-----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, Ij4x5pAfU4/eHk8Phe7PPJevtYz20BGC6njptUgEscXLpwKOyNc1jv8LrDSbowAe L2qC7snI+GvQV6I+AHuF3w== 0000061227-02-000021.txt : 20020517 0000061227-02-000021.hdr.sgml : 20020517 20020517145730 ACCESSION NUMBER: 0000061227-02-000021 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20011231 FILED AS OF DATE: 20020517 FILER: COMPANY DATA: COMPANY CONFORMED NAME: MACKAY SHIELDS LLC CENTRAL INDEX KEY: 0000061227 IRS NUMBER: 132631681 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-00046 FILM NUMBER: 02656112 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 FORMER COMPANY: FORMER CONFORMED NAME: MACKAY SHIELDS FINANCIAL CORP DATE OF NAME CHANGE: 19920929 13F-HR/A 1 f13.txt
05-17-2002 FORM 13F PAGE 1 FILE NO. 28-46 REPORTING MANAGER : MACKAY-SHIELDS FINANCIAL 12/31/01 - ------------------------------------------------------------------------------------------------------------------------- ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7* ITEM 8 NAME OF ISSUER TITLE CUSIP FAIR SHARES OR INVESTMENT DISCRETION MANA- VOTING AUTH OF NUMBER MARKET PRINCIPAL SHARED GERS CLASS VALUE AMOUNT SOLE SHARED OTHER SOLE SHARED NONE (A)(B)(C) (A) (B) (C) - -------------------------------------------------------------------------------------------------------------------------- AFLAC INC Common Stock 00105510 1,976,392 81,400 81,400 81,400 AGCO CP Common Stock 00108410 2,511,908 159,183 159,183 159,183 AES CORP Common Stock 00130H10 717,765 43,900 43,900 43,900 AMN HEALTH CARE SERVICES Common Stock 00174410 685,000 25,000 25,000 25,000 AOL TIME WARNER Common Stock 00184A10 226,174,995 7,045,950 7,045,950 7,045,950 AT&T CORP Common Stock 00195710 18,068,782 996,074 996,074 996,074 AT & T WIRELESS SERVICES INC Common Stock 00209A10 1,233,765 85,857 85,857 85,857 ABBOTT LABS Common Stock 00282410 139,229,493 2,497,390 2,497,390 2,497,390 ABERCROMBIE & FITCH CO CLS A Common Stock 00289620 8,301,051 312,893 312,893 312,893 ABITIBI-CONSOLIDATED INC Common Stock 00392410 9,023,620 1,232,735 1,232,735 1,232,735 ACTIVISION INC Common Stock 00493020 2,529,473 97,250 97,250 97,250 ADAPTEC INC CNV Conv Bond P2 00651FAC 3,570,660 3,824,000 3,824,000 3,824,000 ALARIS MEDICAL INC CONV BND Conv Bond P2 00754CAA 53,488 55,000 55,000 55,000 ADVISORY BOARD CO Common Stock 00762W10 1,246,500 45,000 45,000 45,000 AEROFLEX INC Common Stock 00776810 10,480,878 553,665 553,665 553,665 ADVANCED MICRO DEVICES Common Stock 00790310 29,065,433 1,832,625 1,832,625 1,832,625 ADVANCEPCS Common Stock 00790K10 4,410,366 150,268 150,268 150,268 ADVENT SOFTWARE Common Stock 00797410 12,974,762 259,755 259,755 259,755 AETHER SYSTEMS INC CV BD Conv Bond P2 00808VAA 5,117,000 8,600,000 8,600,000 8,600,000 AFFILIATED COMPUTER SVSC Common Stock 00819010 4,706,866 44,350 44,350 44,350 AFFILIATED MANAGERS GROUP Common Stock 00825210 14,380,105 204,031 204,031 204,031 AFFYMETRIX INC Conv Bond P2 00826TAB 12,228,060 13,364,000 13,364,000 13,364,000 AFFYMETRIX INC CV BD Conv Bond P2 00826TAD 4,334,063 5,750,000 5,750,000 5,750,000 AGILENT TECHNOLOGIES INC CONV Conv Bond P2 00846UAA 19,578,125 17,500,000 17,500,000 17,500,000 AGILE SOFTWARE CORP Common Stock 00846X10 5,057,790 293,716 293,716 293,716 AGNICO EAGLE MINES CNV Conv Bond P2 008474AA 13,851,829 15,257,000 15,257,000 15,257,000 ------------ ----------- ----------- --------- COLUMN TOTALS 551,508,167 80,311,042 80,311,042 80,311,042 * ITEM 7: MANAGERS - 1 PAGE 3 OF 05-17-2002 FORM 13F PAGE 2 FILE NO. 28-46 REPORTING MANAGER : MACKAY-SHIELDS FINANCIAL 12/31/01 - ------------------------------------------------------------------------------------------------------------------------- ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7* ITEM 8 NAME OF ISSUER TITLE CUSIP FAIR SHARES OR INVESTMENT DISCRETION MANA- VOTING AUTH OF NUMBER MARKET PRINCIPAL SHARED GERS CLASS VALUE AMOUNT SOLE SHARED OTHER SOLE SHARED NONE (A)(B)(C) (A) (B) (C) - -------------------------------------------------------------------------------------------------------------------------- AIR PRODUCTS & CHEMICALS Common Stock 00915810 20,233,174 431,319 431,319 431,319 AKAMAI TECHNOLOGIES INC Conv Bond P2 00971TAC 150,594 305,000 305,000 305,000 ALBERTSON'S Common Stock 01310410 1,793,072 56,941 56,941 56,941 ALCOA INC Common Stock 01381710 55,838,598 1,570,706 1,570,706 1,570,706 ALLEGHENY ENERGY INC Common Stock 01736110 3,572,741 98,640 98,640 98,640 ALLERGAN INC Common Stock 01849010 156,524,655 2,085,605 2,085,605 2,085,605 ALLERGAN LYONS CNV BND REG Conv Bond P2 018490AA 4,752,563 7,650,000 7,650,000 7,650,000 ALLSTATE CORP Common Stock 02000210 51,576,266 1,530,453 1,530,453 1,530,453 ALLTEL CORP Common Stock 02003910 56,188,128 910,224 910,224 910,224 AMERICAN INTL GROUP INC Common Stock 02687410 194,312,365 2,447,259 2,447,259 2,447,259 AMERICAN STANDARD COMPANIES Common Stock 02971210 124,508,492 1,824,835 1,824,835 1,824,835 AMERISOURCEBERGEN CORP Common Stock 03073E10 2,748,538 43,250 43,250 43,250 AMGEN Common Stock 03116210 259,500,679 4,597,815 4,597,815 4,597,815 AMPHENOL CORP -CL A Common Stock 03209510 10,237,821 213,066 213,066 213,066 AMSOUTH BANCORPORATION Common Stock 03216510 400,680 21,200 21,200 21,200 ANALOG DEVICES Common Stock 03265410 146,763,994 3,306,240 3,306,240 3,306,240 ANALOG DEVICES INC CONV BND RE Conv Bond P2 032654AD 9,512,500 10,000,000 10,000,000 10,000,000 ANDRX CORP Common Stock 03455310 12,082,356 171,600 171,600 171,600 ANNTAYLOR STORES CORP Common Stock 03611510 5,638,500 161,100 161,100 161,100 ANTHEM INC Common Stock 03674B10 2,163,150 43,700 43,700 43,700 ANTHEM INC 6% PFD Conv Prfd Stock03674B20 8,960,000 140,000 140,000 140,000 AON CORP Common Stock 03738910 1,570,979 44,228 44,228 44,228 APRIA HEALTHCARE GROUP I Common Stock 03793310 27,331,313 1,093,690 1,093,690 1,093,690 APPLIED FILMS CORP Common Stock 03819710 7,775,000 248,800 248,800 248,800 APPLIED MATLS INC Common Stock 03822210 465,160 11,600 11,600 11,600 ARCH CHEMICALS INC Common Stock 03937R10 1,955,342 84,282 84,282 84,282 -------------- ---------- ---------- ------- COLUMN TOTALS 1,166,556,658 39,091,553 39,091,553 39,091,553 * ITEM 7: MANAGERS - 1 PAGE 4 OF 05-17-2002 FORM 13F PAGE 3 FILE NO. 28-46 REPORTING MANAGER : MACKAY-SHIELDS FINANCIAL 12/31/01 - ------------------------------------------------------------------------------------------------------------------------- ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7* ITEM 8 NAME OF ISSUER TITLE CUSIP FAIR SHARES OR INVESTMENT DISCRETION MANA- VOTING AUTH OF NUMBER MARKET PRINCIPAL SHARED GERS CLASS VALUE AMOUNT SOLE SHARED OTHER SOLE SHARED NONE (A)(B)(C) (A) (B) (C) - -------------------------------------------------------------------------------------------------------------------------- ARMOR HOLDINGS INC Common Stock 04226010 6,769,092 250,800 250,800 250,800 ASTORIA FINANCIAL CORP Common Stock 04626510 1,270,080 48,000 48,000 48,000 @TRACK COMMUNICATIONS INC(LOCK Common Stock 04648Y20 16,873,553 11,249,035 11,249,035 11,249,035 ATMEL CORP Common Stock 04951310 1,769,328 223,400 223,400 223,400 AUTOZONE INC Common Stock 05333210 807,750 11,250 11,250 11,250 AVENTIS SPON ADR Common Stock 05356110 762,300 11,000 11,000 11,000 AVOCENT CORPORATION Common Stock 05389310 11,310,758 466,423 466,423 466,423 BB&T CORPORATION Common Stock 05493710 2,748,693 76,120 76,120 76,120 THE BISYS GROUP INC Common Stock 05547210 15,522,502 242,577 242,577 242,577 BJ'S WHOLESALE CLUB INC Common Stock 05548J10 2,180,745 49,450 49,450 49,450 BANK OF AMERICA CORP Common Stock 06050510 149,802,745 2,379,710 2,379,710 2,379,710 BANK NEW YORK INC Common Stock 06405710 9,955,200 244,000 244,000 244,000 BANKUNITED FINANCIAL CORP A Common Stock 06652B10 2,552,463 171,883 171,883 171,883 BARNES AND NOBLES CNV BND REG Conv Bond P2 067774AD 6,540,750 5,700,000 5,700,000 5,700,000 BAUSCH & LOMB INC Common Stock 07170710 5,421,948 143,971 143,971 143,971 BAXTER INTERNATIONAL Common Stock 07181310 318,160,511 5,932,510 5,932,510 5,932,510 BEAS SYSTEMS CONV REG Conv Bond P2 073325AD 7,225,000 8,500,000 8,500,000 8,500,000 BECKMAN COULTER INC Common Stock 07581110 894,860 20,200 20,200 20,200 BECTON DICKINSON Common Stock 07588710 13,075,089 394,422 394,422 394,422 BED BATH & BEYOND INC Common Stock 07589610 263,042,813 7,759,375 7,759,375 7,759,375 BELLSOUTH Common Stock 07986010 12,673,850 332,211 332,211 332,211 BERKLEY (WR) GROUP Common Stock 08442310 2,703,795 50,350 50,350 50,350 BEST BUY COMPANY INC Common Stock 08651610 103,282,757 1,386,718 1,386,718 1,386,718 BEVERLY ENTERPRISES Common Stock 08785130 4,386,000 510,000 510,000 510,000 BIOMET INC Common Stock 09061310 4,366,170 141,300 141,300 141,300 BLACKROCK INC Common Stock 09247X10 3,910,918 93,787 93,787 93,787 -------------- ---------- ----------- -------- COLUMN TOTALS 968,009,668 46,388,492 46,388,492 46,388,492 * ITEM 7: MANAGERS - 1 PAGE 5 OF 05-17-2002 FORM 13F PAGE 4 FILE NO. 28-46 REPORTING MANAGER : MACKAY-SHIELDS FINANCIAL 12/31/01 - ------------------------------------------------------------------------------------------------------------------------- ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7* ITEM 8 NAME OF ISSUER TITLE CUSIP FAIR SHARES OR INVESTMENT DISCRETION MANA- VOTING AUTH OF NUMBER MARKET PRINCIPAL SHARED GERS CLASS VALUE AMOUNT SOLE SHARED OTHER SOLE SHARED NONE (A)(B)(C) (A) (B) (C) - -------------------------------------------------------------------------------------------------------------------------- BOISE CASCADE PFD Conv Prfd Stock09738385 9,801,000 180,000 180,000 180,000 BOOKHAM TECHNOLOGY - SPON ADR Common Stock 09856Q10 629,650 257,000 257,000 257,000 BOSTON COMMUNICATIONS GROUP Common Stock 10058210 4,187,446 368,938 368,938 368,938 BOSTON SCIENTIFIC CORP Common Stock 10113710 5,181,603 214,826 214,826 214,826 BRINKER INTERNATIONAL CONV BD Conv Bond P2 109641AA 5,418,750 8,500,000 8,500,000 8,500,000 BRISTOL-MYERS SQUIBB Common Stock 11012210 2,225,385 43,635 43,635 43,635 BROOKS AUTOMAT CNV BND Conv Bond P2 11434AAB 15,400,125 16,900,000 16,900,000 16,900,000 BRUKER DALTONICS INC Common Stock 11679510 2,089,530 127,800 127,800 127,800 BURLINGTON NORTHERN SANTA FE Common Stock 12189T10 47,598,539 1,668,368 1,668,368 1,668,368 BURLINGTON RES INC Common Stock 12201410 1,922,048 51,200 51,200 51,200 C.H. ROBINSON WORLDWIDE INC Common Stock 12541W10 5,555,844 192,144 192,144 192,144 CIGNA CORP Common Stock 12550910 44,495,163 480,250 480,250 480,250 CNA SURETY CORPORATION Common Stock 12612L10 390,600 25,200 25,200 25,200 CSX CORP Common Stock 12640810 1,120,233 31,961 31,961 31,961 CVS CORPORATION Common Stock 12665010 7,633,840 257,900 257,900 257,900 CABOT MICROELECTRONICS CORP Common Stock 12709P10 6,828,576 86,165 86,165 86,165 CACI INTERTNATIONAL INC CLA Common Stock 12719030 3,882,797 98,336 98,336 98,336 CADENCE DESIGN SYS INC Common Stock 12738710 2,290,640 104,500 104,500 104,500 CALLAWAY GOLF CO Common Stock 13119310 2,005,790 104,741 104,741 104,741 CANADIAN NATL RAILWAY CNVPFD Conv Prfd Stock13637540 7,525,950 114,900 114,900 114,900 CANON INC - SP ADR Common Stock 13800630 1,255,194 35,914 35,914 35,914 MERISTAR HOSPITALITY COR CNV Conv Bond P2 140918AC 13,767,249 15,201,000 15,201,000 15,201,000 CARDINAL HEALTH INC Common Stock 14149Y10 163,459,187 2,527,980 2,527,980 2,527,980 CAREMARK RX INC Common Stock 14170510 1,768,004 108,400 108,400 108,400 CELESTICA INC CNV BND Conv Bond P2 15101QAA 6,945,750 16,200,000 16,200,000 16,200,000 CELGENE CORP Common Stock 15102010 3,983,616 124,800 124,800 124,800 ------------ ---------- ---------- -------- COLUMN TOTALS 367,362,509 64,005,958 64,005,958 64,005,958 * ITEM 7: MANAGERS - 1 PAGE 6 OF 05-17-2002 FORM 13F PAGE 5 FILE NO. 28-46 REPORTING MANAGER : MACKAY-SHIELDS FINANCIAL 12/31/01 - ------------------------------------------------------------------------------------------------------------------------- ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7* ITEM 8 NAME OF ISSUER TITLE CUSIP FAIR SHARES OR INVESTMENT DISCRETION MANA- VOTING AUTH OF NUMBER MARKET PRINCIPAL SHARED GERS CLASS VALUE AMOUNT SOLE SHARED OTHER SOLE SHARED NONE (A)(B)(C) (A) (B) (C) - -------------------------------------------------------------------------------------------------------------------------- CENDANT CORPORATION Common Stock 15131310 194,915,752 9,939,610 9,939,610 9,939,610 CENTURYTEL INC Common Stock 15670010 9,316,742 284,047 284,047 284,047 CEPHALON INC Common Stock 15670810 1,579,727 20,900 20,900 20,900 CEPHALON INC CONV BND 144A Conv Bond P2 156708AD 10,937,500 10,000,000 10,000,000 10,000,000 CERTICOM CORP Common Stock 15691510 31,659 15,000 15,000 15,000 CHARLES RIVER LABORATORIES Common Stock 15986410 6,131,661 183,144 183,144 183,144 CHARTER COMMUNICATIONS INC-A Common Stock 16117M10 7,992,949 486,485 486,485 486,485 CHARTER COMM INC CONV BND Conv Bond P2 16117MAC 11,147,750 12,200,000 12,200,000 12,200,000 THE CHEESECAKE FACTORY Common Stock 16307210 6,891,032 198,189 198,189 198,189 CHEVRON TEXACO CORP Common Stock 16676410 88,771,430 990,642 990,642 990,642 CHICO'S FAS INC. Common Stock 16861510 202,470 5,100 5,100 5,100 CHUBB CORP Common Stock 17123210 51,234,225 742,525 742,525 742,525 CIENA CORP CONV BOND Conv Bond P2 171779AA 49,105,530 75,465,000 75,465,000 75,465,000 CIRRUS LOGIC INC Common Stock 17275510 1,336,542 101,100 101,100 101,100 CISCO SYS INC Common Stock 17275R10 231,664,496 12,792,076 12,792,076 12,792,076 CITIGROUP INC Common Stock 17296710 511,343,268 10,129,621 10,129,621 10,129,621 CITIZENS COMMUNICATIONS CO Common Stock 17453B10 618,280 58,000 58,000 58,000 CLEAR CHANNEL COMMUNICATIONS Common Stock 18450210 136,347,824 2,678,213 2,678,213 2,678,213 CLOROX Common Stock 18905410 17,319,261 437,908 437,908 437,908 COACH INC Common Stock 18975410 6,618,375 169,789 169,789 169,789 COLGATE PALMOLIVE CO Common Stock 19416210 215,953,238 3,739,450 3,739,450 3,739,450 COMERICA INC Common Stock 20034010 1,112,823 19,421 19,421 19,421 COMMUNITY HEALTH SYSTEMS CONV Conv Bond P2 203668AA 5,000,000 5,000,000 5,000,000 5,000,000 COMPUTER NETWORK TECH CORP Common Stock 20492510 4,664,538 262,200 262,200 262,200 COMPUTER SCIENCES CORP Common Stock 20536310 36,638,216 748,024 748,024 748,024 COMVERSE TECHNOLOGY CNB Conv Bond P2 205862AJ 50,224,078 64,909,000 64,909,000 64,909,000 ---------- ------------- ---------- -------------- COLUMN TOTALS 1,657,099,365 211,575,444 211,575,444 211,575,444 * ITEM 7: MANAGERS - 1 PAGE 7 OF 05-17-2002 FORM 13F PAGE 6 FILE NO. 28-46 REPORTING MANAGER : MACKAY-SHIELDS FINANCIAL 12/31/01 - ------------------------------------------------------------------------------------------------------------------------- ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7* ITEM 8 NAME OF ISSUER TITLE CUSIP FAIR SHARES OR INVESTMENT DISCRETION MANA- VOTING AUTH OF NUMBER MARKET PRINCIPAL SHARED GERS CLASS VALUE AMOUNT SOLE SHARED OTHER SOLE SHARED NONE (A)(B)(C) (A) (B) (C) - -------------------------------------------------------------------------------------------------------------------------- CONCORD EFS INC Common Stock 20619710 1,140,744 34,800 34,800 34,800 CONCURRENT COMPUTER CORP Common Stock 20671020 4,743,090 319,400 319,400 319,400 COOPER CAMERON CORP Conv Bond P2 216640AB 4,846,875 5,500,000 5,500,000 5,500,000 CORINTHIAN COLLEGES INC Common Stock 21886810 6,763,329 165,403 165,403 165,403 CORNING Common Stock 21935010 507,548 56,900 56,900 56,900 CORPORATE EXECUTIVE BOARD CO Common Stock 21988R10 6,686,263 182,187 182,187 182,187 COSTCO WHOLESALE CORP Common Stock 22160K10 40,881,525 921,170 921,170 921,170 CROMPTON CORPORATION Common Stock 22711610 1,032,300 114,700 114,700 114,700 CROSS COUNTRY INC Common Stock 22748P10 1,484,000 56,000 56,000 56,000 CUBIST PHARMACEUTICALS INC Common Stock 22967810 1,172,296 32,600 32,600 32,600 CUMMINS, INC Common Stock 23102110 1,696,724 44,025 44,025 44,025 CURAGEN CORP CONV BND Conv Bond P2 23126RAC 22,369,111 28,168,000 28,168,000 28,168,000 CYMER INC Common Stock 23257210 5,984,847 223,900 223,900 223,900 CYPRESS SEMICONDUCTOR CNV Conv Bond P2 232806AE 15,841,200 18,420,000 18,420,000 18,420,000 D & K HEALTHCARE RESOURCES Common Stock 23286110 6,107,204 107,238 107,238 107,238 DRS TECHNOLOGIES INC Common Stock 23330X10 6,260,140 175,600 175,600 175,600 D.R. HORTON INC Common Stock 23331A10 490,146 15,100 15,100 15,100 DTE ENERGY COMPANY Common Stock 23333110 7,890,130 188,129 188,129 188,129 DANAHER CORP Common Stock 23585110 1,185,092 19,650 19,650 19,650 DELPHI AUTOMOTIVE SYSTEMS Common Stock 24712610 228,040 16,694 16,694 16,694 DELTA AIR LINES Common Stock 24736110 479,776 16,397 16,397 16,397 DEVELOPERS DIVERS REALTY CORP Common Stock 25159110 2,436,988 127,591 127,591 127,591 DEVON ENERGY CORPORATION Common Stock 25179M10 1,932,500 50,000 50,000 50,000 DIAGNOSTIC PRODS CORP Common Stock 25245010 2,021,700 46,000 46,000 46,000 DIAMOND OFFSHORE DRILL REG Conv Bond P2 25271CAE 3,215,625 3,500,000 3,500,000 3,500,000 DIAMONDS TRUST SERIES I Common Stock 25278710 9,174,240 92,000 92,000 92,000 -------------- -------- ---------- ------- COLUMN TOTALS 156,571,432 58,593,484 58,593,484 58,593,484 * ITEM 7: MANAGERS - 1 PAGE 8 OF 05-17-2002 FORM 13F PAGE 7 FILE NO. 28-46 REPORTING MANAGER : MACKAY-SHIELDS FINANCIAL 12/31/01 - ------------------------------------------------------------------------------------------------------------------------- ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7* ITEM 8 NAME OF ISSUER TITLE CUSIP FAIR SHARES OR INVESTMENT DISCRETION MANA- VOTING AUTH OF NUMBER MARKET PRINCIPAL SHARED GERS CLASS VALUE AMOUNT SOLE SHARED OTHER SOLE SHARED NONE (A)(B)(C) (A) (B) (C) - -------------------------------------------------------------------------------------------------------------------------- DIANON SYSTEMS INC Common Stock 25282610 5,868,477 96,521 96,521 96,521 DIGENE CORP Common Stock 25375210 3,749,185 127,091 127,091 127,091 DORAL FINANCIAL CORP Common Stock 25811P10 2,426,671 77,753 77,753 77,753 DUKE ENERGY CORP Common Stock 26439910 985,426 25,100 25,100 25,100 DUKE ENERGY CORP CNVPFD Conv Prfd Stock26439958 10,540,000 400,000 400,000 400,000 E M C CORP MASS Common Stock 26864810 81,741,878 6,081,985 6,081,985 6,081,985 ENSCO INTL INC Common Stock 26874Q10 1,474,152 59,322 59,322 59,322 ECHOSTAR COMM CONV BND 144A Conv Bond P2 278762AE 1,800,000 2,000,000 2,000,000 2,000,000 EL PASO CORPORATION Common Stock 28336L10 100,316,648 2,248,748 2,248,748 2,248,748 EL PASO ENER CAP TR CNVPFD Conv Prfd Stock28367820 5,112,900 89,700 89,700 89,700 ELAN PLC Common Stock 28413120 24,179,196 536,600 536,600 536,600 ELECTRONIC ARTS INC Common Stock 28551210 1,498,750 25,000 25,000 25,000 ELECTRONIC DATA SYSTEMS CORP Common Stock 28566110 193,412,454 2,821,480 2,821,480 2,821,480 ELECTRONIC BOUTIQUE HLDGS Common Stock 28604510 3,579,223 89,615 89,615 89,615 EMCORE CORP CNV BND REG Conv Bond P2 290846AB 4,351,125 6,150,000 6,150,000 6,150,000 EMMIS COMM CORP CNVPFD Conv Prfd Stock29152520 4,671,150 125,400 125,400 125,400 ENCOMPASS SERVICES CORP Common Stock 29255U10 376,275 129,750 129,750 129,750 ENDOCARE INC Common Stock 29264P10 1,751,761 97,700 97,700 97,700 ENERGY EAST CORPORATION Common Stock 29266M10 7,474,464 393,600 393,600 393,600 ENERGIZER HOLDINGS INC Common Stock 29266R10 1,624,946 85,299 85,299 85,299 ENTERGY Common Stock 29364G10 1,012,441 25,887 25,887 25,887 ENZON INC CNV BND REG Conv Bond P2 293904AB 4,411,063 4,450,000 4,450,000 4,450,000 EQUITY OFFICE PROPERTIES TRUST Conv Prfd Stock29474150 6,300,000 140,000 140,000 140,000 ERICSSON L M TEL CO Common Stock 29482140 1,566,000 300,000 300,000 300,000 ETHAN ALLEN INTERIORS INC Common Stock 29760210 6,606,572 158,850 158,850 158,850 EXTREME NETWORKS INC CONV BD 1 Conv Bond P2 30226DAA 9,050,000 10,000,000 10,000,000 10,000,000 ----------- ----------- ----------- --------- COLUMN TOTALS 485,880,755 36,735,401 36,735,401 36,735,401 * ITEM 7: MANAGERS - 1 PAGE 9 OF 05-17-2002 FORM 13F PAGE 8 FILE NO. 28-46 REPORTING MANAGER : MACKAY-SHIELDS FINANCIAL 12/31/01 - ------------------------------------------------------------------------------------------------------------------------- ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7* ITEM 8 NAME OF ISSUER TITLE CUSIP FAIR SHARES OR INVESTMENT DISCRETION MANA- VOTING AUTH OF NUMBER MARKET PRINCIPAL SHARED GERS CLASS VALUE AMOUNT SOLE SHARED OTHER SOLE SHARED NONE (A)(B)(C) (A) (B) (C) - -------------------------------------------------------------------------------------------------------------------------- EXXON MOBIL CORPORATION Common Stock 30231G10 42,377,033 1,078,296 1,078,296 1,078,296 FEI COMPANY Common Stock 30241L10 8,592,556 272,693 272,693 272,693 FAIRCHILD SEMICON INTL -CL A Common Stock 30372610 2,820,000 100,000 100,000 100,000 FANNIE MAE Common Stock 31358610 231,081,060 2,906,680 2,906,680 2,906,680 FEDERATED DEPT STORES Common Stock 31410H10 4,418,754 108,038 108,038 108,038 FEDEX CORPORATION Common Stock 31428X10 1,898,445 36,593 36,593 36,593 FELCOR LODGING TRUST INC Common Stock 31430F10 1,926,663 115,300 115,300 115,300 FELCOR LODGING CONV PRFD 144A Conv Prfd Stock31430F20 489,600 24,000 24,000 24,000 FINANCIAL FEDERAL CORP Common Stock 31749210 2,040,625 65,300 65,300 65,300 FISERV INC Common Stock 33773810 6,546,904 154,700 154,700 154,700 FIRSTENERGY CORO Common Stock 33793210 52,523,939 1,501,542 1,501,542 1,501,542 FLEET BOSTON FINANCIAL CORP Common Stock 33903010 164,370,122 4,503,291 4,503,291 4,503,291 FORTUNE BRANDS INC Common Stock 34963110 4,568,726 115,401 115,401 115,401 FRANKLIN RESOURCES INC REGISTE Conv Bond P2 354613AC 7,644,375 13,500,000 13,500,000 13,500,000 GALLAGHER (ARTHUR J.) & CO Common Stock 36357610 7,575,729 219,650 219,650 219,650 GATEWAY INC Common Stock 36762610 23,493,837 2,922,119 2,922,119 2,922,119 GENERAL DYNAMICS Common Stock 36955010 83,195,926 1,044,650 1,044,650 1,044,650 GENERAL ELEC CO Common Stock 36960410 395,046,676 9,856,454 9,856,454 9,856,454 GENESIS MICROCHIP INC Common Stock 37193310 9,802,290 148,250 148,250 148,250 GENZYME CP GENERAL DIVISION Common Stock 37291710 98,059,659 1,638,150 1,638,150 1,638,150 GETTY IMAGES INC CONV BOND Conv Bond P2 374276AE 7,477,290 9,036,000 9,036,000 9,036,000 GLENBOROUGH REALTY CNVPFD A Conv Prfd Stock37803P20 1,373,125 65,000 65,000 65,000 GLOBESPAN INC Conv Bond P2 379571AB 4,401,220 5,224,000 5,224,000 5,224,000 GOLDEN WEST FINANCIAL Common Stock 38131710 947,308 16,097 16,097 16,097 GOLDMAN SACHS GROUP INC Common Stock 38141G10 31,022,927 334,479 334,479 334,479 GREY WOLF INC Common Stock 39788810 169,884 57,200 57,200 57,200 -------------- ----------- ---------- -------- COLUMN TOTALS 1,193,864,673 55,043,883 55,043,883 55,043,883 * ITEM 7: MANAGERS - 1 PAGE 10 OF 05-17-2002 FORM 13F PAGE 9 FILE NO. 28-46 REPORTING MANAGER : MACKAY-SHIELDS FINANCIAL 12/31/01 - ------------------------------------------------------------------------------------------------------------------------- ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7* ITEM 8 NAME OF ISSUER TITLE CUSIP FAIR SHARES OR INVESTMENT DISCRETION MANA- VOTING AUTH OF NUMBER MARKET PRINCIPAL SHARED GERS CLASS VALUE AMOUNT SOLE SHARED OTHER SOLE SHARED NONE (A)(B)(C) (A) (B) (C) - -------------------------------------------------------------------------------------------------------------------------- GROUP 1 AUTOMOTIVE INC Common Stock 39890510 205,600 7,200 7,200 7,200 GTECH HOLDINGS CORP Common Stock 40051810 7,270,675 160,536 160,536 160,536 HCA INC Common Stock 40411910 139,174,492 3,611,170 3,611,170 3,611,170 HANOVER COMPRESSOR CO Common Stock 41076810 1,536,642 60,833 60,833 60,833 HARLEY DAVIDSON INC Common Stock 41282210 424,650,433 7,819,010 7,819,010 7,819,010 HARMAN INTL INDS INC NEW Common Stock 41308610 8,713,320 193,200 193,200 193,200 HARRAH'S ENTERTAINMENT INC Common Stock 41361910 398,968 10,780 10,780 10,780 HARRIS CORP Common Stock 41387510 6,815,934 223,400 223,400 223,400 HARTFORD FINANCIAL SVCS GROUP Common Stock 41651510 59,492,722 946,884 946,884 946,884 HEALTH CARE PPTYS INVEST INC Common Stock 42191510 1,999,552 55,221 55,221 55,221 HEALTH MGMT ASSOC INC NE CLS ACommon Stock 42193310 2,208,000 120,000 120,000 120,000 HEALTH MANAGEMENT CV Conv Bond P2 421933AB 13,163,010 19,794,000 19,794,000 19,794,000 HEALTHCARE REALTY TRUST INC Common Stock 42194610 2,243,024 80,108 80,108 80,108 HEINZ (H.J) Common Stock 42307410 29,266,872 711,743 711,743 711,743 HIGHWOODS PROPERTIES INC Common Stock 43128410 4,441,680 171,163 171,163 171,163 HOME DEPOT INC Common Stock 43707610 186,168,442 3,649,646 3,649,646 3,649,646 HOUSEHOLD INTL INC Common Stock 44181510 209,540,879 3,616,515 3,616,515 3,616,515 ICU MEDICAL INC Common Stock 44930G10 4,212,726 94,668 94,668 94,668 IXIA Common Stock 45071R10 3,963,981 308,481 308,481 308,481 IDEXX LABORATORIES INC Common Stock 45168D10 1,873,107 65,700 65,700 65,700 ILLINOIS TOOL WORKS Common Stock 45230810 101,773,679 1,502,860 1,502,860 1,502,860 IMCLONE SYSTEMS Common Stock 45245W10 725,659 15,619 15,619 15,619 INCYTE GENOMICS INC CNV BND Conv Bond P2 45337CAC 17,119,023 21,181,000 21,181,000 21,181,000 INGERSOLL-RAND Common Stock 45686610 64,052,000 1,531,978 1,531,978 1,531,978 INTEGRATED DEVICE TECHNOLOGY Common Stock 45811810 3,209,413 120,700 120,700 120,700 INTEGRATED CIRCUIT SYSTEMS Common Stock 45811K20 10,786,002 477,468 477,468 477,468 ------------ ---------- -------- ------- COLUMN TOTALS 1,305,005,836 66,529,883 66,529,883 66,529,883 * ITEM 7: MANAGERS - 1 PAGE 11 OF 05-17-2002 FORM 13F PAGE 10 FILE NO. 28-46 REPORTING MANAGER : MACKAY-SHIELDS FINANCIAL 12/31/01 - ------------------------------------------------------------------------------------------------------------------------- ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7* ITEM 8 NAME OF ISSUER TITLE CUSIP FAIR SHARES OR INVESTMENT DISCRETION MANA- VOTING AUTH OF NUMBER MARKET PRINCIPAL SHARED GERS CLASS VALUE AMOUNT SOLE SHARED OTHER SOLE SHARED NONE (A)(B)(C) (A) (B) (C) - -------------------------------------------------------------------------------------------------------------------------- INTERGRATED SILICON SOLUTIONS Common Stock 45812P10 5,672,236 463,418 463,418 463,418 INTEL CORP Common Stock 45814010 247,449,229 7,868,020 7,868,020 7,868,020 INTERMUNE INC Common Stock 45884X10 4,758,959 96,609 96,609 96,609 IBM Common Stock 45920010 224,440,554 1,855,494 1,855,494 1,855,494 INTERNATIONAL GAME TECHN Common Stock 45990210 799,110 11,700 11,700 11,700 INTERNATIONAL PAPER CO Common Stock 46014610 87,830,773 2,176,723 2,176,723 2,176,723 INTL RECTIFIER CORP CNV BND RE Conv Bond P2 460254AE 7,861,250 9,500,000 9,500,000 9,500,000 INTERNET CAPITAL GROUP CNV Conv Bond P2 46059CAA 24,519,253 59,353,000 59,353,000 59,353,000 INTERWOVEN INC Common Stock 46114T10 1,850,600 190,000 190,000 190,000 INTRADO INC. Common Stock 46117A10 5,855,318 218,482 218,482 218,482 INVITROGEN CORP Common Stock 46185R10 7,045,219 113,761 113,761 113,761 INVITROGEN INC CONV BND 144A Conv Bond P2 46185RAC 7,760,000 8,000,000 8,000,000 8,000,000 INVESTORS FINANCIAL SVCS CP Common Stock 46191510 4,034,573 60,936 60,936 60,936 ISIS PHARMACEUTICALS INC Common Stock 46433010 3,366,223 151,700 151,700 151,700 I2 TECHNOLOGIES CONV BOND Conv Bond P2 465754AF 779,625 1,050,000 1,050,000 1,050,000 IVAX CORP Common Stock 46582310 39,708,507 1,971,624 1,971,624 1,971,624 JDA SOFTWARE GROUP INC Common Stock 46612K10 6,579,840 294,400 294,400 294,400 JP MORGAN CHASE & CO Common Stock 46625H10 81,051,231 2,229,745 2,229,745 2,229,745 JABIL CIRCUIT INC Common Stock 46631310 1,240,512 54,600 54,600 54,600 JOY GLOBAL INC-INCOMPLETE REOR Common Stock 48116510 18,065,342 1,075,318 1,075,318 1,075,318 JUNIPER NETWORKS CONV BOND REG Conv Bond P2 48203RAA 50,971,978 69,472,000 69,472,000 69,472,000 KB HOME Common Stock 48666K10 1,992,970 49,700 49,700 49,700 KERR MCGEE CORP Common Stock 49238610 284,960 5,200 5,200 5,200 KEYCORP INC Common Stock 49326710 956,976 39,317 39,317 39,317 KIMBERLY-CLARK CORP Common Stock 49436810 82,923,045 1,386,673 1,386,673 1,386,673 KING PHARMACEUTICALS INC Common Stock 49558210 67,419,038 1,600,262 1,600,262 1,600,262 -------------- ----------- ---------- --------- COLUMN TOTALS 985,217,322 169,288,682 169,288,682 169,288,682 * ITEM 7: MANAGERS - 1 PAGE 12 OF 05-17-2002 FORM 13F PAGE 11 FILE NO. 28-46 REPORTING MANAGER : MACKAY-SHIELDS FINANCIAL 12/31/01 - ------------------------------------------------------------------------------------------------------------------------- ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7* ITEM 8 NAME OF ISSUER TITLE CUSIP FAIR SHARES OR INVESTMENT DISCRETION MANA- VOTING AUTH OF NUMBER MARKET PRINCIPAL SHARED GERS CLASS VALUE AMOUNT SOLE SHARED OTHER SOLE SHARED NONE (A)(B)(C) (A) (B) (C) - -------------------------------------------------------------------------------------------------------------------------- KNIGHT TRANSPORTATION INC Common Stock 49906410 5,793,630 308,500 308,500 308,500 KOHLS CORP Common Stock 50025510 379,493,739 5,387,475 5,387,475 5,387,475 KRAFT FOOD INC-A Common Stock 50075N10 49,026,034 1,440,671 1,440,671 1,440,671 KROGER CO Common Stock 50104410 32,415,284 1,553,200 1,553,200 1,553,200 KULICKE & SOFFA IND CNV Conv Bond P2 501242AE 7,152,580 7,412,000 7,412,000 7,412,000 LSI LOGIN CORP Common Stock 50216110 2,454,579 155,550 155,550 155,550 LSI LOGIC CORP CONV BOND Conv Bond P2 502161AE 72,581,393 84,714,000 84,714,000 84,714,000 L-3 COMMUNICATIONS HLDGS INC Common Stock 50242410 3,136,500 34,850 34,850 34,850 LABORATORY CORP OF AMERICA HLD Common Stock 50540R40 3,423,998 42,350 42,350 42,350 LABORATORY CP CONV BND 144A Conv Bond P2 50540RAB 19,559,375 27,500,000 27,500,000 27,500,000 LAMAR ADVERTISING CONV BOND Conv Bond P2 512815AF 6,919,750 6,220,000 6,220,000 6,220,000 LANDS END INC Common Stock 51508610 212,707 4,200 4,200 4,200 LATTICE SEMICONDUCTOR CORP Common Stock 51841510 4,412,265 214,500 214,500 214,500 LATTICE SEMICONDUCTOR CNV Conv Bond P2 518415AC 11,561,625 9,675,000 9,675,000 9,675,000 LEGG MASON INC Common Stock 52490110 1,896,741 37,950 37,950 37,950 LEHMAN BROTHERS HOLDINGS INC Common Stock 52490810 2,717,958 40,688 40,688 40,688 LENNAR CORP Common Stock 52605710 1,015,994 21,700 21,700 21,700 LIMITED INC Common Stock 53271610 382,720 26,000 26,000 26,000 LINCOLN NATIONAL CORP Common Stock 53418710 45,523,301 937,272 937,272 937,272 LINENS 'N THINGS INC Common Stock 53567910 3,287,154 128,908 128,908 128,908 LOWES COS INC Common Stock 54866110 105,616,629 2,275,730 2,275,730 2,275,730 LUCENT TECHNOLOGIES INC CV PFD Conv Prfd Stock54946320 7,526,081 6,495 6,495 6,495 M & T BANK CORPORATION Common Stock 55261F10 2,747,538 37,715 37,715 37,715 MBNA CORP Common Stock 55262L10 100,472,064 2,854,320 2,854,320 2,854,320 MITSUBISHI BANK CVB Conv Bond P2 55262XAA 8,728,125 8,750,000 8,750,000 8,750,000 MDC HOLDINGS INC Common Stock 55267610 8,167,175 216,120 216,120 216,120 -------------- ---------- ---------- -------- COLUMN TOTALS 886,224,940 159,995,194 159,995,194 159,995,194 * ITEM 7: MANAGERS - 1 PAGE 13 OF 05-17-2002 FORM 13F PAGE 12 FILE NO. 28-46 REPORTING MANAGER : MACKAY-SHIELDS FINANCIAL 12/31/01 - ------------------------------------------------------------------------------------------------------------------------- ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7* ITEM 8 NAME OF ISSUER TITLE CUSIP FAIR SHARES OR INVESTMENT DISCRETION MANA- VOTING AUTH OF NUMBER MARKET PRINCIPAL SHARED GERS CLASS VALUE AMOUNT SOLE SHARED OTHER SOLE SHARED NONE (A)(B)(C) (A) (B) (C) - -------------------------------------------------------------------------------------------------------------------------- MACROVISION CORP Common Stock 55590410 9,095,283 258,242 258,242 258,242 MAGELLAN HEALTH SERVICES INC Common Stock 55907910 337,979 53,225 53,225 53,225 MANHATTAN ASSOCIATES INC Common Stock 56275010 7,692,248 263,885 263,885 263,885 MANUGISTICS GP CONV BD Conv Bond P2 565011AB 6,192,360 7,416,000 7,416,000 7,416,000 MARSH & MCLENNAN COS Common Stock 57174810 167,975,511 1,563,290 1,563,290 1,563,290 MARTHA STEWART LIVING -CL A Common Stock 57308310 4,230,101 257,149 257,149 257,149 MATTEL INC Common Stock 57708110 3,310,656 192,480 192,480 192,480 MAXIMUS INC Common Stock 57793310 3,452,663 82,089 82,089 82,089 MCDONALD'S CORP Common Stock 58013510 57,769,531 2,182,453 2,182,453 2,182,453 MEAD CORP Common Stock 58283410 1,909,002 61,800 61,800 61,800 MEDAREX INC CONV BOND Conv Bond P2 583916AA 3,975,765 4,436,000 4,436,000 4,436,000 MEDIACOM COMMUNICATIONS CVB Conv Bond P2 58446KAA 4,697,099 3,943,000 3,943,000 3,943,000 MEDICIS PHARMACEUTICALS-CL A Common Stock 58469030 2,719,239 42,100 42,100 42,100 MEDIMMUNE INC Common Stock 58469910 2,269,760 48,970 48,970 48,970 MEDTRONIC INC Common Stock 58505510 204,556,809 3,994,470 3,994,470 3,994,470 MEDTRONIC INC CONV BND 144A Conv Bond P2 585055AA 15,131,850 14,360,000 14,360,000 14,360,000 MELLON FINANCIAL CORP Common Stock 58551A10 812,592 21,600 21,600 21,600 MERCURY INTERACTIVE CORP CONV Conv Bond P2 589405AB 8,585,063 10,550,000 10,550,000 10,550,000 MERITAGE CORPORATION Common Stock 59001A10 243,675 4,750 4,750 4,750 MERIX CORP Common Stock 59004910 5,702,988 330,608 330,608 330,608 MERRILL LYNCH Common Stock 59018810 30,296,053 581,275 581,275 581,275 MERRILL LYNCH & CO CONV BOND Conv Bond P1 590188A6 10,897,950 20,370,000 20,370,000 20,370,000 METRIS COMPANIES INC Common Stock 59159810 3,859,071 150,100 150,100 150,100 METRO ONE TELECOMMUNICATIONS Common Stock 59163F10 6,719,614 222,136 222,136 222,136 METTLER-TOLEDO INTERNATIONAL Common Stock 59268810 10,544,372 203,363 203,363 203,363 MICHAELS STORES INC Common Stock 59408710 12,559,617 381,172 381,172 381,172 --------- ---------- -------- ------- COLUMN TOTALS 585,536,849 71,970,157 71,970,157 71,970,157 * ITEM 7: MANAGERS - 1 PAGE 14 OF 05-17-2002 FORM 13F PAGE 13 FILE NO. 28-46 REPORTING MANAGER : MACKAY-SHIELDS FINANCIAL 12/31/01 - ------------------------------------------------------------------------------------------------------------------------- ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7* ITEM 8 NAME OF ISSUER TITLE CUSIP FAIR SHARES OR INVESTMENT DISCRETION MANA- VOTING AUTH OF NUMBER MARKET PRINCIPAL SHARED GERS CLASS VALUE AMOUNT SOLE SHARED OTHER SOLE SHARED NONE (A)(B)(C) (A) (B) (C) - -------------------------------------------------------------------------------------------------------------------------- MICROSOFT CORP Common Stock 59491810 346,079,038 5,222,258 5,222,258 5,222,258 MICROTUNE INC Common Stock 59514P10 7,425,583 316,521 316,521 316,521 MILLENNIUM PHARMACEUTICALS Common Stock 59990210 270,836 11,050 11,050 11,050 MIRANT CORP Common Stock 60467510 752,507 46,973 46,973 46,973 MISSION RESOURCES CORP Common Stock 60510910 153,825 43,950 43,950 43,950 MOORE CORP LTD Common Stock 61578510 950,000 100,000 100,000 100,000 MORGAN STANLEY DEAN WITTER & C Common Stock 61744644 8,509,873 152,125 152,125 152,125 MOTOROLA INC Common Stock 62007610 38,575,881 2,568,301 2,568,301 2,568,301 MYRIAD GENETICS INC Common Stock 62855J10 6,170,882 117,228 117,228 117,228 NRG ENERGY INC Common Stock 62937710 13,540,413 873,575 873,575 873,575 NASDAQ-100 SHARES Common Stock 63110010 9,086,840 232,400 232,400 232,400 NATIONAL CITY CORP Common Stock 63540510 1,159,395 39,651 39,651 39,651 NDCHEALTH CORP. Conv Bond P2 635621AA 9,341,750 8,600,000 8,600,000 8,600,000 NATIONAL PROCESSING INC Common Stock 63722910 1,781,000 54,800 54,800 54,800 NATIONWIDE HEALTH PPTYS INC Common Stock 63862010 1,559,381 83,434 83,434 83,434 NAVISTAR INTERNATIONAL Common Stock 63934E10 6,157,339 155,882 155,882 155,882 NETWORK PLUS CORP Common Stock 64122D50 221,532 190,976 190,976 190,976 NETWORK PLUS CNVPFD Conv Prfd Stock64122D60 532,000 112,000 112,000 112,000 NEUROCRINE BIOSCIENCES INC Common Stock 64125C10 4,345,957 84,700 84,700 84,700 NEW YORK COMMUNITY BANCORP Common Stock 64944510 1,149,400 50,258 50,258 50,258 NEW YORK TIMES CO CLS A Common Stock 65011110 1,427,250 33,000 33,000 33,000 NEWMONT MINING CORP HOLDING CO Common Stock 65163910 15,124,610 791,450 791,450 791,450 NIAGARA MOHAWK HOLDINGS INC Common Stock 65352010 7,937,526 447,689 447,689 447,689 NOKIA CORP ADR Common Stock 65490220 4,111,228 167,600 167,600 167,600 NORTEL NETWORKS CORP Common Stock 65656810 131,250 17,500 17,500 17,500 NORTEL NETWORKS CORP 144A Conv Bond P2 656568AA 3,192,750 3,300,000 3,300,000 3,300,000 -------------- ---------- --------- ---------- COLUMN TOTALS 489,688,045 23,813,321 23,813,321 23,813,321 * ITEM 7: MANAGERS - 1 PAGE 15 OF 05-17-2002 FORM 13F PAGE 14 FILE NO. 28-46 REPORTING MANAGER : MACKAY-SHIELDS FINANCIAL 12/31/01 - ------------------------------------------------------------------------------------------------------------------------- ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7* ITEM 8 NAME OF ISSUER TITLE CUSIP FAIR SHARES OR INVESTMENT DISCRETION MANA- VOTING AUTH OF NUMBER MARKET PRINCIPAL SHARED GERS CLASS VALUE AMOUNT SOLE SHARED OTHER SOLE SHARED NONE (A)(B)(C) (A) (B) (C) - -------------------------------------------------------------------------------------------------------------------------- NORTHERN BORDER PARTNERS-LP Common Stock 66478510 419,358 10,750 10,750 10,750 NVIDIA CORP Common Stock 67066G10 5,442,315 81,350 81,350 81,350 OMNICOM GROUP INC Common Stock 68191910 255,784,926 2,862,730 2,862,730 2,862,730 ONI SYSTEMS CORP CNV BD Conv Bond P2 68273FAA 15,571,507 22,534,000 22,534,000 22,534,000 ORACLE CORPORATION Common Stock 68389X10 173,236,023 12,544,245 12,544,245 12,544,245 O'REILLY AUTOMOTIVE INC. Common Stock 68609110 2,932,188 80,400 80,400 80,400 OWENS-ILLINOIS INC CNVPFD Conv Prfd Stock69076850 2,050,000 100,000 100,000 100,000 PG & E CORPORATION Common Stock 69331C10 3,619,679 188,133 188,133 188,133 P.F. CHANGS CHINA BISTRO INC Common Stock 69333Y10 4,093,437 86,542 86,542 86,542 PNC FINANCIAL SERVICES GROUP Common Stock 69347510 60,476,258 1,076,090 1,076,090 1,076,090 PPL CORPORATION Common Stock 69351T10 1,651,890 47,400 47,400 47,400 PANERA BREAD COMPANY-CL A Common Stock 69840W10 5,396,548 103,700 103,700 103,700 PATTERSON DENTAL COMPANY Common Stock 70341210 8,336,254 203,671 203,671 203,671 PATTERSON-UTI ENERGY INC Common Stock 70348110 5,503,491 236,100 236,100 236,100 PAYLESS SHOESOURCE INC Common Stock 70437910 1,336,538 23,803 23,803 23,803 PEDIATRIX MEDICAL GROUP Common Stock 70532410 211,545 6,200 6,200 6,200 PEREGRINE SYSTEMS INC CVB Conv Bond P2 71366QAC 5,420,500 5,860,000 5,860,000 5,860,000 PERFORMANCE FOOD GROUP CP Common Stock 71375510 9,488,936 269,802 269,802 269,802 PERFORMANCE FOOD GR COMP CONV Conv Bond P2 713755AA 5,140,000 4,000,000 4,000,000 4,000,000 PERKINELMER INC Common Stock 71404610 2,470,661 70,550 70,550 70,550 PFIZER INC Common Stock 71708110 361,298,232 9,066,455 9,066,455 9,066,455 PHELPS DODGE Common Stock 71726510 6,616,890 204,225 204,225 204,225 PHILIP MORRIS COS INC Common Stock 71815410 43,558,646 950,025 950,025 950,025 PHILLIPS PETROLEUM Common Stock 71850710 86,198,616 1,430,445 1,430,445 1,430,445 PHOENIX COMPANIES INC Common Stock 71902E10 6,615,267 357,582 357,582 357,582 PHOTOTRONICS INC Common Stock 71940510 7,515,379 239,725 239,725 239,725 -------------- ---------- ---------- --------- COLUMN TOTALS 1,080,385,084 62,633,923 62,633,923 62,633,923 * ITEM 7: MANAGERS - 1 PAGE 16 OF 05-17-2002 FORM 13F PAGE 15 FILE NO. 28-46 REPORTING MANAGER : MACKAY-SHIELDS FINANCIAL 12/31/01 - ------------------------------------------------------------------------------------------------------------------------- ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7* ITEM 8 NAME OF ISSUER TITLE CUSIP FAIR SHARES OR INVESTMENT DISCRETION MANA- VOTING AUTH OF NUMBER MARKET PRINCIPAL SHARED GERS CLASS VALUE AMOUNT SOLE SHARED OTHER SOLE SHARED NONE (A)(B)(C) (A) (B) (C) - -------------------------------------------------------------------------------------------------------------------------- PINNACLE ENTERTAINMENT INC Common Stock 72345610 6,675,602 1,107,065 1,107,065 1,107,065 PITNEY BOWES INC Common Stock 72447910 10,321,425 274,433 274,433 274,433 PLACER DOME INC Common Stock 72590610 9,024,916 827,215 827,215 827,215 PLEXUS CORP Common Stock 72913210 5,778,367 217,559 217,559 217,559 POLYONE CORPORATION Common Stock 73179P10 2,152,080 219,600 219,600 219,600 PORTAL SOFTWARE Common Stock 73612610 56,576 27,200 27,200 27,200 POWERWAVE TECHNOLOGIES INC Common Stock 73936310 864,000 50,000 50,000 50,000 PRIDE INTERNATIONAL INC Common Stock 74153Q10 196,300 13,000 13,000 13,000 PRIMEDIA INC Common Stock 74157K10 193,031 44,375 44,375 44,375 PROCTER & GAMBLE Common Stock 74271810 66,445,224 839,697 839,697 839,697 PROTEIN DESIGN LABS INC Common Stock 74369L10 4,898,996 148,770 148,770 148,770 PROVINCE HEALTHCARE CO Common Stock 74397710 6,248,039 202,464 202,464 202,464 PROVINCE HEALTHCARE CO Conv Bond P2 743977AC 4,595,625 4,500,000 4,500,000 4,500,000 PRUDENTIAL FINANCIAL INC Common Stock 74432010 13,554,796 408,400 408,400 408,400 QUANTUM CORP CONV BOND Conv Bond P2 747906AC 25,618,620 27,690,000 27,690,000 27,690,000 QUEST DIAGNOSTICS INC Common Stock 74834L10 2,011,466 28,050 28,050 28,050 RADIO ONE INC - CL D Common Stock 75040P40 8,606,331 477,864 477,864 477,864 RATIONAL SOFTWARE CORP CNV REG Conv Bond P2 75409PAC 25,934,816 28,539,000 28,539,000 28,539,000 RAYTHEON COMPANY Common Stock 75511150 45,800,623 1,410,552 1,410,552 1,410,552 REDBACK NETWORKS Conv Bond P2 757209AB 2,255,000 4,400,000 4,400,000 4,400,000 RELIANT RESOURCES INC Common Stock 75952B10 227,838 13,800 13,800 13,800 RESPIRONICS INC Common Stock 76123010 6,581,565 189,999 189,999 189,999 RETEK INC Common Stock 76128Q10 8,161,978 273,250 273,250 273,250 ROCKWELL COLLINS Common Stock 77434110 26,042,250 1,335,500 1,335,500 1,335,500 ROSYLN BANCORP INC Common Stock 77816210 869,750 49,700 49,700 49,700 RUDOLPH TECHNOLOGIES INC Common Stock 78127010 9,261,389 269,854 269,854 269,854 ------------- ---------- ------- --------- COLUMN TOTALS 292,376,603 73,557,347 73,557,347 73,557,347 * ITEM 7: MANAGERS - 1 PAGE 17 OF 05-17-2002 FORM 13F PAGE 16 FILE NO. 28-46 REPORTING MANAGER : MACKAY-SHIELDS FINANCIAL 12/31/01 - ------------------------------------------------------------------------------------------------------------------------- ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7* ITEM 8 NAME OF ISSUER TITLE CUSIP FAIR SHARES OR INVESTMENT DISCRETION MANA- VOTING AUTH OF NUMBER MARKET PRINCIPAL SHARED GERS CLASS VALUE AMOUNT SOLE SHARED OTHER SOLE SHARED NONE (A)(B)(C) (A) (B) (C) - -------------------------------------------------------------------------------------------------------------------------- SBC COMMUNICATIONS (SOUTHWESTE Common Stock 78387G10 38,502,857 982,968 982,968 982,968 SCI SYSTEMS INC CONV BOND Conv Bond P2 783890AF 1,450,313 1,750,000 1,750,000 1,750,000 SEI CORPORATION Common Stock 78411710 4,323,794 95,850 95,850 95,850 S & P 500 DEPOSITORY RECEIPT Common Stock 78462F10 9,488,560 83,000 83,000 83,000 SPX CORP Common Stock 78463510 1,505,900 11,000 11,000 11,000 SPX CORP CNV BND Conv Bond P2 784635AD 16,085,125 21,700,000 21,700,000 21,700,000 SAFEGUARD SCIENTIFIC CONV BD Conv Bond P2 786449AE 286,875 500,000 500,000 500,000 SAFEWAY INC Common Stock 78651420 91,669,640 2,195,680 2,195,680 2,195,680 ST JUDE MEDICAL INC Common Stock 79084910 2,504,213 32,250 32,250 32,250 SANMINA-SCI CORP Common Stock 80090710 2,207,905 110,950 110,950 110,950 SCHOOL SPECIALITY INC REG Conv Bond P2 807863AC 6,822,375 6,900,000 6,900,000 6,900,000 SEACHANGE INTERNATIONAL INC Common Stock 81169910 4,868,924 142,700 142,700 142,700 SEARS ROEBUCK & CO Common Stock 81238710 109,890,712 2,306,690 2,306,690 2,306,690 SEMTECH CORP Common Stock 81685010 3,258,497 91,300 91,300 91,300 SIEBEL SYSTEMS CNV Conv Bond P2 826170AC 5,339,000 3,800,000 3,800,000 3,800,000 SIERRA PACIFIC RESOURCES Common Stock 82642810 248,325 16,500 16,500 16,500 SIMPLEX SOLUTIONS INC Common Stock 82885410 6,556,577 385,681 385,681 385,681 SINCLAIR BROADCAST GROUP-A Common Stock 82922610 408,672 43,200 43,200 43,200 SKILLSOFT CORPORATION Common Stock 83066P10 3,179,088 122,650 122,650 122,650 SMARTFORCE PLC - ADR Common Stock 83170A20 2,720,867 109,934 109,934 109,934 SMITH & WOLENSKY RESTAURANT Common Stock 83175810 1,870,542 490,956 490,956 490,956 SOLUTIA INC Common Stock 83437610 4,772,324 340,394 340,394 340,394 SONIC CORP Common Stock 83545110 6,160,752 171,132 171,132 171,132 SONICBLUE INC Common Stock 83546Q10 1,149,380 284,500 284,500 284,500 SPRINT CORP Common Stock 85206110 52,669,358 2,622,976 2,622,976 2,622,976 STILWELL FINANCIAL INC Common Stock 86083110 2,700,224 99,200 99,200 99,200 ----------- ----------- ------- --------- COLUMN TOTALS 380,640,796 45,389,511 45,389,511 45,389,511 * ITEM 7: MANAGERS - 1 PAGE 18 OF 05-17-2002 FORM 13F PAGE 17 FILE NO. 28-46 REPORTING MANAGER : MACKAY-SHIELDS FINANCIAL 12/31/01 - ------------------------------------------------------------------------------------------------------------------------- ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7* ITEM 8 NAME OF ISSUER TITLE CUSIP FAIR SHARES OR INVESTMENT DISCRETION MANA- VOTING AUTH OF NUMBER MARKET PRINCIPAL SHARED GERS CLASS VALUE AMOUNT SOLE SHARED OTHER SOLE SHARED NONE (A)(B)(C) (A) (B) (C) - -------------------------------------------------------------------------------------------------------------------------- STILWELL FINANCIAL CNV BND Conv Bond P2 860831AC 7,367,640 10,024,000 10,024,000 10,024,000 STMICROELECTRONICS NV CV BD 14 Conv Bond P1 861012AC 10,177,563 15,050,000 15,050,000 15,050,000 SUN MICROSYSTEMS INC Common Stock 86681010 203,088,141 16,457,710 16,457,710 16,457,710 SUNGARD DATA SYSTEMS INC Common Stock 86736310 19,601,522 677,550 677,550 677,550 SUNOCO INC Common Stock 86764P10 2,425,569 64,959 64,959 64,959 SUNTRUST BANKS Common Stock 86791410 2,809,023 44,801 44,801 44,801 SYMANTEC CORP 144A Conv Bond P2 871503AA 9,911,750 8,200,000 8,200,000 8,200,000 SYNOVUS FINL CORP Common Stock 87161C10 467,183 18,650 18,650 18,650 SYSCO Common Stock 87182910 64,946,678 2,476,990 2,476,990 2,476,990 THQ INC Common Stock 87244340 2,326,560 48,000 48,000 48,000 TRW INC Common Stock 87264910 41,890,203 1,130,945 1,130,945 1,130,945 TVX GOLD INC Common Stock 87308K20 6,085,566 14,152,479 14,152,479 14,152,479 TXU CORPORATION Common Stock 87316810 2,619,088 55,548 55,548 55,548 TALBOTS INC Common Stock 87416110 8,600,168 237,246 237,246 237,246 TARGET CORP Common Stock 87612E10 116,038,088 2,826,750 2,826,750 2,826,750 TECH DATA CORP Common Stock 87823710 2,321,972 53,650 53,650 53,650 TECHNE CORP Common Stock 87837710 6,904,953 187,380 187,380 187,380 TEKELEC INC CONV BOND Conv Bond P2 879101AC 2,362,500 2,000,000 2,000,000 2,000,000 TELLABS INC Common Stock 87966410 23,941,918 1,592,942 1,592,942 1,592,942 TELLIUM INC Common Stock 87967E10 599,949 96,300 96,300 96,300 TEMPLE INLAND INC Common Stock 87986810 16,111,320 284,000 284,000 284,000 TERADYNE INC Common Stock 88077010 551,562 18,300 18,300 18,300 TETRA TECH INC Common Stock 88162G10 1,383,387 69,482 69,482 69,482 TEXAS INSTRS INC Common Stock 88250810 163,499,700 5,839,275 5,839,275 5,839,275 TEXTRON INC Common Stock 88320310 16,321,558 393,670 393,670 393,670 THERMO ELECTRON CORP 144A Conv Bond P2 883556AF 15,571,750 15,650,000 15,650,000 15,650,000 -------------- ---------- -------- ---------- COLUMN TOTALS 747,925,309 97,650,627 97,650,627 97,650,627 * ITEM 7: MANAGERS - 1 PAGE 19 OF 05-17-2002 FORM 13F PAGE 18 FILE NO. 28-46 REPORTING MANAGER : MACKAY-SHIELDS FINANCIAL 12/31/01 - ------------------------------------------------------------------------------------------------------------------------- ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7* ITEM 8 NAME OF ISSUER TITLE CUSIP FAIR SHARES OR INVESTMENT DISCRETION MANA- VOTING AUTH OF NUMBER MARKET PRINCIPAL SHARED GERS CLASS VALUE AMOUNT SOLE SHARED OTHER SOLE SHARED NONE (A)(B)(C) (A) (B) (C) - -------------------------------------------------------------------------------------------------------------------------- TIER TECHNOLOGIES INC - CL B Common Stock 88650Q10 5,599,132 259,700 259,700 259,700 TIMBERLAND COMPANY CLS A Common Stock 88710010 2,604,870 70,250 70,250 70,250 TORO CO Common Stock 89109210 1,091,250 24,250 24,250 24,250 TOWER AUTOMOTIVE INC CNV Conv Bond P2 891707AE 2,109,375 2,500,000 2,500,000 2,500,000 TRICON GLOBAL RESTAURANTS Common Stock 89595310 3,086,414 62,732 62,732 62,732 TRIGON HEALTHCARE INC Common Stock 89618L10 2,121,698 30,550 30,550 30,550 TWEETER HOME ENTERTAINMENT GRP Common Stock 90116710 9,116,295 314,355 314,355 314,355 TYCO INTL LTD Common Stock 90212410 488,205,078 8,288,711 8,288,711 8,288,711 TYCO INTL LTD REG Conv Bond P2 902124AC 38,426,825 49,583,000 49,583,000 49,583,000 UNILEVER NV Common Stock 90478470 2,631,265 45,500 45,500 45,500 UNISYS CORP Common Stock 90921410 21,757,565 1,735,053 1,735,053 1,735,053 UNITED TECHNOLOGIES CORP Common Stock 91301710 23,309,520 360,661 360,661 360,661 UNITEDGLOBALCOM INC - CL A Common Stock 91324750 289,340 57,868 57,868 57,868 UNITEDHEALTH GROUP Common Stock 91324P10 374,568,979 5,292,765 5,292,765 5,292,765 UNIVERSAL HEALTH SVCS INC CL B Common Stock 91390310 459,885 10,750 10,750 10,750 UNIVERSAL HEALTH SERV CNV Conv Bond P2 913903AL 3,902,750 6,700,000 6,700,000 6,700,000 UNOCAL CORP Common Stock 91528910 61,669,817 1,709,726 1,709,726 1,709,726 VERISIGN INC Common Stock 92343E10 2,348,970 61,750 61,750 61,750 VERIZON COMMUNICATIONS Common Stock 92343V10 96,786,127 2,039,320 2,039,320 2,039,320 VERTEX PHARMACEUTICALS CONV BD Conv Bond P2 92532FAD 6,368,500 9,400,000 9,400,000 9,400,000 VIACOM INC-CL B Common Stock 92552430 163,699,900 3,707,812 3,707,812 3,707,812 VITESSE SEMICONDUCTOR CNV Conv Bond P2 928497AB 32,894,909 41,591,000 41,591,000 41,591,000 VITRIA TECHNOLOGY INC Common Stock 92849Q10 95,850 15,000 15,000 15,000 VIVENDI UNIVERSAL SP -ADR Common Stock 92851S20 5,171,102 96,135 96,135 96,135 VODAFONE GROUP ADR Common Stock 92857W10 618,272 24,265 24,265 24,265 VORNADO REALTY TRUST CV PFD Conv Prfd Stock92904220 12,389,375 215,000 215,000 215,000 -------------- ---------- -------- --------- COLUMN TOTALS 1,361,323,063 134,196,153 134,196,153 134,196,153 * ITEM 7: MANAGERS - 1 PAGE 20 OF 05-17-2002 FORM 13F PAGE 19 FILE NO. 28-46 REPORTING MANAGER : MACKAY-SHIELDS FINANCIAL 12/31/01 - ------------------------------------------------------------------------------------------------------------------------- ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7* ITEM 8 NAME OF ISSUER TITLE CUSIP FAIR SHARES OR INVESTMENT DISCRETION MANA- VOTING AUTH OF NUMBER MARKET PRINCIPAL SHARED GERS CLASS VALUE AMOUNT SOLE SHARED OTHER SOLE SHARED NONE (A)(B)(C) (A) (B) (C) - -------------------------------------------------------------------------------------------------------------------------- WHX CORP CNVPFD B Conv Prfd Stock92924830 673,560 187,100 187,100 187,100 WASHINGTON MUTUAL SAVINGS BANK Common Stock 93932210 51,892,938 1,586,940 1,586,940 1,586,940 WASTE CONNECTIONS INC Common Stock 94105310 6,324,997 204,098 204,098 204,098 WASTE MANAGEMENT CNV Conv Bond P2 94106LAA 9,313,344 9,325,000 9,325,000 9,325,000 WEATHERFORD INTL INC Conv Bond P2 947074AB 4,112,500 7,000,000 7,000,000 7,000,000 WEIGHT WATCHERS INTL Common Stock 94862610 693,310 20,500 20,500 20,500 WELLPOINT HEALTH NETWORKS Common Stock 94973H10 432,345 3,700 3,700 3,700 WENDYS FINANCE I SERIES A Conv Prfd Stock95058820 3,279,475 56,300 56,300 56,300 WILLIAMS-SONOMA INC Common Stock 96990410 7,752,330 180,707 180,707 180,707 WIND RIVER SYSTEMS CNV Conv Bond P2 973149AC 7,497,000 7,650,000 7,650,000 7,650,000 WORLDCOM INC-WORLDCOM GROUP Common Stock 98157D10 64,410,959 4,574,642 4,574,642 4,574,642 ZIMMER HOLDINGS INC Common Stock 98956P10 1,989,681 65,150 65,150 65,150 ZIONS BANCORPORATION Common Stock 98970110 1,282,952 24,400 24,400 24,400 ZORAN CORP Common Stock 98975F10 5,565,871 170,523 170,523 170,523 GLOBALSANTAFE CORP Common Stock G3930E10 1,196,585 41,956 41,956 41,956 RENAISSANCERE HOLDINGS LTD Common Stock G7496G10 5,122,694 53,697 53,697 53,697 WILLIS GROUP HOLDINGS LTD Common Stock G9665510 1,461,278 62,050 62,050 62,050 PRECISE SOFTWARE SOLUTIONS Common Stock M4145010 5,767,838 279,179 279,179 279,179 ORTHOFIX INTERNATIONAL NV Common Stock N6748L10 4,557,374 122,832 122,832 122,832 ASE TEST LIMITED Common Stock Y0251610 4,736,200 340,000 340,000 340,000 FLEXTRONICS INTL LTD Common Stock Y2573F10 125,208,128 5,219,180 5,219,180 5,219,180 -------------- ---------- ---------- ---------- COLUMN TOTALS 313,271,359 37,167,954 37,167,954 37,167,954 ---------- ----------- ---------- -------------- REPORT TOTALS 14,974,448,431 1,533,938,009 1,533,938,009 1,533,938,009 =============== ============== =============== =============== * ITEM 7: MANAGERS - 1 PAGE 21 OF
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