-----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, JsZq3jcdFQyHSxt6E00OJ7TtNsN3SRKCCLF3kSvM04HHmUmS0qV5yB6zD+0wltI4 qpHXx6v2ytYTZxD5dJbYug== 0000799005-00-000001.txt : 20000211 0000799005-00-000001.hdr.sgml : 20000211 ACCESSION NUMBER: 0000799005-00-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19991231 FILED AS OF DATE: 20000210 FILER: COMPANY DATA: COMPANY CONFORMED NAME: STEIN ROE & FARNHAM INC /DE/ CENTRAL INDEX KEY: 0000799005 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 363447638 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: SEC FILE NUMBER: 028-01823 FILM NUMBER: 531730 BUSINESS ADDRESS: STREET 1: ONE S WACKER DR STREET 2: 35TH FL CITY: CHICAGL STATE: IL ZIP: 60606 BUSINESS PHONE: 3123687700 MAIL ADDRESS: STREET 1: ONE SOUTH WACKER DR STREET 2: 35TH FL CITY: CHICAGO STATE: IL ZIP: 60606 13F-HR 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: December 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: Stein Roe & Farnham Incorporated Address: One South Wacker Drive Chicago, Illinois 60606 Form 13F File Number: 28-01823 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: Joyce B. Riegel Title: Vice President and Chief Compliance Officer Phone: (312) 368-7727 Signature, Place, and Date of Signing: /s/ Joyce B. Riegel Chicago, Illinois February 10, 2000 Report Type (Check only one.): [XX] 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).) [ ] 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).) Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 2 Form 13F Information Table Entry Total: 697 Form 13F Information Table Value Total: $10,311,693 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] No. 13F File Number Name 1 28-33 Liberty Mutual Insurance Co. 2 28-6060 Harold J. McComas
FORM 13F INFORMATION TABLE REPORTING MANAGE Stein Roe & Farnham, Inc. Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 Name of Issuer Class CUSIP FMV SHRS Shared Other (A) (B) (C) ($000) Managers Sole Shared None ------------------- ------ --------- -------- -------- ------- -------- ------- ------- --------- AES TRUST I CV PFD Pfd Sto 001033208 12,884 122,700 DEFINED 1 300 122400 AES CORP Common 00130H105 95,408 1,276,365 DEFINED 1 50105 515200 711060 AES CORP Common 00130H105 97 1,300 DEFINED 2 1300 AMFM INC Common 001693100 4,795 61,280 DEFINED 1 3215 15000 43065 AMR CORP Common 001765106 5,043 75,260 DEFINED 1 260 75000 A T & T CORP Common 001957109 17,795 350,370 DEFINED 1 6319 132963 211088 AT&T CORP-LIBERTY M Common 001957208 105,742 1,862,788 DEFINED 1 6900 1400000 455888 AVT CORPORATION Common 002420107 851 18,100 DEFINED 1 14700 3400 AVX CORP Common 002444107 19,990 400,300 DEFINED 1 400300 ABBOTT LABS Common 002824100 39,883 1,098,337 DEFINED 1 19410 87000 991927 P-ABN AMRO PF $7.035 Pfd Sto 003714300 3,760 3,700 DEFINED 1 3700 P-ABN AMRO NOAMR PFD Pfd Sto 003714870 3,019 3,000 DEFINED 1 3000 ACME COMMUNICATIONS Common 004631107 389 11,700 DEFINED 1 10000 1700 ACTUATE CORPORATION Common 00508B102 3,053 71,200 DEFINED 1 62800 8400 ACUSON CORP Common 005113105 9,883 786,700 DEFINED 1 786700 ADELPHIA COMMUNICAT Common 006848105 13,125 200,000 DEFINED 1 200000 ADOBE SYSTEMS INC Common 00724F101 6,729 100,055 DEFINED 1 55 100000 ADVANCED OXYGEN TECH Common 00754B103 4 64,000 DEFINED 1 64000 AEGON N.V. ARD Common 007924103 1,977 20,703 DEFINED 1 143 20560 AES TR111 CVPFD3.375 Pfd Sto 00808N202 2,101 34,100 DEFINED 1 34100 AETNA INC Common 008117103 340 6,100 DEFINED 1 6100 AGILENT TECHNOLOGIE Common 00846U101 6,649 86,000 DEFINED 1 84000 2000 AIR PRODUCTS & CHEM Common 009158106 8,549 254,704 DEFINED 1 200000 54704 ALASKA COMM SYSTEMS Common 01167P101 729 58,900 DEFINED 1 51900 7000 ALBERTSONS INC Common 013104104 1,561 48,416 DEFINED 1 2016 46400 ALCOA INC Common 013817101 2,653 31,968 DEFINED 1 31000 968 ALKERMES INC Common 01642T108 938 19,100 DEFINED 1 16900 2200 ALLEGIANCE TELECOM Common 01747T102 337 3,650 DEFINED 1 3650 ALLERGAN INC Common 018490102 547 11,000 DEFINED 1 11000 ALLSCRIPTS INC Common 019886100 779 17,700 DEFINED 1 15600 2100 ALLSTATE CORP Common 020002101 7,059 293,352 DEFINED 1 9187 284165 ALLTEL CORP Common 020039103 928 11,228 DEFINED 1 11228 ALPHARMA INC Common 020813101 1,728 56,200 DEFINED 1 49800 6400 ALZA CORP Common 022615108 13,930 402,303 DEFINED 1 24523 44000 333780 AMERICA ONLINE INC Common 02364J104 94,021 1,245,212 DEFINED 1 10912 1050000 184300 AMCORE FINANCIAL INC Common 023912108 2,169 90,387 DEFINED 1 90387 AMERICAN EXPRESS CO Common 025816109 16,292 97,995 DEFINED 1 2085 84000 11910 AMERICAN FREIGHTWAY Common 02629V108 599 37,000 DEFINED 1 32000 5000 AMERICAN GENL CORP Common 026351106 7,264 95,731 DEFINED 1 40 95691 AMERICAN HOME PRODU Common 026609107 24,392 619,502 DEFINED 1 16103 410400 192999 AMER INTERNATIONAL Common 026874107 160,400 1,483,467 DEFINED 1 39016 854625 589826 AMERICAN MANAGEMENT Common 027352103 1,010 32,200 DEFINED 1 28400 3800 AMERICAN TOWER CORP Common 029912201 10,697 350,000 DEFINED 1 350000 AMES DEPT STORES IN Common 030789507 766 26,600 DEFINED 1 23600 3000 AMGEN INC Common 031162100 5,881 97,920 DEFINED 1 2180 95740 ANADARKO PETE CORP Common 032511107 223 6,536 DEFINED 1 6536 ANALOG DEVICES Common 032654105 18,025 193,822 DEFINED 1 10300 183522 ANDREW CORP Common 034425108 16,171 853,900 DEFINED 1 853900 ANHEUSER BUSCH Common 035229103 1,887 26,624 DEFINED 1 80 26544 ANNTAYLOR STORES CO Common 036115103 703 20,400 DEFINED 1 18000 2400 AON CORP Common 037389103 432 10,812 DEFINED 1 699 10113 APLACN PWR $5.92 SFP Pfd Sto 037735859 1,924 20,000 DEFINED 1 20000 APPLE COMPUTER INC Common 037833100 36,091 351,040 DEFINED 1 350000 1040 APPLEBEES INTERNATI Common 037899101 950 32,200 DEFINED 1 28700 3500 APPLIED INDUST TECH Common 03820C105 220 13,258 DEFINED 1 13258 APPLIED MATLS Common 038222105 82,830 653,810 DEFINED 1 4810 540000 109000 APTARGROUP INC Common 038336103 1,596 63,520 DEFINED 1 120 55700 7700 ARACRUZ CELULOSE SA ADR 038496204 1,082 41,200 DEFINED 1 41200 ARCHSTN $1.99 CV PFD Convert 039581202 7,802 277,400 DEFINED 1 277400 ARIBA INC Common 04033V104 7,982 45,000 DEFINED 1 45000 ARROW ELECTRONICS I Common 042735100 6,075 239,400 DEFINED 1 600 238800 ART TECHNOLOGY GROU Common 04289L107 2,258 17,400 DEFINED 1 15400 2000 ASSOCIATES FIRST CA Common 046008108 20,333 741,067 DEFINED 1 32920 187000 521147 ASTEC INDUSTRIES IN Common 046224101 482 25,600 DEFINED 1 20200 5400 ATLANTIC RICHFIELD Common 048825103 2,978 34,433 DEFINED 1 4929 29504 ATMEL CORP Common 049513104 23,657 800,250 DEFINED 1 250 800000 AUTOMATIC DATA PROCE Common 053015103 12,175 225,983 DEFINED 1 14760 211223 AVERY DENNISON CORP Common 053611109 3,471 47,632 DEFINED 1 1659 45100 873 AVON PRODUCTS INC Common 054303102 1,569 47,550 DEFINED 1 3700 40000 3850 THE BISYS GROUP INC Common 055472104 8,287 127,000 DEFINED 1 124100 2900 BP AMOCO PLC-ADR Common 055622104 51,888 874,817 DEFINED 1 47557 355252 472008 BMC SOFTWARE Common 055921100 654 8,185 DEFINED 1 1750 6435 BAKER HUGHES INC Common 057224107 295 13,997 DEFINED 1 1500 12497 BALDOR ELECTRIC Common 057741100 183 10,121 DEFINED 1 10121 BALL CORP Common 058498106 217 5,500 DEFINED 1 5500 BALT GAS&EL $7.125PF Pfd Sto 059165779 214 2,000 DEFINED 1 2000 BANK OF AMERICA COR Common 060505104 15,816 315,136 DEFINED 1 5986 139950 169200 BANK OF MONTREAL Common 063671101 317 6,434 DEFINED 1 6434 BANK ONE CORP Common 06423A103 4,992 155,999 DEFINED 1 137 155862 BANK OF TOKYO-MITSU Common 065379109 1,185 85,000 DEFINED 1 85000 BARRICK GOLD CORP Common 067901108 1,530 86,500 DEFINED 1 85000 1500 BARRETT RESOURCES C Common 068480201 889 30,200 DEFINED 1 26600 3600 BATTERY TECHNOLOGIES Common 07132T102 1 10,000 DEFINED 1 10000 BAXTER INTERNATIONA Common 071813109 8,621 137,249 DEFINED 1 1355 120000 15894 BECTON DICKINSON Common 075887109 2,284 84,800 DEFINED 1 84800 BELDEN INC Common 077459105 3,738 178,000 DEFINED 1 178000 BELL ATLANTIC CORP Common 077853109 19,531 317,247 DEFINED 1 9842 268320 39085 BELLSOUTH CORP Common 079860102 3,691 78,837 DEFINED 1 13892 64945 BELO (AH) CORP CL-A Common 080555105 359 18,846 DEFINED 1 18846 BERKSHIRE HATHAWAY Common 084670108 19,803 353 DEFINED 1 353 BERKSHIRE HATH-CL B Common 084670207 1,430 782 DEFINED 1 8 774 BESTFOODS Common 08658U101 3,997 76,046 DEFINED 1 700 75346 BIOGEN INC Common 090597105 287 3,392 DEFINED 1 2690 702 BIOMET INC Common 090613100 9,000 225,000 DEFINED 1 225000 BLACK & DECKER CORP Common 091797100 314 6,000 DEFINED 1 6000 E.W. BLANCH HOLDING Common 093210102 680 11,100 DEFINED 1 8300 2800 H R BLOCK Common 093671105 317 7,250 DEFINED 1 2850 4400 BLUESTONE SOFTWARE Common 09623P102 1,311 11,400 DEFINED 1 10100 1300 BOEING CO Common 097023105 4,599 110,697 DEFINED 1 99600 11097 BORDERS GROUP INC Common 099709107 4,979 310,000 DEFINED 1 310000 BOYKIN LODGING CO Common 103430104 109 10,000 DEFINED 1 10000 BRISTOL-MYERS SQUIB Common 110122108 214,945 3,348,697 DEFINED 1 45151 288000 3015546 BROADCOM CORP CL A Common 111320107 15,008 55,100 DEFINED 1 100 55000 BROADVISION INC Common 111412102 2,161 12,705 DEFINED 1 105 11100 1500 BROCADE COMMUNICATI Common 111621108 4,425 25,000 DEFINED 1 25000 BURLINGTON NORTH SA Common 12189T104 4,850 200,000 DEFINED 1 200000 BURR-BROWN CORP Common 122574106 2,200 60,905 DEFINED 1 155 53550 7200 CBS CORP Common 12490K107 71,924 1,124,911 DEFINED 1 50179 48000 1026732 C-CUBE MICROSYSTEMS Common 125015107 1,892 30,400 DEFINED 1 25800 4600 CEC ENTERTAINMENT I Common 125137109 1,237 43,600 DEFINED 1 38400 5200 CIGNA CORP Common 125509109 675 8,378 DEFINED 1 900 7478 CK WITCO CORP Common 12562C108 438 32,751 DEFINED 1 32751 CMGI INC Common 125750109 6,977 25,200 DEFINED 1 25000 200 CTS CORP Common 126501105 1,734 23,000 DEFINED 1 20400 2600 CACHEFLOW INC Common 126946102 653 5,000 DEFINED 1 4400 600 CAL DIVE INTERNATIO Common 127914109 818 24,700 DEFINED 1 20700 4000 CALPINE CORPORATION Common 131347106 23,738 370,910 DEFINED 1 110 369600 1200 CAMPBELL SOUP CO Common 134429109 449 11,596 DEFINED 1 11596 CANADIAN PACIFIC LTD Common 135923100 313 14,500 DEFINED 1 14500 CANANDAIGUA BRANDS Common 137219200 1,271 24,931 DEFINED 1 131 21900 2900 CAPITAL ONE FINANCI Common 14040H105 3,324 68,984 DEFINED 1 66000 2984 CARDIAC RESUSCITATOR Common 141409102 1 17,033 DEFINED 1 17033 CARDINAL HEALTH INC Common 14149Y108 405 8,459 DEFINED 1 86 6000 2373 CARLISLE COS INC Common 142339100 10,512 292,000 DEFINED 1 292000 CARNIVAL CORP-CL A Common 143658102 7,196 150,500 DEFINED 1 400 150000 100 CARPENTER TECHNOLOG Common 144285103 8,231 300,000 DEFINED 1 300000 CATALINA MARKETING Common 148867104 1,377 11,900 DEFINED 1 10500 1400 CATERPILLAR INC Common 149123101 2,675 56,842 DEFINED 1 862 28000 27980 CEDAR FAIR LP Common 150185106 6,574 339,320 DEFINED 1 315000 24320 CENDANT CORPORATION Common 151313103 987 37,148 DEFINED 1 1000 36148 CENT IL LT $5.85 SFP Pfd Sto 153645882 201 2,000 DEFINED 1 2000 CENTURYTEL INC Common 156700106 424 8,959 DEFINED 1 3420 5539 CHARTER ONE FIN INC Common 160903100 850 39,215 DEFINED 1 6575 32640 CHARTER COMMUNICATI Common 16117M107 4,747 217,000 DEFINED 1 215000 2000 CHASE MANHATTAN COR Common 16161A108 74,659 961,021 DEFINED 1 44607 228800 687614 CHASE MANHTN$2.48PFD Pfd Sto 16161A777 2,350 50,000 DEFINED 1 50000 CHECKFREE HOLDINGS Common 162816102 9,405 90,000 DEFINED 1 90000 CHEVRON CORP Common 166751107 5,450 62,920 DEFINED 1 852 62068 CHIRON Common 170040109 689 16,256 DEFINED 1 16256 CHROMAVISION MEDICA Common 17111P104 764 50,100 DEFINED 1 43300 6800 CIRCLE INTERNATIONA Common 172574105 1,117 50,200 DEFINED 1 42300 7900 CISCO SYSTEMS INC Common 17275R102 548,872 5,123,659 DEFINED 1 58592 2153900 2911167 CISCO SYSTEMS INC Common 17275R102 214 2,000 DEFINED 2 2000 CINTAS CORP Common 172908105 8,893 167,400 DEFINED 1 165000 2400 CITIGROUP INC Common 172967101 236,514 4,252,300 DEFINED 1 91629 2288311 1872360 CITIGROUP INC Common 172967101 56 1,000 DEFINED 2 1000 CCI PFD $3.11 PFD H Pfd Sto 172967705 2,420 52,600 DEFINED 1 52600 CITIGRP $2.932 PFD M Pfd Sto 172967812 207 5,000 DEFINED 1 5000 CITIZENS UTILS CO DE Common 177342201 502 35,396 DEFINED 1 35396 CITRIX SYS INC Common 177376100 1,722 14,000 DEFINED 1 14000 CLARUS CORPORATION Common 182707109 1,465 22,200 DEFINED 1 19700 2500 CLEAR CHANNEL COMMU Common 184502102 129,158 1,447,143 DEFINED 1 29057 809000 609086 CLOROX CO Common 189054109 653 12,960 DEFINED 1 12960 COCA COLA CO Common 191216100 89,918 1,543,657 DEFINED 1 17633 850000 676024 COCA COLA CO Common 191216100 233 4,000 DEFINED 2 4000 COLGATE PALMOLIVE Common 194162103 29,251 450,021 DEFINED 1 7990 442031 COLUMBIA/HCA HEALTH Common 197677107 11,869 404,900 DEFINED 1 404900 COMCAST CL A Common 200300101 972 20,299 DEFINED 1 20299 COMCAST CORP-SPECIA Common 200300200 76,581 1,522,223 DEFINED 1 850 1238000 283373 COMMERCE BANCORP IN Common 200519106 611 15,100 DEFINED 1 13400 1700 COMPAQ COMPUTER COR Common 204493100 12,456 460,266 DEFINED 1 252 195000 265014 COMPUTER ASSOC INTL Common 204912109 432 6,180 DEFINED 1 6180 COMVERSE TECH Common 205862402 32,537 224,782 DEFINED 1 82 223200 1500 CONAGRA INC Common 205887102 275 12,138 DEFINED 1 200 11938 CONCORD CAMERA CORP Common 206156101 680 29,900 DEFINED 1 25400 4500 CONCORD EFS INC Common 206197105 2,781 107,982 DEFINED 1 106950 1032 CONEXANT SYSTEMS IN Common 207142100 11,156 168,080 DEFINED 1 162000 6080 CONOCO INC-CL A Common 208251306 6,644 268,425 DEFINED 1 2525 104800 161100 CONOCO INC -CL B Common 208251405 5,687 228,643 DEFINED 1 181807 46836 CONTINENTAL AIRLINE Common 210795308 11,981 270,000 DEFINED 1 270000 COOPER INDS Common 216669101 846 20,928 DEFINED 1 20928 COOPER TIRE & RUBBE Common 216831107 4,669 300,000 DEFINED 1 300000 CORNING INCORPORATE Common 219350105 80,483 624,200 DEFINED 1 600000 24200 COSTCO WHOLESALE CRP Common 22160K105 8,726 95,629 DEFINED 1 1805 93824 COX COMMUNICATIONS C Common 224044107 635 12,330 DEFINED 1 12330 COYOTE NETWORK SYS Common 22406P108 60 11,000 DEFINED 1 11000 CROSS TIMBER OIL CO Common 227573102 10,569 1,166,225 DEFINED 1 1166225 CROWN CASTLE INTL C Common 228227104 2,409 75,000 DEFINED 1 75000 CULLEN/FROST BANKER Common 229899109 1,385 53,800 DEFINED 1 48400 5400 CUMULUS MEDIA INC C Common 231082108 2,920 57,531 DEFINED 1 131 53400 4000 CYBERSOURCE CORP Common 23251J106 1,082 20,900 DEFINED 1 18400 2500 CYTYC CORPORATION Common 232946103 1,423 23,300 DEFINED 1 20500 2800 DPL INC Common 233293109 284 16,430 DEFINED 1 675 15755 DAYTON HUDSON Common 239753106 1,773 24,149 DEFINED 1 35 24114 DEERE Common 244199105 209 4,825 DEFINED 1 1825 3000 DELL COMPUTER CORPO Common 247025109 30,807 604,050 DEFINED 1 537000 67050 DELPHI AUTOMOTIVE Common 247126105 226 14,360 DEFINED 1 14360 DELUXE CORP Common 248019101 538 19,600 DEFINED 1 650 18950 DEVRY INC Common 251893103 8,067 433,100 DEFINED 1 429200 3900 DEXTER CORP Common 252165105 11,020 277,239 DEFINED 1 275000 2239 DIAMOND OFFSHORE (DO Common 25271C102 226 7,400 DEFINED 1 7400 DIAMOND TECH PARTNE Common 252762109 1,719 20,000 DEFINED 1 20000 DIONEX CORP Common 254546104 1,252 30,400 DEFINED 1 26800 3600 WALT DISNEY PRODUCT Common 254687106 32,759 1,119,981 DEFINED 1 10075 530000 579906 DOLLAR GEN CORP Common 256669102 48,075 2,113,180 DEFINED 1 92607 2020573 DOLLAR GEN(STRYPES) Pfd Sto 256678103 777 21,500 DEFINED 1 21500 DOLLAR TREE STORES Common 256747106 12,109 250,000 DEFINED 1 250000 DLJ FRAPS A $2.97 Pfd Sto 257661207 3,000 60,000 DEFINED 1 60000 DLJ FRAPS B $2.65 Pfd Sto 257661306 2,042 42,000 DEFINED 1 42000 DONNELLEY (RR) Common 257867101 367 14,800 DEFINED 1 14800 DOUBLECLICK INC Common 258609304 2,050 8,100 DEFINED 1 8000 100 DOVER CORP Common 260003108 24,327 536,131 DEFINED 1 44135 491996 DOW CHEMICAL Common 260543103 608 4,549 DEFINED 1 30 4519 EI DUPONT DE NEMOUR Common 263534109 11,720 177,912 DEFINED 1 4720 114201 58991 DUKE ENERGY CORP Common 264399106 279 5,576 DEFINED 1 5576 DUKE ENERGY $1.55SFP Pfd Sto 264399718 207 8,250 DEFINED 1 8250 DUN & BRADSTREET Common 26483B106 463 15,687 DEFINED 1 2925 12762 DUSA PHARMACEUTICAL Common 266898105 992 34,800 DEFINED 1 31000 3800 EMC CORP Common 268648102 228,737 2,093,704 DEFINED 1 43889 1394000 655815 E-TEK DYNAMICS INC Common 269240107 1,346 10,000 DEFINED 1 10000 EASTMAN KODAK Common 277461109 515 7,778 DEFINED 1 300 7478 EATON CORP Common 278058102 4,472 61,582 DEFINED 1 59000 2582 ECOLAB INC Common 278865100 71,043 1,815,800 DEFINED 1 61010 416800 1337990 EDISON INTERNATIONAL Common 281020107 329 12,581 DEFINED 1 400 12181 EGLOBE INC Common 282339100 104 23,400 DEFINED 1 23400 EL PASO ENER $2.375 Convert 283678209 1,076 21,350 DEFINED 1 21350 EL PASO ENERGY CORP Common 283905107 5,345 137,724 DEFINED 1 2475 100000 35249 ELAN CORP SPONS ADR Common 284131208 3,404 115,384 DEFINED 1 784 109000 5600 ELECTRONIC DATA SYS Common 285661104 840 12,552 DEFINED 1 1350 11202 EMERSON ELECTRIC CO Common 291011104 17,477 304,614 DEFINED 1 750 154000 149864 ENDESA SA ADR Common 29258N107 6,513 322,644 DEFINED 1 126000 196644 ENRON CORP Common 293561106 82,186 1,852,082 DEFINED 1 12512 1457000 382570 ENTRUST TECHNOLOGIE Common 293848107 1,289 21,500 DEFINED 1 18900 2600 EQUANT N V NY SHARE Common 294409107 22,400 200,000 DEFINED 1 200000 EQUITY RESIDENTIAL Common 29476L107 3,481 81,548 DEFINED 1 73000 8548 EQUITY RES $2.15CVPF Pfd Sto 29476L826 495 19,000 DEFINED 1 19000 ERICSSON (LM) TEL AD Common 294821400 190,680 2,902,841 DEFINED 1 34741 650000 2218100 ERICSSON (LM) TEL AD Common 294821400 263 4,000 DEFINED 2 4000 ERICSSON L M TEL CV Pfd Sto 294821509 10,033 517,852 DEFINED 1 517852 ESPEED INC-CL A Common 296643109 349 9,800 DEFINED 1 8600 1200 ETHAN ALLEN INTERIO Common 297602104 1,299 40,500 DEFINED 1 35700 4800 EUR AMR BK $5.84FRAP Pfd Sto 29874F207 530 525 DEFINED 1 525 EURO AMR BK $6.01PFD Pfd Sto 29874F306 1,004 1,000 DEFINED 1 1000 EXODUS COMMUNICATIO Common 302088109 13,402 150,900 DEFINED 1 150000 900 EXPEDITORS INTL WAS Common 302130109 1,003 22,900 DEFINED 1 18700 4200 EXXON MOBIL CORPORAT Common 30231G102 53,545 664,645 DEFINED 1 7847 127050 529748 EXXON MOBIL CORPORAT Common 30231G102 106 1,320 DEFINED 2 1320 FREDDIE MAC Common 313400301 36,461 774,734 DEFINED 1 23125 396000 355609 FEDERAL-MOGUL CORP Common 313549107 1,030 51,200 DEFINED 1 51200 FED-MOGUL $3.50CVPFD Convert 313552408 2,512 75,550 DEFINED 1 75550 FANNIE MAE Common 313586109 115,270 1,846,167 DEFINED 1 22640 500500 1323027 FANNIE MAE Common 313586109 94 1,500 DEFINED 2 1500 FEDERATED DEPT STOR Common 31410H101 8,138 161,000 DEFINED 1 1000 160000 FIFTH THIRD BANCORP Common 316773100 5,764 78,558 DEFINED 1 40 78518 FIRST DATA CORP Common 319963104 1,956 39,671 DEFINED 1 1024 38647 FIRST HEALTH GROUP Common 320960107 13,309 495,200 DEFINED 1 495200 FIRST UNION CORP Common 337358105 2,594 78,768 DEFINED 1 6995 71773 FIRSTAR CORP Common 33763V109 1,156 54,738 DEFINED 1 600 54138 FISERV INC Common 337738108 14,367 375,000 DEFINED 1 375000 FLEET FINL VIII PFD Pfd Sto 338915747 510 10,000 DEFINED 1 10000 FLEET BOSTON FINL Common 339030108 251 7,220 DEFINED 1 7220 FLOWSERVE CORP Common 34354P105 6,205 365,000 DEFINED 1 365000 FOCAL COMMUNICATION Common 344155106 1,238 51,300 DEFINED 1 45300 6000 FORD MOTOR CO Common 345370100 5,135 96,148 DEFINED 1 2050 73000 21098 FOREST LABORATORIES Common 345838106 7,570 123,210 DEFINED 1 120000 3210 FOUNDRY NETWORKS IN Common 35063R100 12,068 40,000 DEFINED 1 40000 FREEPRT MC C&G$1.75 Pfd Sto 35671D501 437 22,900 DEFINED 1 22900 F-PORT MCMORAN COP Common 35671D857 8,450 400,000 DEFINED 1 400000 FRESENIUS MEDICAL CA Common 358029106 268 9,458 DEFINED 1 9458 FUJI PHOTO FILM Common 359586302 204 5,324 DEFINED 1 5324 FULTON FINANCIAL COM Common 360271100 494 27,472 DEFINED 1 27472 GTE CORP Common 362320103 13,761 195,015 DEFINED 1 4140 190875 GANNETT Common 364730101 7,757 95,105 DEFINED 1 255 94850 GAP INC Common 364760108 2,743 59,626 DEFINED 1 59626 GARTNER GRP NEW CL B Common 366651206 390 28,266 DEFINED 1 655 27611 GENENTECH INC Common 368710406 11,061 82,238 DEFINED 1 11438 70800 GENERAL ELECTRIC CO Common 369604103 403,656 2,608,437 DEFINED 1 34884 920000 1653553 GENERAL ELECTRIC CO Common 369604103 464 3,000 DEFINED 2 3000 GENERAL INSTRUMENT Common 370120107 2,973 34,980 DEFINED 1 4150 30830 GENERAL MILLS INC Common 370334104 1,325 37,049 DEFINED 1 1825 23000 12224 GENERAL MOTORS Common 370442105 1,002 13,791 DEFINED 1 480 13311 GENERAL MOTORS CL H Common 370442832 750 7,813 DEFINED 1 7813 GENTEX CORP Common 371901109 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