13F-HR 1 steinroequarter3.txt 13F FILING File No. 28-01823 FORM 13F INFORMATION REQUIRED OF INSTITUTIONAL INVESTMENT MANAGERS PURSUANT TO SECTION 13(f) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULES THEREUNDER Securities and Exchange Commission Washington, D.C. 20549 Report of the Calendar Quarter or Year Ended September 30 2002. Name of Institutional Investment Manager: Stein Roe & Farnham Incorporated. Business Address: One South Wacker Drive, Chicago, Illinois, 60606. Name, Phone No., and Title of Person Duly Authorized to Submit This Report: Jean Loewenberg, (617) 772-3737, Secretary. ATTENTION - Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and U.S.C. 78ff(a). The institutional investment manager submitting this Form and its attachments and the person by whom it is signed represent hereby that all information contained herein is true, correct and complete. It is understood that all required items, statements and schedules are considered integral parts of this Form and that the submission of any amendment represents that all unamended items, statements and schedules remain true, correct and complete as previously submitted. Pursuant to the requirements of the Securities and Exchange Act of 1934, the undersigned institutional investment manager has caused this report to be signed on its behalf in the City of Boston and The Commonwealth of Massachusetts on the 14th of November, 2002. Stein Roe & Farnham Incorporated. By: Jean Loewenberg, Secretary. Name and 13f file number of ALL Institutional Investment Managers with respect to which this Schedule is filed (other than the one filing this report). (List in alphabetical order.) 13f File Numbers will be assigned to Institutional Investment Managers after they file their first report. 1. FleetBoston Financial Corporation (13F File No. 28-452) 2. Fleet National Bank (13F File No. 28-453) FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 2 Form 13F Information Table Entry Total: 419 Form 13F Information Table Value Total (000's): $2,727,334 List of Other Included Managers: No. 13F File Number Name 1 28-452 FleetBoston Financial Corporation 2 28-453 Fleet National Bank FORM 13F INFORMATION TABLE
Item 1 Item 2 Item 3 Item 4 Item 5 Item 6 Item 7 Item 8 Title of CUSIP Fair Market Shares Investment Other Voting Authority Name of Issuer Class Number Value (000s) Discretion Manager (a)Sole (b)Shared (c)None A T & T CORP COM 001957109 13,603,719 1,043,230 Defined 1,2 ABBOTT LAB COM 002824100 1,748,109 43,250 Defined 1,2 18,000 - - ACCENTURE LTD. COM G1150G111 5,064 300 Defined 1,2 ACCREDO HAELTH INC COM 00437V104 347,100 7,500 Defined 1,2 ACTIVISION INC COM 004930202 248,050 12,100 Defined 1,2 ADVANCEPCS COM 00790K109 627,500 25,000 Defined 1,2 AETNA INC COM 00817Y108 8,301,800 206,000 Defined 1,2 AFC ENTERPRISES INC COM 00104Q107 185,200 10,000 Defined 1,2 AFLAC INC COM 001055102 17,426,900 572,500 Defined 1,2 AKZO NOBEL N.V. ADR COM 010199305 821,150 27,500 Defined 1,2 ALCOA INC COM 013817101 17,221,460 792,200 Defined 1,2 22,500 - 692,750 AMBAC FINANCIAL GROUP INC COM 023139108 9,714,960 157,200 Defined 1,2 23,700 AMER INTERNATIONAL GROUP INC COM 026874107 43,631,127 697,540 Defined 1,2 AMERADA HESS CORP COM 023551104 1,272,240 24,800 Defined 1,2 AMERICA MOVIL-SERIES L COM 02364W105 302,400 22,500 Defined 1,2 32,000 AMERICAN ELECTRIC POWER CO INC COM 025537101 230,760 9,000 Defined 1,2 232,000 AMERICAN HEALTHWAYS INC COM 02649V104 754,884 40,400 Defined 1,2 - - - AMERICAN INTL GROUP COM 026874107 16,112,541 294,562 Defined 1,2 28,100 AMERICAN ITALIAN PASTA CO A COM 027070101 564,980 16,400 Defined 1,2 AMERICAN MEDICAL SYS HLDGS COM 02744M108 763,015 48,500 Defined 1,2 - - 24,700 AMERICAN PHARMACEUTICAL PARTNE COM 02886P109 288,000 14,400 Defined 1,2 AMERISOURCEBERGEN CORP COM 03073E105 8,609,150 121,000 Defined 1,2 10,400 AMERISTAR CASINO INC COM 03070Q101 174,187 13,400 Defined 1,2 AMR CORP COM 001765106 400,256 84,800 Defined 1,2 ANADARKO PETROLEUM COM 032511107 935,340 21,000 Defined 1,2 ANDRX GROUP COM 034553107 1,646,970 106,600 Defined 1,2 22,700 ANTHEM INC COM 03674B104 4,233,600 67,200 Defined 1,2 AOL TIME WARNER COM 00184A105 32,896,300 2,396,250 Defined 1,2 110,000 - - APACHE CORP COM 037411105 6,216,900 115,000 Defined 1,2 APPLERA CORP-APPLIED BIOSYS COM 038020103 5,058 250 Defined 1,2 APPLIED FILMS CORP COM 038197109 317,632 22,400 Defined 1,2 APPLIED MATLS COM 038222105 1,301,598 86,600 Defined 1,2 ARBITRON INC COM 03875Q108 303,935 8,900 Defined 1,2 ARCHER DANIELS MIDLAND CO COM 039483102 1,041,930 76,500 Defined 1,2 ARMOR HOLDINGS INC COM 042260109 791,544 52,000 Defined 1,2 - - - AT & T WIRELESS SERVICES COM 00209A106 4,733 689 Defined 1,2 10,600 ATMEL CORP COM 049513104 314,326 206,300 Defined 1,2 - - - ATMI INC COM 00207R101 463,428 25,200 Defined 1,2 ATRIX LABORATIORIES INC COM 04962L101 292,496 16,000 Defined 1,2 AVOCENT CORPORATION COM 053893103 170,000 8,500 Defined 1,2 BALLY TOTAL FITNESS HLDG CORP COM 05873K108 89,760 13,200 Defined 1,2 12,900 BANK OF AMERICA CORP COM 060505104 6,980 135,892 Defined 1,2 BANK ONE COM 06423A103 77,140 2,000 Defined 1,2 BARR LABORATORIES INC COM 068306109 2,865,021 48,700 Defined 1,2 BARRA INC COM 068313105 236,874 6,600 Defined 1,2 BARRICK GOLD CORP COM 067901108 2,079,660 138,000 Defined 1,2 BAXTER INTL INC COM 071813109 49,400,655 1,866,300 Defined 1,2 48,400 - 69,700 BEA SYSTEMS INC COM 073325102 5,460,075 675,000 Defined 1,2 BEAZER HOMES USA INC COM 07556Q105 289,212 4,400 Defined 1,2 BED BATH & BEYOND INC COM 075896100 6,240,960 176,000 Defined 1,2 8,000 BELLSOUTH CORP COM 079860102 2,839,890 108,600 Defined 1,2 BELO A H CORP SER A COM 080555105 2,425,500 105,000 Defined 1,2 100,000 BERKSHIRE HATHAWAY IN CL A COM 084670108 7,641,570 103 Defined 1,2 BIOMARIN PHARM INC COM 09061G101 261,447 42,100 Defined 1,2 - - - BIOMET INC COM 090613100 17,625,918 598,300 Defined 1,2 483,700 BJ SERVICES COM 055482103 26,985,830 929,500 Defined 1,2 30,500 - - BOEING CO COM 097023105 2,380 80 Defined 1,2 BOSTON PRIVATE FINANCIAL HOLD COM 101119105 300,083 16,300 Defined 1,2 BOSTON SCIENTIFIC CORP COM 101137107 8,466,750 225,000 Defined 1,2 BOWATER INC COM 102183100 660,855 19,500 Defined 1,2 BP P.L.C. COM 055622104 5,483 142,612 Defined 1,2 BRINKER INTERNATIONAL INC COM 109641100 5,229,438 184,200 Defined 1,2 23,000 BRISTOL MYERS SQUIBB COM 110122108 1,653,230 68,000 Defined 1,2 - - - BROWN & BROWN COM 115236101 431,680 14,200 Defined 1,2 CALIFORNIA PIZZA KITCHEN COM 13054D109 196,255 7,400 Defined 1,2 CALPINE CORPORATION COM 131347106 1,440,000 720,000 Defined 1,2 9,000 CAPITAL ONE FINANCIAL CORP COM 14040H105 18,208,872 597,600 Defined 1,2 CAREMARK RX INC COM 141705103 7,140,180 403,400 Defined 1,2 CARNIVAL CORP COM 143658102 3,937,459 150,745 Defined 1,2 CATERPILLAR INC COM 149123101 16,359,610 407,900 Defined 1,2 21,500 - 11,200 CCI PFD $3.11 PFD H PREF S 172967705 2,524,800 52,600 Defined 1,2 CEDAR FAIR LP COM 150185106 7,229,250 315,000 Defined 1,2 CELESTICA INC COM 2262659 655,500 47,500 Defined 1,2 CELL GENESYS INC COM 150921104 116,217 11,100 Defined 1,2 CELL THERAPEUTHICS INC COM 150934107 108,768 17,600 Defined 1,2 CENDANT CORP COM 151313103 8,855 770 Defined 1,2 CERNER CORP COM 156782104 156,684 4,400 Defined 1,2 CHARMING SHOPPES COM 161133103 273,900 53,000 Defined 1,2 - - 266,462 CHEVRONTEXACO CORP COM 166764100 852,138 12,600 Defined 1,2 6,700 CHUBB CORP COM 171232101 1,556,916 27,600 Defined 1,2 CINERGY CORP COM 172474108 6,844 220 Defined 1,2 CISCO SYSTEMS INC COM 17275R102 51,049,475 4,635,360 Defined 1,2 141,300 - 12,500 CITIGROUP INC COM 172967101 99,653,569 3,120,067 Defined 1,2 72,501 - - CLOSURE MEDICAL CORPORATION COM 189093107 114,190 9,200 Defined 1,2 378,000 COMCAST CORP-SPECIAL CL A COM 200300200 8,053,500 350,000 Defined 1,2 COMMUNITY FIRST BANKSHARES COM 203902101 474,193 17,300 Defined 1,2 10,700 COMMUNITY HEALTH SYSTEMS INC COM 203668108 2,265,400 96,400 Defined 1,2 COMPUTER ASSOCIATES INT'L INC COM 204912109 845,534 56,900 Defined 1,2 CONAGRA FOODS INC COM 205887102 3,154,925 130,100 Defined 1,2 CONCORD EFS INC COM 206197105 46,569,440 3,160,000 Defined 1,2 91,000 - - CONOCOPHILLIPS COM 20825C104 3,908,518 80,588 Defined 1,2 CONSOLIDATED EDISON INC COM 209115104 432,937 10,170 Defined 1,2 12,400 CONSTELLATION BRANDS INC-A COM 21036P108 331,823 13,100 Defined 1,2 CORNING INC COM 219350105 59,200 37,000 Defined 1,2 5,000 CORPORATE EXECUTIVE COM 21988R102 6,894,879 208,900 Defined 1,2 - - - COST PLUS INC/CALIFORNIA COM 221485105 349,702 12,100 Defined 1,2 27,500 COX RADIO INC-CL A COM 224051102 5,341,500 225,000 Defined 1,2 CROWN CORK & SEAL IN COM 228255105 711,640 116,800 Defined 1,2 - - - CUNO INCORPORATED COM 126583103 341,880 11,000 Defined 1,2 CV THERAPEUTICS INC COM 126667104 144,000 6,000 Defined 1,2 CVS CORP COM 126650100 14,142 510 Defined 1,2 CYMER INC COM 232572107 504,912 20,100 Defined 1,2 202,000 DAISYTEK INTERNATIONAL CORP COM 234053106 218,707 25,700 Defined 1,2 DARDEN RESTURANTS INC COM 237194105 9,490 500 Defined 1,2 DATACRAFT ASIA LTD COM 624683SDL 85,260 116,000 Defined 1,2 DAVITA INC COM 23918K108 1,543,668 64,400 Defined 1,2 DELL COMPUTER COM 247025109 40,128,479 1,477,900 Defined 1,2 49,000 - 14,300 DELPHI CORP COM 247126105 1,687,800 242,500 Defined 1,2 DEUTSCHE TELEKOM AG SPONS ADR COM 251566105 1,262,611 110,950 Defined 1,2 DEVON ENERGY CORPORATION COM 25179M103 5,050,000 100,000 Defined 1,2 DOCTOR REDDY'S LAB- ADR COM 256135203 133,400 9,200 Defined 1,2 DOLLAR TREE STORES INC COM 256747106 2,568,533 97,700 Defined 1,2 DOMINION RESOURCES INC COM 25746U109 484,800 10,100 Defined 1,2 DOVER CORP COM 260003108 642,048 25,600 Defined 1,2 DRS TECHNOLOGIES-INC COM 23330X100 722,510 21,100 Defined 1,2 - - - DSP GROUP INC COM 23332B106 722,923 49,100 Defined 1,2 - - - DUKE ENERGY COM 264399106 7,587,447 370,300 Defined 1,2 EAST WEST BANC-CORP COM 27579R104 845,250 24,500 Defined 1,2 EBAY INC COM 278642103 8,410,920 133,000 Defined 1,2 ECOLAB INC COM 278865100 13,028 270 Defined 1,2 EDISON INTERNATIONAL COM 281020107 576,870 57,400 Defined 1,2 EDUCATION MANAGEMENT CORP COM 28139T101 5,798,600 158,000 Defined 1,2 EI DUPONT DE NEMOURS & CO INC COM 263534109 3,604,879 87,391 Defined 1,2 EL PASO CORPORATION COM 28336L109 509,950 65,800 Defined 1,2 ELECTRONIC ARTS INC COM 285512109 5,339,840 82,000 Defined 1,2 12,400 ELECTRONIC DATA SYSTEMS CORP COM 285661104 984,924 65,400 Defined 1,2 ELECTRONICS BOUTIQUE HLDGS COM 286045109 3,625,062 142,900 Defined 1,2 - - - ELI LILLY & CO COM 532457108 - 40,000 Defined 1,2 EMC CORP COM 268648102 2,484,820 526,000 Defined 1,2 32,000 - 49,500 EMERSON ELECTRIC CO COM 291011104 2,987,160 102,000 Defined 1,2 ENDOCARE INC COM 29264P104 114,656 40,500 Defined 1,2 ENERGY EAST CORPORATION COM 29266M109 596,400 28,000 Defined 1,2 ENTEGRIS INC COM 29362U104 1,002,960 118,800 Defined 1,2 - - - ENZON INC COM 293904108 455,900 23,500 Defined 1,2 ERICSSON L M TEL CO COM 294821400 110,520 307,000 Defined 1,2 75,000 ERICSSON LM TEL RTS 8/27/0 COM 294821129 16,380 39,000 Defined 1,2 7,000 EVEREST RE GROUP LTD COM G3223R108 3,080,862 53,100 Defined 1,2 EVERGREEN RESOURCES INC COM 299900308 378,396 9,200 Defined 1,2 EXELON CORPORATION COM 30161N101 1,824,480 36,200 Defined 1,2 200,000 EXPEDITORS INTL WASH INC COM 302130109 2,640,538 83,800 Defined 1,2 EXTENDED STAY AMERICA INC COM 30224P101 512,080 40,800 Defined 1,2 - - 248,000 EXXON MOBIL CORP COM 30231G102 8,683,426 259,240 Defined 1,2 1,500 - - FACTSET RESEARCH SYSTEMS INC COM 303075105 289,910 10,600 Defined 1,2 14,500 FAMILY DOLLAR STORES COM 307000109 5,542,200 180,000 Defined 1,2 FANNIE MAE COM 313586109 2,072,660 31,000 Defined 1,2 FASTENAL CO COM 311900104 2,495,325 73,500 Defined 1,2 1,265,000 FEDERATED INVESTOR INC-CL B COM 314211103 4,877,600 182,000 Defined 1,2 FEDEX CORPORATION COM 31428X106 2,819,070 53,000 Defined 1,2 8,802 FIDELITY NATIONAL INFO SOLU IN COM 31620P109 155,034 8,100 Defined 1,2 FIFTH THIRD BANCORP COM 316773100 309,946 5,062 Defined 1,2 40,000 FIRST HORIZON PHARMACEUTIC COM 32051K106 212,790 51,900 Defined 1,2 - - - FIRSTENERGY CORP COM 337932107 399,135 12,300 Defined 1,2 FISERV INC COM 337738108 10,153,000 325,000 Defined 1,2 FLEXTRONICS INTL LTD COM Y2573F102 1,383,580 165,500 Defined 1,2 FPL GROUP INC COM 302571104 943,680 16,000 Defined 1,2 162,500 FREDDIE MAC COM 313400301 6,379,688 103,600 Defined 1,2 FREEMARKETS INC COM 356602102 131,394 18,300 Defined 1,2 250,000 GALLAGHER (ARTHUR J.) & CO. COM 363576109 2,287,746 85,300 Defined 1,2 GAP INC COM 364760108 8,239 700 Defined 1,2 GART SPORTS COMPANY COM 366630101 433,846 23,300 Defined 1,2 GENENTECH INC COM 368710406 31,533,250 925,000 Defined 1,2 GENENTECH INC COM 368710406 391,560 12,000 Defined 1,2 4,000 GENERAL DYNAMICS COR COM 369550108 10,190,380 126,000 Defined 1,2 - - - GENERAL ELECTRIC COM 369604103 61,085,035 2,852,300 Defined 1,2 67,200 - 440,900 GENERAL MILLS INC COM 370334104 2,520,520 61,000 Defined 1,2 GENESIS MICROCHIP INC COM 37184C103 334,020 28,500 Defined 1,2 GENTEX CORP COM 371901109 17,354,876 588,700 Defined 1,2 GEORGIA PACIFIC CORP COM 373298108 2,563,220 210,100 Defined 1,2 GILEAD SCIENCES INC COM 375558103 2,542,968 73,200 Defined 1,2 GILLETTE COM 375766102 680,800 23,000 Defined 1,2 GLOBALSANTAFE CORP COM G3930E101 13,145,000 550,000 Defined 1,2 GOLDMAN SACHS GROUP INC COM 38141G104 21,480,000 300,000 Defined 1,2 GRACO INC COM 384109104 257,090 9,400 Defined 1,2 GRUPO TELEVISA SA-SPONS GDR COM 40049J206 304,885 10,850 Defined 1,2 GUCCI GROUP INC COM 465505907 18 200 Defined 1,2 H J HEINZ CO COM 423074103 887,616 27,600 Defined 1,2 252,000 HALLIBURTON CO COM 406216101 1,211,882 74,900 Defined 1,2 HARLEY DAVIDSON COM 412822108 2,521,383 48,210 Defined 1,2 HARRAH'S ENTERTAINMENT INC COM 413619107 184,800 4,400 Defined 1,2 HCA-HEALTHCARE CO COM 404119109 13,539,580 310,000 Defined 1,2 5,000 - - HDFC BANK LTD ADR COM 40415F101 262,350 19,800 Defined 1,2 332,400 HEARTLAND EXPRESS INC COM 422347104 549,640 28,000 Defined 1,2 HENRY JACK & ASSOCIATES COM 426281101 177,827 17,300 Defined 1,2 HILB ROGAL & HAMILTON CO COM 431294107 1,063,575 25,900 Defined 1,2 - - - HISPANIC BROADCASTING CORP COM 43357B104 18,371,750 854,500 Defined 1,2 13,300 HOLOGIC INC COM 436440101 169,455 13,700 Defined 1,2 HOME DEPOT INC COM 437076102 53,761,047 1,903,930 Defined 1,2 62,450 - - HONEYWELL INTERNATIONAL INC COM 438516106 1,457,946 60,900 Defined 1,2 338,500 HOT TOPIC INC COM 441339108 6,877,521 353,500 Defined 1,2 - - - HOUSEHOLD INTERNATIONAL INC COM 441815107 12,474,000 525,000 Defined 1,2 HYPERION SOLUTIONS CORP COM 44914M104 348,300 12,900 Defined 1,2 ILEX ONCOLOGY INC COM 451923106 302,084 52,000 Defined 1,2 - - 15,300 INDYMAC BANCORP INC COM 456607100 372,800 20,000 Defined 1,2 INTEGRATED DEFENSE TECHNOLOGY COM 45819B101 168,360 12,000 Defined 1,2 INTEL CORP COM 458140100 13,157,120 867,300 Defined 1,2 15,000 - - INTERCEPT INC COM 45845L107 184,977 11,700 Defined 1,2 INTERGRA LIFE SCIENCE HOLDINGS COM 457985208 1,393,319 96,700 Defined 1,2 - - - INTERGRATED CIRCUIT SYSTEMS COM 45811K208 357,700 17,500 Defined 1,2 INTERMUNE INC COM 45884X103 308,532 8,400 Defined 1,2 INTERNATIONAL PAPER CO COM 460146103 2,312,366 66,200 Defined 1,2 6,700 INTERPUBLIC GROUP COS INC COM 460690100 1,825,425 152,500 Defined 1,2 INTERSIL HOLDING CORP COM 46069S109 302,422 17,800 Defined 1,2 INTL BUSINESS MACHINES CORP COM 459200101 15,788 200 Defined 1,2 INTL SPPEDWAY CORP CLASS A COM 460335201 4,645,542 119,300 Defined 1,2 INTRADO INC. COM 46117A100 120,875 12,500 Defined 1,2 22,700 INTUIT INC COM 461202103 24,049,344 463,200 Defined 1,2 INVESTORS FINANCIAL SVCS CP COM 461915100 6,977,425 227,500 Defined 1,2 ISHARES RUSSELL 2000 GROWTH COM 464287648 3,950,000 100,000 Defined 1,2 ISIS PHARMACEUTICALS INC COM 464330109 265,472 27,200 Defined 1,2 ITRON INC COM 465741106 492,525 22,500 Defined 1,2 J P MORGAN CHASE & CO COM 46625H100 896,400 43,200 Defined 1,2 JABIL CIRCUIT INC COM 466313103 2,203,404 142,800 Defined 1,2 716,000 JARDEN CORP COM 471109108 1,198,140 48,400 Defined 1,2 - - - JDA SOFTWARE GROUP COM 46612K108 154,875 17,700 Defined 1,2 JOHNSON & JOHNSON COM 478160104 64,630,582 1,104,385 Defined 1,2 12,200 - 25,000 KEY ENERGY SERVICES INC COM 492914106 352,735 39,500 Defined 1,2 KEY ENERGY SERVICES WARRANTS COM 492914122 87,000 1,500 Defined 1,2 KIMBERLY CLARK CORP COM 494368103 2,600,750 50,500 Defined 1,2 KINDER MORGAN INC COM 49455P101 18,305,000 500,000 Defined 1,2 KNIGHT RIDDER INC COM 499040103 1,955,850 32,500 Defined 1,2 KOHLS CORP COM 500255104 49,093,251 831,900 Defined 1,2 11,700 - 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