-----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, LQ5+VqJ6MRBXIkkscOS6S/xi8hiBKewMFyd8DZv1YaX1lOeaLk79QjVFgACJw+ei OL0cjaOYf7thzvKlfO/LJA== 0000950123-99-009746.txt : 19991105 0000950123-99-009746.hdr.sgml : 19991105 ACCESSION NUMBER: 0000950123-99-009746 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990930 FILED AS OF DATE: 19991104 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: 99740654 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 ALLEGHANY CORPORATION 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: September 30, 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: 28-1590 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 November 5, 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: 580 Form 13F Information Table Value Total: $4,467,982 (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 SECURITIES AND EXCHANGE COMMISSION FORM 13F INFORMATION PREPARED FOR THE CHICAGO TRUST COMPANY AS OF 9/30/99
- ----------------------------------------------------------------------------------------- COLUMN 1&2 COLUMN 3 COLUMN 4 COLUMN 5 - ----------------------------------------------------------------------------------------- NAME OF ISSUER AND TITLE OF CLASS CUSIP MARKET SHRS OR SH/ PUT/ VALUE PRN AMT PRN CALL (X 1000) ARCH COAL 039380 3,694 300,000 SH ADC TELECOMMUNICATIONS INC 000886101 496 11,825 SH AFLAC INC 001055102 17,727 423,344 SH AGCO CORP 001084102 1,494 114,900 SH AGL RESOURCES INC 001204106 536 33,000 SH AES CORP 00130H105 22,642 383,760 SH AIM EQUITY FDS CONSTELLATION FD CL A 001413202 10,876 337,131 SH AMLI RESIDENTIAL PROPERTIES TRUST 001735109 5,108 243,229 SH AMLI RESIDENTIAL PROPERTIES, L.P. 001735893 225 10,735 SH A T & T CORPORATION 001957109 3,449 79,291 SH AT&T CORP LIBERTY MEDIA CL A 001957208 755 20,288 SH ABACUS DIRECT CORP 002553105 305 2,500 SH ABBOTT LABORATORIES 002824100 29,280 798,076 SH ACNIELSON CORP 004833109 136 6,000 SH THE ACORN FUND 004851101 2,626 144,176 SH THE ACORN INTERNATIONAL FUND 004851200 1,175 44,884 SH ALLEGHANY CORP DEL 017175100 6,712 37,918 SH CHICAGO TRUST SMALLCAP VALUE FD 017216201 10,847 1,157,615 SH ALLEGHANY VEREDUS AGGRESSIVE GROWTH 017216300 3,992 260,276 SH ALLEGHANY FDS EMERGING MKTS I 017216508 151 14,245 SH ALLEGHANY/BLAIRLOGIE EMERGING MKTS N 017216607 1,084 102,727 SH ALLEGHANY FDS INTL DEV FD I 017216706 258 20,047 SH ALLEGHANY/BLAIRLOGIE INTL DEV CL N 017216805 3,776 293,588 SH ALLIED SIGNAL INC 019512102 636 10,602 SH ALLOU HEALTH & BEAUTY INC CL A 019782101 82 15,300 SH ALLSTATE CORP 020002101 1,373 55,081 SH ALLTEL CORP 020039103 259 3,670 SH ALPHA 1 BIOMEDICALS INC 020910105 - 27,500 SH AMEREN CORP 023608102 3,895 102,997 SH AMEREN CORP 023608102 656 17,339 SH AMERICA ONLINE INC 02364J104 245 2,360 SH AMCORE FINANCIAL INC 023912108 1,163 56,300 SH AMERICAN BALANCED FD INC 024071102 10,746 686,181 SH AMERICAN CENTY CAP PTFLS INC 025076506 554 91,756 SH AMERICAN EXPRESS CO 025816109 1,949 14,437 SH AMERICAN GENERAL CORP 026351106 951 15,041 SH AMERICAN HOME PRODUCTS CORP 026609107 5,782 139,327 SH AMERICAN INTERNATIONAL GROUP INC 026874107 38,518 443,061 SH AMERICAN POWER CONVERSION 029066107 2,025 106,600 SH AMERICAN WATER WORKS INC 030411102 507 17,550 SH AMERITECH CORP NEW 030954101 5,099 76,390 SH AMGEN INC 031162100 2,096 25,718 SH ANDREW CORP 034425108 424 24,500 SH ANHEUSER BUSCH COS INC 035229103 525 7,496 SH AON CORP 037389103 7,892 266,956 SH APOLLO GROUP INC CL A 037604105 739 35,000 SH APPLIED MATERIALS INC 038222105 234 3,000 SH ARDENT SOFTWARE INC 039794102 445 16,500 SH ARIEL FD 040337206 424 12,525 SH ARIEL PREMIER BD A 040337404 207 20,867 SH ASSOCIATES FIRST CAPITAL CORP 046008108 20,625 572,943 SH ATLANTIC RICHFIELD CO 048825103 1,133 12,782 SH AUTOMATIC DATA PROCESSING INC 053015103 589 13,200 SH AUTONATION INC DEL 05329W102 234 18,700 SH - ------------------------------------------------------------------------------------------------------- COLUMN 1&2 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------------------------------------------------------------------------------- INVESTMENT VOTING NAME OF ISSUER AND TITLE OF CLASS DISCRETION MANAGER AUTHORITY SOLE SHRD OTHER SOLE SHRD NONE (A) (B) (C) (A) (B) (C) ARCH COAL X 01 X ADC TELECOMMUNICATIONS INC X 03 X AFLAC INC X 03 X AGCO CORP X 03 X AGL RESOURCES INC X 03 X AES CORP X 03 X AIM EQUITY FDS CONSTELLATION FD CL A X 03 X AMLI RESIDENTIAL PROPERTIES TRUST X 03 X AMLI RESIDENTIAL PROPERTIES, L.P. X 03 X A T & T CORPORATION X 03 X AT&T CORP LIBERTY MEDIA CL A X 03 X ABACUS DIRECT CORP X 03 X ABBOTT LABORATORIES X 03 X ACNIELSON CORP X 03 X THE ACORN FUND X 03 X THE ACORN INTERNATIONAL FUND X 03 X ALLEGHANY CORP DEL X 03 X CHICAGO TRUST SMALLCAP VALUE FD X 03 X ALLEGHANY VEREDUS AGGRESSIVE GROWTH X 03 X ALLEGHANY FDS EMERGING MKTS I X 03 X ALLEGHANY/BLAIRLOGIE EMERGING MKTS N X 03 X ALLEGHANY FDS INTL DEV FD I X 03 X ALLEGHANY/BLAIRLOGIE INTL DEV CL N X 03 X ALLIED SIGNAL INC X 03 X ALLOU HEALTH & BEAUTY INC CL A X 03 X ALLSTATE CORP X 03 X ALLTEL CORP X 03 X ALPHA 1 BIOMEDICALS INC X 03 X AMEREN CORP X 02,03 X AMEREN CORP X 03 X AMERICA ONLINE INC X 03 X AMCORE FINANCIAL INC X 03 X AMERICAN BALANCED FD INC X 03 X AMERICAN CENTY CAP PTFLS INC X 03 X AMERICAN EXPRESS CO X 03 X AMERICAN GENERAL CORP X 03 X AMERICAN HOME PRODUCTS CORP X 03 X AMERICAN INTERNATIONAL GROUP INC X 03 X AMERICAN POWER CONVERSION X 03 X AMERICAN WATER WORKS INC X 03 X AMERITECH CORP NEW X 03 X AMGEN INC X 03 X ANDREW CORP X 03 X ANHEUSER BUSCH COS INC X 03 X AON CORP X 03 X APOLLO GROUP INC CL A X 03 X APPLIED MATERIALS INC X 03 X ARDENT SOFTWARE INC X 03 X ARIEL FD X 03 X ARIEL PREMIER BD A X 03 X ASSOCIATES FIRST CAPITAL CORP X 03 X ATLANTIC RICHFIELD CO X 03 X AUTOMATIC DATA PROCESSING INC X 03 X AUTONATION INC DEL X 03 X
1 6 SECURITIES AND EXCHANGE COMMISSION FORM 13F INFORMATION PREPARED FOR THE CHICAGO TRUST COMPANY AS OF 9/30/99
- --------------------------------------------------------------------------------------- COLUMN 1&2 COLUMN 3 COLUMN 4 COLUMN 5 - --------------------------------------------------------------------------------------- NAME OF ISSUER AND TITLE OF CLASS CUSIP MARKET SHRS OR SH/ PUT/ VALUE PRN AMT PRN CALL (X 1000) AWARE INC MASS 05453N100 503 17,500 SH BP AMOCO SPON ADR 055622104 16,000 144,384 SH BT PYRAMID FDS 055847107 2,257 13,973 SH BT INVT FDS 055922868 586 24,224 SH BALDWIN & LYONS CL B 057755209 506 24,600 SH BANK OF AMERICA CORP 060505104 645 11,597 SH BANK ONE CORP 06423A103 2,683 77,062 SH BARON ASSET BEN INT FD 068278100 3,286 63,712 SH BAXTER INTERNATIONAL INC 071813109 935 15,518 SH BELL & HOWELL CO 077852101 976 26,600 SH BELL ATLANTIC CORP 077853109 1,845 27,410 SH BELLSOUTH CORP 079860102 4,637 103,045 SH BERGER OMNI INVT FD TR 083902106 637 30,408 SH BERGER OMNI SM CAP VALUE INS 083902205 3,258 155,168 SH BERKSHIRE HATHAWAY INC DEL 084670108 220 4 SH BERKSHIRE HATHAWAY INC DEL CL B 084670207 763 411 SH BESTFOODS 08658U101 1,449 29,840 SH BIOGEN INC 090597105 1,550 19,668 SH WILLIAM BLAIR LEVERAGED CAPITAL 0929939A4 223 1,000,000 SH BOEING CO 097023105 334 7,842 SH BOND FUND OF AMERICA INC 097873103 6,654 511,415 SH OPP CONV BOND FUND SEC A 097877104 1,264 83,305 SH BOSTON SCIENTIFIC CORP 101137107 837 33,800 SH BRANDYWINE FUND INC 10532D107 6,456 183,973 SH BRINSON FDS INC NON U S EQUITY FD 10970C306 1,711 136,137 SH BRINSON FDS MULTI ASSET PORTFOLIO 10970C900 3,441 4,074 SH BRINSON FDS U.S. SHORT/INTERM 10970C918 807 31,164 SH BRISTOL MYERS SQUIBB CO 110122108 5,545 82,139 SH BURLINGTON NORTHERN SANTA FE CORP 12189T104 289,431 10,524,773 SH BURLINGTON NORTHERN SANTA FE CORP 12189T104 343 12,467 SH BURLINGTON NORTHERN SANTA FE CORP 12189T104 204,173 7,424,469 SH CBS CORP 12490K107 241 5,207 SH C-CUBE MICROSYTEMS INC 125015107 717 16,500 SH CLECO CORP 12561W105 290 8,938 SH CNF TRANSPORTATION INC 12612W104 708 19,000 SH CHICAGO TRUST GROWTH & INCOME FUND 126413103 336,837 12,559,166 SH CHICAGO TRUST MUNICIPAL BOND FUND 126413301 13,581 1,377,348 SH MONTAG & CALDWELL GROWTH FUND 126413509 260,898 8,454,260 SH MONTAG & CALDWELL BALANCED FUND 126413608 79,797 4,308,720 SH CHICAGO TRUST TALON FUND 126413707 1,409 101,884 SH CHICAGO TRUST BALANCED FUND 126413806 255,568 20,060,287 SH MONTAG & CALDWELL GROWTH FD INSTL 126413889 152,952 4,913,318 SH CVS CORP 126650100 249 6,100 SH CAL DIVE INTERNATIONAL INC 127914109 836 24,400 SH CALVERT TAX-FREE RESERVES 131620205 127 11,891 SH CAMPBELL SOUP CO 134429109 235 6,000 SH CANADIAN NATIONAL RAILWAY CO 136375102 1,297 42,800 SH CAPITAL TRUST-CL A 14052H100 412 83,500 SH AMERICAN FUNDS CAP WORLD GROWTH 140543109 654 23,935 SH CARDINAL HEALTH INC 14149Y108 14,732 270,304 SH CARNIVAL CORP 143658102 20,399 468,940 SH CASEYS GENERAL STORES INC 147528103 574 42,800 SH CATERPILLAR INC 149123101 623 11,366 SH - ------------------------------------------------------------------------------------------------------- COLUMN 1&2 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------------------------------------------------------------------------------- INVESTMENT VOTING NAME OF ISSUER AND TITLE OF CLASS DISCRETION MANAGER AUTHORITY SOLE SHRD OTHER SOLE SHRD NONE (A) (B) (C) (A) (B) (C) AWARE INC MASS X 03 X BP AMOCO SPON ADR X 03 X BT PYRAMID FDS X 03 X BT INVT FDS X 03 X BALDWIN & LYONS CL B X 03 X BANK OF AMERICA CORP X 03 X BANK ONE CORP X 03 X BARON ASSET BEN INT FD X 03 X BAXTER INTERNATIONAL INC X 03 X BELL & HOWELL CO X 03 X BELL ATLANTIC CORP X 03 X BELLSOUTH CORP X 03 X BERGER OMNI INVT FD TR X 03 X BERGER OMNI SM CAP VALUE INS X 03 X BERKSHIRE HATHAWAY INC DEL X 03 X BERKSHIRE HATHAWAY INC DEL CL B X 03 X BESTFOODS X 03 X BIOGEN INC X 03 X WILLIAM BLAIR LEVERAGED CAPITAL X 03 X BOEING CO X 03 X BOND FUND OF AMERICA INC X 03 X OPP CONV BOND FUND SEC A X 03 X BOSTON SCIENTIFIC CORP X 03 X BRANDYWINE FUND INC X 03 X BRINSON FDS INC NON U S EQUITY FD X 03 X BRINSON FDS MULTI ASSET PORTFOLIO X 03 X BRINSON FDS U.S. SHORT/INTERM X 03 X BRISTOL MYERS SQUIBB CO X 03 X BURLINGTON NORTHERN SANTA FE CORP X 01 X BURLINGTON NORTHERN SANTA FE CORP X 03 X BURLINGTON NORTHERN SANTA FE CORP X 04 X CBS CORP X 03 X C-CUBE MICROSYTEMS INC X 03 X CLECO CORP X 03 X CNF TRANSPORTATION INC X 03 X CHICAGO TRUST GROWTH & INCOME FUND X 03 X CHICAGO TRUST MUNICIPAL BOND FUND X 03 X MONTAG & CALDWELL GROWTH FUND X 03 X MONTAG & CALDWELL BALANCED FUND X 03 X CHICAGO TRUST TALON FUND X 03 X CHICAGO TRUST BALANCED FUND X 03 X MONTAG & CALDWELL GROWTH FD INSTL X 03 X CVS CORP X 03 X CAL DIVE INTERNATIONAL INC X 03 X CALVERT TAX-FREE RESERVES X 03 X CAMPBELL SOUP CO X 03 X CANADIAN NATIONAL RAILWAY CO X 03 X CAPITAL TRUST-CL A X 03 X AMERICAN FUNDS CAP WORLD GROWTH X 03 X CARDINAL HEALTH INC X 03 X CARNIVAL CORP X 03 X CASEYS GENERAL STORES INC X 03 X CATERPILLAR INC X 03 X
2 7 SECURITIES AND EXCHANGE COMMISSION FORM 13F INFORMATION PREPARED FOR THE CHICAGO TRUST COMPANY AS OF 9/30/99
- --------------------------------------------------------------------------------------- COLUMN 1&2 COLUMN 3 COLUMN 4 COLUMN 5 - --------------------------------------------------------------------------------------- NAME OF ISSUER AND TITLE OF CLASS CUSIP MARKET SHRS OR SH/ PUT/ VALUE PRN AMT PRN CALL (X 1000) CENDANT CORP 151313103 305 17,209 SH CENTEX CONSTRUCTION PRODUCTS 15231R109 1,110 29,900 SH CENTRAL NEWSPAPERS INC 154647101 1,879 42,220 SH CHAMPION ENTERPRISES INC 158496109 864 96,000 SH CHASE MANHATTAN CORP NEW 16161A108 1,120 14,854 SH CHEVRON CORP 166751107 1,558 17,559 SH CHICAGO TITLE CORP 168228104 9,331 233,641 SH CHOCK FULL O NUTS CORP 170268106 132 12,111 SH CHURCH & DWIGHT CO INC 171340102 913 36,500 SH CISCO SYSTEMS INC 17275R102 67,575 985,736 SH CINTAS CORP 172908105 31,975 553,228 SH CITIGROUP INC 172967101 878 19,949 SH CITIZENS UTILS CO DEL SER B 177342201 420 37,076 SH COASTAL CARIBBEAN OILS & MINERALS 190432203 17 11,571 SH COCA COLA CO 191216100 5,400 111,920 SH COHEN & STEERS REALTY SHS INC 192476109 2,374 65,814 SH COLGATE PALMOLIVE CO 194162103 1,247 27,242 SH COMDISCO INC 200336105 2,254 116,674 SH COMMERCIAL FED CORP 201647104 1,066 54,300 SH COMPUTER ASSOCIATE INTL INC 204912109 41,136 672,182 SH COMPUTER SCIENCES CORP 205363104 30,838 438,598 SH CONAGRA INC 205887102 2,197 97,391 SH CONCORD EFS INC 206197105 2,424 117,517 SH CONEXANT SYSTEMS INC 207142100 232 3,204 SH CONNING MORTGAGE INVESTMENT TRUST 208216903 75 74,532 SH BATTLE MOUNTAIN GOLD CO EURO 2084541 471 650,000 SH CONSOLIDATED EDISON INC 209115104 1,638 39,461 SH CONSOLIDATED NATURAL GAS CO 209615103 418 6,700 SH COOPER INDS INC 216669101 254 5,431 SH CORNING INC 219350105 343 5,000 SH COSTCO WHOLESALE CORP 22160K105 461 6,400 SH COURT MIICRO INVESTORS LLC 222740904 50 50,000 SH COVENTRY HEALTH CARE, INC. 222862104 1,004 106,000 SH COYOTE NETWORK SYS INC 22406P108 107 20,052 SH CYTEC INDUSTRIES INC. 232820100 989 41,200 SH DANIELSON HLDGS CORP 236274106 399 66,500 SH DAVIS N Y VENTURE FD INC 239080104 20,847 792,653 SH DEAN FOODS CO 242361103 1,684 38,659 SH DELL COMPUTER CORP 247025109 606 14,490 SH DELUXE CORP 248019101 567 16,650 SH DEXTER CORP 252165105 851 22,800 SH DIEBOLD INC 253651103 370 16,000 SH DISNEY WALT CO 254687106 2,465 94,822 SH DODGE & COX BALANCED FUND 256201104 32,352 479,645 SH DONNELLEY RR & SONS 257867101 260 9,000 SH DOW CHEMICAL CO 260543103 1,148 10,103 SH DU PONT E I DE NEMOURS & CO 263534109 2,224 36,756 SH DUKE ENERGY CORP 264399106 290 5,247 SH DUPONT PHOTOMASKS INC 26613X101 602 13,100 SH EMC CORPORATION 268648102 53,278 746,120 SH EMC CORP SUB NT CONV 26865YAA2 11,358 1,800,000 SH EASTMAN KODAK CO 277461109 487 6,428 SH ECOLAB INC 278865100 27,271 799,138 SH - ------------------------------------------------------------------------------------------- COLUMN 1&2 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------------------------------------------------------------------- INVESTMENT VOTING NAME OF ISSUER AND TITLE OF CLASS DISCRETION MANAGER AUTHORITY SOLE SHRD OTHER SOLE SHRD NONE (A) (B) (C) (A) (B) (C) CENDANT CORP X 03 X CENTEX CONSTRUCTION PRODUCTS X 03 X CENTRAL NEWSPAPERS INC X 03 X CHAMPION ENTERPRISES INC X 03 X CHASE MANHATTAN CORP NEW X 03 X CHEVRON CORP X 03 X CHICAGO TITLE CORP X 03 X CHOCK FULL O NUTS CORP X 03 X CHURCH & DWIGHT CO INC X 03 X CISCO SYSTEMS INC X 03 X CINTAS CORP X 03 X CITIGROUP INC X 03 X CITIZENS UTILS CO DEL SER B X 03 X COASTAL CARIBBEAN OILS & MINERALS X 03 X COCA COLA CO X 03 X COHEN & STEERS REALTY SHS INC X 03 X COLGATE PALMOLIVE CO X 03 X COMDISCO INC X 03 X COMMERCIAL FED CORP X 03 X COMPUTER ASSOCIATE INTL INC X 03 X COMPUTER SCIENCES CORP X 03 X CONAGRA INC X 03 X CONCORD EFS INC X 03 X CONEXANT SYSTEMS INC X 03 X CONNING MORTGAGE INVESTMENT TRUST X 02,03 X BATTLE MOUNTAIN GOLD CO EURO X 03 X CONSOLIDATED EDISON INC X 03 X CONSOLIDATED NATURAL GAS CO X 03 X COOPER INDS INC X 03 X CORNING INC X 03 X COSTCO WHOLESALE CORP X 03 X COURT MIICRO INVESTORS LLC X 03 X COVENTRY HEALTH CARE, INC. X 03 X COYOTE NETWORK SYS INC X 03 X CYTEC INDUSTRIES INC. X 03 X DANIELSON HLDGS CORP X 03 X DAVIS N Y VENTURE FD INC X 03 X DEAN FOODS CO X 03 X DELL COMPUTER CORP X 03 X DELUXE CORP X 03 X DEXTER CORP X 03 X DIEBOLD INC X 03 X DISNEY WALT CO X 03 X DODGE & COX BALANCED FUND X 03 X DONNELLEY RR & SONS X 03 X DOW CHEMICAL CO X 03 X DU PONT E I DE NEMOURS & CO X 03 X DUKE ENERGY CORP X 03 X DUPONT PHOTOMASKS INC X 03 X EMC CORPORATION X 03 X EMC CORP SUB NT CONV X 03 X EASTMAN KODAK CO X 03 X ECOLAB INC X 03 X
3 8 SECURITIES AND EXCHANGE COMMISSION FORM 13F INFORMATION PREPARED FOR THE CHICAGO TRUST COMPANY AS OF 9/30/99
- --------------------------------------------------------------------------------------- COLUMN 1&2 COLUMN 3 COLUMN 4 COLUMN 5 - --------------------------------------------------------------------------------------- NAME OF ISSUER AND TITLE OF CLASS CUSIP MARKET SHRS OR SH/ PUT/ VALUE PRN AMT PRN CALL (X 1000) EDISON INTERNATIONAL 281020107 258 10,608 SH ELAN PLC ADR 284131208 3,087 91,940 SH ELDORADO BANCSHARES INC 28467W106 377 42,800 SH ELECTRONIC ARTS INC 285512109 680 9,400 SH ELECTRONIC DATA SYS CORP NEW 285661104 1,111 20,982 SH EMERSON ELECTRIC CO 291011104 2,064 32,662 SH ENRON CORP 293561106 896 21,824 SH ENTERPRISE SMALL CO PFT A 293720850 3,152 367,794 SH L M ERICSSON TELEPHONE COMPANY ADR 294821400 341 10,900 SH ETHIKA CORP 297652109 1 40,000 SH EUROPACIFIC GROWTH FUND SHARES OF 298706102 35,874 1,047,399 SH EVERGREEN MUN TR TAX FREE FD A 300258746 116 16,387 SH EXPEDITORS INTL WASH INC 302130109 4,326 134,800 SH EXXON CORP 302290101 18,171 239,082 SH FPL GROUP INC 302571104 239 4,736 SH FEDERAL HOME LOAN MORTGAGE CORP 313400301 30,741 591,175 SH FEDERAL NATIONAL MORTGAGE ASSN 313586109 10,998 175,433 SH FEDERAL SIGNAL CORP 313855108 4,498 226,318 SH FIDELITY ADVISOR EQUITY PORT GROWTH 315805200 4,300 68,840 SH FIDELITY ADVISOR SER GROWTH OPPORT 315807206 15,788 321,281 SH FIDELITY ADVISOR HIGH YIELD FUND 315807305 1,673 149,773 SH FIDELITY INVT TR 315910802 449 21,946 SH FIDELITY UTILITY FUNDS 316128107 266 11,178 SH FIDELITY EQUITY INCOME FUND 316138106 749 13,373 SH FIDELITY MAGELLAN FUND 316184100 4,862 39,846 SH FIDELITY NATIONAL CORP 316320100 415 51,900 SH FIDELITY PURITAN FUND 316345107 1,661 89,268 SH FIDELITY BLUE CHIP GROWTH FUND 316389303 245 4,902 SH FIDELITY VALUE FUND 316464106 2,667 52,807 SH FIFTH THIRD BANCORP 316773100 1,940 31,871 SH FIRST BANCSHARES INC IND CAP STK 318685104 9,022 12,888 SH FIRST DATA CORP 319963104 250 5,700 SH FIRST FINANCIAL HLDGS 320239106 872 50,200 SH FIRST MIDWEST BANCORP INC 320867104 512 13,400 SH FIRST UNION CORP 337358105 413 11,597 SH FIRSTAR CORPORATION 33763V109 1,067 41,621 SH FLAG INVS VALUE BLDR FD INC 33832R105 3,386 147,270 SH FLORIDA PROGRESS CORP 341109106 360 7,800 SH FLORIDA ROCK INDS 341140101 410 11,800 SH FLORSHEIM GROUP INC 343302105 192 78,900 SH FORD MOTOR CO DEL 345370100 695 13,840 SH FORTUNE BRANDS INC 349631101 768 23,823 SH 93.0269% INT FRALICK FAMILY LLC 351684915 482 1 SH FRANKLIN BALANCE SHEET INVT I 352423107 4,383 144,761 SH FRANKLIN FEDERAL TAX FREE INCOME FD 353519101 164 14,068 SH FRANKLIN SMALL CAP GRWTH 354713109 13,924 500,128 SH FRIENDLY FUELS GROUP INC 357903103 13 76,000 SH FUNDAMENTAL INVESTORS 360802102 2,404 77,069 SH GTE CORP 362320103 5,322 69,228 SH GABLES RESIDENTIAL TRUST 362418105 754 31,400 SH GALLAGHER (ARTHUR J.) & CO 363576109 1,550 29,100 SH GALLAHER GROUP PLC SPONSORED ADR 363595109 308 11,332 SH GAM INTERNATIONAL FUND 364590109 6,101 248,515 SH - ------------------------------------------------------------------------------------------- COLUMN 1&2 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------------------------------------------------------------------- INVESTMENT VOTING NAME OF ISSUER AND TITLE OF CLASS DISCRETION MANAGER AUTHORITY SOLE SHRD OTHER SOLE SHRD NONE (A) (B) (C) (A) (B) (C) EDISON INTERNATIONAL X 03 X ELAN PLC ADR X 03 X ELDORADO BANCSHARES INC X 03 X ELECTRONIC ARTS INC X 03 X ELECTRONIC DATA SYS CORP NEW X 03 X EMERSON ELECTRIC CO X 03 X ENRON CORP X 03 X ENTERPRISE SMALL CO PFT A X 03 X L M ERICSSON TELEPHONE COMPANY ADR X 03 X ETHIKA CORP X 03 X EUROPACIFIC GROWTH FUND SHARES OF X 03 X EVERGREEN MUN TR TAX FREE FD A X 03 X EXPEDITORS INTL WASH INC X 03 X EXXON CORP X 03 X FPL GROUP INC X 03 X FEDERAL HOME LOAN MORTGAGE CORP X 03 X FEDERAL NATIONAL MORTGAGE ASSN X 03 X FEDERAL SIGNAL CORP X 03 X FIDELITY ADVISOR EQUITY PORT GROWTH X 03 X FIDELITY ADVISOR SER GROWTH OPPORT X 03 X FIDELITY ADVISOR HIGH YIELD FUND X 03 X FIDELITY INVT TR X 03 X FIDELITY UTILITY FUNDS X 03 X FIDELITY EQUITY INCOME FUND X 03 X FIDELITY MAGELLAN FUND X 03 X FIDELITY NATIONAL CORP X 03 X FIDELITY PURITAN FUND X 03 X FIDELITY BLUE CHIP GROWTH FUND X 03 X FIDELITY VALUE FUND X 03 X FIFTH THIRD BANCORP X 03 X FIRST BANCSHARES INC IND CAP STK X 03 X FIRST DATA CORP X 03 X FIRST FINANCIAL HLDGS X 03 X FIRST MIDWEST BANCORP INC X 03 X FIRST UNION CORP X 03 X FIRSTAR CORPORATION X 03 X FLAG INVS VALUE BLDR FD INC X 03 X FLORIDA PROGRESS CORP X 03 X FLORIDA ROCK INDS X 03 X FLORSHEIM GROUP INC X 03 X FORD MOTOR CO DEL X 03 X FORTUNE BRANDS INC X 03 X 93.0269% INT FRALICK FAMILY LLC X 03 X FRANKLIN BALANCE SHEET INVT I X 03 X FRANKLIN FEDERAL TAX FREE INCOME FD X 03 X FRANKLIN SMALL CAP GRWTH X 03 X FRIENDLY FUELS GROUP INC X 03 X FUNDAMENTAL INVESTORS X 03 X GTE CORP X 03 X GABLES RESIDENTIAL TRUST X 03 X GALLAGHER (ARTHUR J.) & CO X 03 X GALLAHER GROUP PLC SPONSORED ADR X 03 X GAM INTERNATIONAL FUND X 03 X
4 9 SECURITIES AND EXCHANGE COMMISSION FORM 13F INFORMATION PREPARED FOR THE CHICAGO TRUST COMPANY AS OF 9/30/99
- --------------------------------------------------------------------------------------- COLUMN 1&2 COLUMN 3 COLUMN 4 COLUMN 5 - --------------------------------------------------------------------------------------- NAME OF ISSUER AND TITLE OF CLASS CUSIP MARKET SHRS OR SH/ PUT/ VALUE PRN AMT PRN CALL (X 1000) GANNETT INC 364730101 607 8,770 SH GAP INC 364760108 664 20,723 SH GENERAL AMERICAN INVESTORS COMPANY 368802104 220 6,750 SH GENERAL DYNAMICS CORP 369550108 1,027 16,444 SH GENERAL ELECTRIC CO 369604103 72,397 610,627 SH GENERAL MILLS INC 370334104 262 3,233 SH GENERAL MOTORS CORP 370442105 927 14,719 SH GILLETTE CO 375766102 5,249 154,654 SH GRACO INC 384109104 824 25,100 SH GRAINGER W W INC 384802104 1,247 25,950 SH GUARDIAN ENTERPRISES LTD 40136B108 - 10,000 SH GUIDANT CORP 401698105 265 4,948 SH HARLEY DAVIDSON INC 412822108 32,909 657,341 SH HARMONIC INC 413160102 262 2,000 SH HARRIS ASSOC INVT TR OAKMARK FUND 413838103 2,824 82,151 SH OAKMARK INTERNATIONAL FUND HARRIS 413838202 253 18,153 SH HAYES LEMMERZ INTL INC 420781106 874 37,600 SH HEALTH MANAGEMENT ASSOCIATES INC 421933102 3,253 419,769 SH HEWLETT PACKARD CO 428236103 3,842 42,337 SH HOME DEPOT INC 437076102 1,938 28,246 SH HONEYWELL INC 438506107 389 3,500 SH HOUGHTON MIFFLIN CO 441560109 1,296 31,900 SH HOUSEHOLD INTERNATIONAL INC 441815107 2,248 56,042 SH HUBBELL INC CL A 443510102 456 13,552 SH HUBBELL INC CL B 443510201 306 9,588 SH HUNTINGTON BANCSHARES INC 446150104 289 10,852 SH ILLINOIS TOOL WORKS INC 452308109 60,161 806,843 SH INCOME FUND OF AMERICA 453320103 2,418 144,892 SH INDIANA ENERGY INC 454707100 386 19,249 SH INGERSOLL RAND CO 456866102 318 5,790 SH INFORMATION RESOURCES INC 456905108 322 29,000 SH INTEL CORP 458140100 4,150 55,842 SH INTERMEDIATE BD FD AMER 458809100 1,949 148,881 SH INTERNATIONAL BUSINESS MACHINES 459200101 6,517 53,860 SH INTERPUBLIC GROUP OF COMPANIES INC 460690100 1,218 29,600 SH INTERTAPE POLYMER GROUP INC 460919103 1,479 52,340 SH INVESCO INCOME FDS INC 461277204 179 29,119 SH INVESCO VALUE TR 46128D309 3,200 103,824 SH INVESTMENT CO OF AMERICA 461308108 9,678 302,627 SH IONICS INC 462218108 589 18,180 SH IPALCO ENTERPRISES INC 462613100 221 11,360 SH IRWIN FINANCIAL CORP 464119106 571 28,480 SH JDS UNIPHASE CORP 46612J101 250 2,200 SH J P M INDUSTRIES INC CL A FORMERLY 46624D100 30 1,000,000 SH JABIL CIRCUIT INC 466313103 901 18,200 SH JANUS ASPEN SERIES INTERNATIONAL 471021816 327 13,420 SH JANUS ASPEN SERIES AGRESSIVE 471021857 1,148 31,030 SH JANUS INVT FD WORLDWIDE FD 471023309 3,058 55,817 SH JANUS INVT OVERSEAS FD 471023846 668 28,740 SH JANUS INVT FD 471023853 893 26,951 SH JOHNSON & JOHNSON 478160104 6,392 69,572 SH JOHNSON CONTROLS INC 478366107 28,788 434,131 SH KANSAS CITY POWER & LIGHT CO 485134100 13,516 558,753 SH - ------------------------------------------------------------------------------------------ COLUMN 1&2 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------------------------------------------------------------------ NVESTMENT VOTING NAME OF ISSUER AND TITLE OF CLASS DISCRETION MANAGER AUTHORITY SOLE SHRD OTHER SOLE SHRD NONE (A) (B) (C) (A) (B) (C) GANNETT INC X 03 X GAP INC X 03 X GENERAL AMERICAN INVESTORS COMPANY X 03 X GENERAL DYNAMICS CORP X 03 X GENERAL ELECTRIC CO X 03 X GENERAL MILLS INC X 03 X GENERAL MOTORS CORP X 03 X GILLETTE CO X 03 X GRACO INC X 03 X GRAINGER W W INC X 03 X GUARDIAN ENTERPRISES LTD X 03 X GUIDANT CORP X 03 X HARLEY DAVIDSON INC X 03 X HARMONIC INC X 03 X HARRIS ASSOC INVT TR OAKMARK FUND X 03 X OAKMARK INTERNATIONAL FUND HARRIS X 03 X HAYES LEMMERZ INTL INC X 03 X HEALTH MANAGEMENT ASSOCIATES INC X 03 X HEWLETT PACKARD CO X 03 X HOME DEPOT INC X 03 X HONEYWELL INC X 03 X HOUGHTON MIFFLIN CO X 03 X HOUSEHOLD INTERNATIONAL INC X 03 X HUBBELL INC CL A X 03 X HUBBELL INC CL B X 03 X HUNTINGTON BANCSHARES INC X 03 X ILLINOIS TOOL WORKS INC X 03 X INCOME FUND OF AMERICA X 03 X INDIANA ENERGY INC X 03 X INGERSOLL RAND CO X 03 X INFORMATION RESOURCES INC X 03 X INTEL CORP X 03 X INTERMEDIATE BD FD AMER X 03 X INTERNATIONAL BUSINESS MACHINES X 03 X INTERPUBLIC GROUP OF COMPANIES INC X 03 X INTERTAPE POLYMER GROUP INC X 03 X INVESCO INCOME FDS INC X 03 X INVESCO VALUE TR X 03 X INVESTMENT CO OF AMERICA X 03 X IONICS INC X 03 X IPALCO ENTERPRISES INC X 03 X IRWIN FINANCIAL CORP X 03 X JDS UNIPHASE CORP X 03 X J P M INDUSTRIES INC CL A FORMERLY X 03 X JABIL CIRCUIT INC X 03 X JANUS ASPEN SERIES INTERNATIONAL X 03 X JANUS ASPEN SERIES AGRESSIVE X 03 X JANUS INVT FD WORLDWIDE FD X 03 X JANUS INVT OVERSEAS FD X 03 X JANUS INVT FD X 03 X JOHNSON & JOHNSON X 03 X JOHNSON CONTROLS INC X 03 X KANSAS CITY POWER & LIGHT CO X 02,03 X
5 10 SECURITIES AND EXCHANGE COMMISSION FORM 13F INFORMATION PREPARED FOR THE CHICAGO TRUST COMPANY AS OF 9/30/99
- --------------------------------------------------------------------------------------- COLUMN 1&2 COLUMN 3 COLUMN 4 COLUMN 5 - --------------------------------------------------------------------------------------- NAME OF ISSUER AND TITLE OF CLASS CUSIP MARKET SHRS OR SH/ PUT/ VALUE PRN AMT PRN CALL (X 1000) KANSAS CITY POWER & LIGHT CO 485134100 38 1,600 SH KANSAS CITY POWER & LIGHT CO 485134100 13,091 541,247 SH KELLOGG CO 487836108 883 23,586 SH KEMPER INSD CORPORATE TR UNIT SER 8 487903262 172 174,242 SH KEMET CORP 488360108 678 21,200 SH KEMPER DREMAN FUND INC 48840B504 3,454 111,311 SH KEMPER-DREMAN SMALL CAP VALU A FD 48840B876 239 13,281 SH KEMPER MUNICIPAL BOND FUND CL A 488419201 135 14,048 SH KEMPER US GOVERNMENT SECURITIES 488438102 232 27,559 SH KERR MCGEE CORP SUB DEB CONV 492386AL1 488 498,000 SH KIMBERLY CLARK CORP 494368103 1,539 29,176 SH KOHLS CORP 500255104 20,472 309,590 SH LG & E ENERGY CORP 501917108 240 11,287 SH LILLY ELI & CO 532457108 1,304 20,317 SH LINCOLN NATIONAL CORP INDIANA 534187109 5,285 140,704 SH LINEAR TECHNOLOGY CORPORATION 535678106 588 10,000 SH LITTELFUSE INC 537008104 853 38,330 SH LONGLEAF PARTNERS FUND SH BEN INT 543069108 1,995 79,630 SH LORD ABBETT DEVELOPING GROWTH 544006109 212 12,823 SH LUCENT TECHNOLOGIES INC 549463107 6,846 105,517 SH MBNA CORP 55262L100 29,239 1,281,714 SH MDC HOLDINGS INC 552676108 656 40,500 SH MCI WORLDCOM INC 55268B106 2,293 31,908 SH MAS FDS EQUITY PTFL 552913105 873 44,055 SH MFS EMERGING GROWTH FUND CL A 552985103 10,800 219,292 SH MFS SER TR VII CAP OPPTYS FD CL A 552988305 10,844 566,263 SH MAGNA INTERNATIONAL INC-CL A 559222401 248 5,000 SH MANPOWER 56418H100 830 28,500 SH MARINE DRILLING COMPANIES 568240204 705 44,600 SH MARSH & MCLENNAN COS INC 571748102 1,616 23,585 SH MARRIOTT INTL INC NEW CL A 571903202 723 22,100 SH MASSACHUSETTS INVESTORS GROWTH FUND 575719109 1,327 77,058 SH MASSACHUSETTS INVESTORS TRUST 575736103 15,477 799,825 SH MATTEL INC 577081102 426 22,403 SH MCDONALDS CORP 580135101 3,587 82,938 SH MEDIAONE GROUP INC 58440J104 717 10,496 SH MEDICAL CARE INT CONV DEBENTURE 584505AB7 275 278,000 SH MEDICAL CARE INTL INC SUB DEB CONV 584505AC5 1,631 1,950,000 SH MEDQUIST INC 584949101 1,003 30,000 SH MEDTRONIC INC 585055106 4,846 136,270 SH MEMORIAL GOVERNMENT BOND FUND 586015505 4,158 429,546 SH MEMORIAL CORPORATE BOND FUND 586015604 31,112 3,264,597 SH MEMORIAL GROWTH EQUITY FUND 586015703 6,134 521,585 SH MEMORIAL VALUE EQUITY FUND 586015802 5,170 600,465 SH MENTOR GRAPHICS CORP 587200106 1,001 116,500 SH MERCK & CO INC 589331107 25,242 389,455 SH MEREDITH CORP 589433101 1,376 37,900 SH MERRILL LYNCH & CO INC 590188108 907 13,456 SH MERRILL LYNCH INSURED MUNICIPAL 590193108 202 26,804 SH MICHAELS STORES INC. 594087108 539 18,300 SH MICROSOFT CORP 594918104 43,986 485,649 SH MIDWEST EXPRESS HLDGS INC 597911106 1,923 73,409 SH MILACRON INC. 598709103 1,203 67,800 SH - ------------------------------------------------------------------------------------------- COLUMN 1&2 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------------------------------------------------------------------- INVESTMENT VOTING NAME OF ISSUER AND TITLE OF CLASS DISCRETION MANAGER AUTHORITY SOLE SHRD OTHER SOLE SHRD NONE (A) (B) (C) (A) (B) (C) KANSAS CITY POWER & LIGHT CO X 03 X KANSAS CITY POWER & LIGHT CO X 04 X KELLOGG CO X 03 X KEMPER INSD CORPORATE TR UNIT SER 8 X 03 X KEMET CORP X 03 X KEMPER DREMAN FUND INC X 03 X KEMPER-DREMAN SMALL CAP VALU A FD X 03 X KEMPER MUNICIPAL BOND FUND CL A X 03 X KEMPER US GOVERNMENT SECURITIES X 03 X KERR MCGEE CORP SUB DEB CONV X 03 X KIMBERLY CLARK CORP X 03 X KOHLS CORP X 03 X LG & E ENERGY CORP X 03 X LILLY ELI & CO X 03 X LINCOLN NATIONAL CORP INDIANA X 03 X LINEAR TECHNOLOGY CORPORATION X 03 X LITTELFUSE INC X 03 X LONGLEAF PARTNERS FUND SH BEN INT X 03 X LORD ABBETT DEVELOPING GROWTH X 03 X LUCENT TECHNOLOGIES INC X 03 X MBNA CORP X 03 X MDC HOLDINGS INC X 03 X MCI WORLDCOM INC X 03 X MAS FDS EQUITY PTFL X 03 X MFS EMERGING GROWTH FUND CL A X 03 X MFS SER TR VII CAP OPPTYS FD CL A X 03 X MAGNA INTERNATIONAL INC-CL A X 03 X MANPOWER X 03 X MARINE DRILLING COMPANIES X 03 X MARSH & MCLENNAN COS INC X 03 X MARRIOTT INTL INC NEW CL A X 03 X MASSACHUSETTS INVESTORS GROWTH FUND X 03 X MASSACHUSETTS INVESTORS TRUST X 03 X MATTEL INC X 03 X MCDONALDS CORP X 03 X MEDIAONE GROUP INC X 03 X MEDICAL CARE INT CONV DEBENTURE X 03 X MEDICAL CARE INTL INC SUB DEB CONV X 03 X MEDQUIST INC X 03 X MEDTRONIC INC X 03 X MEMORIAL GOVERNMENT BOND FUND X 03 X MEMORIAL CORPORATE BOND FUND X 03 X MEMORIAL GROWTH EQUITY FUND X 03 X MEMORIAL VALUE EQUITY FUND X 03 X MENTOR GRAPHICS CORP X 03 X MERCK & CO INC X 03 X MEREDITH CORP X 03 X MERRILL LYNCH & CO INC X 03 X MERRILL LYNCH INSURED MUNICIPAL X 03 X MICHAELS STORES INC. X 03 X MICROSOFT CORP X 03 X MIDWEST EXPRESS HLDGS INC X 03 X MILACRON INC. X 03 X
6 11 SECURITIES AND EXCHANGE COMMISSION FORM 13F INFORMATION PREPARED FOR THE CHICAGO TRUST COMPANY AS OF 9/30/99
- --------------------------------------------------------------------------------------- COLUMN 1&2 COLUMN 3 COLUMN 4 COLUMN 5 - --------------------------------------------------------------------------------------- NAME OF ISSUER AND TITLE OF CLASS CUSIP MARKET SHRS OR SH/ PUT/ VALUE PRN AMT PRN CALL (X 1000) MILLENNIUM INCOME FD L L C 599909900 4,120 41,200 SH MINNESOTA MINING & MANUFACTURING CO 604059105 1,864 19,396 SH MINNESOTA POWER INC 604110106 544 30,970 SH MOBIL CORP 607059102 3,086 30,626 SH MOLEX INC 608554101 1,643 45,174 SH MONSANTO CO 611662107 703 19,710 SH MONTANA POWER CO 612085100 288 9,463 SH MONTGOMERY US FDS II 613923671 1,384 139,125 SH MORGAN J P & CO INC 616880100 1,868 16,350 SH MORGAN STANLEY DEAN WITTER U S 616969200 349 39,836 SH MORGAN STANLEY DEAN WITTER & COMPANY 617446448 1,509 16,918 SH MOTOROLA INC 620076109 5,246 59,622 SH MUNDER FDS TR 626129761 269 9,924 SH MUNICIPAL INVT TR FD UNIT 201ST 62622B327 318 320 SH MUNICIPAL INVT TR FD UNIT 182ND 62623X385 246 402 SH MUTUAL BENEFIT LIFE INSURANCE 6279959A3 431 431,139 SH MYLAN LABS 628530107 441 24,000 SH NATIONAL CITY BANCORPORATION 635312101 559 31,700 SH NATIONAL CITY CORP 635405103 979 36,654 SH NEW CENTY ENERGIES INC 64352U103 288 8,621 SH NEW PERSPECTIVE FUND 648018109 11,181 425,948 SH NEWBRIDGE NETWORKS CORP 650901101 1,173 45,000 SH NEWELL RUBBERMAID INC 651229106 23,515 823,272 SH NEWPORT NEWS SHIPBUILDING 652228107 1,141 35,300 SH NICHOLAS FUND 653735100 2,203 29,882 SH NICOR INC 654086107 389 10,464 SH NIKE INC CL B 654106103 202 3,550 SH NOBLE AFFILIATES INC 654894104 348 12,000 SH NORFOLK SOUTHERN CORP 655844108 443 18,083 SH NORTEL NETWORKS CORP COM 656569100 445 8,720 SH NORTH AMERICAN VACCINE, INC 657201109 337 44,900 SH NORTHERN INSTL FDS 665278685 1,615 82,893 SH NORTHERN TRUST CORP 665859104 6,625 79,334 SH NUVEEN INSURED QUALITY MUNICIPAL FD 67062N103 170 12,150 SH NUVEEN FLAGSHIP MUN TR MUN BD FD 67065Q400 135 14,861 SH OM GROUP INC 670872100 1,312 34,190 SH NUVEEN MUNICIPAL VALUE FUND INC 670928100 113 13,433 SH OAK ASSOCS FDS WHITE OAK GROWTH STK 671081107 916 19,001 SH OAK INDUSTRIES INC 671400505 646 19,000 SH OFFICE DEPOT INC 676220106 599 57,000 SH OFFSHORE LOGISTICS 676255102 166 16,000 SH OLD KENT FINANCIAL CORP 679833103 1,997 53,785 SH OLIN CORP PAR $1.00 680665205 788 57,800 SH OMNICARE INC 681904108 2,941 305,655 SH OMNICARE INC SUB DEB CONV 681904AD0 234 365,000 SH OMNICOM GROUP 681919106 35,891 453,232 SH OPPENHEIMER CAP APPREC FD 68379A107 1,160 26,154 SH OPPENHEIMER QUEST OPPORT VALUE A FD 68380E106 28,081 743,666 SH OPPENHEIMER QUEST GLB VAL FD CL A 68380G101 487 23,667 SH OPPENHEIMER QUEST VALUE CL A FD 68380H109 13,329 648,952 SH OPPENHEIMER U S GOVT TR CL A 683810105 3,110 338,449 SH OPPENHEIMER QST CP VL FD INC 68381A103 5,798 184,007 SH ORACLE CORP 68389X105 1,335 29,337 SH - ------------------------------------------------------------------------------------------- COLUMN 1&2 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------------------------------------------------------------------- INVESTMENT VOTING NAME OF ISSUER AND TITLE OF CLASS DISCRETION MANAGER AUTHORITY SOLE SHRD OTHER SOLE SHRD NONE (A) (B) (C) (A) (B) (C) MILLENNIUM INCOME FD L L C X 03 X MINNESOTA MINING & MANUFACTURING CO X 03 X MINNESOTA POWER INC X 03 X MOBIL CORP X 03 X MOLEX INC X 03 X MONSANTO CO X 03 X MONTANA POWER CO X 03 X MONTGOMERY US FDS II X 03 X MORGAN J P & CO INC X 03 X MORGAN STANLEY DEAN WITTER U S X 03 X MORGAN STANLEY DEAN WITTER & COMPANY X 03 X MOTOROLA INC X 03 X MUNDER FDS TR X 03 X MUNICIPAL INVT TR FD UNIT 201ST X 03 X MUNICIPAL INVT TR FD UNIT 182ND X 03 X MUTUAL BENEFIT LIFE INSURANCE X 03 X MYLAN LABS X 03 X NATIONAL CITY BANCORPORATION X 03 X NATIONAL CITY CORP X 03 X NEW CENTY ENERGIES INC X 03 X NEW PERSPECTIVE FUND X 03 X NEWBRIDGE NETWORKS CORP X 03 X NEWELL RUBBERMAID INC X 03 X NEWPORT NEWS SHIPBUILDING X 03 X NICHOLAS FUND X 03 X NICOR INC X 03 X NIKE INC CL B X 03 X NOBLE AFFILIATES INC X 03 X NORFOLK SOUTHERN CORP X 03 X NORTEL NETWORKS CORP COM X 03 X NORTH AMERICAN VACCINE, INC X 03 X NORTHERN INSTL FDS X 03 X NORTHERN TRUST CORP X 03 X NUVEEN INSURED QUALITY MUNICIPAL FD X 03 X NUVEEN FLAGSHIP MUN TR MUN BD FD X 03 X OM GROUP INC X 03 X NUVEEN MUNICIPAL VALUE FUND INC X 03 X OAK ASSOCS FDS WHITE OAK GROWTH STK X 03 X OAK INDUSTRIES INC X 03 X OFFICE DEPOT INC X 03 X OFFSHORE LOGISTICS X 03 X OLD KENT FINANCIAL CORP X 03 X OLIN CORP PAR $1.00 X 03 X OMNICARE INC X 03 X OMNICARE INC SUB DEB CONV X 03 X OMNICOM GROUP X 03 X OPPENHEIMER CAP APPREC FD X 03 X OPPENHEIMER QUEST OPPORT VALUE A FD X 03 X OPPENHEIMER QUEST GLB VAL FD CL A X 03 X OPPENHEIMER QUEST VALUE CL A FD X 03 X OPPENHEIMER U S GOVT TR CL A X 03 X OPPENHEIMER QST CP VL FD INC X 03 X ORACLE CORP X 03 X
7 12 SECURITIES AND EXCHANGE COMMISSION FORM 13F INFORMATION PREPARED FOR THE CHICAGO TRUST COMPANY AS OF 9/30/99
- ---------------------------------------------------------------------------------------- COLUMN 1&2 COLUMN 3 COLUMN 4 COLUMN 5 - ---------------------------------------------------------------------------------------- NAME OF ISSUER AND TITLE OF CLASS CUSIP MARKET SHRS OR SH/ PUT/ VALUE PRN AMT PRN CALL (X 1000) ORBITAL ENGINE CORP LTD SPON ADR NEW 685563306 109 35,000 SH ORTHODONTIC CTRS AMER INC 68750P103 1,314 75,370 SH PBHG FDS INC 69316H882 376 12,691 SH PE CORP-PE BIOSYSTEMS GROUP 69332S102 290 4,000 SH PIMCO FDS MULTI MANAGER SER 69338T211 1,154 54,869 SH PIMCO FDS MULTI MANAGER SER 69338T278 3,065 211,372 SH PIMCO LOW DURATION FUND 693390304 2,153 217,489 SH PIMCO FDS TOTAL RETURN FUND A 693390445 12,871 1,279,468 SH PIMCO TOTAL RETURN FUND INSTL CL 693390700 8,238 818,837 SH PACIFIC CENTURY FINL CORP 694058108 971 47,500 SH PARK NATIONAL CORP 700658107 2,273 22,500 SH PARKER HANNIFIN CORP 701094104 398 8,880 SH PAYCHEX INC 704326107 38,518 1,128,235 SH PEOPLES ENERGY CORP 711030106 802 22,799 SH PEP BOYS MANNY MOE & JACK SUB 713278AJ8 880 1,600,000 SH PEPSICO INC 713448108 906 29,728 SH PERFORMANCE FOOD GROUP CO 713755106 971 37,900 SH PFIZER INC 717081103 46,038 1,282,719 SH PHILIP MORRIS COS INC 718154107 5,320 155,629 SH PHOENIX EQUITY SER FD 718939507 7,367 520,655 SH PIKE BANCORP 721462109 443 44 SH PILGRIM MUT FDS 72146E533 904 46,533 SH PILGRIM MUT FDS 72146E756 627 38,847 SH PIONEER GROUP 723684106 240 16,000 SH PITNEY BOWES INC 724479100 34,415 564,761 SH PLUM CREEK TIMBER CO INC 729251108 466 14,848 SH PRAXAIR INC 74005P104 21,534 468,131 SH PRECISION CASTPARTS CORP 740189105 843 27,630 SH THE PRIVATE INVESTMENT LIMITED 742100XA3 142 200,000 SH PROCTER & GAMBLE CO 742718109 37,318 398,053 SH PUTNAM AMERICAN GOVT INC FUND CL A 74644B102 118 13,991 SH PUTNAM CONV INCOME GROWTH TR 746476100 2,210 112,475 SH PUTNAM OTC EMERGING GRWTH FD 746847102 2,366 109,566 SH PUTNAM TAX FREE INCOME TR 746872209 142 10,201 SH PUTNAM INTL GROWTH FD 746932102 6,041 265,076 SH PUTNAM VISTA FD INC 747011104 918 65,141 SH QUAKER OATS CO 747402105 1,096 17,701 SH QUALCOMM INC 747525103 331 1,750 SH QUINTILES TRANSNATIONAL CORP 748767100 741 38,910 SH RAINIER INVT MGMT MUT FDS 750869109 2,973 115,159 SH RAINIER INVT MGMT MUT FDS 750869208 1,882 89,428 SH RALSTON-RALSTON PURINA GROUP 751277302 953 34,190 SH RAYTHEON CO CL B 755111408 931 18,746 SH REGAL BELOIT 758750103 720 34,700 SH RELIANT ENERGY INC COM 75952J108 307 11,328 SH REPUBLIC SECURITY FINL CORP 760758102 726 84,500 SH RESCON TECHNOLOGY CORP 760844100 1 31,000 SH RESERVE FD INC 761056209 4,102 4,102,154 SH REUTERS HLDGS PLC SPONS ADR COM 76132M102 446 6,479 SH ROBBINS & MYERS INC. 770196103 282 18,200 SH ROBERTSON STEPHENS INVT TR 770648855 895 36,676 SH ROBOTIC VISION SYSTEMS INC 771074101 479 124,500 SH ROCKWELL INTL CORP NEW 773903109 352 6,688 SH - -------------------------------------------------------------------------------------------- COLUMN 1&2 COLUMN 6 COLUMN 7 COLUMN 8 - -------------------------------------------------------------------------------------------- INVESTMENT VOTING NAME OF ISSUER AND TITLE OF CLASS DISCRETION MANAGER AUTHORITY SOLE SHRD OTHER SOLE SHRD NONE (A) (B) (C) (A) (B) (C) ORBITAL ENGINE CORP LTD SPON ADR NEW X 03 X ORTHODONTIC CTRS AMER INC X 03 X PBHG FDS INC X 03 X PE CORP-PE BIOSYSTEMS GROUP X 03 X PIMCO FDS MULTI MANAGER SER X 03 X PIMCO FDS MULTI MANAGER SER X 03 X PIMCO LOW DURATION FUND X 03 X PIMCO FDS TOTAL RETURN FUND A X 03 X PIMCO TOTAL RETURN FUND INSTL CL X 03 X PACIFIC CENTURY FINL CORP X 03 X PARK NATIONAL CORP X 03 X PARKER HANNIFIN CORP X 03 X PAYCHEX INC X 03 X PEOPLES ENERGY CORP X 03 X PEP BOYS MANNY MOE & JACK SUB X 03 X PEPSICO INC X 03 X PERFORMANCE FOOD GROUP CO X 03 X PFIZER INC X 03 X PHILIP MORRIS COS INC X 03 X PHOENIX EQUITY SER FD X 03 X PIKE BANCORP X 03 X PILGRIM MUT FDS X 03 X PILGRIM MUT FDS X 03 X PIONEER GROUP X 01 X PITNEY BOWES INC X 03 X PLUM CREEK TIMBER CO INC X 03 X PRAXAIR INC X 03 X PRECISION CASTPARTS CORP X 03 X THE PRIVATE INVESTMENT LIMITED X 03 X PROCTER & GAMBLE CO X 03 X PUTNAM AMERICAN GOVT INC FUND CL A X 03 X PUTNAM CONV INCOME GROWTH TR X 03 X PUTNAM OTC EMERGING GRWTH FD X 03 X PUTNAM TAX FREE INCOME TR X 03 X PUTNAM INTL GROWTH FD X 03 X PUTNAM VISTA FD INC X 03 X QUAKER OATS CO X 03 X QUALCOMM INC X 03 X QUINTILES TRANSNATIONAL CORP X 03 X RAINIER INVT MGMT MUT FDS X 03 X RAINIER INVT MGMT MUT FDS X 03 X RALSTON-RALSTON PURINA GROUP X 03 X RAYTHEON CO CL B X 03 X REGAL BELOIT X 03 X RELIANT ENERGY INC COM X 03 X REPUBLIC SECURITY FINL CORP X 03 X RESCON TECHNOLOGY CORP X 03 X RESERVE FD INC X 03 X REUTERS HLDGS PLC SPONS ADR COM X 03 X ROBBINS & MYERS INC. X 03 X ROBERTSON STEPHENS INVT TR X 03 X ROBOTIC VISION SYSTEMS INC X 03 X ROCKWELL INTL CORP NEW X 03 X
8 13 SECURITIES AND EXCHANGE COMMISSION FORM 13F INFORMATION PREPARED FOR THE CHICAGO TRUST COMPANY AS OF 9/30/99
- --------------------------------------------------------------------------------------- COLUMN 1&2 COLUMN 3 COLUMN 4 COLUMN 5 - --------------------------------------------------------------------------------------- NAME OF ISSUER AND TITLE OF CLASS CUSIP MARKET SHRS OR SH/ PUT/ VALUE PRN AMT PRN CALL (X 1000) ROWE T PRICE EQUITY INC FD 779547108 1,706 64,444 SH ROWE T PRICE MID-CAP GRW FD 779556109 6,367 181,076 SH ROYAL DUTCH PETE CO N Y REGISTRY SH 780257804 16,179 273,920 SH RUDDICK CORP 781258108 414 26,100 SH RUSSELL FRANK INVT CO EQUITY I FD 782493100 5,345 148,726 SH RUSSELL FRANK INVT CO EQUITY II FD 782493209 2,474 79,059 SH RUSSELL FRANK INVT CO EQUITY III FD 782493308 1,291 47,466 SH RUSSELL FRANK INVT CO FIXED INCOME I 782493407 5,176 247,311 SH RUSSELL FRANK INVT CO INTL FD 782493605 3,782 91,198 SH RUSSELL FRANK INVT CO EQUITY Q 782493811 6,941 167,244 SH SBC COMMUNICATIONS INC 78387G103 2,955 57,858 SH SLM HLDG CORP 78442A109 619 14,400 SH STI CLASSIC FDS VALUE INCOME 784766834 3,013 278,251 SH SSGA FDS 784924706 2,106 119,795 SH ST PAUL BANCORP INC 792848103 878 38,378 SH ST PAUL COMPANIES INC 792860108 200 7,282 SH SAKS INC 79377W108 972 64,000 SH SANMINA CORP 800907107 1,044 13,500 SH SANTA FE SNYDER CORP 80218K105 698 77,500 SH SARA LEE CORP 803111103 1,765 75,536 SH SCHERING PLOUGH CORP 806605101 14,584 334,300 SH SCHLUMBERGER LTD 806857108 25,606 410,921 SH SCHOLASTIC CORP 807066105 623 12,500 SH SCHRODER REAL ESTATE VALUE - 807999107 1,144 1,000,000 SH SCHRODER INTERNATIONAL EQUITY FUND 808088207 3,229 198,456 SH SCHULMAN INC 808194104 981 57,100 SH CHARLES SCHWAB CORPORATION 808513105 28,107 838,167 SH SCUDDER EQUITY TR VALUE FD 81114T208 609 24,546 SH SEARS ROEBUCK & CO 812387108 753 23,981 SH SELIGMAN COMMUN & INFO FD 816333108 1,235 33,328 SH SELIGMAN FRONTIER FD INC CL A 816334106 528 39,944 SH SELIGMAN HIGH INCOME FD SER 816336309 282 44,857 SH SENSORMATIC ELECTRONICS CORP 817265101 761 60,000 SH SERVICEMASTER CO 81760N109 284 17,665 SH SIGMA ALDRICH CORP 826552101 317 10,000 SH SKYLINE FD 830833208 11,736 667,603 SH SKYLINE FD SMALL CAP VALUE PLUS 830833406 1,309 117,292 SH AMERICAN FUNDS SMALLCAP WORLD 831681101 1,778 60,120 SH SMITH INTL INC 832110100 608 15,000 SH SMITHKLINE BEECHAM PLC 832378301 680 11,800 SH J.M. SMUCKER CO CLASS B 832696207 939 51,100 SH SOGEN FDS INC INTL FD 834058505 1,474 57,205 SH SOLECTRON CORP 834182107 30,753 428,245 SH SOUND SHORE FD INC 836083105 346 12,565 SH SOUTHERN CO 842587107 235 9,128 SH SPECTRA FD INC 847561107 306 30,591 SH SPECTRX INC 847635109 156 15,800 SH SPRINT CORP (FON GROUP) 852061100 1,716 31,642 SH SPRINT CORP (PCS GROUP) 852061506 624 8,372 SH STARBUCKS CORP 855244109 1,336 53,920 SH STERLING COMM INC 859205106 885 47,692 SH STERLING SOFTWARE INC 859547101 832 41,600 SH STRIDE RITE CORP 863314100 342 48,800 SH - -------------------------------------------------------------------------------------------- COLUMN 1&2 COLUMN 6 COLUMN 7 COLUMN 8 - -------------------------------------------------------------------------------------------- INVESTMENT VOTING NAME OF ISSUER AND TITLE OF CLASS DISCRETION MANAGER AUTHORITY SOLE SHRD OTHER SOLE SHRD NONE (A) (B) (C) (A) (B) (C) ROWE T PRICE EQUITY INC FD X 03 X ROWE T PRICE MID-CAP GRW FD X 03 X ROYAL DUTCH PETE CO N Y REGISTRY SH X 03 X RUDDICK CORP X 03 X RUSSELL FRANK INVT CO EQUITY I FD X 03 X RUSSELL FRANK INVT CO EQUITY II FD X 03 X RUSSELL FRANK INVT CO EQUITY III FD X 03 X RUSSELL FRANK INVT CO FIXED INCOME I X 03 X RUSSELL FRANK INVT CO INTL FD X 03 X RUSSELL FRANK INVT CO EQUITY Q X 03 X SBC COMMUNICATIONS INC X 03 X SLM HLDG CORP X 03 X STI CLASSIC FDS VALUE INCOME X 03 X SSGA FDS X 03 X ST PAUL BANCORP INC X 03 X ST PAUL COMPANIES INC X 03 X SAKS INC X 03 X SANMINA CORP X 03 X SANTA FE SNYDER CORP X 03 X SARA LEE CORP X 03 X SCHERING PLOUGH CORP X 03 X SCHLUMBERGER LTD X 03 X SCHOLASTIC CORP X 03 X SCHRODER REAL ESTATE VALUE - X 03 X SCHRODER INTERNATIONAL EQUITY FUND X 03 X SCHULMAN INC X 03 X CHARLES SCHWAB CORPORATION X 03 X SCUDDER EQUITY TR VALUE FD X 03 X SEARS ROEBUCK & CO X 03 X SELIGMAN COMMUN & INFO FD X 03 X SELIGMAN FRONTIER FD INC CL A X 03 X SELIGMAN HIGH INCOME FD SER X 03 X SENSORMATIC ELECTRONICS CORP X 03 X SERVICEMASTER CO X 03 X SIGMA ALDRICH CORP X 03 X SKYLINE FD X 03 X SKYLINE FD SMALL CAP VALUE PLUS X 03 X AMERICAN FUNDS SMALLCAP WORLD X 03 X SMITH INTL INC X 03 X SMITHKLINE BEECHAM PLC X 03 X J.M. SMUCKER CO CLASS B X 03 X SOGEN FDS INC INTL FD X 03 X SOLECTRON CORP X 03 X SOUND SHORE FD INC X 03 X SOUTHERN CO X 03 X SPECTRA FD INC X 03 X SPECTRX INC X 03 X SPRINT CORP (FON GROUP) X 03 X SPRINT CORP (PCS GROUP) X 03 X STARBUCKS CORP X 03 X STERLING COMM INC X 03 X STERLING SOFTWARE INC X 03 X STRIDE RITE CORP X 03 X
9 14 SECURITIES AND EXCHANGE COMMISSION FORM 13F INFORMATION PREPARED FOR THE CHICAGO TRUST COMPANY AS OF 9/30/99
- --------------------------------------------------------------------------------------- COLUMN 1&2 COLUMN 3 COLUMN 4 COLUMN 5 - --------------------------------------------------------------------------------------- NAME OF ISSUER AND TITLE OF CLASS CUSIP MARKET SHRS OR SH/ PUT/ VALUE PRN AMT PRN CALL (X 1000) SUN MICROSYSTEMS INC 866810104 57,468 617,840 SH SUNTRUST BANKS INC 867914103 263 4,000 SH SYBRON INTL CORP WI 87114F106 24,098 896,655 SH SYLVAN LEARNING SYS 871399101 621 32,000 SH SYSCO CORP 871829107 47,717 1,360,879 SH TCF FINL CORP 872275102 317 11,100 SH TECH DATA CORP 878237106 303 13,000 SH TECHNOLOGY RESEARCH CORP NEW 878727304 43 28,500 SH TELLABS INC 879664100 54,402 955,239 SH TEMPLETON DEVELOPING MKTS TR 88018W104 1,278 103,604 SH TEMPLETON EMERGING MARKETS FUND 880191101 150 13,500 SH TEMPLETON FOREIGN FUND 880196209 17,221 1,680,108 SH TEMPLETON GROWTH FD INC 880199104 7,603 403,111 SH TEMPLETON INSTL FDS INC 880210208 478 47,209 SH TENET HEALTHCARE CORP 88033G100 334 19,000 SH TENET HEALTHCARE CORP SUB NT 88033GAD2 2,449 3,100,000 SH TEREX CORP 880779103 753 23,900 SH TEVA PHARMACEUTICAL INDS, AD 881624209 428 8,500 SH TEXACO INC 881694103 943 14,940 SH TEXAS INSTRUMENTS INC 882508104 296 3,600 SH THERMO ELECTRON CORP SUB DEB CONV 883556AF9 8,707 10,075,000 SH THOMAS & BETTS CORP 884315102 434 8,500 SH 3COM CORP 885535104 219 7,612 SH TORCHMARK CORP 891027104 333 12,896 SH TORO CO 891092108 863 23,100 SH TOWER AUTOMOTIVE INC 891707101 1,195 60,320 SH TRAVELERS PROP CASUALTY-CL A 893939108 266 9,000 SH TRIBUNE CO NEW 896047107 8,019 161,200 SH TRUE NORTH COMM 897844106 837 23,000 SH TRUMP HOTEL & CASINO RESORTS INC 898168109 1,054 244,357 SH TYCO INTL LTD 902124106 21,863 211,756 SH UAM FDS INC 902555796 546 40,394 SH UAM FDS INC 902555879 2,490 233,831 SH UAM FDS TR 902556851 2,003 146,848 SH UICI 902737105 963 37,659 SH US BANCORP DEL 902973106 216 7,153 SH USAA MUT FD INC 903288603 4,340 229,719 SH US CAN CORP 90328W105 801 39,200 SH UNILEVER N V - W/I COM 904784709 341 5,000 SH UNICOM CORPORATION 904911104 412 11,160 SH UNION PACIFIC CORP 907818108 638 13,259 SH UNISYS CORP 909214108 640 14,184 SH UNITED ASSET MGMT CORP 909420101 947 49,200 SH US HOME CORP 911920106 353 12,700 SH U S WEST INC NEW 91273H101 1,141 20,005 SH UNITED TECHNOLOGIES CORP 913017109 1,812 30,546 SH V F CORP 918204108 224 7,216 SH VALERO ENERGY CORP 91913Y100 724 37,600 SH VAN KAMP CAP EQTY INCM CL C 92113D300 93 12,150 SH VANGUARD SPECIALIZED PTFLS 921908703 110 10,740 SH VANGUARD WORLD FUND INTERNATIONAL 921910204 2,738 140,627 SH VANGUARD GROWTH & INCOME FD #93 921913109 3,899 117,890 SH VANGUARD BALANCED INDEX FUND 921931101 6,979 377,255 SH - -------------------------------------------------------------------------------------------- COLUMN 1&2 COLUMN 6 COLUMN 7 COLUMN 8 - -------------------------------------------------------------------------------------------- INVESTMENT VOTING NAME OF ISSUER AND TITLE OF CLASS DISCRETION MANAGER AUTHORITY SOLE SHRD OTHER SOLE SHRD NONE (A) (B) (C) (A) (B) (C) SUN MICROSYSTEMS INC X 03 X SUNTRUST BANKS INC X 03 X SYBRON INTL CORP WI X 03 X SYLVAN LEARNING SYS X 03 X SYSCO CORP X 03 X TCF FINL CORP X 03 X TECH DATA CORP X 03 X TECHNOLOGY RESEARCH CORP NEW X 03 X TELLABS INC X 03 X TEMPLETON DEVELOPING MKTS TR X 03 X TEMPLETON EMERGING MARKETS FUND X 03 X TEMPLETON FOREIGN FUND X 03 X TEMPLETON GROWTH FD INC X 03 X TEMPLETON INSTL FDS INC X 03 X TENET HEALTHCARE CORP X 03 X TENET HEALTHCARE CORP SUB NT X 03 X TEREX CORP X 03 X TEVA PHARMACEUTICAL INDS, AD X 03 X TEXACO INC X 03 X TEXAS INSTRUMENTS INC X 03 X THERMO ELECTRON CORP SUB DEB CONV X 03 X THOMAS & BETTS CORP X 03 X 3COM CORP X 03 X TORCHMARK CORP X 03 X TORO CO X 03 X TOWER AUTOMOTIVE INC X 03 X TRAVELERS PROP CASUALTY-CL A X 03 X TRIBUNE CO NEW X 03 X TRUE NORTH COMM X 03 X TRUMP HOTEL & CASINO RESORTS INC X 03 X TYCO INTL LTD X 03 X UAM FDS INC X 03 X UAM FDS INC X 03 X UAM FDS TR X 03 X UICI X 03 X US BANCORP DEL X 03 X USAA MUT FD INC X 03 X US CAN CORP X 03 X UNILEVER N V - W/I COM X 03 X UNICOM CORPORATION X 03 X UNION PACIFIC CORP X 03 X UNISYS CORP X 03 X UNITED ASSET MGMT CORP X 03 X US HOME CORP X 03 X U S WEST INC NEW X 03 X UNITED TECHNOLOGIES CORP X 03 X V F CORP X 03 X VALERO ENERGY CORP X 03 X VAN KAMP CAP EQTY INCM CL C X 03 X VANGUARD SPECIALIZED PTFLS X 03 X VANGUARD WORLD FUND INTERNATIONAL X 03 X VANGUARD GROWTH & INCOME FD #93 X 03 X VANGUARD BALANCED INDEX FUND X 03 X
10 15 SECURITIES AND EXCHANGE COMMISSION FORM 13F INFORMATION PREPARED FOR THE CHICAGO TRUST COMPANY AS OF 9/30/99
- --------------------------------------------------------------------------------------- COLUMN 1&2 COLUMN 3 COLUMN 4 COLUMN 5 - --------------------------------------------------------------------------------------- NAME OF ISSUER AND TITLE OF CLASS CUSIP MARKET SHRS OR SH/ PUT/ VALUE PRN AMT PRN CALL (X 1000) VANGUARD WELLINGTON FUND INC 921935102 15,906 545,641 SH VANGUARD / PRIMECAP FD INC 921936100 2,310 41,632 SH VANGUARD BD INDEX FD INC 921937108 245 25,224 SH VANGUARD WELLESLEY INCOME FUND 921938106 7,845 384,941 SH VANGUARD / TRUSTEES EQTY FD 921939203 2,814 99,041 SH VANGUARD WINDSOR FUND INC 922018106 243 14,888 SH VANGUARD / WINDSOR FD INC 922018205 4,310 151,812 SH VANGUARD FIXED INCOME SEC FD 922031208 390 52,953 SH VANGUARD FIXED INCOME SEC FD 922031307 337 33,665 SH VANGUARD FIXED INCOME SEC FD 922031604 146 14,631 SH VANGUARD INSTITUTIONAL INDEX 922040100 287,459 2,448,958 SH VANGUARD MONEY MKT RESVS INC 922906300 2,588 2,588,401 SH VANGUARD MUNICIPAL INTERMEDIATE 922907209 289 22,356 SH VANGUARD INDEX TRUST 500 PORTFOLIO 922908108 11,105 93,674 SH VANGUARD INDEX SMALL CAPITALIZATION 922908702 377 17,266 SH VICTOR COMMODITY POOL 925990103 228 106 SH VISIO CORP 927914101 2,051 52,250 SH VITESSE SEMICONDUCTOR CORP 928497106 5,620 65,820 SH VODAFONE AIRTOUCH PLC 92857T107 1,258 5,293 SH WPS RESOURCES CORP 92931B106 433 15,448 SH WAL MART STORES INC 931142103 1,320 27,754 SH WALDEN RESIDENTIAL PROPS INC 931210108 1,071 49,100 SH WALGREEN CO 931422109 61,577 2,426,683 SH WALLACE COMPUTER SERVICES IN 932270101 628 31,000 SH WARBURG PINCUS EMERGING GRW 933909103 2,153 52,935 SH WARNER LAMBERT CO 934488107 1,514 22,808 SH WASHINGTON MUTUAL INVESTORS FUND 939330106 19,615 607,658 SH WEITZ PARTNERS INC 948906102 5,125 271,316 SH WELLS FARGO CO 949746101 24,447 616,964 SH WEYERHAEUSER CO 962166104 210 3,650 SH WHITMAN CORP 96647R107 229 16,008 SH WISCONSIN ENERGY CORP 976657106 566 24,134 SH WRIGLEY WILLIAM JR CO 982526105 435 6,323 SH XEROX CORP 984121103 384 9,150 SH LORAL SPACE & COMMUNICATIONS G56462107 605 35,200 SH TOMMY HILFIGER CORP G8915Z102 1,022 36,240 SH TOTAL 4,467,982 177,353,451 - -------------------------------------------------------------------------------------------- COLUMN 1&2 COLUMN 6 COLUMN 7 COLUMN 8 - -------------------------------------------------------------------------------------------- INVESTMENT VOTING NAME OF ISSUER AND TITLE OF CLASS DISCRETION MANAGER AUTHORITY SOLE SHRD OTHER SOLE SHRD NONE (A) (B) (C) (A) (B) (C) VANGUARD WELLINGTON FUND INC X 03 X VANGUARD / PRIMECAP FD INC X 03 X VANGUARD BD INDEX FD INC X 03 X VANGUARD WELLESLEY INCOME FUND X 03 X VANGUARD / TRUSTEES EQTY FD X 03 X VANGUARD WINDSOR FUND INC X 03 X VANGUARD / WINDSOR FD INC X 03 X VANGUARD FIXED INCOME SEC FD X 03 X VANGUARD FIXED INCOME SEC FD X 03 X VANGUARD FIXED INCOME SEC FD X 03 X VANGUARD INSTITUTIONAL INDEX X 03 X VANGUARD MONEY MKT RESVS INC X 03 X VANGUARD MUNICIPAL INTERMEDIATE X 03 X VANGUARD INDEX TRUST 500 PORTFOLIO X 03 X VANGUARD INDEX SMALL CAPITALIZATION X 03 X VICTOR COMMODITY POOL X 03 X VISIO CORP X 03 X VITESSE SEMICONDUCTOR CORP X 03 X VODAFONE AIRTOUCH PLC X 03 X WPS RESOURCES CORP X 03 X WAL MART STORES INC X 03 X WALDEN RESIDENTIAL PROPS INC X 03 X WALGREEN CO X 03 X WALLACE COMPUTER SERVICES IN X 03 X WARBURG PINCUS EMERGING GRW X 03 X WARNER LAMBERT CO X 03 X WASHINGTON MUTUAL INVESTORS FUND X 03 X WEITZ PARTNERS INC X 03 X WELLS FARGO CO X 03 X WEYERHAEUSER CO X 03 X WHITMAN CORP X 03 X WISCONSIN ENERGY CORP X 03 X WRIGLEY WILLIAM JR CO X 03 X XEROX CORP X 03 X LORAL SPACE & COMMUNICATIONS X 03 X TOMMY HILFIGER CORP X 03 X TOTAL
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