-----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, Sr3gV1/l+cbJqeusLx6evoYA4M6/cGzT5pJlt89esy7UBVMqzf2OcGjOZMWT/m8b OFnE/qdP8hLu5cQhrkey7w== /in/edgar/work/0000799005-00-000015/0000799005-00-000015.txt : 20001114 0000799005-00-000015.hdr.sgml : 20001114 ACCESSION NUMBER: 0000799005-00-000015 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000930 FILED AS OF DATE: 20001113 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: 761754 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 0001.txt 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, 2000 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 November 13, 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: 671 Form 13F Information Table Value Total: $10,630,817 (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 ------------------- ------ --------- -------- -------- ------- -------- ------- ------- --------- ACT MANUFACTORING I Common 000973107 4,304 81,600 DEFINED 1 70700 10900 AFLAC INC Common 001055102 247 3,850 DEFINED 1 3850 AES CORP Common 00130H105 222,331 3,245,708 DEFINED 1 168470 1328000 1749238 AES CORP Common 00130H105 178 2,600 DEFINED 2 2600 AMR CORP Common 001765106 5,887 180,100 DEFINED 1 100 180000 A T & T CORP Common 001957109 14,961 509,327 DEFINED 1 8524 374063 126740 AT&T CORP-LIBERTY M Common 001957208 82,461 4,581,173 DEFINED 1 62300 3912000 606873 AT & T WIRELESS COR Common 001957406 8,446 404,600 DEFINED 1 5350 61100 338150 AVX CORP Common 002444107 11,223 430,600 DEFINED 1 430600 ABBOTT LAB Common 002824100 37,251 783,202 DEFINED 1 15542 767660 P-ABN AMRO NOAMR PFD Pfd 003714870 2,700 3,000 DEFINED 1 3000 ACTUATE CORPORATION Common 00508B102 6,239 180,600 DEFINED 1 156400 24200 ACUSON CORP Common 005113105 6,045 265,700 DEFINED 1 265700 ACXIOM CORP Common 005125109 235 7,400 DEFINED 1 7400 ADVANCED LIGHTING T Common 00753C102 1,513 122,300 DEFINED 1 112500 9800 ADVANCED OXYGEN TECH Common 00754B103 3 64,000 DEFINED 1 64000 AEGON N.V. ARD AmRegSh 007924103 1,365 36,775 DEFINED 1 286 36489 AES TR111 CVPFD 3.38 CV Pfd 00808N202 3,488 33,700 DEFINED 1 33700 AETNA INC Common 008117103 247 4,250 DEFINED 1 550 3700 AFFILIATED COMPUTER Common 008190100 13,307 266,800 DEFINED 1 266800 AGILENT TECHNOLOGIE Common 00846U101 19,529 399,059 DEFINED 1 49714 74000 275345 AGILE SOFTWARE CORP Common 00846X105 1,403 15,600 DEFINED 1 13500 2100 AIR PRODUCTS & CHEM Common 009158106 9,169 254,704 DEFINED 1 200000 54704 ALBERTSONS INC Common 013104104 414 19,700 DEFINED 1 19700 ALCOA INC Common 013817101 2,365 93,436 DEFINED 1 92000 1436 ALLERGAN INC Common 018490102 929 11,000 DEFINED 1 11000 ALLSCRIPTS INC Common 019886100 444 31,400 DEFINED 1 27200 4200 ALLSTATE CORP Common 020002101 6,123 176,193 DEFINED 1 2250 173943 ALLTEL CORP Common 020039103 586 11,228 DEFINED 1 11228 ALPHARMA INC Common 020813101 1,094 17,900 DEFINED 1 15700 2200 ALTERA CORPATION Common 021441100 240 5,030 DEFINED 1 5030 ALZA CORP Common 022615108 48,333 558,764 DEFINED 1 27445 150000 381319 AMERADA HESS CORP Common 023551104 10,757 160,700 DEFINED 1 160700 AMERICA ONLINE INC Common 02364J104 160,315 2,982,606 DEFINED 1 54386 2696000 232220 AMCORE FINANCIAL INC Common 023912108 1,656 84,387 DEFINED 1 84387 AMERICAN EXPRESS CO Common 025816109 13,624 224,265 DEFINED 1 7690 181600 34975 AMERICAN GENL CORP Common 026351106 7,287 93,428 DEFINED 1 362 93066 AMERICAN HOME PRODU Common 026609107 49,043 867,052 DEFINED 1 21605 647400 198047 AMER INTERNATIONAL G Common 026874107 109,580 1,145,185 DEFINED 1 107204 111000 926981 AMER INTERNATIONAL G Common 026874107 96 1,000 DEFINED 2 1000 AMERICAN STANDARD Common 029712106 439 9,875 DEFINED 1 6225 3650 AMERICAN TOWER CORP Common 029912201 52,774 1,400,300 DEFINED 1 1400000 300 AMGEN INC Common 031162100 81,458 1,166,545 DEFINED 1 29815 890000 246730 ANADARKO PETE CORP Common 032511107 2,870 43,177 DEFINED 1 12092 31085 ANALOG DEVICES Common 032654105 18,977 229,849 DEFINED 1 25125 204724 ANDREW CORP Common 034425108 15,815 603,900 DEFINED 1 603900 ANHEUSER BUSCH Common 035229103 2,234 52,786 DEFINED 1 4150 48636 ANNTAYLOR STORES CO Common 036115103 2,399 62,400 DEFINED 1 54000 8400 AON CORP Common 037389103 5,048 128,613 DEFINED 1 127600 1013 APLACN PWR $5.92 SFP Pfd 037735859 2,000 20,000 DEFINED 1 20000 APPLE COMPUTER INC Common 037833100 19,457 755,600 DEFINED 1 755000 600 APPLIED MATLS Common 038222105 83,745 1,411,925 DEFINED 1 71705 944000 396220 APPLIED MATLS Common 038222105 89 1,500 DEFINED 2 1500 APROPOS TECHNOLOGY Common 038334108 425 47,200 DEFINED 1 33600 13600 APTARGROUP INC Common 038336103 1,597 66,720 DEFINED 1 120 58900 7700 ARCHER DANIELS MIDL Common 039483102 4,524 524,572 DEFINED 1 1567 523005 ARCHSTN $2.07 CV PFD CV Pfd 039581202 8,234 245,100 DEFINED 1 245100 ARROW ELECTRONICS I Common 042735100 8,155 239,400 DEFINED 1 600 238800 ART TECHNOLOGY GROU Common 04289L107 1,308 13,800 DEFINED 1 12000 1800 ASPECT MEDICAL SYST Common 045235108 423 34,200 DEFINED 1 29100 5100 ASPEN TECHNOLOGY IN Common 045327103 3,736 82,800 DEFINED 1 71800 11000 ASSOCIATES FIRST Common 046008108 26,128 687,581 DEFINED 1 75710 611871 ASTEC INDUSTRIES IN Common 046224101 483 44,200 DEFINED 1 35600 8600 ATLANTIC COAST AIRL Common 048396105 1,007 31,300 DEFINED 1 27100 4200 ATMEL CORP Common 049513104 164 10,800 DEFINED 1 10800 AURORA BIOSCIENCES Common 051920106 891 13,100 DEFINED 1 11000 2100 AUTOMATIC DATA PROCE Common 053015103 14,867 222,309 DEFINED 1 26017 196292 AVAYA INC Common 053499109 255 12,630 DEFINED 1 12630 AVERY DENNISON CORP Common 053611109 1,497 32,278 DEFINED 1 1560 30100 618 AVON PRODUCTS INC Common 054303102 4,145 101,400 DEFINED 1 100000 1400 AWARE INC/MASS Common 05453N100 1,336 34,700 DEFINED 1 30000 4700 THE BISYS GROUP INC Common 055472104 1,569 20,300 DEFINED 1 17400 2900 BP AMOCO PLC-ADR Spn ADR 055622104 48,758 919,963 DEFINED 1 85297 342970 491696 BAKER HUGHES INC Common 057224107 1,113 29,970 DEFINED 1 11120 18850 BALDOR ELECTRIC Common 057741100 206 10,121 DEFINED 1 10121 BALT GAS&EL $7.125PF Pfd 059165779 203 2,000 DEFINED 1 2000 BANK OF AMERICA COR Common 060505104 8,496 162,224 DEFINED 1 5042 57053 100129 BANK NEW YORK INC Common 064057102 347 6,182 DEFINED 1 1682 4500 BANK ONE CORP Common 06423A103 2,132 55,194 DEFINED 1 137 55057 BANK OF TOKYO-MITSU Common 065379109 993 85,000 DEFINED 1 85000 BAXTER INTERNATIONA Common 071813109 6,402 80,216 DEFINED 1 1700 66600 11916 BECTON DICKINSON Common 075887109 2,157 81,600 DEFINED 1 81600 BED BATH & BEYOND I Common 075896100 10,976 450,000 DEFINED 1 450000 BELLSOUTH CORP Common 079860102 2,594 64,459 DEFINED 1 12964 51495 BELO (AH) CORP CL-A Common 080555105 347 18,846 DEFINED 1 18846 BERKSHIRE HATHAWAY Common 084670108 22,733 353 DEFINED 1 353 BERKSHIRE HATH-CL B CL B 084670207 1,497 723 DEFINED 1 30 693 BESTFOODS Common 08658U101 1,403 19,287 DEFINED 1 19287 BINDLEY WESTERN IND Common 090324104 1,894 59,200 DEFINED 1 51100 8100 BIOMET INC Common 090613100 20,843 595,500 DEFINED 1 595500 BLOCK H & R INC Common 093671105 246 6,650 DEFINED 1 2850 3800 BLUE MARTINI SOFTWA Common 095698106 396 11,700 DEFINED 1 10100 1600 BLUE WAVE SYSTEMS I Common 096081104 537 106,800 DEFINED 1 89700 17100 BLUESTONE SOFTWARE Common 09623P102 514 29,600 DEFINED 1 25600 4000 BOEING CO Common 097023105 6,833 108,462 DEFINED 1 4000 99600 4862 BOOKHAM TECHOLOGY- Spn ADR 09856Q108 11,362 265,000 DEFINED 1 265000 BORDERS GROUP INC Common 099709107 4,042 290,000 DEFINED 1 290000 BOSTON SCIENTIFIC C Common 101137107 4,318 262,700 DEFINED 1 252400 10300 BRISTOL-MYERS SQUIB Common 110122108 121,685 2,130,158 DEFINED 1 65541 318000 1746617 BROADCOM CORP CL A CL A 111320107 19,256 79,000 DEFINED 1 79000 BROCADE COMMUNICATI Common 111621108 2,714 11,500 DEFINED 1 11500 BURLINGTON RES INC Common 122014103 1,840 49,995 DEFINED 1 1687 48308 C-CUBE MICROSYSTEMS Common 12501N108 642 31,300 DEFINED 1 24200 7100 CEC ENTERTAINMENT I Common 125137109 2,464 77,000 DEFINED 1 66700 10300 CIGNA CORP Common 125509109 1,021 9,778 DEFINED 1 2300 7478 CTS CORP Common 126501105 653 12,900 DEFINED 1 11200 1700 CAL DIVE INTERNATIO Common 127914109 2,762 48,300 DEFINED 1 41900 6400 CALPINE CORPORATION Common 131347106 141,034 1,351,220 DEFINED 1 220 1350000 1000 CAMPBELL SOUP CO Common 134429109 272 10,506 DEFINED 1 10506 CAPITAL ONE FINANCI Common 14040H105 3,640 51,959 DEFINED 1 49000 2959 CARDIAC RESUSCITATOR Common 141409102 1 17,033 DEFINED 1 17033 CARLISLE COS INC Common 142339100 10,176 245,200 DEFINED 1 3200 242000 CATALINA MARKETING Common 148867104 1,343 35,700 DEFINED 1 31500 4200 CATERPILLAR INC Common 149123101 2,232 66,140 DEFINED 1 39000 27140 CEDAR FAIR LP Common 150185106 5,862 317,958 DEFINED 1 315000 2958 CELGENE CORP Common 151020104 803 13,500 DEFINED 1 11800 1700 CENDANT CORP Common 151313103 2,797 257,201 DEFINED 1 250000 7201 CENTURYTEL INC Common 156700106 246 9,039 DEFINED 1 3500 5539 CHARTER ONE FIN INC Common 160903100 645 26,476 DEFINED 1 6904 19572 CHARTER COMMUNICATI Common 16117M107 3,575 219,800 DEFINED 1 800 215000 4000 CHASE MANHATTAN COR Common 16161A108 69,967 1,514,838 DEFINED 1 132304 410700 971834 CHASE MANHTN$2.48PFD Pfd 16161A777 2,300 50,000 DEFINED 1 50000 CHEVRON CORP Common 166751107 4,730 55,488 DEFINED 1 2249 53239 CHICO'S FAS INC Common 168615102 1,306 38,400 DEFINED 1 32200 6200 CHINA UNICOM-ADR ADR 16945R104 694 31,800 DEFINED 1 31800 CHIRON Common 170040109 723 16,056 DEFINED 1 16056 CHOICEPOINT INC Common 170388102 473 10,300 DEFINED 1 6700 3600 CHROMAVISION MEDICA Common 17111P104 405 42,600 DEFINED 1 37100 5500 CIENA Common 171779101 395 3,220 DEFINED 1 3220 CISCO SYSTEMS INC Common 17275R102 394,469 7,139,705 DEFINED 1 182321 2487400 4469984 CISCO SYSTEMS INC Common 17275R102 199 3,600 DEFINED 2 3600 CINTAS CORP Common 172908105 4,404 101,100 DEFINED 1 97500 3600 CITIGROUP INC Common 172967101 315,839 5,842,116 DEFINED 1 226992 3534947 2080177 CITIGROUP INC Common 172967101 108 2,000 DEFINED 2 2000 CCI PFD $3.11 PFD H Pfd 172967705 2,393 52,600 DEFINED 1 52600 CITIGRP $2.932 PFD M Pfd 172967812 209 5,000 DEFINED 1 5000 CITIZENS COMM CO Common 17453B101 464 34,530 DEFINED 1 34530 CLARUS CORPORATION Common 182707109 285 12,500 DEFINED 1 10700 1800 CLEAR CHANNEL COMMU Common 184502102 67,613 1,196,693 DEFINED 1 69121 509000 618572 CLICKACTION INC Common 18681E107 369 40,400 DEFINED 1 31400 9000 CLOROX CO Common 189054109 253 6,400 DEFINED 1 6400 CLOSURE MEDICAL COR Common 189093107 758 30,100 DEFINED 1 24900 5200 COASTAL CORP Common 190441105 215 2,900 DEFINED 1 900 2000 COCA COLA CO Common 191216100 23,582 427,786 DEFINED 1 27297 400489 COCA COLA CO Common 191216100 221 4,000 DEFINED 2 4000 COGNIZANT TECH SOLU Common 192446102 1,654 42,400 DEFINED 1 36700 5700 COLDWATER CREEK INC Common 193068103 2,811 104,100 DEFINED 1 90200 13900 COLGATE PALMOLIVE Common 194162103 21,273 450,697 DEFINED 1 43767 406930 COLUMBIA SPORTSWEAR Common 198516106 899 19,600 DEFINED 1 17100 2500 COMCAST CL A CL A 200300101 591 14,528 DEFINED 1 14528 COMCAST CORP-SPECIA CL A 200300200 55,693 1,360,444 DEFINED 1 3014 1171000 186430 COMPAQ COMPUTER COR Common 204493100 18,461 669,367 DEFINED 1 1945 525000 142422 COMPUTER ASSOCIATES Common 204912109 4,311 171,165 DEFINED 1 165300 5865 COMPUTER NETWORK TE Common 204925101 1,344 39,100 DEFINED 1 33900 5200 COMVERSE TECH Common 205862402 115,884 1,073,000 DEFINED 1 1072500 500 CONCORD CAMERA CORP Common 206156101 1,420 55,400 DEFINED 1 48000 7400 CONCORD EFS INC Common 206197105 4,142 116,637 DEFINED 1 2475 111950 2212 CONOCO INC-CL A CL A 208251306 8,412 321,990 DEFINED 1 990 104800 216200 CONOCO INC -CL B CL B 208251405 6,027 223,729 DEFINED 1 181807 41922 CONSOLIDATED EDISON Common 209115104 807 23,656 DEFINED 1 23656 CONSTELLATION BRAND Common 21036P108 3,519 64,800 DEFINED 1 56400 8400 CONTINENTAL AIRLINE Common 210795308 4,544 100,000 DEFINED 1 100000 COOPER INDS Common 216669101 738 20,928 DEFINED 1 20928 COOPER TIRE & RUBBE Common 216831107 2,818 280,000 DEFINED 1 280000 COR THERAPEUTICS IN Common 217753102 1,377 22,100 DEFINED 1 18700 3400 CORNING INCORPORATE Common 219350105 176,056 592,780 DEFINED 1 6250 561000 25530 COSINE COMMUNICATIO Common 221222102 1,472 26,500 DEFINED 1 26500 COSTCO WHOLESALE CRP Common 22160K105 10,103 289,168 DEFINED 1 39700 249468 COX COMMUNICATIONS C Common 224044107 473 12,358 DEFINED 1 12358 CRAYFISH CO LTD-SPO Spn ADR 225226109 267 79,000 DEFINED 1 79000 CRITICAL PATH INC Common 22674V100 3,153 51,900 DEFINED 1 45000 6900 CROMPTON CORPORATION Common 227116100 173 22,000 DEFINED 1 22000 CROSS TIMBER OIL CO Common 227573102 14,762 769,338 DEFINED 1 769338 CROSSWAVE COMMUNICA Common 227686102 444 43,300 DEFINED 1 300 37300 5700 CROWN CASTLE INTL C Common 228227104 6,213 200,000 DEFINED 1 200000 CUBIST PHARMAECEUTI Common 229678107 1,437 27,600 DEFINED 1 23900 3700 CULLEN/FROST BANKER Common 229899109 975 30,000 DEFINED 1 30000 CURON MEDICAL INC Common 231292103 450 39,100 DEFINED 1 33800 5300 DDI CORP/ CA Common 233162106 3,474 78,500 DEFINED 1 67500 11000 DPL INC Common 233293109 513 17,250 DEFINED 1 2000 15250 DSP GROUP INC Common 23332B106 1,555 41,600 DEFINED 1 38400 3200 DEERE & CO Common 244199105 3,327 100,050 DEFINED 1 750 96300 3000 DELL COMPUTER Common 247025109 1,583 51,365 DEFINED 1 3130 48235 DELUXE CORP Common 248019101 285 14,050 DEFINED 1 14050 DEVRY INC Common 251893103 8,872 235,800 DEFINED 1 235800 DEXTER CORP Common 252165105 12,500 200,000 DEFINED 1 200000 DIAMOND TECH PARTNE Common 252762109 12,629 170,090 DEFINED 1 90 170000 DIGITAL LIGHTWAVE I Common 253855100 726 10,000 DEFINED 1 10000 WALT DISNEY PRODUCT Common 254687106 51,232 1,339,391 DEFINED 1 19696 850000 469695 DOLLAR GEN CORP Common 256669102 40,449 2,414,885 DEFINED 1 174125 2240760 DOLLAR TREE STORES Common 256747106 11,155 275,000 DEFINED 1 275000 DLJ FRAPS A $2.97 Pfd 257661207 3,000 60,000 DEFINED 1 60000 DLJ FRAPS B $2.65 Pfd 257661306 2,084 42,000 DEFINED 1 42000 DONNELLEY (RR) Common 257867101 344 14,000 DEFINED 1 14000 DOVER CORP Common 260003108 26,004 554,016 DEFINED 1 76104 477912 DOW CHEMICAL Common 260543103 307 12,318 DEFINED 1 3489 8829 EI DUPONT DE NEMOUR Common 263534109 8,443 203,744 DEFINED 1 2285 157191 44268 DUKE ENERGY $1.55SFP Pfd 264399718 200 8,250 DEFINED 1 8250 DUSA PHARMACEUTICAL Common 266898105 2,850 92,500 DEFINED 1 79700 12800 DYNEGY INC Common 26816Q101 570 10,000 DEFINED 1 10000 EMC CORP Common 268648102 290,017 2,925,769 DEFINED 1 138598 1799000 988171 EMC CORP Common 268648102 119 1,200 DEFINED 2 1200 EOG RESOURCES INC Common 26875P101 4,031 103,690 DEFINED 1 10190 93500 EAST WEST BANC-CORP Common 27579R104 115 46,300 DEFINED 1 40400 5900 EASTMAN KODAK CO Common 277461109 5,286 129,328 DEFINED 1 562 127800 966 EBENX INC Common 278668108 1,640 145,000 DEFINED 1 125700 19300 ECOLAB INC Common 278865100 40,426 1,121,010 DEFINED 1 72905 506800 541305 EDEN BIOSCIENCE COR Common 279445100 647 19,600 DEFINED 1 17000 2600 EDISON INTERNATIONAL Common 281020107 213 11,050 DEFINED 1 11050 EDWARDS A G INC Common 281760108 261 4,998 DEFINED 1 2343 2655 EL PASO ENER $2.375 CV Pfd 283678209 4,035 51,650 DEFINED 1 51650 EL PASO ENERGY CORP Common 283905107 10,760 174,599 DEFINED 1 1600 150000 22999 ELAN CORP SPONS ADR Spn ADR 284131208 5,222 95,384 DEFINED 1 1784 88000 5600 ELASTIC NETWORKS IN Common 284159100 348 25,000 DEFINED 1 25000 ELECTRO SCIENTIFIC Common 285229100 2,434 69,300 DEFINED 1 60100 9200 ELECTRONIC DATA SYS Common 285661104 4,756 114,596 DEFINED 1 9600 96600 8396 EMERSON ELECTRIC CO Common 291011104 10,135 151,275 DEFINED 1 2914 54000 94361 ENDESA SA Spn ADR 29258N107 2,334 124,472 DEFINED 1 124472 ENERGIZER HLDGS INC Common 29266R108 348 14,224 DEFINED 1 14224 ENRON CORP Common 293561106 155,561 1,775,302 DEFINED 1 31282 1590000 154020 ENRON CORP/EOG RES Pfd 293561882 747 21,000 DEFINED 1 1800 19200 ENZON INC Common 293904108 4,330 65,610 DEFINED 1 56800 8810 EQUITY RESIDENTIAL P Common 29476L107 643 13,395 DEFINED 1 13395 ERICSSON (LM) TEL AD Spn ADR 294821400 167,480 11,306,677 DEFINED 1 206954 3050000 8049723 ERICSSON (LM) TEL AD Spn ADR 294821400 178 12,000 DEFINED 2 12000 ESPEED INC-CL A CL A 296643109 580 20,400 DEFINED 1 17900 2500 EURO PAC GROWTH FD Common 298706102 450 11,818 DEFINED 1 7981 3837 EXABYTE CORP Common 300615101 630 56,000 DEFINED 1 31000 25000 EXODUS COMMUNICATIO Common 302088109 14,200 287,600 DEFINED 1 285000 2600 EXPEDITORS INTL WAS Common 302130109 802 17,800 DEFINED 1 15400 2400 EXTENSITY INC Common 302255104 735 35,000 DEFINED 1 30700 4300 EXXON MOBIL CORPORAT Common 30231G102 57,614 646,440 DEFINED 1 19571 127050 499819 EXXON MOBIL CORPORAT Common 30231G102 118 1,320 DEFINED 2 1320 FREDDIE MAC Common 313400301 27,833 514,836 DEFINED 1 34030 56000 424806 FANNIE MAE Common 313586109 114,369 1,599,569 DEFINED 1 80849 192000 1326720 FANNIE MAE Common 313586109 143 2,000 DEFINED 2 2000 FEDERATED DEPT STOR Common 31410H101 5,503 210,650 DEFINED 1 650 210000 FEDERATED INVESTOR Common 314211103 990 40,000 DEFINED 1 40000 FIFTH THIRD BANCORP Common 316773100 6,205 115,173 DEFINED 1 75 115098 FIRST DATA CORP Common 319963104 1,174 30,057 DEFINED 1 3099 26958 FIRST HEALTH GROUP Common 320960107 14,358 445,200 DEFINED 1 445200 FIRST UNION CORP Common 337358105 1,189 36,925 DEFINED 1 2120 34805 FIRSTAR CORP Common 33763V109 4,585 204,902 DEFINED 1 180000 24902 FISERV INC Common 337738108 20,712 345,913 DEFINED 1 790 345000 123 FLEETBOSTON 3.295PFD Pfd 33901A504 502 10,000 DEFINED 1 10000 FLEET BOSTON FINL Common 339030108 351 8,996 DEFINED 1 3996 5000 FOCAL COMMUNICATION Common 344155106 313 20,300 DEFINED 1 200 11500 8600 FORD MOTOR COMPANY Common 345370860 14,862 587,147 DEFINED 1 60 564661 22426 FOREST LABORATORIES Common 345838106 14,589 127,210 DEFINED 1 120000 7210 FORWARD AIR CORPORA Common 349853101 1,080 30,700 DEFINED 1 24800 5900 FOUR SEASONS HOTEL Common 35100E104 12,442 170,000 DEFINED 1 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