664P10 1,728,700 58,600 58,600 58,600 ANTEC CORP CNV Conv Bnd P2 03664PAB 3,521,188 2,650,000 2,650,000 2,650,000 APACHE CORPORATION CNVPFD Conv Prfd 03741160 3,130,063 61,000 61,000 61,000 APRIA HEALTHCARE GROUP I Common 03793310 20,212,163 1,450,200 1,450,200 1,450,200 APPLIED MATLS INC Common 03822210 122,851,016 2,071,250 2,071,250 2,071,250 ARCH CHEMICALS INC Common 03937R10 410,625 22,500 22,500 22,500 ARGOSY GAMING CO Common 04022810 13,660,813 753,700 753,700 753,700 ---------- ---------- ----------- ------------ COLUMN TOTALS 1,473,455,762 63,973,245 63,973,245 63,973,245 FORM 13F PAGE 3 FILE NO. 28-46 REPORTING MANAGER : MACKAY-SHIELDS FINANCIAL 9/30/2000 - ------------------------------------------------------------------------------------------------------------------------------- ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 NAME OF ISSUER TITLE CUSIP FAIR SHARES OR INVEST DSCRETN MGRS VOTING AUTHORITY OF NUMBER MARKET PRINCIPAL SHARED CLASS VALUE AMOUNT SOLE SHARED OTHER SOLE SHARED NONE (A) (B) (C) (A) (B) (C) - ------------------------------------------------------------------------------------------------------------------------------- AT HOME CORP REG CNV Conv Bnd P2 045919AF 33,969,667 49,875,000 49,875,000 49,875,000 ASSOCIATES FIRST CAPITAL Common 04600810 1,903,800 50,100 50,100 50,100 ATMEL CORP Common 04951310 2,812,725 185,200 185,200 185,200 AURORA BIOSCIENCES CORP Common 05192010 6,528,000 96,000 96,000 96,000 AVICI SYSTEMS INC Common 05367L10 8,057,088 84,700 84,700 84,700 AVOCENT CORPORATION Common 05389310 11,554,200 209,600 209,600 209,600 THE BISYS GROUP INC Common 05547210 10,429,456 134,900 134,900 134,900 BAKER HUGHES Common 05722410 5,568,750 150,000 150,000 150,000 BARR LABORATORIES INC Common 06830610 10,669,681 160,900 160,900 160,900 BAXTER INTERNATIONAL Common 07181310 225,123,128 2,820,650 2,820,650 2,820,650 BEAS SYSTEMS CONV REG Conv Bnd P2 073325AD 11,881,250 5,000,000 5,000,000 5,000,000 BECTON DICKINSON Common 07588710 29,183,034 1,103,850 1,103,850 1,103,850 BED BATH & BEYOND INC Common 07589610 192,671,343 7,899,400 7,899,400 7,899,400 BEVERLY ENTERPRISES Common 08785130 2,288,313 385,400 385,400 385,400 BLACKROCK INC Common 09247X10 8,195,200 256,100 256,100 256,100 BLUESTONE SOFTWARE Common 09623P10 434,375 25,000 25,000 25,000 BOSTON SCIENTIFIC CORP Common 10113710 5,999,688 365,000 365,000 365,000 BRISTOL-MYERS SQUIBB Common 11012210 344,446,613 6,029,700 6,029,700 6,029,700 BURLINGTON INDS INC Common 12169310 44,625 35,700 35,700 35,700 BURLINGTON NORTH SANTA FE Common 12189T10 357,938 16,600 16,600 16,600 BURLINGTON RES INC Common 12201410 46,836,544 1,272,300 1,272,300 1,272,300 C.H. ROBINSON WORLDWIDE Common 12541W10 9,288,026 164,800 164,800 164,800 CVS CORPORATION Common 12665010 114,788,819 2,478,571 2,478,571 2,478,571 CV THERAPEUTICS INC Common 12666710 3,655,719 47,000 47,000 47,000 CV THERAPEUTICS INC Conv Bnd P2 126667AB 8,158,275 6,060,000 6,060,000 6,060,000 CALL-NET ENTERPRISES INC-B Common 13091020 4,089,023 2,796,520 2,796,520 2,796,520 ----------- ---------- ----------- ----------- COLUMN TOTALS 1,098,935,278 87,702,991 87,702,991 87,702,991 FORM 13F PAGE 4 FILE NO. 28-46 REPORTING MANAGER : MACKAY-SHIELDS FINANCIAL 9/30/2000 - ----------------------------------------------------------------------------------------------------------------------------- ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 NAME OF ISSUER TITLE CUSIP FAIR SHARES OR INVEST DSCRETN MGRS VOTING AUTHORITY OF NUMBER MARKET PRINCIPAL SHARED CLASS VALUE AMOUNT SOLE SHARED OTHER SOLE SHARED NONE (A) (B) (C) (A) (B) (C) - ------------------------------------------------------------------------------------------------------------------------------ CALLAWAY GOLF CO Common 13119310 438,188 28,500 28,500 28,500 CALPINE CORPORATION Common 13134710 62,176,188 595,700 595,700 595,700 CANADIAN NATL RAILWAY Conv Prfd 13637540 10,370,850 232,400 232,400 232,400 CAPITAL ONE FINL CORP Common 14040H10 1,702,519 24,300 24,300 24,300 MERISTAR HOSPITALITY COR Conv Bnd P2 140918AC 8,564,844 10,963,000 10,963,000 10,963,000 CATERPILLAR Common 14912310 678,375 20,100 20,100 20,100 CELL THERAPEUTICS INC Common 15093410 8,996,144 134,900 134,900 134,900 CELGENE CORP Common 15102010 50,456,000 848,000 848,000 848,000 CENTURYTEL INC Common 15670010 51,930,325 1,905,700 1,905,700 1,905,700 CEPHALON INC Common 15670810 7,226,500 149,000 149,000 149,000 CERTICOM CORP Common 15691510 1,585,000 40,000 40,000 40,000 CHARLES RIVER LABORATOR Common 15986410 6,351,200 186,800 186,800 186,800 CHASE MANHATTAN CORP NEW Common 16161A10 58,357,906 1,263,500 1,263,500 1,263,500 CHESAPEAKE ENRGY CVPFD 7% Conv Prfd 16516730 2,380,000 40,000 40,000 40,000 CHEVRON Common 16675110 28,141,025 330,100 330,100 330,100 CHIQUITA BRANDS CNVPFD Conv Prfd 17003250 2,402,763 144,700 144,700 144,700 CINERGY CORP Common 17247410 605,044 18,300 18,300 18,300 CIRRUS LOGIC INC CNV Conv Bnd P2 172755AC 1,673,750 1,000,000 1,000,000 1,000,000 CISCO SYS INC Common 17275R10 548,336,581 9,924,644 9,924,644 9,924,644 CITADEL COMMUNICA CORP Common 17285320 3,389,800 199,400 199,400 199,400 CITIGROUP INC Common 17296710 592,341,404 10,956,604 10,956,604 10,956,604 CITIZENS COMMUNICATIONS Common 17453B10 1,343,750 100,000 100,000 100,000 CLEAR CHANNEL COMMUNICA Common 18450210 193,167,907 3,418,901 3,418,901 3,418,901 CLOROX Common 18905410 60,732,394 1,535,100 1,535,100 1,535,100 COASTAL CORP Common 19044110 65,823,000 888,000 888,000 888,000 COBALT NETWORKS INC Common 19074R10 8,044,625 139,000 139,000 139,000 ------------ ---------- ----------- ----------- COLUMN TOTALS 1,777,216,079 45,086,649 45,086,649 45,086,649 FORM 13F PAGE 5 FILE NO. 28-46 REPORTING MANAGER : MACKAY-SHIELDS FINANCIAL 9/30/2000 - ------------------------------------------------------------------------------------------------------------------------------ ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 NAME OF ISSUER TITLE CUSIP FAIR SHARES OR INVEST DSCRETN MGRS VOTING AUTHORITY OF NUMBER MARKET PRINCIPAL SHARED CLASS VALUE AMOUNT SOLE SHARED OTHER SOLE SHARED NONE (A) (B) (C) (A) (B) (C) - ------------------------------------------------------------------------------------------------------------------------------- COEUR D'ALENE MINES CNV Conv Bnd P2 192108AG 4,868,938 10,850,000 10,850,000 10,850,000 COLGATE PALMOLIVE CO Common 19416210 222,951,560 4,723,550 4,723,550 4,723,550 COLUMBIA ENERGY GROUP Common 19764810 234,300 3,300 3,300 3,300 COMCAST CORP CONV BOND CNVPRF BND 1 20030050 752,125 11,000 11,000 11,000 COMDISCO INC Common 20033610 667,188 35,000 35,000 35,000 COMMERCE ONE INC Common 20069310 2,041,000 26,000 26,000 26,000 COMVERSE TECHNOLOGY CNV Cnv Bnd P2 205862AG 12,710,250 2,520,000 2,520,000 2,520,000 CONAGRA FOODS INC Common 20588710 57,015,619 2,841,900 2,841,900 2,841,900 CONOCO INC-CL B Common 20825140 2,066,106 76,700 76,700 76,700 CONVERGYS CORP Common 21248510 2,289,738 58,900 58,900 58,900 COOPER CAMERON CORP Common 21664010 4,421,250 60,000 60,000 60,000 CORR THERAP CV BD 144A Cnv Bnd P2 217753AC 2,459,375 1,250,000 1,250,000 1,250,000 CORNING Common 21935010 706,276,395 2,378,035 2,378,035 2,378,035 CORPORATE EXECUTIVE BOARD Common 21988R10 10,980,200 272,800 272,800 272,800 COST PLUS INC Common 22148510 7,846,056 260,450 260,450 260,450 COX COMMUNICATIONS Common 22404410 2,295,000 60,000 60,000 60,000 CRITICAL PATH CONV BOND Cnv Bnd P2 22674VAB 6,195,000 7,000,000 7,000,000 7,000,000 CROMPTON CORPORATION Common 22711610 748,125 95,000 95,000 95,000 CYPRESS SEMICONDUCTOR CORP Common 23280610 75,398,531 1,814,100 1,814,100 1,814,100 CYPRESS SEMICONDUCTOR CNV Cnv Bnd P2 232806AE 10,192,500 9,000,000 9,000,000 9,000,000 CYTEC INDUSTRIES INC Common 23282010 1,163,625 34,800 34,800 34,800 DMC STRATEX NETWORKS INC Common 23322L10 3,087,213 192,200 192,200 192,200 DSP GROUP Common 23332B10 4,563,488 122,100 122,100 122,100 DTE ENERGY COMPANY Common 23333110 38,747,250 1,013,000 1,013,000 1,013,000 DATA RETURN CORP Common 23785M10 6,536,700 322,800 322,800 322,800 DESCARTES SYSTEMS GROUP Common 24990610 4,702,500 95,000 95,000 95,000 ----------- ---------- ----------- ---------- COLUMN TOTALS 1,191,210,030 45,116,635 45,116,635 45,116,635 FORM 13F PAGE 6 FILE NO. 28-46 REPORTING MANAGER : MACKAY-SHIELDS FINANCIAL 9/30/2000 - -------------------------------------------------------------------------------------------------------------------------- ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 NAME OF ISSUER TITLE CUSIP FAIR SHARES OR INVEST DSCRETN MGRS VOTING AUTHORITY OF NUMBER MARKET PRINCIPAL SHARED CLASS VALUE AMOUNT SOLE SHARED OTHER SOLE SHARED NONE (A) (B) (C) (A) (B) (C) - -------------------------------------------------------------------------------------------------------------------------- DEVELOPERS DIVERS REALTY Common 25159110 979,788 76,100 76,100 76,100 DEVON ENERGY CORPORATION Common 25179M10 3,347,949 55,660 55,660 55,660 DIAL CORP DEL Common 25247D10 445,238 38,300 38,300 38,300 DIGENE CORP Common 25375210 5,061,600 140,600 140,600 140,600 DIGITAL LIGHTWAVE INC Common 25385510 7,160,825 98,600 98,600 98,600 DIGITAL ISLAND INC CNVBND CnvBnd P2 25385NAA 23,529,048 39,515,000 39,515,000 39,515,000 DISNEY (WALT) Common 25468710 114,378,975 2,990,300 2,990,300 2,990,300 DITECH COMMUNICATIONS Common 25500M10 1,435,000 35,000 35,000 35,000 DOLLAR TREE STORES INC Common 25674710 2,488,509 61,350 61,350 61,350 DUKE ENERGY CORP Common 26439910 943,250 11,000 11,000 11,000 DYNEGY INC Common 26816Q10 30,483,600 534,800 534,800 534,800 E M C CORP MASS Common 26864810 786,844,338 7,937,900 7,937,900 7,937,900 ECHOSTAR COMMUNICA CNV CnvBnd P2 278762AD 662,500 500,000 500,000 500,000 EDISON INTL (SCE CORP Common 28102010 31,058,363 1,608,200 1,608,200 1,608,200 EFFICIENT NETWORKS CONV BD CnvBnd P2 282056AB 35,458,810 54,590,000 54,590,000 54,590,000 EL PASO ELECTRIC COMPANY Common 28367785 206,550 15,000 15,000 15,000 EL PASO ENER CAP TR CNVPFD CnvPfd 28367820 6,265,625 80,200 80,200 80,200 ELAN PLC Common 28413120 5,825,400 106,400 106,400 106,400 ELECTRONIC DATA SYSTEMS Common 28566110 21,986,700 529,800 529,800 529,800 EMCORE CORP Common 29084610 8,831,195 212,400 212,400 212,400 EMMIS COMMUNICA -CL A Common 29152510 1,485,000 60,000 60,000 60,000 EMMIS COMM CORP CNVPFD CnvPfd 29152520 395,000 10,000 10,000 10,000 ENERGY EAST CORPORATION Common 29266M10 10,400,713 459,700 459,700 459,700 ENERGIZER HOLDINGS INC Common 29266R10 37,949,398 1,548,955 1,548,955 1,548,955 ENRON Common 29356110 356,348,969 4,066,750 4,066,750 4,066,750 ENTERGY Common 29364G10 1,043,000 28,000 28,000 28,000 ----------- ----------- ------------ ------------- COLUMN TOTALS 1,495,015,341 115,310,015 115,310,015 115,310,015 FORM 13F PAGE 7 FILE NO. 28-46 REPORTING MANAGER : MACKAY-SHIELDS FINANCIAL 9/30/2000 - -------------------------------------------------------------------------------------------------------------------------- ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 NAME OF ISSUER TITLE CUSIP FAIR SHARES OR INVEST DSCRETN MGRS VOTING AUTHORITY OF NUMBER MARKET PRINCIPAL SHARED CLASS VALUE AMOUNT SOLE SHARED OTHER SOLE SHARED NONE (A) (B) (C) (A) (B) (C) - -------------------------------------------------------------------------------------------------------------------------- EQUUS GAMING CO LP-A UTS Common 29492910 135,754 114,319 114,319 114,319 EXE TECHNOLOGIES INC Common 30150410 8,253,000 550,200 550,200 550,200 EXTENDED SYSTEMS INC Common 30197310 537,500 10,000 10,000 10,000 EXFO ELECTRO-OPTICAL ENGIN Common 30204310 4,909,494 112,700 112,700 112,700 EXXON MOBIL CORPORATION Common 30231G10 5,482,703 61,517 61,517 61,517 FEDERATED DEPT STORES Common 31410H10 20,628,300 789,600 789,600 789,600 FISERV INC Common 33773810 5,466,588 91,300 91,300 91,300 FLEET BOSTON FINANCIAL Common 33903010 76,278,423 1,955,857 1,955,857 1,955,857 FORT JAMES CORP Common 34747110 5,351,494 175,100 175,100 175,100 FRANKLIN RESOURCES INC Common 35461310 9,745,721 219,350 219,350 219,350 FREEPORT-MC COPP SER A Cnv Pfd 35671D50 225,000 18,000 18,000 18,000 GENENTECH INC Common 36871040 262,712,532 1,414,810 1,414,810 1,414,810 GENERAL DYNAMICS Common 36955010 31,431,375 500,400 500,400 500,400 GENERAL ELEC CO Common 36960410 467,150,491 8,097,950 8,097,950 8,097,950 GENERAL SEMICONDUCTOR INC Common 37078710 4,970,063 407,800 407,800 407,800 GEORGIA-PAC(GRP) Common 37329810 580,450 24,700 24,700 24,700 GETTY IMAGES INC CONV BOND CnvBnd P2 374276AE 6,230,000 8,000,000 8,000,000 8,000,000 GILDAN ACTIVEWEAR INC-CL A Common 37591610 7,576,125 227,000 227,000 227,000 GLENBOROUGH REAL CNVPFD A CnvPfd 37803P20 1,256,250 75,000 75,000 75,000 GLOBESPAN INC Common 37957110 3,635,600 29,800 29,800 29,800 GOLDMAN SACHS GROUP INC Common 38141G10 246,817,109 2,166,250 2,166,250 2,166,250 GUIDANT CORP Common 40169810 297,877,478 4,214,005 4,214,005 4,214,005 HANOVER COMPRESSOR CO Common 41076810 10,783,738 327,400 327,400 327,400 HARLEY DAVIDSON INC Common 41282210 517,902,175 10,817,800 10,817,800 10,817,800 HARRAH'S ENTERTAINMENT INC Common 41361910 31,979,750 1,162,900 1,162,900 1,162,900 HEALTH CARE PPTYS INVEST Common 42191510 459,188 15,500 15,500 15,500 ------------ ---------- ----------- ----------- COLUMN TOTALS 2,028,376,298 41,579,258 41,579,258 41,579,258 FORM 13F PAGE 8 FILE NO. 28-46 REPORTING MANAGER : MACKAY-SHIELDS FINANCIAL 9/30/2000 - ------------------------------------------------------------------------------------------------------------------------- ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 NAME OF ISSUER TITLE CUSIP FAIR SHARES OR INVEST DSCRETN MGRS VOTING AUTHORITY OF NUMBER MARKET PRINCIPAL SHARED CLASS VALUE AMOUNT SOLE SHARED OTHER SOLE SHARED NONE (A) (B) (C) (A) (B) (C) - -------------------------------------------------------------------------------------------------------------------------- HEALTHSOUTH CORP. Common 42192410 3,493,750 430,000 430,000 430,000 HEALTH MGMT ASSOC NE CLS A Common 42193310 24,914,644 1,197,100 1,197,100 1,197,100 HEALTH MANAGEMENT CV 144A ConvBond P2 421933AA 6,531,250 9,500,000 9,500,000 9,500,000 HEALTHCARE REALTY TRUST Common 42194610 475,313 22,500 22,500 22,500 HEINZ (H.J) Common 42307410 45,368,206 1,224,100 1,224,100 1,224,100 HELIX TECHNOLOGY CORP Common 42331910 1,897,063 63,500 63,500 63,500 HEWLETT PACKARD CO Common 42823610 61,148,800 630,400 630,400 630,400 HIGHWOODS PROPERTIES INC Common 43128410 3,191,738 135,100 135,100 135,100 HOME DEPOT INC Common 43707610 244,027,646 4,598,872 4,598,872 4,598,872 HONEYWELL INTERNATIONAL Common 43851610 58,908,894 1,653,583 1,653,583 1,653,583 HOUSEHOLD INTL INC Common 44181510 267,550,294 4,724,950 4,724,950 4,724,950 IMC GLOBAL INC Common 44966910 5,877,430 405,340 405,340 405,340 IDEXX LABORATORIES INC Common 45168D10 1,698,625 63,500 63,500 63,500 ILLUMINA INC Common 45232710 3,716,213 81,900 81,900 81,900 IMMUNEX CORP Common 45252810 1,017,900 23,400 23,400 23,400 INFINITY BROADCASTING Common 45662S10 44,657,250 1,353,250 1,353,250 1,353,250 INGERSOLL-RAND Common 45686610 42,657,094 1,259,250 1,259,250 1,259,250 INHALE THERAPEUTIC SYSTEMS Common 45719110 10,158,775 180,200 180,200 180,200 INTEGRATED DEVICE TECH Common 45811810 8,154,050 90,100 90,100 90,100 INTEGRATED CIRCUIT SYSTEMS Common 45811K20 6,756,200 365,200 365,200 365,200 INTEL CORP Common 45814010 309,160,994 7,438,460 7,438,460 7,438,460 INTEGRATED TELECOM EXPRESS Common 45817U10 5,685,500 274,000 274,000 274,000 INTERLIANT CONV BOND 144A ConvBond P2 458742AB 413,750 1,000,000 1,000,000 1,000,000 INTERMEDIA COMM Common 45880110 973,500 33,000 33,000 33,000 IBM Common 45920010 20,598,750 183,100 183,100 183,100 INTERNATIONAL PAPER CO Common 46014610 30,750,131 1,071,900 1,071,900 1,071,900 ------------ ---------- ---------- ------------ COLUMN TOTALS 1,209,783,757 38,002,705 38,002,705 38,002,705 FORM 13F PAGE 9 FILE NO. 28-46 REPORTING MANAGER : MACKAY-SHIELDS FINANCIAL 9/30/2000 - -------------------------------------------------------------------------------------------------------------------------- ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 NAME OF ISSUER TITLE CUSIP FAIR SHARES OR INVEST DSCRETN MGRS VOTING AUTHORITY OF NUMBER MARKET RINCIPAL SHARED CLASS VALUE AMOUNT SOLE SHARED OTHER SOLE SHARED NONE (A) (B) (C) (A) (B) (C) - --------------------------------------------------------------------------------------------------------------------------- INTERNET CAPITAL GROUP CnvBnd P2 46059CAA 23,221,073 43,960,000 43,960,000 43,960,000 INTERSIL HOLDING CORP Common 46069S10 1,496,250 30,000 30,000 30,000 INVITROGEN CORP Common 46185R10 10,142,425 142,600 142,600 142,600 INVESTORS FINAN SVCS CP Common 46191510 5,763,313 91,300 91,300 91,300 I2 TECHNOLOGIES INC Common 46575410 4,489,500 24,000 24,000 24,000 I2 TECHNOLOGIES CONV BOND CnvBnd P2 465754AF 5,802,188 2,250,000 2,250,000 2,250,000 IVAX CORP Common 46582310 108,373,700 2,355,950 2,355,950 2,355,950 IVAX CORP CONV BOND 144A CnvBnd P2 465823AB 6,430,250 4,450,000 4,450,000 4,450,000 JDS UNIPHASE CORP Common 46612J10 18,028,500 190,400 190,400 190,400 JABIL CIRCUIT INC Common 46631310 4,290,300 75,600 75,600 75,600 JAZZTEL PLC-ADR Common 47214R15 225,000 10,000 10,000 10,000 JUNIPER NETWORKS CNVBND CnvBnd P2 48203RAA 2,664,375 1,750,000 1,750,000 1,750,000 KERR-MCGEE CORP CONV BOND CnvBnd P2 492386AL 3,945,000 4,000,000 4,000,000 4,000,000 KIMBERLY-CLARK CORP Common 49436810 58,848,700 1,054,400 1,054,400 1,054,400 KING PHARMACEUTICALS INC Common 49558210 9,450,273 282,625 282,625 282,625 KOHLS CORP Common 50025510 522,617,022 9,059,450 9,059,450 9,059,450 KROGER CO Common 50104410 5,302,188 235,000 235,000 235,000 KULICKE & SOFFA IND CNV CnvBnd P2 501242AE 4,381,000 5,200,000 5,200,000 5,200,000 LCC INTERNATIONAL INC Common 50181010 4,133,950 285,100 285,100 285,100 LSI LOGIC CORP CONV CnvBnd P2 502161AD 1,744,600 880,000 880,000 880,000 LSI LOGIC CORP CONV BOND CnvBnd P2 502161AE 1,216,875 1,500,000 1,500,000 1,500,000 L-3 COMMUNICATIONS HLDGS Common 50242410 2,745,900 48,600 48,600 48,600 LAMAR ADVERTISING CNVBND CnvBnd P2 512815AF 8,010,000 8,000,000 8,000,000 8,000,000 LATTICE SEMICONDUCTOR Common 51841510 2,096,250 39,000 39,000 39,000 LATTICE SEMICONDUCTOR CnvBnd P2 518415AC 9,929,113 6,830,000 6,830,000 6,830,000 LIFEPOINT HOSPITALS INC Common 53219L10 5,967,550 168,100 168,100 168,100 ------------ ---------- ---------- ----------- COLUMN TOTALS 831,315,293 92,912,125 92,912,125 92,912,125 FORM 13F PAGE 10 FILE NO. 28-46 REPORTING MANAGER : MACKAY-SHIELDS FINANCIAL 9/30/2000 - ------------------------------------------------------------------------------------------------------------------------- ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 NAME OF ISSUER TITLE CUSIP FAIR SHARES OR INVEST DSCRETN MGRS VOTING AUTHORITY OF NUMBER MARKET PRINCIPAL SHARED CLASS VALUE AMOUNT SOLE SHARED OTHER SOLE SHARED NONE (A) (B) (C) (A) (B) (C) - -------------------------------------------------------------------------------------------------------------------------- LINCOLN NATIONAL CORP Common 53418710 45,328,938 941,900 941,900 941,900 LINENS 'N THINGS INC Common 53567910 5,326,950 208,900 208,900 208,900 LOUIS DREYFUS NAT GAS Common 54601110 5,848,650 147,600 147,600 147,600 MBNA CORP Common 55262L10 181,858,600 4,723,600 4,723,600 4,723,600 MITSUBISHI BANK CVB CnvBond P2 55262XAA 8,166,625 7,900,000 7,900,000 7,900,000 MGIC INVT CORP WIS Common 55284810 60,440,400 988,800 988,800 988,800 MRV COMMUNICATIONS INC CnvBond P2 553477AB 5,619,625 1,675,000 1,675,000 1,675,000 MACROVISION CORP Common 55590410 12,482,100 154,100 154,100 154,100 MANHATTAN ASSOCIATES INC Common 56275010 16,464,000 268,800 268,800 268,800 MANUGISTICS GROUP INC Common 56501110 10,882,063 110,900 110,900 110,900 MARSH & MCLENNAN COS Common 57174810 212,074,763 1,597,550 1,597,550 1,597,550 MATTEL INC Common 57708110 2,237,500 200,000 200,000 200,000 MAXIM PHARMACEUTICALS Common 57772M10 10,023,750 165,000 165,000 165,000 MCDATA CORPORATION Common 58003110 1,843,359 15,000 15,000 15,000 MCDONALD'S CORP Common 58013510 45,133,331 1,495,100 1,495,100 1,495,100 MCLEODUSA INC CNVPFD CnvPfd 58226620 802,500 2,000 2,000 2,000 MEDIMMUNE INC Common 58469910 105,233,813 1,362,250 1,362,250 1,362,250 MEDITRUST CORP-PAIRED Common 58501T30 47,000 16,000 16,000 16,000 MEDTRONIC INC Common 58505510 331,999,474 6,407,710 6,407,710 6,407,710 MERCATOR SOFTWARE INC Common 58758710 579,688 35,000 35,000 35,000 MERCK & CO INC Common 58933110 297,476,070 3,996,320 3,996,320 3,996,320 MERCURY INTERACTIVE CnvBond P2 589405AA 4,661,250 3,000,000 3,000,000 3,000,000 MERIX CORP Common 59004910 21,109,431 325,700 325,700 325,700 METAWAVE COM-PP Common 59140910 6,836,459 373,322 373,322 373,322 METRIS COMPANIES INC Common 59159810 9,863,150 249,700 249,700 249,700 METROMEDIA INTL GROUP CnvPfd 59169520 1,001,000 44,000 44,000 44,000 ------------ ---------- ----------- ----------- COLUMN TOTALS 1,403,340,488 36,404,252 36,404,252 36,404,252 FORM 13F PAGE 11 FILE NO. 28-46 REPORTING MANAGER : MACKAY-SHIELDS FINANCIAL 9/30/2000 - ----------------------------------------------------------------------------------------------------------------------- ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 NAME OF ISSUER TITLE CUSIP FAIR SHARES OR INVEST DSCRETN MGRS VOTING AUTHORITY OF NUMBER MARKET PRINCIPAL SHARED CLASS VALUE AMOUNT SOLE SHARED OTHER SOLE SHARED NONE (A) (B) (C) (A) (B) (C) - ----------------------------------------------------------------------------------------------------------------------- METTLER-TOLEDO INT'L Common 59268810 11,294,800 256,700 256,700 256,700 MICROSOFT CORP Common 59491810 285,980,042 4,741,638 4,741,638 4,741,638 MICROSEMI CORP Common 59513710 15,497,813 406,500 406,500 406,500 MICROTUNE INC Common 59514P10 12,678,244 236,700 236,700 236,700 MILLENIUM CHEMICALS INC Common 59990310 8,897,647 600,685 600,685 600,685 MINNESOTA MINING & MFG Common 60405910 729,000 8,000 8,000 8,000 MONSANTO 6.5% CONV PFD Conv Prfd 61166230 2,618,750 50,000 50,000 50,000 MONTANA POWER CO Common 61208510 1,201,500 36,000 36,000 36,000 MORGAN (J.P) Common 61688010 29,162,438 178,500 178,500 178,500 MORGAN STANLEY DEAN WIT Common 61744644 1,929,331 21,100 21,100 21,100 MOTOROLA INC Common 62007610 255,659,675 9,049,900 9,049,900 9,049,900 MYRIAD GENETICS INC Common 62855J10 8,922,538 103,300 103,300 103,300 NRG ENERGY INC Common 62937710 3,847,100 105,400 105,400 105,400 NABORS INDS INC Common 62956810 1,572,000 30,000 30,000 30,000 NASDAQ-100 SHARES Common 63110010 10,199,063 115,000 115,000 115,000 NATIONAL AUSTRALIA BK Conv Prfd 63252530 6,429,375 254,000 254,000 254,000 NATIONAL-OILWELL INC Common 63707110 1,562,500 50,000 50,000 50,000 NATIONWIDE HEALTH PPTYS Common 63862010 372,938 23,400 23,400 23,400 NAVISTAR INTERNATIONAL Common 63934E10 302,369 10,100 10,100 10,100 NETWORK ASSOC INC CVB CnvBnd P1 640938AB 17,174,250 44,900,000 44,900,000 44,900,000 NETSILOCON INC Common 64115X10 6,563,906 313,500 313,500 313,500 NETWORK ENGINES INC. Common 64121A10 8,731,969 213,300 213,300 213,300 NETWORK PLUS CORP Common 64122D50 87,811 10,181 10,181 10,181 NETWORK PLU CNVPFD Conv Prfd 64122D60 1,712,500 100,000 100,000 100,000 NEWFIELD FINANCIAL TR I Conv Prfd 65129120 5,600,000 80,000 80,000 80,000 NEXTEL COMMUNICATIONS Common 65332V10 60,831,100 1,301,200 1,301,200 1,301,200 ------------ ----------- ----------- ------------ COLUMN TOTALS 759,558,656 63,195,104 63,195,104 63,195,104 FORM 13F PAGE 12 FILE NO. 28-46 REPORTING MANAGER : MACKAY-SHIELDS FINANCIAL 9/30/2000 - ----------------------------------------------------------------------------------------------------------------------- ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 NAME OF ISSUER TITLE CUSIP FAIR SHARES OR INVEST DSCRETN MGRS VOTING AUTHORITY OF NUMBER MARKET PRINCIPAL SHARED CLASS VALUE AMOUNT SOLE SHARED OTHER SOLE SHARED NONE (A) (B) (C) (A) (B) (C) - ----------------------------------------------------------------------------------------------------------------------- NEXTEL PARTNERS -CL A Common 65333F10 2,379,513 81,700 81,700 81,700 NIAGARA MOHAWK HOLDINGS Common 65352010 51,233,175 3,252,900 3,252,900 3,252,900 NOKIA CORP Common 65490220 103,269,644 2,593,900 2,593,900 2,593,900 NORTEL NETWORKS CORP Common 65656810 55,839,844 937,500 937,500 937,500 NUANCE COMMUNICATIONS Common 66996710 16,306,125 134,000 134,000 134,000 NVIDIA CORP Common 67066G10 10,512,750 128,400 128,400 128,400 OFFICE DEPOT INC Common 67622010 47,100,000 6,028,800 6,028,800 6,028,800 OFFICE DEPOT INC CNV CnvBnd P2 676220AB 3,060,000 4,250,000 4,250,000 4,250,000 OMNICOM GROUP INC Common 68191910 146,163,103 2,003,950 2,003,950 2,003,950 OPEN MARKET INC Common 68370M10 157,031 25,000 25,000 25,000 OPTIMAL ROBOTICS CORP Common 68388R20 8,202,950 203,800 203,800 203,800 ORACLE CORPORATION Common 68389X10 467,572,298 5,937,426 5,937,426 5,937,426 ORTHODONTIC CNTRS Common 68750P10 6,655,838 199,800 199,800 199,800 OWENS-ILLINOIS INC CnvPfd 69076850 2,509,875 145,500 145,500 145,500 PECO ENERGY CO Common 69330410 1,271,813 21,000 21,000 21,000 PG & E CORPORATION Common 69331C10 39,948,075 1,651,600 1,651,600 1,651,600 PE CORP-PE BIOSYSTEMS Common 69332S10 108,525,575 931,550 931,550 931,550 PMC - SIERRA INC Common 69344F10 497,012 2,309 2,309 2,309 PPL CORPORATION Common 69351T10 1,043,750 25,000 25,000 25,000 PATTERSON DENTAL COMPANY Common 70341210 6,484,500 288,200 288,200 288,200 PATTERSON ENERGY INC Common 70341410 6,424,688 186,900 186,900 186,900 PAYLESS SHOESOURCE INC Common 70437910 336,000 6,000 6,000 6,000 PEOPLESOFT INC Common 71271310 2,793,750 100,000 100,000 100,000 PERKINELMER INC Common 71404610 2,191,875 21,000 21,000 21,000 TELEKOMUNIK INDONESIA Common 71568410 133,650 21,384 21,384 21,384 PHELPS DODGE Common 71726510 1,214,925 29,100 29,100 29,100 ------------ ----------- ----------- ----------- COLUMN TOTALS 1,091,827,757 29,206,719 29,206,719 29,206,719 FORM 13F PAGE 13 FILE NO. 28-46 REPORTING MANAGER : MACKAY-SHIELDS FINANCIAL 9/30/2000 - ----------------------------------------------------------------------------------------------------------------------- ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 NAME OF ISSUER TITLE CUSIP FAIR SHARES OR INVEST DSCRETN MGRS VOTING AUTHORITY OF NUMBER MARKET PRINCIPAL SHARED CLASS VALUE AMOUNT SOLE SHARED OTHER SOLE SHARED NONE (A) (B) (C) (A) (B) (C) - ------------------------------------------------------------------------------------------------------------------------ PHOTOTRONICS INC CVB CnvBnd P2 719405AA 8,707,500 9,000,000 9,000,000 9,000,000 PITNEY BOWES INC Common 72447910 40,600,906 1,029,500 1,029,500 1,029,500 PLACER DOME Common 72590610 10,194,529 1,080,215 1,080,215 1,080,215 PLEXUS CORP Common 72913210 17,166,750 243,500 243,500 243,500 POLYONE CORPORATION Common 73179P10 2,436,525 333,200 333,200 333,200 PORTAL SOFTWARE Common 73612610 1,544,000 38,600 38,600 38,600 PRIDE INTERNATIONAL INC Common 74193210 6,116,200 230,800 230,800 230,800 PROCTER & GAMBLE Common 74271810 53,713,900 801,700 801,700 801,700 PROFIT RECOVERY GROUP Common 74316810 2,300,875 233,000 233,000 233,000 PLC CAP TRUST CNVPFD CnvPfd 74367420 2,128,500 43,000 43,000 43,000 PROTEIN DESIGN LABS INC Common 74369L10 59,442,650 493,300 493,300 493,300 PROVIDIAN CORP Common 74406A10 289,480,625 2,279,375 2,279,375 2,279,375 PROVIDIAN FINANCIAL CnvBnd P2 74406AAA 7,866,250 7,000,000 7,000,000 7,000,000 PROXIM INC Common 74428410 7,729,650 173,700 173,700 173,700 PUBLIC SV ENTERPRISE Common 74457310 1,072,500 24,000 24,000 24,000 QLT, INC Common 74692710 2,835,000 40,000 40,000 40,000 QLOGIC CORP Common k 74727710 2,675,200 30,400 30,400 30,400 QUADRAMED CNV CnvBnd P2 74730WAC 173,125 500,000 500,000 500,000 QUALCOMM INC Common 74752510 285,000 4,000 4,000 4,000 QUANTA SERVICES CnvBnd P2 74762EAA 3,190,000 4,000,000 4,000,000 4,000,000 R & B FALCON CORP Common 74912E10 752,625 27,000 27,000 27,000 RPM INC OHIO Common 74968510 2,324,894 256,540 256,540 256,540 RADYSIS CORP Common 75045910 991,025 19,600 19,600 19,600 RADISYS CORP CONV BOND CnvBnd P2 750459AA 11,169,375 11,500,000 11,500,000 11,500,000 RALSTON-RALSTON PURINA Common 75127730 53,178,438 2,245,000 2,245,000 2,245,000 RATIONAL SOFTWARE CORP CnvBnd P2 75409PAC 12,450,000 6,000,000 6,000,000 6,000,000 ------------ ----------- ----------- ----------- COLUMN TOTALS 600,526,042 47,626,430 47,626,430 47,626,430 FORM 13F PAGE 14 FILE NO. 28-46 REPORTING MANAGER : MACKAY-SHIELDS FINANCIAL 9/30/2000 - ------------------------------------------------------------------------------------------------------------------------ ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 NAME OF ISSUER TITLE CUSIP FAIR SHARES OR INVEST DSCRETN MGRS VOTING AUTHORITY OF NUMBER MARKET PRINCIPAL SHARED CLASS VALUE AMOUNT SOLE SHARED OTHER SOLE SHARED NONE (A) (B) (C) (A) (B) (C) - ------------------------------------------------------------------------------------------------------------------------ RAYTHEON CO - CLASS B Common 75511140 38,023,781 1,337,100 1,337,100 1,337,100 READ-RITE CORP Common 75524610 1,125,000 100,000 100,000 100,000 REHABCARE GROUP INC Common 75914810 6,183,750 145,500 145,500 145,500 REMEC INC Common 75954310 5,281,088 179,400 179,400 179,400 ROGERS COMM CVB SDCV CnvBnd P2 775109AE 1,648,250 1,900,000 1,900,000 1,900,000 RURAL CELLULAR -CL A Common 78190410 4,557,563 66,900 66,900 66,900 SBC COMMUNICATIONS SW Common 78387G10 86,432,500 1,728,650 1,728,650 1,728,650 SCI SYSTEMS INC CnvBnd P2 783890AF 10,012,500 10,000,000 10,000,000 10,000,000 SCM MICROSYSTEMS Common 78401810 3,934,119 103,700 103,700 103,700 SEI CORPORATION Common 78411710 2,094,200 29,600 29,600 29,600 S & P 500 DEPOSITORY Common 78462F10 13,644,375 95,000 95,000 95,000 S3 INCORPORATED Common 78484910 4,202,344 407,500 407,500 407,500 S3 INCORPORATED CnvBnd P2 784849AC 7,245,631 7,865,000 7,865,000 7,865,000 SAFEGUARD SCIENTIFIC CnvBnd P2 786449AE 499,375 500,000 500,000 500,000 SAFEWAY INC Common 78651420 2,334,375 50,000 50,000 50,000 ST PAUL COS INC Common 79286010 2,465,625 50,000 50,000 50,000 SANDISK CORP Common 80004C10 4,752,600 71,200 71,200 71,200 SANMINA CORP Common 80090710 2,621,500 28,000 28,000 28,000 SANMINA CORP CONV CnvBnd P2 800907AB 3,215,375 1,450,000 1,450,000 1,450,000 SANMINA CORP CVBD 144A CnvBnd P2 800907AC 1,491,875 3,500,000 3,500,000 3,500,000 SAWTEK INC Common 80546810 6,840,376 177,600 177,600 177,600 SCHERING-PLOUGH Common 80660510 242,470,809 5,214,426 5,214,426 5,214,426 SEAGRAM CO LTD CNVPFD CnvPfd 81185020 2,710,500 52,000 52,000 52,000 SEARS ROEBUCK & CO Common 81238710 28,873,900 890,620 890,620 890,620 SEMTECH CORP CONV BOND CnvBnd P2 816850AD 298,125 250,000 250,000 250,000 SIEBEL SYSTEMS CNV CnvBnd P2 826170AC 9,389,588 1,935,000 1,935,000 1,935,000 ----------- ---------- ----------- ------------ COLUMN TOTALS 492,349,123 38,127,196 38,127,196 38,127,196 FORM 13F PAGE 15 FILE NO. 28-46 REPORTING MANAGER : MACKAY-SHIELDS FINANCIAL 9/30/2000 - ------------------------------------------------------------------------------------------------------------------------ ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 NAME OF ISSUER TITLE CUSIP FAIR SHARES OR INVEST DSCRETN MGRS VOTING AUTHORITY OF NUMBER MARKET PRINCIPAL SHARED CLASS VALUE AMOUNT SOLE SHARED OTHER SOLE SHARED NONE (A) (B) (C) (A) (B) (C) - ------------------------------------------------------------------------------------------------------------------------ SIMON PROPERTY GROUP Common 82880610 3,262,500 139,200 139,200 139,200 SIRIUS SATELLITE Common 82966U10 6,360,863 120,300 120,300 120,300 SMITH INTL INC Common 83211010 4,078,125 50,000 50,000 50,000 SOLECTRON COR CNV CnvBnd P2 834182AK 2,025,000 3,000,000 3,000,000 3,000,000 SOLUTIA INC Common 83437610 1,369,550 120,400 120,400 120,400 SONICWALL INC Common 83547010 6,743,100 236,600 236,600 236,600 SOVEREIGN CAP TRUST II CnvPfd 84590530 4,350,000 80,000 80,000 80,000 SPEECHWORKS INT'L Common 84764M10 7,024,600 113,300 113,300 113,300 SPRINT CORP Common 85206110 527,625 18,000 18,000 18,000 STAPLES INC Common 85503010 79,814,590 5,625,698 5,625,698 5,625,698 STRATOS LIGHTWAVE INC Common 86310010 6,469,350 200,600 200,600 200,600 SUN MICROSYSTEMS INC Common 86681010 726,850,475 6,225,700 6,225,700 6,225,700 SUNOCO INC Common 86764P10 42,685,163 1,584,600 1,584,600 1,584,600 SYMBOL TECHNOLOGIES Common 87150810 2,485,078 69,150 69,150 69,150 TJX COMPANIES INC Common 87254010 15,860,250 704,900 704,900 704,900 TECHNE CORP Common 87837710 12,667,200 113,100 113,100 113,100 TEKELEC Common 87910110 1,084,875 33,000 33,000 33,000 TEKELEC INC CONV BOND CnvBnd P2 879101AC 823,438 425,000 425,000 425,000 TELEFONOS DE MEXICO Common 87940378 1,063,750 20,000 20,000 20,000 TELLABS INC Common 87966410 224,029,869 4,691,725 4,691,725 4,691,725 TEMPLE INLAND INC Common 87986810 25,427,381 671,350 671,350 671,350 TENET HEALTHCARE CORP Common 88033G10 47,356,613 1,301,900 1,301,900 1,301,900 TERAYON COMMUNICATION Common 88077510 3,220,669 94,900 94,900 94,900 TERAYON COMMUNICATION CnvBnd P2 880775AA 3,343,750 5,000,000 5,000,000 5,000,000 TERRA NETWORKS Common 88100W10 253,575 6,900 6,900 6,900 TETRA TECH INC Common 88162G10 2,804,438 98,186 98,186 98,186 ----------- ------------- ----------- ----------- COLUMN TOTALS 1,231,981,825 30,744,509 30,744,509 30,744,509 FORM 13F PAGE 16 FILE NO. 28-46 REPORTING MANAGER : MACKAY-SHIELDS FINANCIAL 9/30/2000 - ------------------------------------------------------------------------------------------------------------------------ ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 NAME OF ISSUER TITLE CUSIP FAIR SHARES OR INVEST DSCRETN MGRS VOTING AUTHORITY OF NUMBER MARKET PRINCIPAL SHARED CLASS VALUE AMOUNT SOLE SHARED OTHER SOLE SHARED NONE (A) (B) (C) (A) (B) (C) - ------------------------------------------------------------------------------------------------------------------------ TEXACO INC Common 88169410 63,212,625 1,204,050 1,204,050 1,204,050 TEXAS INSTRS INC Common 88250810 285,257,875 6,045,200 6,045,200 6,045,200 THERMO INS SYS CONV CovBnd 883556AH 5,940,000 6,750,000 6,750,000 6,750,000 THERMO FIBERTEK INC CnvBnd P2 88355WAA 2,864,500 3,400,000 3,400,000 3,400,000 TIBCO SOFTWARE INC Common 88632Q10 1,764,744 20,900 20,900 20,900 TIDEWATER INC Common 88642310 2,275,000 50,000 50,000 50,000 TIME WARNER INC Common 88731510 243,956,113 3,117,650 3,117,650 3,117,650 TOSCO CORP Common 89149030 68,465,919 2,195,300 2,195,300 2,195,300 TOWER AUTOMOTIVE CnvBnd P2 891707AE 1,600,000 2,000,000 2,000,000 2,000,000 TRIARC COMPANIES CnvBnd P2 895927AB 15,457,572 50,105,000 50,105,000 50,105,000 TRIKON TECHNOLOGIES Common 89618740 1,553,750 110,000 110,000 110,000 TURNSTONE SYSTEMS Common 90042310 4,600,400 99,200 99,200 99,200 TUT SYSTEMS INC Common 90110310 11,289,675 130,800 130,800 130,800 TYCO INTL LTD Common 90212410 525,245,580 10,125,216 10,125,216 10,125,216 USA NETWORKS INC Common 90298410 62,952,398 2,869,625 2,869,625 2,869,625 USX-US STEEL GROUP Common 90337T10 9,254,503 609,350 609,350 609,350 UNISYS CORP Common 90921410 33,112,271 2,943,313 2,943,313 2,943,313 UNITEDGLOBALCOM INC CnvPfd 91324780 3,432,000 104,000 104,000 104,000 UNIVERSAL COMPRESSION Common 91343110 5,763,656 186,300 186,300 186,300 UNIVISION COMMUNICA Common 91490610 17,641,000 472,000 472,000 472,000 UNOCAL CORP Common 91528910 47,253,248 1,333,425 1,333,425 1,333,425 USINTERNETWORKING CnvBnd P2 917311AH 2,218,125 3,500,000 3,500,000 3,500,000 VALERO ENERGY CORP Common 91913Y10 33,147,505 942,025 942,025 942,025 VERITY INC Common 92343C10 5,824,200 163,200 163,200 163,200 VERISIGN INC Common 92343E10 1,012,813 5,000 5,000 5,000 VERIZON COMMUNICA Common 92343V10 71,074,766 1,467,350 1,467,350 1,467,350 ------------ ----------- ----------- ----------- COLUMN TOTALS 1,526,170,237 99,948,904 99,948,904 99,948,904 FORM 13F PAGE 17 FILE NO. 28-46 REPORTING MANAGER : MACKAY-SHIELDS FINANCIAL 9/30/2000 - ---------------------------------------------------------------------------------------------------------------------- ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 NAME OF ISSUER TITLE CUSIP FAIR SHARES OR INVESTT DSCRETN MGRS VOTING AUTHORITY OF NUMBER MARKET PRINCIPAL SHARED CLASS VALUE AMOUNT SOLE SHARED OTHER SOLE SHARED NONE (A) (B) (C) (A) (B) (C) - ----------------------------------------------------------------------------------------------------------------------- VIACOM INC-CL B Common 92552430 341,953,385 5,845,357 5,845,357 5,845,357 VITESSE SEMICONDUCT Common 92849710 8,351,231 93,900 93,900 93,900 VITRIA TECHNOLOGY Common 92849Q10 1,865,000 40,000 40,000 40,000 WHX CORP CNVPFD B CnvPfd 92924830 1,234,406 188,100 188,100 188,100 WASHINGTON MUTUAL Common 93932210 87,718,881 2,203,300 2,203,300 2,203,300 WASTE CONNECTIONS INC Common 94105310 7,272,375 283,800 283,800 283,800 WASTE MANAGEMENT INC Common 94106L10 3,365,438 193,000 193,000 193,000 WASTE MANAGEMENT CnvBnd P2 94106LAA 4,675,000 5,000,000 5,000,000 5,000,000 WATERS CORPORATION Common 94184810 10,074,800 113,200 113,200 113,200 WATSON PHARMACEUT Common 94268310 778,500 12,000 12,000 12,000 WEBMETHODS INC Common 94768C10 8,380,985 72,799 72,799 72,799 WENDYS INTL INC Common 95059010 4,815,000 240,000 240,000 240,000 WESTERN RESOURCES INC Common 95942510 1,081,250 50,000 50,000 50,000 WILLIAMS-SONOMA INC Common 96990410 7,711,025 221,900 221,900 221,900 WORLDCOM INC Common 98157D10 196,434,457 6,466,978 6,466,978 6,466,978 XILINX INC Common 98391910 1,113,125 13,000 13,000 13,000 XICOR INC Common 98490310 1,031,250 125,000 125,000 125,000 ZORAN CORP Common 98975F10 5,957,250 122,200 122,200 122,200 CHINA.COM CORP -CL A Common G2108N10 665,625 50,000 50,000 50,000 GLOBAL CROSSING HLDG CnvPfd G3921A12 439,375 5,000 5,000 5,000 LORAL SPACE & COMM CnvPfd G5646214 331,800 15,800 15,800 15,800 TYCOM LTD Common G9144B10 9,593,750 250,000 250,000 250,000 BREEZECOM LIMITED Common M2038510 6,340,469 192,500 192,500 192,500 CERAGON NETWORKS LTD Common M2201310 7,076,188 263,300 263,300 263,300 PRECISE SOFTWARE Common M4145010 10,643,250 246,800 246,800 246,800 GILAT SATELLITE NET Common M5147410 8,971,313 116,700 116,700 116,700 ------------ ---------- ----------- ----------- COLUMN TOTALS 737,875,126 22,424,634 22,424,634 22,424,634 FORM 13F PAGE 18 FILE NO. 28-46 REPORTING MANAGER : MACKAY-SHIELDS FINANCIAL 9/30/2000 - ----------------------------------------------------------------------------------------------------------------------- ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 NAME OF ISSUER TITLE CUSIP FAIR SHARES OR INVEST DSCRETN MGRS VOTING AUTHORITY OF NUMBER MARKET PRINCIPAL SHARED CLASS VALUE AMOUNT SOLE SHARED OTHER SOLE SHARED NONE (A) (B) (C) (A) (B) (C) - ----------------------------------------------------------------------------------------------------------------------- M-SYSTEMS FLSH DISK Common M7061C10 9,245,194 242,100 242,100 242,100 RADWARE LTD Common M8187310 8,214,000 273,800 273,800 273,800 TTI TEAM TELECOM Common M8825810 5,456,425 267,800 267,800 267,800 ASE TEST LIMITED Common Y0251610 840,000 40,000 40,000 40,000 FLEXTRONICS INTL LTD Common Y2573F10 6,939,563 84,500 84,500 84,500 ----------- -------- --------- --------- COLUMN TOTALS 30,695,181 908,200 908,200 908,200 ----------- -------- --------- --------- REPORT TOTALS 20,172,886,549 956,303,959 956,303,959 956,303,959 =============== ============ =============== ===========
-----END PRIVACY-ENHANCED MESSAGE-----