-----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, E1SSk9EDpI8KpzFDDrGeAReAIuKrDbjG8e7cIhdUOb2rbjoxNCmpo9/2s/zWFc3i K7ImBYfPN6D+DQ2QYg/ryQ== 0000950123-99-004286.txt : 19990507 0000950123-99-004286.hdr.sgml : 19990507 ACCESSION NUMBER: 0000950123-99-004286 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990331 FILED AS OF DATE: 19990506 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ALLEGHANY CORP /DE CENTRAL INDEX KEY: 0000775368 STANDARD INDUSTRIAL CLASSIFICATION: TITLE INSURANCE [6361] IRS NUMBER: 510283071 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: SEC FILE NUMBER: 028-01590 FILM NUMBER: 99612269 BUSINESS ADDRESS: STREET 1: 375 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10152 BUSINESS PHONE: 2127521356 MAIL ADDRESS: STREET 1: 375 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10055 FORMER COMPANY: FORMER CONFORMED NAME: ALLEGHANY FINANCIAL CORP DATE OF NAME CHANGE: 19870115 13F-HR 1 FORM 13F 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: March 31, 1999 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Alleghany Corporation Address: 375 Park Avenue New York, NY 10152 Form 13F File Number: 28-230 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: Peter R. Sismondo Title: Vice President, Controller, Treasurer and Assistant Secretary Phone: 212-752-1356 Signature, Place, and Date of Signing: /s/Peter R. Sismondo New York, NY May 6, 1999 - -------------------------------------------------------------------------------- [Signature] [City, State] [Date] 2 The Chicago Trust Company ("TCTC") is a wholly owned subsidiary of Alleghany Asset Management, Inc. ("AAM"), and AAM and Underwriters Re Group, Inc. ("URG") are wholly owned subsidiaries of Alleghany Corporation ("Alleghany"). Chicago Title and Trust Company ("CT&T"), which was a wholly owned subsidiary of Alleghany until June 16, 1998, was spun-off by a distribution on June 17, 1998 to Alleghany's stockholders of shares of a newly formed holding company for CT&T called Chicago Title Corporation. AAM, which was a wholly owned subsidiary of CT&T until June 9, 1998, was spun-off by CT&T to Alleghany. TCTC, AAM and URG (each an "operating subsidiary") and CT&T are or may be "institutional investment managers" for purposes of the reporting requirements under Section 13(f) of the Securities Exchange Act of 1934 (the "Act") and the rules promulgated thereunder. Alleghany itself does not in fact exercise, and therefore disclaims, investment discretion with respect to any Section 13(f) securities positions over which its operating subsidiaries or CT&T in fact exercise investment discretion. CT&T itself does not and did not in fact exercise, and therefore disclaims, investment discretion with respect to any Section 13(f) securities positions over which AAM or TCTC in fact exercise investment discretion (with the exception of securities owned by CT&T). AAM itself does not in fact exercise, and therefore disclaims, investment discretion with respect to any Section 13(f) securities positions over which TCTC in fact exercises investment discretion. To the extent, however, that the ownership interest of Alleghany or AAM in their operating subsidiaries, or prior to June 10, 1998, of CT&T in AAM, may nevertheless give rise to a Form 13F filing obligation, the information required by Form 13F is reported herein by Alleghany on behalf of itself, each operating subsidiary and CT&T. The securities positions of Montag & Caldwell, Inc. ("M&C"), a wholly owned subsidiary of TCTC which is an institutional investment manager subject to Section 13(f) of the Act, are not reported herein. The securities positions managed by M&C are reported in a Form 13F filed by M&C. TCTC owns a 40% interest in Veredus Asset Management LLC ("Veredus"), an institutional investment manager subject to Section 13(f) of the Act. The securities positions managed by Veredus are not reported herein, but are reported in a Form 13F filed by Veredus. Report Type (Check only one): [ ] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [X] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) 3 List of Other Managers Reporting for this Manager: Form 13F File Number Name Montag & Caldwell, Inc. Veredus Asset Management LLC 4 Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 4 Form 13F Information Table Entry Total: 540 Form 13F Information Table Value Total: $4,554,055 (thousands) List of Other Included Managers: No. Form 13F File Number Name 1 28-7262 Alleghany Asset Management, Inc. 2 28-635 Chicago Title and Trust Company 3 28-7258 The Chicago Trust Company 4 28-6342 Underwriters Re Group, Inc. 5 FORM 13F INFORMATION TABLE PREPARED FOR THE CHICAGO TRUST COMPANY
- ------------------------------------------------------------------------------------------------------------------------------------ COLUMN 1 & 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------------------------------------------------------------------------------------------------------------ INVESTMENT VOTING NAME OF ISSUER AND TITLE OF CLASS CUSIP VALUE SHRS OR SH/ PUT/ DISCRETION MANAGERS AUTHORITY (X 1000) PRN AMT PRN CALL SOLE SHRD OTHER SOLE SHRD NONE ARCH COAL 039380 132 100,000 SH X 01 X ADC TELECOMMUNICATIONS INC 000886101 564 11,825 SH X 03 X ABM INDUSTRIES INC 000957100 491 16,100 SH X 03 X AFLAC INC 001055102 22,881 420,334 SH X 03 X AES CORP 00130H105 10,525 282,550 SH X 03 X AIM EQUITY FDS CONSTELLATION FD CL A 001413202 9,251 307,153 SH X 03 X AMLI RESIDENTIAL PROPERTIES TRUST 001735109 4,072 197,429 SH X 03 X AMLI RESIDENTIAL PROPERTIES, L.P. 001735893 221 10,735 SH X 03 X A T & T CORPORATION 001957109 5,192 65,060 SH X 03 X AT&T CORP LIBERTY MEDIA A COM 001957208 1,218 23,144 SH X 03 X ABACUS DIRECT CORP 002553105 2,870 35,000 SH X 03 X ABBOTT LABORATORIES 002824100 36,808 786,264 SH X 03 X THE ACORN FUND 004851101 2,468 151,858 SH X 03 X THE ACORN INTERNATIONAL FUND 004851200 1,152 54,687 SH X 03 X ADAC LABS 005313200 727 53,400 SH X 03 X AIRTOUCH COMMUNICATIONS 00949T100 715 7,395 SH X 03 X ALLEGHANY CORP DEL 017175100 3,622 19,700 SH X 03 X CHICAGO TRUST SMALLCAP VALUE FD 017216201 5,927 652,802 SH X 03 X ALLIANT TECHSYSTEMS INC 018804104 419 5,400 SH X 03 X ALLIED SIGNAL INC 019512102 576 11,722 SH X 03 X ALLOU HEALTH & BEAUTY INC CL A 019782101 164 15,300 SH X 03 X ALLSTATE CORP 020002101 2,235 60,281 SH X 03 X ALLTEL CORP 020039103 214 3,417 SH X 03 X ALPHA 1 BIOMEDICALS INC 020910105 2 27,500 SH X 03 X AMEREN CORP 023608102 3,727 102,997 SH X 02,03 X AMEREN CORP 023608102 665 18,384 SH X 03 X AMERICA ONLINE INC 02364J104 453 3,080 SH X 03 X AMERICAN BALANCED FD INC 024071102 10,032 642,638 SH X 03 X AMERICAN CENTY CAP PTFLS INC 025076506 438 75,996 SH X 03 X AMERICAN EXPRESS CO 025816109 1,889 16,037 SH X 03 X AMERICAN GENERAL CORP 026351106 905 12,828 SH X 03 X AMERICAN HOME PRODUCTS CORP 026609107 9,342 143,177 SH X 03 X AMERICAN INTERNATIONAL GROUP INC 026874107 44,644 370,115 SH X 03 X AMERICAN POWER CONVERSION 029066107 1,306 48,350 SH X 03 X AMERICAN WATER WORKS INC 030411102 612 21,015 SH X 03 X AMERIN CORP 03070X106 507 25,000 SH X 03 X AMERITECH CORP NEW 030954101 4,609 79,986 SH X 03 X AMGEN INC 031162100 1,835 24,500 SH X 03 X ANHEUSER BUSCH COS INC 035229103 571 7,496 SH X 03 X AON CORP 037389103 11,369 179,739 SH X 03 X APTARGROUP INC 038336103 246 9,468 SH X 03 X ARDENT SOFTWARE INC 039794102 265 16,500 SH X 03 X ARIEL PREMIER BD A 040337404 219 21,383 SH X 03 X ARMCO 042170100 25,045 5,643,355 SH X 01 X ASSOCIATES FIRST CAPITAL CORP 046008108 23,483 521,850 SH X 03 X ATLANTIC RICHFIELD CO 048825103 1,008 13,782 SH X 03 X AUTOMATIC DATA PROCESSING INC 053015103 546 13,200 SH X 03 X AWARE INC MASS 05453N100 470 10,000 SH X 03 X BP AMOCO SPON ADR 055622104 14,960 148,115 SH X 03 X BALDWIN & LYONS CL B 057755209 552 26,500 SH X 03 X BANK ONE CORP 06423A103 4,451 80,851 SH X 03 X BANKAMERICA CORP 06605F102 824 11,664 SH X 03 X BARON ASSET BEN INT FD 068278100 2,815 51,972 SH X 03 X BASSETT FURNITURE 070203104 856 38,700 SH X 03 X BATTLE MOUNTAIN GOLD CONV $3.250 071593305 231 6,900 SH X 03 X BAXTER INTERNATIONAL INC 071813109 1,027 15,568 SH X 03 X BELL & HOWELL CO 077852101 917 31,300 SH X 03 X BELL ATLANTIC CORP 077853109 1,431 27,680 SH X 03 X BELLSOUTH CORP 079860102 4,306 107,480 SH X 03 X
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- ------------------------------------------------------------------------------------------------------------------------------------ COLUMN 1 & 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------------------------------------------------------------------------------------------------------------ INVESTMENT VOTING NAME OF ISSUER AND TITLE OF CLASS CUSIP VALUE SHRS OR SH/ PUT/ DISCRETION MANAGERS AUTHORITY (X 1000) PRN AMT PRN CALL SOLE SHRD OTHER SOLE SHRD NONE BERGER OMNI INVT FD TR 083902106 595 32,568 SH X 03 X BERGER OMNI SM CAP VALUE INS 083902205 642 35,082 SH X 03 X BERKSHIRE HATHAWAY INC DEL 084670108 357 5 SH X 03 X BERKSHIRE HATHAWAY INC DEL CL B 084670207 889 378 SH X 03 X BESTFOODS 08658U101 1,528 32,500 SH X 03 X BIOGEN INC 090597105 1,090 9,534 SH X 03 X WILLIAM BLAIR LEVERAGED CAPITAL 0929939A4 1,000 1,000,000 SH X 03 X BOB EVANS FARMS INC 096761101 574 28,700 SH X 03 X BOEING CO 097023105 283 8,342 SH X 03 X BOND FUND OF AMERICA INC 097873103 7,099 527,798 SH X 03 X OPP CONV BOND FUND SEC A 097877104 1,072 71,865 SH X 03 X BOSTON SCIENTIFIC CORP 101137107 1,085 26,700 SH X 03 X BRANDYWINE FUND INC 10532D107 6,160 198,253 SH X 03 X BRIGHTPOINT INC 109473108 357 60,470 SH X 03 X BRINSON FDS INC NON U S EQUITY FD 10970C306 1,690 140,340 SH X 03 X BRINSON FDS MULTI ASSET PORTFOLIO 10970C900 3,468 4,105 SH X 03 X BRINSON FDS U.S. SHORT/INTERM 10970C918 807 31,164 SH X 03 X BRISTOL MYERS SQUIBB CO 110122108 5,583 87,064 SH X 03 X BURLINGTON NORTHERN SANTA FE CORP 12189T104 488,843 14,869,773 SH X 01 X BURLINGTON NORTHERN SANTA FE CORP 12189T104 406 12,351 SH X 03 X BURLINGTON NORTHERN SANTA FE CORP 12189T104 244,079 7,424,469 SH X 04 X CIGNA CORP 125509109 201 2,400 SH X 03 X CLECO CORP 12561M107 309 10,442 SH X 03 X CHICAGO TRUST GROWTH & INCOME FUND 126413103 382,381 14,484,146 SH X 03 X CHICAGO TRUST MUNICIPAL BOND FUND 126413301 12,858 1,249,628 SH X 03 X MONTAG & CALDWELL GROWTH FUND 126413509 218,710 6,838,940 SH X 03 X MONTAG & CALDWELL BALANCED FUND 126413608 66,883 3,496,239 SH X 03 X CHICAGO TRUST TALON FUND 126413707 1,336 105,355 SH X 03 X CHICAGO TRUST BALANCED FUND 126413806 249,190 19,467,948 SH X 03 X MONTAG & CALDWELL GROWTH FD INSTL 126413889 147,262 4,573,353 SH X 03 X CVS CORP 126650100 289 6,100 SH X 03 X CABOT INDUSTRIAL TRUST, REIT 127072106 281 14,900 SH X 03 X CALLAWAY GOLF COMPANY 131193104 249 24,370 SH X 03 X CALVERT TAX-FREE RESERVES 131620205 125 11,693 SH X 03 X CAMPBELL SOUP CO 134429109 229 5,625 SH X 03 X CANADIAN NATIONAL RAILWAY CO 136375102 1,190 21,400 SH X 03 X CANANDAIGUA BRANDS INC-CL A 137219200 846 16,800 SH X 03 X CAPITAL TRUST-CL A 14052H100 511 105,000 SH X 03 X AMERICAN FUNDS CAP WORLD GROWTH 140543109 785 30,316 SH X 03 X CARDINAL HEALTH INC 14149Y108 30,867 467,680 SH X 03 X CARNIVAL CORP 143658102 3,605 74,250 SH X 03 X CATERPILLAR INC 149123101 523 11,366 SH X 03 X CENDANT CORP 151313103 514 32,209 SH X 03 X CENTERPOINT PROPERTIES CORP 151895109 268 8,600 SH X 03 X CENTRAL NEWSPAPERS INC 154647101 1,314 42,220 SH X 03 X CERNER CORP 156782104 915 57,000 SH X 03 X CHASE MANHATTAN CORP NEW 16161A108 1,119 13,754 SH X 03 X CHEVRON CORP 166751107 1,759 19,819 SH X 03 X CHICAGO TITLE CORP 168228104 4,691 128,946 SH X 03 X CISCO SYSTEMS INC 17275R102 55,973 510,871 SH X 03 X CINTAS CORP 172908105 31,586 483,152 SH X 03 X CITIGROUP INC 172967101 886 13,873 SH X 03 X CITIZENS UTILS CO DEL SER B 177342201 292 37,640 SH X 03 X CLOROX CO 189054109 234 2,000 SH X 03 X COASTAL CARIBBEAN OILS & MINERALS 190432203 17 11,571 SH X 03 X COCA COLA CO 191216100 7,075 115,280 SH X 03 X COHEN & STEERS REALTY SHS INC 192476109 2,213 61,134 SH X 03 X COLGATE PALMOLIVE CO 194162103 1,183 12,862 SH X 03 X COLUMBIA \ HCA HEALTHCARE 197677107 852 45,000 SH X 03 X
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- ------------------------------------------------------------------------------------------------------------------------------------ COLUMN 1 & 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------------------------------------------------------------------------------------------------------------ INVESTMENT VOTING NAME OF ISSUER AND TITLE OF CLASS CUSIP VALUE SHRS OR SH/ PUT/ DISCRETION MANAGERS AUTHORITY (X 1000) PRN AMT PRN CALL SOLE SHRD OTHER SOLE SHRD NONE COMDISCO INC 200336105 2,818 157,674 SH X 03 X COMPAQ COMPUTER CORP 204493100 1,166 36,800 SH X 03 X COMPUTER ASSOCIATE INTL INC 204912109 17,125 481,560 SH X 03 X COMPUTER SCIENCES CORP 205363104 21,420 388,152 SH X 03 X CONAGRA INC 205887102 1,526 59,549 SH X 03 X CONCORD EFS INC 206197105 2,160 78,345 SH X 03 X CONNING MORTGAGE INVESTMENT TRUST 208216903 89 88,563 SH X 03 X BATTLE MOUNTAIN GOLD CO EURO 2084541 481 650,000 SH X 03 X CONSOLIDATED EDISON INC 209115104 1,806 39,859 SH X 03 X CONSOLIDATED NATURAL GAS CO 209615103 368 7,551 SH X 03 X COOPER INDS INC 216669101 296 6,931 SH X 03 X CORNING INC 219350105 900 15,000 SH X 03 X COSTCO COS INC 22160Q102 503 5,500 SH X 03 X COURT MIICRO INVESTORS LLC 222740904 50 50,000 SH X 03 X COYOTE NETWORK SYS INC 22406P108 88 15,052 SH X 03 X CYTEC INDUSTRIES INC. 232820100 780 35,000 SH X 03 X DANIELSON HLDGS CORP 236274106 428 149,200 SH X 03 X DAVIS N Y VENTURE FD INC 239080104 13,730 531,975 SH X 03 X DEAN FOODS CO 242361103 1,466 41,159 SH X 03 X DELL COMPUTER CORP 247025109 516 12,640 SH X 03 X DELUXE CORP 248019101 504 17,300 SH X 03 X DEXTER CORP 252165105 885 28,100 SH X 03 X DIEBOLD INC 253651103 648 27,000 SH X 03 X DISNEY WALT CO 254687106 4,405 141,534 SH X 03 X DODGE & COX BALANCED FUND 256201104 28,038 426,037 SH X 03 X DONNELLEY RR & SONS 257867101 579 18,000 SH X 03 X DOW CHEMICAL CO 260543103 886 9,503 SH X 03 X DU PONT E I DE NEMOURS & CO 263534109 1,491 25,679 SH X 03 X DUKE ENERGY CORP 264399106 302 5,509 SH X 03 X EMC CORPORATION 268648102 55,454 434,085 SH X 03 X EMC CORP SUB NT CONV 26865YAA2 10,159 1,800,000 SH X 03 X EASTMAN KODAK CO 277461109 465 7,278 SH X 03 X ECO SOIL SYS INC 278858105 69 10,000 SH X 03 X ECOLAB INC 278865100 26,095 735,065 SH X 03 X EDISON INTERNATIONAL 281020107 236 10,608 SH X 03 X ELAN PLC ADR 284131208 2,449 35,120 SH X 03 X ELECTRONIC ARTS INC 285512109 461 9,700 SH X 03 X ELECTRONIC DATA SYS CORP NEW 285661104 829 17,035 SH X 03 X EMERSON ELECTRIC CO 291011104 1,379 26,056 SH X 03 X ENERGAS RESOURCES INC 29265E108 10 26,000 SH X 03 X ENGLE HOMES INC 292896107 126 12,000 SH X 03 X ENRON CORP 293561106 511 7,962 SH X 03 X EQUITABLE RESOURCES INC 294549100 823 31,600 SH X 03 X EQUITY OFFICE PROPERTIES 294741103 585 23,000 SH X 03 X ETHIKA CORP 297652109 1 40,000 SH X 03 X EUROPACIFIC GROWTH FUND SHARES OF 298706102 20,570 680,901 SH X 03 X EVERGREEN MUN TR TAX FREE FD A 300258746 102 13,409 SH X 03 X EXPEDITORS INTL WASH INC 302130109 3,640 67,400 SH X 03 X EXXON CORP 302290101 16,904 239,563 SH X 03 X FPL GROUP INC 302571104 354 6,636 SH X 03 X FEDERAL HOME LOAN MORTGAGE CORP 313400301 33,385 583,709 SH X 03 X FEDERAL NATIONAL MORTGAGE ASSN 313586109 12,149 175,433 SH X 03 X FEDERAL SIGNAL CORP 313855108 4,916 235,518 SH X 03 X FIDELITY ADVISOR EQUITY PORT GROWTH 315805200 4,025 65,850 SH X 03 X FIDELITY ADVISOR SER GROWTH OPPORT 315807206 13,661 275,256 SH X 03 X FIDELITY ADVISOR HIGH YIELD FUND 315807305 682 57,950 SH X 03 X FIDELITY ADVISOR SER II 315807404 1,985 105,259 SH X 03 X FIDELITY UTILITY FUNDS 316128107 237 10,504 SH X 03 X FIDELITY MAGELLAN FUND 316184100 4,661 35,915 SH X 03 X
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- ------------------------------------------------------------------------------------------------------------------------------------ COLUMN 1 & 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------------------------------------------------------------------------------------------------------------ INVESTMENT VOTING NAME OF ISSUER AND TITLE OF CLASS CUSIP VALUE SHRS OR SH/ PUT/ DISCRETION MANAGERS AUTHORITY (X 1000) PRN AMT PRN CALL SOLE SHRD OTHER SOLE SHRD NONE FIDELITY PURITAN FUND 316345107 1,890 93,654 SH X 03 X FIDELITY BLUE CHIP GROWTH FUND 316389303 304 5,705 SH X 03 X FIDELITY VALUE FUND 316464106 240 5,304 SH X 03 X FIFTH THIRD BANCORP 316773100 2,101 31,871 SH X 03 X FIRST BANCSHARES INC IND CAP STK 318685104 8,822 12,603 SH X 03 X FIRST DATA CORP 319963104 298 6,950 SH X 03 X FIRST LIBERTY FINL CORP. 320691108 898 42,400 SH X 03 X FIRST MIDWEST BANCORP INC 320867104 528 13,900 SH X 03 X FIRST UNION CORP 337358105 597 11,172 SH X 03 X FIRSTAR CORPORATION 33763V109 1,210 13,528 SH X 03 X FLAG INVS VALUE BLDR FD INC 33832R105 2,525 104,560 SH X 03 X FLORIDA PROGRESS CORP 341109106 548 14,534 SH X 03 X FORD MOTOR CO DEL 345370100 813 14,336 SH X 03 X FORTUNE BRANDS INC 349631101 1,042 27,073 SH X 03 X 93.0269% INT FRALICK FAMILY LLC 351684915 693 1 SH X 03 X FRANKLIN BALANCE SHEET INVT I 352423107 4,807 169,072 SH X 03 X FRANKLIN CALIF TAX FREE INCOME FUND 352518104 104 14,026 SH X 03 X FRANKLIN FEDERAL TAX FREE INCOME FD 353519101 173 14,068 SH X 03 X FRANKLIN REAL ESTATE SECS TR 354602104 339 24,793 SH X 03 X FRANKLIN SMALL CAP GRWTH 354713109 9,657 420,241 SH X 03 X FRIENDLY FUELS GROUP INC 357903103 13 76,000 SH X 03 X FUNDAMENTAL INVESTORS 360802102 2,277 75,693 SH X 03 X GPU INC 36225X100 746 20,000 SH X 03 X GTE CORP 362320103 4,534 74,946 SH X 03 X GABLES RESIDENTIAL TRUST 362418105 692 31,400 SH X 03 X GALLAHER GROUP PLC SPONSORED ADR 363595109 373 15,832 SH X 03 X GAM INTERNATIONAL FUND 364590109 8,285 308,552 SH X 03 X GANNETT INC 364730101 517 8,200 SH X 03 X GAP INC 364760108 1,208 17,950 SH X 03 X GAYLORD CONTAINER CORP 368145108 600 80,000 SH X 03 X GENERAL DYNAMICS CORP 369550108 1,031 16,044 SH X 03 X GENERAL ELECTRIC CO 369604103 68,121 615,791 SH X 03 X GENERAL MILLS INC 370334104 256 3,388 SH X 03 X GENERAL MOTORS CORP 370442105 1,270 14,604 SH X 03 X GILLETTE CO 375766102 10,034 168,814 SH X 03 X GRAINGER W W INC 384802104 1,211 28,100 SH X 03 X GRANITE CONSTRUCTION INC 387328107 1,044 44,700 SH X 03 X GUIDANT CORP 401698105 281 4,644 SH X 03 X HCC INS HLDGS INC 404132102 585 30,380 SH X 03 X HCR MANOR CARE INC. 404134108 684 30,000 SH X 03 X HAMBRECHT & QUIST GROUP, INC 406545103 652 18,800 SH X 03 X HARLEY DAVIDSON INC 412822108 37,551 653,771 SH X 03 X HARRIS ASSOC INVT TR OAKMARK FUND 413838103 2,929 82,151 SH X 03 X OAKMARK INTERNATIONAL FUND HARRIS 413838202 226 18,153 SH X 03 X HAYES LEMMERZ INTL INC 420781106 343 14,600 SH X 03 X HEALTH MANAGEMENT ASSOCIATES INC 421933102 21,925 1,798,934 SH X 03 X HELMERICH & PAYNE INC 423452101 794 35,000 SH X 03 X HEWLETT PACKARD CO 428236103 3,006 44,337 SH X 03 X HOME DEPOT INC 437076102 1,951 31,346 SH X 03 X HONEYWELL INC 438506107 266 3,500 SH X 03 X HORACE MANN EDUCATOR 440327104 487 21,200 SH X 03 X HOUGHTON MIFFLIN CO 441560109 1,495 31,900 SH X 03 X HOUSEHOLD INTERNATIONAL INC 441815107 2,821 61,817 SH X 03 X HUBBELL INC CL A 443510102 501 13,552 SH X 03 X HUBBELL INC CL B 443510201 383 9,588 SH X 03 X HUNTINGTON BANCSHARES INC 446150104 306 9,866 SH X 03 X IHOP CORP 449623107 631 16,100 SH X 03 X ILLINOIS TOOL WORKS INC 452308109 41,553 671,570 SH X 03 X INCOME FUND OF AMERICA 453320103 2,715 158,746 SH X 03 X
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- ------------------------------------------------------------------------------------------------------------------------------------ COLUMN 1 & 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------------------------------------------------------------------------------------------------------------ INVESTMENT VOTING NAME OF ISSUER AND TITLE OF CLASS CUSIP VALUE SHRS OR SH/ PUT/ DISCRETION MANAGERS AUTHORITY (X 1000) PRN AMT PRN CALL SOLE SHRD OTHER SOLE SHRD NONE INDIANA ENERGY INC 454707100 365 19,249 SH X 03 X INGERSOLL RAND CO 456866102 287 5,775 SH X 03 X INTEL CORP 458140100 3,157 26,555 SH X 03 X INTERMEDIATE BD FD AMER 458809100 2,004 149,851 SH X 03 X INTERNATIONAL BUSINESS MACHINES 459200101 4,677 26,382 SH X 03 X INTERNATIONAL MULTIFOODS COR 460043102 368 15,800 SH X 03 X INTERPUBLIC GROUP OF COMPANIES INC 460690100 798 10,250 SH X 03 X INTERTAPE POLYMER GROUP INC 460919103 1,381 52,340 SH X 03 X INVESCO INCOME FDS INC 461277204 143 22,056 SH X 03 X INVESCO VALUE TR 46128D309 3,142 102,408 SH X 03 X INVESTMENT CO OF AMERICA 461308108 8,837 280,265 SH X 03 X INVESTORS FINANCIAL SERVICES 461915100 483 16,800 SH X 03 X IONICS INC 462218108 547 18,180 SH X 03 X IPALCO ENTERPRISES INC 462613100 294 13,410 SH X 03 X IRWIN FINANCIAL CORP 464119106 571 28,480 SH X 03 X J P M INDUSTRIES INC CL A FORMERLY 46624D100 30 1,000,000 SH X 03 X JABIL CIRCUIT INC 466313103 737 18,200 SH X 03 X JANUS INVT FD WORLDWIDE FD 471023309 859 16,997 SH X 03 X JANUS INVT OVERSEAS FD 471023846 315 15,039 SH X 03 X JOHNSON & JOHNSON 478160104 5,713 61,102 SH X 03 X JOHNSON CONTROLS INC 478366107 22,852 366,366 SH X 03 X KANSAS CITY POWER & LIGHT CO 485134100 13,759 558,753 SH X 02,03 X KANSAS CITY POWER & LIGHT CO 485134100 39 1,600 SH X 03 X KANSAS CITY POWER & LIGHT CO 485134100 13,328 541,247 SH X 04 X KELLOGG CO 487836108 932 27,586 SH X 03 X KEMPER INSD CORPORATE TR UNIT SER 8 487903262 176 174,242 SH X 03 X KEMPER DREMAN FUND INC 48840B504 3,669 110,841 SH X 03 X KEMPER-DREMAN SMALL CAP VALU A FD 48840B876 1,300 77,079 SH X 03 X KEMPER MUNICIPAL BOND FUND CL A 488419201 139 13,704 SH X 03 X KEMPER US GOVERNMENT SECURITIES 488438102 231 26,751 SH X 03 X KIMBERLY CLARK CORP 494368103 1,591 33,202 SH X 03 X KOHLS CORP 500255104 21,503 303,398 SH X 03 X LG & E ENERGY CORP 501917108 213 10,198 SH X 03 X LTV CORP CMN US 501921100 350 65,200 SH X 03 X LANCASTER COLONY CORP 513847103 235 8,820 SH X 03 X LAWTER INTERNATIONAL INC 520786104 266 38,102 SH X 03 X LEE ENTERPRISES INC 523768109 209 7,200 SH X 03 X LILLY ELI & CO 532457108 2,506 29,531 SH X 03 X LINCOLN NATIONAL CORP INDIANA 534187109 7,392 74,762 SH X 03 X LINEAR TECHNOLOGY CORPORATION 535678106 513 10,000 SH X 03 X LITTELFUSE INC 537008104 704 38,330 SH X 03 X LOCKHEED MARTIN CORPORATION 539830109 212 5,624 SH X 03 X LUCENT TECHNOLOGIES INC 549463107 6,066 56,170 SH X 03 X MBNA CORP 55262L100 29,901 1,252,421 SH X 03 X MCI WORLDCOM INC 55268B106 1,987 22,431 SH X 03 X MFS EMERGING GROWTH FUND CL A 552985103 9,065 211,549 SH X 03 X MFS SER TR VII CAP OPPTYS FD CL A 552988305 16,888 972,807 SH X 03 X MANPOWER INC WISCONSIN 56418H100 708 30,300 SH X 03 X MARSH & MCLENNAN COS INC 571748102 1,595 21,490 SH X 03 X MARRIOTT INTL INC NEW CL A 571903202 770 22,900 SH X 03 X MASSACHUSETTS INVESTORS TRUST 575736103 17,082 843,589 SH X 03 X MATTEL INC 577081102 1,804 72,375 SH X 03 X MAY DEPARTMENT STORES CO 577778103 252 6,445 SH X 03 X MAYTAG CORP 578592107 346 5,728 SH X 03 X MCDONALDS CORP 580135101 4,348 95,948 SH X 03 X MCKESSON HBOC INC 58155Q103 19,808 300,126 SH X 03 X MEDIAONE GROUP INC 58440J104 669 10,550 SH X 03 X MEDICAL CARE INT CONV DEBENTURE 584505AB7 290 293,000 SH X 03 X MEDICAL CARE INTL INC SUB DEB CONV 584505AC5 1,619 1,950,000 SH X 03 X
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- ------------------------------------------------------------------------------------------------------------------------------------ COLUMN 1 & 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------------------------------------------------------------------------------------------------------------ INVESTMENT VOTING NAME OF ISSUER AND TITLE OF CLASS CUSIP VALUE SHRS OR SH/ PUT/ DISCRETION MANAGERS AUTHORITY (X 1000) PRN AMT PRN CALL SOLE SHRD OTHER SOLE SHRD NONE MEDQUIST INC 584949101 900 30,000 SH X 03 X MEDTRONIC INC 585055106 4,657 64,785 SH X 03 X MEMORIAL GOVERNMENT BOND FUND 586015505 5,682 568,727 SH X 03 X MEMORIAL CORPORATE BOND FUND 586015604 33,439 3,384,605 SH X 03 X MEMORIAL GROWTH EQUITY FUND 586015703 8,146 664,459 SH X 03 X MEMORIAL VALUE EQUITY FUND 586015802 6,654 756,998 SH X 03 X MENTOR GRAPHICS CORP 587200106 540 40,000 SH X 03 X MERCK & CO INC 589331107 31,860 397,516 SH X 03 X MERCURY FINANCE CO 589395102 11 88,092 SH X 03 X MERRILL LYNCH INSURED MUNICIPAL 590193108 217 26,804 SH X 03 X MICROSOFT CORP 594918104 42,173 470,564 SH X 03 X MID ATLANTIC MEDICAL SERVICE 59523C107 892 89,200 SH X 03 X MIDWEST EXPRESS HLDGS INC 597911106 2,179 74,159 SH X 03 X MILLENNIUM INCOME FD L L C 599909900 5,150 51,500 SH X 03 X MINNESOTA MINING & MANUFACTURING CO 604059105 1,362 19,246 SH X 03 X MINNESOTA POWER INC 604110106 658 33,304 SH X 03 X MOBIL CORP 607059102 3,157 35,874 SH X 03 X MOLEX INC 608554101 1,327 45,174 SH X 03 X MONSANTO CO 611662107 887 19,310 SH X 03 X MONTANA POWER CO 612085100 268 3,633 SH X 03 X MORGAN J P & CO INC 616880100 2,059 16,684 SH X 03 X MORGAN STANLEY DEAN WITTER U S 616969200 440 48,605 SH X 03 X MORGAN STANLEY DEAN WITTER & COMPANY 617446448 1,982 19,827 SH X 03 X MOTOROLA INC 620076109 4,199 57,322 SH X 03 X MUNICIPAL INVESTMENT TRUST FUND 62622A295 353 349 SH X 03 X MUNICIPAL INVT TR FD UNIT 201ST 62622B327 318 320 SH X 03 X MUNICIPAL INVT TR FD UNIT 182ND 62623X385 246 402 SH X 03 X MUTUAL BENEFIT LIFE INSURANCE 6279959A3 394 394,092 SH X 03 X MYLAN LABS 628530107 905 33,000 SH X 03 X NIPSCO INDUSTRIES INC 629140104 206 7,655 SH X 03 X NATIONAL CITY CORP 635405103 1,249 18,827 SH X 03 X NATIONAL HEALTH INVESTORS, I 63633D104 277 12,900 SH X 03 X NEVADA POWER CO 641423108 218 8,800 SH X 03 X NEW CENTY ENERGIES INC 64352U103 259 7,624 SH X 03 X NEW PERSPECTIVE FUND 648018109 10,128 416,462 SH X 03 X NEWELL RUBBERMAID INC 651229106 37,730 794,326 SH X 03 X NEWPORT NEWS SHIPBUILDING 652228107 1,470 46,400 SH X 03 X NICHOLAS-APPLEGATE MUT FDS 653699694 435 32,402 SH X 03 X NICHOLAS-APPLEGATE SMALL CAP GROWTH 653699785 774 46,296 SH X 03 X NICHOLAS FUND 653735100 2,578 30,256 SH X 03 X NICOR INC 654086107 408 11,366 SH X 03 X NINE WEST 65440D102 387 15,700 SH X 03 X NOBLE AFFILIATES INC 654894104 348 12,000 SH X 03 X NORFOLK SOUTHERN CORP 655844108 492 18,668 SH X 03 X NORTH AMERICAN VACCINE, 657201109 419 69,900 SH X 03 X NORTHERN TELECOM LTD 665815106 242 3,900 SH X 03 X NORTHERN TRUST CORP 665859104 6,947 78,214 SH X 03 X NUVEEN INSURED QUALITY MUNICIPAL FD 67062N103 194 12,150 SH X 03 X NUVEEN FLAGSHIP MUN TR MUN BD FD 67065Q400 142 14,861 SH X 03 X OM GROUP INC 670872100 1,128 34,190 SH X 03 X NUVEEN MUNICIPAL VALUE FUND INC 670928100 164 16,566 SH X 03 X OFFICE DEPOT INC 676220106 1,423 38,000 SH X 03 X OLD KENT FINANCIAL CORP 679833103 552 13,056 SH X 03 X OMNICARE INC 681904108 13,967 732,705 SH X 03 X OMNICOM GROUP 681919106 34,246 428,420 SH X 03 X OPPENHEIMER CAP APPREC FD 68379A107 1,049 24,404 SH X 03 X OPPENHEIMER QUEST OPPORT VALUE A FD 68380E106 28,900 790,484 SH X 03 X OPPENHEIMER QUEST FOR VAL FD 68380E700 2,770 173,458 SH X 03 X OPPENHEIMER QUEST VALUE CL A FD 68380H109 15,053 710,057 SH X 03 X
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- ------------------------------------------------------------------------------------------------------------------------------------ COLUMN 1 & 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------------------------------------------------------------------------------------------------------------ INVESTMENT VOTING NAME OF ISSUER AND TITLE OF CLASS CUSIP VALUE SHRS OR SH/ PUT/ DISCRETION MANAGERS AUTHORITY (X 1000) PRN AMT PRN CALL SOLE SHRD OTHER SOLE SHRD NONE OPPENHEIMER U S GOVT TR CL A 683810105 3,437 362,972 SH X 03 X OPPENHEIMER QST CP VL FD INC 68381A103 6,801 192,826 SH X 03 X ORBITAL ENGINE CORP LTD SPON ADR NEW 685563306 74 35,000 SH X 03 X ORTHODONTIC CTRS AMER INC 68750P103 1,187 75,370 SH X 03 X ORYX ENERGY CO CONV DEBENTURE 7.50% 68763FAD2 521 525,000 SH X 03 X OWENS & MINOR NEW 690732102 656 64,800 SH X 03 X PBHG FDS INC 69316H882 337 13,835 SH X 03 X PIMCO FDS MULTI MANAGER SER 69338T211 1,438 68,850 SH X 03 X PIMCO FDS MULTI MANAGER SER 69338T278 3,110 227,027 SH X 03 X PIMCO LOW DURATION FUND 693390304 2,103 208,248 SH X 03 X PIMCO FDS TOTAL RETURN FUND A 693390445 13,289 1,282,751 SH X 03 X PIMCO TOTAL RETURN FUND INSTL CL 693390700 6,774 653,895 SH X 03 X PARK NATIONAL CORP 700658107 2,304 24,000 SH X 03 X PARKER HANNIFIN CORP 701094104 446 13,026 SH X 03 X PAYCHEX INC 704326107 34,833 734,302 SH X 03 X PEOPLES ENERGY CORP 711030106 390 12,074 SH X 03 X PEP BOYS MANNY MOE & JACK SUB 713278AJ8 418 800,000 SH X 03 X PEPSICO INC 713448108 1,180 30,100 SH X 03 X PERFORMANCE FOOD GROUP CO 713755106 995 37,900 SH X 03 X PFIZER INC 717081103 59,897 431,690 SH X 03 X PHILIP MORRIS COS INC 718154107 5,530 157,179 SH X 03 X PIKE BANCORP 721462109 392 41 SH X 03 X PIONEER CAP GROWTH FD CL A 723635108 4,176 214,790 SH X 03 X PIONEER GROUP 723684106 237 16,000 SH X 01 X PITNEY BOWES INC 724479100 31,899 500,374 SH X 03 X PITTWAY CORP DEL CL A 725790208 233 8,802 SH X 03 X PLUM CREEK TIMBER COMPANY 729237107 395 13,848 SH X 03 X POTOMAC ELECTRIC CSD REGISTERED 737679BL3 204 200,000 SH X 03 X PREMIER BANCSHARES INC. 739909109 523 26,500 SH X 03 X PRAXAIR INC 74005P104 15,834 439,091 SH X 03 X PRECISION CASTPARTS CORP 740189105 1,112 27,630 SH X 03 X PRIME BANCSHARES INC 74157H108 327 23,100 SH X 03 X THE PRIVATE INVESTMENT LIMITED 742100XA3 142 200,000 SH X 03 X PROCTER & GAMBLE CO 742718109 37,499 382,881 SH X 03 X PUTNAM AMERICAN GOVT INC FUND CL A 74644B102 122 13,991 SH X 03 X PUTNAM CONV INCOME GROWTH TR 746476100 2,157 110,896 SH X 03 X PUTNAM OTC EMERGING GRWTH FD 746847102 1,964 106,777 SH X 03 X PUTNAM INTL GROWTH FD 746932102 3,053 150,706 SH X 03 X PUTNAM VISTA FD INC 747011104 863 63,011 SH X 03 X QUAKER OATS CO 747402105 1,168 18,751 SH X 03 X QUINTILES TRANSNATIONAL CORP 748767100 1,328 35,160 SH X 03 X RAINIER INVT MGMT MUT FDS 750869208 1,772 89,428 SH X 03 X RALSTON-RALSTON PURINA GROUP 751277302 944 35,390 SH X 03 X RAYTHEON CO CL B 755111408 1,146 19,546 SH X 03 X RELIANT ENERGY INC COM 75952J108 351 13,472 SH X 03 X REPUBLIC INDS INC 760516104 231 18,700 SH X 03 X REPUBLIC SECURITY FINL CORP 760758102 781 84,500 SH X 03 X RESCON TECHNOLOGY CORP 760844100 1 31,000 SH X 03 X RESERVE FD INC 761056209 5,414 5,413,948 SH X 03 X REUTERS GROUP PLC SPONSORED ADR 76132M102 700 8,058 SH X 03 X ROBERTSON STEPHENS INVT TR 770648855 591 33,161 SH X 03 X ROBOTIC VISION SYSTEMS 771074101 530 229,500 SH X 03 X ROCKWELL INTL CORP NEW 773903109 327 7,688 SH X 03 X ROWAN COMPANIES 779382100 702 55,400 SH X 03 X ROWE T PRICE EQUITY INC FD 779547108 1,387 53,757 SH X 03 X ROWE T PRICE MID-CAP GRW FD 779556109 5,468 161,727 SH X 03 X ROWE T PRICE VALUE FD INC 779578103 291 15,951 SH X 03 X ROYAL DUTCH PETE CO N Y REGISTRY SH 780257804 14,496 278,762 SH X 03 X RUSSELL FRANK INVT CO EQUITY I FD 782493100 3,987 109,892 SH X 03 X
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- ------------------------------------------------------------------------------------------------------------------------------------ COLUMN 1 & 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------------------------------------------------------------------------------------------------------------ INVESTMENT VOTING NAME OF ISSUER AND TITLE OF CLASS CUSIP VALUE SHRS OR SH/ PUT/ DISCRETION MANAGERS AUTHORITY (X 1000) PRN AMT PRN CALL SOLE SHRD OTHER SOLE SHRD NONE RUSSELL FRANK INVT CO EQUITY II FD 782493209 2,137 73,778 SH X 03 X RUSSELL FRANK INVT CO EQUITY III FD 782493308 1,302 47,150 SH X 03 X RUSSELL FRANK INVT CO FIXED INCOME I 782493407 5,471 252,796 SH X 03 X RUSSELL FRANK INVT CO INTL FD 782493605 3,764 99,186 SH X 03 X RUSSELL FRANK INVT CO EQUITY Q 782493811 8,098 199,022 SH X 03 X SBC COMMUNICATIONS INC 78387G103 2,972 62,972 SH X 03 X SLM HLDG CORP 78442A109 601 14,400 SH X 03 X STI CLASSIC FDS VALUE INCOME 784766834 2,960 256,247 SH X 03 X SSGA FDS 784924706 1,938 118,670 SH X 03 X ST PAUL BANCORP INC 792848103 831 38,388 SH X 03 X ST PAUL BANCORP 792848103 1,150 53,125 SH X 03 X ST PAUL COMPANIES INC 792860108 251 8,082 SH X 03 X SANMINA CORP 800907107 861 13,500 SH X 03 X SANTA-FE ENERGY RESOURCES 802012104 1,128 154,300 SH X 03 X SARA LEE CORP 803111103 2,215 89,496 SH X 03 X SCHERING PLOUGH CORP 806605101 18,742 339,230 SH X 03 X SCHLUMBERGER LTD 806857108 20,709 344,082 SH X 03 X SCHRODER REAL ESTATE VALUE - 807999107 464 464,330 SH X 03 X SCHRODER INTERNATIONAL EQUITY FUND 808088207 4,553 291,811 SH X 03 X CHARLES SCHWAB CORPORATION 808513105 51,124 531,855 SH X 03 X SCUDDER EQUITY TR VALUE FD 81114T208 581 23,439 SH X 03 X SEARS ROEBUCK & CO 812387108 1,413 31,272 SH X 03 X SELIGMAN COMMUN & INFO FD 816333108 897 29,252 SH X 03 X SELIGMAN FRONTIER FD INC CL A 816334106 508 42,257 SH X 03 X SERVICE CORP INTL 817565104 255 17,900 SH X 03 X SERVICEMASTER CO 81760N109 359 17,665 SH X 03 X SIGMA ALDRICH CORP 826552101 468 16,000 SH X 03 X SKYLINE FD 830833208 11,458 656,994 SH X 03 X SKYLINE FD SMALL CAP VALUE PLUS 830833406 1,488 144,653 SH X 03 X SMITH INTL INC 832110100 600 15,000 SH X 03 X SMITHKLINE BEECHAM PLC 832378301 858 12,000 SH X 03 X J.M. SMUCKER CO CLASS B 832696207 583 32,200 SH X 03 X SOGEN FDS INC INTL FD 834058505 1,243 54,262 SH X 03 X SOLECTRON CORP 834182107 19,583 403,260 SH X 03 X SOUND SHORE FD INC 836083105 425 14,996 SH X 03 X SOUTHERN CO 842587107 225 9,628 SH X 03 X SPECIALTY EQUIPMENT COS 847497203 906 32,800 SH X 03 X SPECTRX INC 847635109 101 15,800 SH X 03 X SPRINT CORP (FON GROUP) 852061100 1,517 15,452 SH X 03 X SPRINT CORP (PCS GROUP) 852061506 347 7,824 SH X 03 X STARBUCKS CORP 855244109 2,354 83,920 SH X 03 X STERLING COMM INC 859205106 1,485 48,292 SH X 03 X STERLING COMMERCE 859205106 384 12,500 SH X 03 X STERLING SOFTWARE INC 859547101 988 41,600 SH X 03 X STRIDE RITE CORP 863314100 790 64,500 SH X 03 X SUN MICROSYSTEMS INC 866810104 40,924 327,400 SH X 03 X SUNTRUST BANKS INC 867914103 249 4,000 SH X 03 X SYBRON INTL CORP WI 87114F106 12,501 500,040 SH X 03 X SYSCO CORP 871829107 35,259 1,340,010 SH X 03 X TCF FINL CORP 872275102 290 11,100 SH X 03 X TECHNOLOGY RESEARCH CORP NEW 878727304 32 28,500 SH X 03 X TELLABS INC 879664100 50,569 517,335 SH X 03 X TEMPLETON DEVELOPING MKTS TR 88018W104 643 57,388 SH X 03 X TEMPLETON EMERGING MARKETS FUND 880191101 149 13,500 SH X 03 X TEMPLETON FOREIGN FUND 880196209 16,194 1,817,534 SH X 03 X TEMPLETON GROWTH FD INC 880199104 6,320 366,163 SH X 03 X TENET HEALTHCARE CORP 88033G100 624 33,000 SH X 03 X TENET HEALTHCARE CORP SUB NT 88033GAD2 1,296 1,600,000 SH X 03 X TEVA PHARMACEUTICAL IND 881624209 640 13,500 SH X 03 X
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- ------------------------------------------------------------------------------------------------------------------------------------ COLUMN 1 & 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------------------------------------------------------------------------------------------------------------ INVESTMENT VOTING NAME OF ISSUER AND TITLE OF CLASS CUSIP VALUE SHRS OR SH/ PUT/ DISCRETION MANAGERS AUTHORITY (X 1000) PRN AMT PRN CALL SOLE SHRD OTHER SOLE SHRD NONE TEXACO INC 881694103 876 15,441 SH X 03 X THERMO ELECTRON CORP SUB DEB CONV 883556AF9 7,690 8,625,000 SH X 03 X THOMAS & BETTS CORP 884315102 751 20,000 SH X 03 X 3COM CORP 885535104 335 14,387 SH X 03 X TORCHMARK CORP 891027104 408 12,896 SH X 03 X TOWER AUTOMOTIVE INC 891707101 751 40,320 SH X 03 X TRAVELERS PROP CASUALTY 893939108 643 18,000 SH X 03 X TRIANGLE BANCORP INC 895835106 650 39,000 SH X 03 X TRIAD GUARANTY INC 895925105 417 30,800 SH X 03 X TRIBUNE CO NEW 896047107 5,356 81,847 SH X 03 X TRUMP HOTEL & CASINO RESORTS INC 898168109 990 247,450 SH X 03 X UAM FDS INC 902555796 575 44,469 SH X 03 X UAM FDS INC 902555879 2,731 230,683 SH X 03 X UAM FDS TR 902556851 2,143 146,776 SH X 03 X UICI 902737105 784 34,836 SH X 03 X US BANCORP DEL 902973106 243 7,153 SH X 03 X USAA MUT FD INC 903288603 4,417 227,457 SH X 03 X US CAN CORP 90328W105 796 54,000 SH X 03 X UNILEVER N V 904784501 372 5,600 SH X 03 X UNICOM CORPORATION 904911104 422 11,534 SH X 03 X UNION PACIFIC CORP 907818108 753 14,084 SH X 03 X UNISYS CORP SERIES A PREFERRED 909214207 255 4,910 SH X 03 X US HOME CORP 911920106 283 8,700 SH X 03 X U S WEST INC NEW 91273H101 1,133 20,587 SH X 03 X US TRUST CORP 91288L105 1,283 17,300 SH X 03 X UNITED TECHNOLOGIES CORP 913017109 2,049 15,124 SH X 03 X VANGUARD SPECIALIZED PTFLS 921908703 109 10,375 SH X 03 X VANGUARD WORLD FUND INTERNATIONAL 921910204 2,643 142,324 SH X 03 X VANGUARD GROWTH & INCOME FD #93 921913109 3,816 118,627 SH X 03 X VANGUARD BALANCED INDEX FUND 921931101 7,108 380,310 SH X 03 X VANGUARD WELLINGTON FUND INC 921935102 16,207 556,537 SH X 03 X VANGUARD / PRIMECAP FD INC 921936100 2,076 41,632 SH X 03 X VANGUARD WELLESLEY INCOME FUND 921938106 9,576 454,023 SH X 03 X VANGUARD / TRUSTEES EQTY FD 921939203 3,433 134,700 SH X 03 X VANGUARD WINDSOR FUND INC 922018106 239 14,888 SH X 03 X VANGUARD INSTITUTIONAL INDEX 922040100 251,541 2,135,870 SH X 03 X VASOCOR INC 9224991A6 959 767,000 SH X 03 X VANGUARD MONEY MKT RESVS INC 922906300 2,156 2,156,066 SH X 03 X VANGUARD MUNICIPAL INTERMEDIATE 922907209 300 22,356 SH X 03 X VANGUARD INDEX TRUST 500 PORTFOLIO 922908108 4,154 34,937 SH X 03 X VANGUARD INDEX SMALL CAPITALIZATION 922908702 343 17,266 SH X 03 X VERITAS DGC INC 92343P107 387 27,300 SH X 03 X VERMONT FIN SVCS 924180102 703 24,900 SH X 03 X VICTOR COMMODITY POOL 925990103 217 106 SH X 03 X VISIO CORP 927914101 1,470 52,250 SH X 03 X VITESSE SEMICONDUCTOR CORP 928497106 3,846 75,960 SH X 03 X WPS RESOURCES CORP 92931B106 444 15,048 SH X 03 X WAL MART STORES INC 931142103 1,272 13,802 SH X 03 X WALDEN RESIDENTIAL PROPS INC 931210108 690 39,200 SH X 03 X WALGREEN CO 931422109 66,969 2,370,604 SH X 03 X WALLACE COMPUTER SERVICES IN 932270101 774 39,100 SH X 03 X WARBURG PINCUS EMERGING GRW 933909103 2,060 53,551 SH X 03 X WARNER LAMBERT CO 934488107 1,655 24,988 SH X 03 X WASHINGTON GAS LIGHT CO 938837101 339 15,000 SH X 03 X WASHINGTON MUTUAL INVESTORS FUND 939330106 22,926 698,084 SH X 03 X WEBSTER FINANCIAL CORP. 947890109 739 25,600 SH X 03 X WELLS FARGO CO 949746101 32,418 924,597 SH X 03 X WEYERHAEUSER CO 962166104 202 3,650 SH X 03 X WHITMAN CORP 96647K102 273 15,900 SH X 03 X
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- ------------------------------------------------------------------------------------------------------------------------------------ COLUMN 1 & 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------------------------------------------------------------------------------------------------------------ INVESTMENT VOTING NAME OF ISSUER AND TITLE OF CLASS CUSIP VALUE SHRS OR SH/ PUT/ DISCRETION MANAGERS AUTHORITY (X 1000) PRN AMT PRN CALL SOLE SHRD OTHER SOLE SHRD NONE WISCONSIN CENT TRANSN CORP 976592105 156 11,800 SH X 03 X WISCONSIN ENERGY CORP 976657106 608 23,334 SH X 03 X WRIGLEY WILLIAM JR CO 982526105 617 6,823 SH X 03 X XEROX CORP 984121103 321 6,150 SH X 03 X YES! ENTERTAINMENT 985384100 39 435,555 SH X 01 X COVERED BRIDGES 990275232 23 23,000 SH X 03 X FRUIT OF THE LOOM INC G3682L105 228 22,000 SH X 03 X LORAL SPACE & COMMUNICATIONS G56462107 793 55,000 SH X 03 X TOMMY HILFIGER CORP G8915Z102 1,248 18,120 SH X 03 X TOTAL 4,554,055 176,558,968
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