-----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, EyZLtHtY/p/sIzvXdbdbzBtLABVn3dw0Pqg7m4oROe58JsrygOZztywjwpr+1Bqh MmlnCjN3so8DIeGWODzJiw== 0000799005-99-000042.txt : 19991110 0000799005-99-000042.hdr.sgml : 19991110 ACCESSION NUMBER: 0000799005-99-000042 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990930 FILED AS OF DATE: 19991109 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: 99744421 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: 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: 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: Kenneth J. Kozanda Title: Senior Vice President and Chief Compliance Officer Phone: (312) 368-7851 Signature, Place, and Date of Signing: /s/ Kenneth J. Kozanda Chicago, Illinois November 9, 1999 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: 699 Form 13F Information Table Value Total: $8,718,307 (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 Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 Name of Issuer Title Fair Mrkt Shares Voting Authority of CUSIP Value or Prin Investment Other Class Number ($000) Amount Discretion Managers (A) (B) (C) Sole Shared None ------------------- ------ --------- -------- -------- ------- -------- ------- ------- --------- 20TH CENTURY INDUST Common 901272203 8,218 424,155 DEFINED 1 331700 92455 99 CENTS ONLY STORE Common 65440K106 582 16,100 DEFINED 1 14300 1800 A O SMITH CORP Common 831865209 5,838 193,000 DEFINED 1 193000 A T & T CORP Common 001957109 49,499 1,137,913 DEFINED 1 9265 818463 310185 ABBOTT LABS Common 002824100 43,262 1,178,996 DEFINED 1 9160 117000 1052836 ACUSON CORP Common 005113105 14,110 1,106,700 DEFINED 1 1106700 ACXIOM CORP Common 005125109 950 48,355 DEFINED 1 39100 9255 ADELPHIA COMMUNICAT Common 006848105 7,352 125,000 DEFINED 1 125000 ADOBE SYSTEMS INC Common 00724F101 5,675 50,000 DEFINED 1 50000 ADVANCED OXYGEN TECH Common 00754B103 2 64,000 DEFINED 1 64000 AEGON N.V. ADR 007924103 1,914 22,127 DEFINED 1 143 21984 AEROFLEX INC Common 007768104 848 69,600 DEFINED 1 60800 8800 AES CORP Common 00130H105 71,479 1,211,500 DEFINED 1 29215 476200 706085 AES CORP Common 00130H105 77 1,300 DEFINED 2 1300 AES TRUST I CV Pfd 001033208 11,692 140,450 DEFINED 1 300 140150 AETNA INC Common 008117103 301 6,111 DEFINED 1 6111 AFLAC INC Common 001055102 8,699 207,733 DEFINED 1 159 200000 7574 AGCO CORP Common 001084102 5,200 400,000 DEFINED 1 400000 AHL SERVICES INC Common 001296102 626 24,000 DEFINED 1 24000 AIR PRODUCTS & CHEM Common 009158106 1,602 54,764 DEFINED 1 60 54704 ALBANY INTERNATIONA Common 012348108 3,885 256,840 DEFINED 1 256840 ALBERTSONS INC Common 013104104 2,042 51,606 DEFINED 1 2016 49590 ALCOA INC Common 013817101 1,994 32,128 DEFINED 1 31000 1128 ALEXANDER & BALDWIN Common 014482103 7,115 298,000 DEFINED 1 298000 ALKERMES INC Common 01642T108 542 18,800 DEFINED 1 16600 2200 ALLERGAN INC Common 018490102 605 5,500 DEFINED 1 5500 ALLIANCE CAPITAL MG Common 018548107 9,713 354,000 DEFINED 1 350000 4000 ALLIANT TECHSYSTEMS Common 018804104 1,092 15,750 DEFINED 1 13400 2350 ALLIEDSIGNAL INC Common 019512102 1,260 21,015 DEFINED 1 515 20500 ALLSCRIPTS INC Common 019886100 468 29,500 DEFINED 1 26200 3300 ALLSTATE CORP Common 020002101 26,518 1,063,368 DEFINED 1 18377 1044991 ALLTEL CORP Common 020039103 818 11,628 DEFINED 1 11628 ALPHARMA INC Common 020813101 1,985 56,200 DEFINED 1 49800 6400 ALZA CORP Common 022615108 23,412 546,846 DEFINED 1 7073 44000 495773 ALZA CORP Common 022615108 43 1,000 DEFINED 2 1000 AMER INTERNATIONAL Common 026874107 129,911 1,494,306 DEFINED 1 27336 904625 562345 AMERICA ONLINE INC Common 02364J104 43,467 417,939 DEFINED 1 2889 390000 25050 AMERICAN EXPRESS CO Common 025816109 15,837 117,600 DEFINED 1 1090 104000 12510 AMERICAN FREIGHTWAY Common 02629V108 673 37,000 DEFINED 1 32000 5000 AMERICAN GENL CORP Common 026351106 6,139 97,066 DEFINED 1 75 96991 AMERICAN HOME PRODU Common 026609107 25,328 610,320 DEFINED 1 941 410400 198979 AMERICAN MANAGEMENT Common 027352103 1,261 49,135 DEFINED 1 44100 5035 AMERICAN TOWER CORP Common 029912201 18,584 950,000 DEFINED 1 950000 AMERITECH CORP Common 030954101 12,625 188,560 DEFINED 1 250 88000 100310 AMES DEPT STORES IN Common 030789507 848 26,600 DEFINED 1 23600 3000 AMFM INC Common 001693100 1,221 20,065 DEFINED 1 65 20000 AMGEN INC Common 031162100 3,956 48,540 DEFINED 1 670 47870 ANADARKO PETE CORP Common 032511107 224 7,336 DEFINED 1 7336 ANALOG DEVICES Common 032654105 10,612 207,072 DEFINED 1 7200 199872 ANDREW CORP Common 034425108 18,312 1,053,900 DEFINED 1 1053900 ANHEUSER BUSCH Common 035229103 1,981 28,272 DEFINED 1 80 28192 ANNTAYLOR STORES CO Common 036115103 1,390 34,000 DEFINED 1 29600 4400 AON CORP Common 037389103 219 7,413 DEFINED 1 7413 APARTMENT INVT & MG Common 03748R101 1,599 41,800 DEFINED 1 41000 800 APPLEBEES INTERNATI Common 037899101 1,085 32,200 DEFINED 1 28700 3500 APPLIED INDUST TECH Common 03820C105 365 20,258 DEFINED 1 20258 APPLIED MATLS Common 038222105 50,094 643,540 DEFINED 1 4540 530000 109000 APPLIED POWER INC-C Common 038225108 745 24,540 DEFINED 1 22000 2540 APTARGROUP INC Common 038336103 1,432 53,520 DEFINED 1 120 47000 6400 ARACRUZ CELULOSE SA ADR-B 038496204 1,420 68,000 DEFINED 1 68000 ARCHSTN CV Pfd 039581202 7,221 271,200 DEFINED 1 271200 ARROW ELECTRONICS I Common 042735100 4,219 239,400 DEFINED 1 600 238800 ART TECHNOLOGY GROU Common 04289L107 2,036 53,500 DEFINED 1 47300 6200 ASSOCIATES FIRST CA Common 046008108 34,879 968,850 DEFINED 1 28100 187000 753750 AT&T CORP-LIBERTY M Common 001957208 38,309 1,030,721 DEFINED 1 1850 800000 228871 ATLANTIC RICHFIELD Common 048825103 2,707 30,549 DEFINED 1 125 30424 ATMEL CORP Common 049513104 10,144 300,000 DEFINED 1 300000 AUTOMATIC DATA PROCE Common 053015103 9,942 222,779 DEFINED 1 12535 210244 AVERY DENNISON CORP Common 053611109 2,453 46,504 DEFINED 1 200 45100 1204 AVON PRODUCTS INC Common 054303102 2,208 88,975 DEFINED 1 3735 80000 5240 AVX CORP Common 002444107 22,139 630,300 DEFINED 1 630300 B F GOODRICH CO Common 382388106 2,725 93,974 DEFINED 1 174 92600 1200 BAKER HUGHES INC Common 057224107 422 14,550 DEFINED 1 14550 BALDOR ELECTRIC Common 057741100 192 10,121 DEFINED 1 10121 BALL CORP Common 058498106 286 6,500 DEFINED 1 6500 BALT GAS& EL Pfd 059165779 219 2,000 DEFINED 1 2000 BANDAG INC Common 059815100 4,160 130,000 DEFINED 1 130000 BANK OF AMERICA COR Common 060505104 19,535 350,806 DEFINED 1 4624 139950 206232 BANK OF MONTREAL Common 063671101 329 6,434 DEFINED 1 6434 BANK ONE Common 06423A103 8,051 231,276 DEFINED 1 137 45000 186139 BANKAMER Pfd 066046202 202 8,400 DEFINED 1 8400 BARRETT RESOURCES C Common 068480201 1,160 31,400 DEFINED 1 27800 3600 BARRICK GOLD CORP Common 067901108 9,809 451,000 DEFINED 1 450000 1000 BATTERY TECHNOLOGIES Common 07132T102 1 10,000 DEFINED 1 10000 BAUSCH & LOMB INC Common 071707103 959 14,550 DEFINED 1 12000 2550 BAXTER INTERNATIONA Common 071813109 8,194 136,003 DEFINED 1 20 120000 15983 BECTON DICKINSON & Common 075887109 3,770 134,360 DEFINED 1 160 49400 84800 BELDEN INC Common 077459105 3,649 178,000 DEFINED 1 178000 BELL ATLANTIC CORP Common 077853109 15,492 230,150 DEFINED 1 60 190320 39770 BELLSOUTH CORP Common 079860102 7,839 174,195 DEFINED 1 760 104000 69435 BELO (AH) CORP Cl A 080555105 360 18,846 DEFINED 1 18846 BERKSHIRE HATH Cl B 084670207 2,707 1,459 DEFINED 1 10 1449 BERKSHIRE HATHAWAY Common 084670108 19,470 354 DEFINED 1 354 BEST BUY INC Common 086516101 12,847 207,000 DEFINED 1 207000 BESTFOODS Common 08658U101 4,117 84,771 DEFINED 1 1700 83071 BIOGEN INC Common 090597105 1,365 17,322 DEFINED 1 950 16000 372 BIOMET INC Common 090613100 447 17,000 DEFINED 1 17000 BLACK & DECKER CORP Common 091797100 274 6,000 DEFINED 1 6000 BLUESTONE SOFTWARE Common 09623P102 500 21,600 DEFINED 1 19100 2500 BMC SOFTWARE INC Common 055921100 7,313 102,185 DEFINED 1 1750 100000 435 BOEING CO Common 097023105 5,015 117,643 DEFINED 1 151 99600 17892 BORDERS GROUP INC Common 099709107 4,577 311,600 DEFINED 1 1600 310000 BOYKIN LODGING CO Common 103430104 133 10,000 DEFINED 1 10000 BP AMOCO PLC ADR 055622104 48,072 433,801 DEFINED 1 6268 191126 236407 BRISTOL-MYERS SQUIB Common 110122108 226,296 3,352,529 DEFINED 1 28678 301000 3022851 BROADCOM CORP Cl A 111320107 6,540 60,000 DEFINED 1 60000 BRUNSWICK CORP Common 117043109 3,632 146,000 DEFINED 1 146000 BURLINGTON NORTH SA Common 12189T104 5,507 200,246 DEFINED 1 200000 246 BURR-BROWN CORP Common 122574106 1,462 37,003 DEFINED 1 103 32700 4200 CAL DIVE INTERNATIO Common 127914109 781 22,800 DEFINED 1 20300 2500 CALPINE CORPORATION Common 131347106 14,750 173,400 DEFINED 1 171800 1600 CAMPBELL SOUP CO Common 134429109 492 12,576 DEFINED 1 12576 CANADIAN PACIFIC LTD Common 135923100 331 14,500 DEFINED 1 14500 CANANDAIGUA WINE CO Common 137219200 1,424 23,831 DEFINED 1 131 21500 2200 CAPITAL ONE FINANCI Common 14040H105 8,540 218,984 DEFINED 1 216000 2984 CARDIAC RESUSCITATOR Common 141409102 1 17,033 DEFINED 1 17033 CARDINAL HEALTH INC Common 14149Y108 57,251 1,050,476 DEFINED 1 5086 868000 177390 CARLISLE COS INC Common 142339100 11,535 292,025 DEFINED 1 292000 25 CARNIVAL CORP Cl A 143658102 13,117 301,555 DEFINED 1 455 300000 1100 CARPENTER TECHNOLOG Common 144285103 7,350 300,000 DEFINED 1 300000 CATALINA MARKETING Common 148867104 1,009 11,900 DEFINED 1 10500 1400 CATERPILLAR INC Common 149123101 1,570 28,651 DEFINED 1 671 27980 CBS CORP Common 12490K107 53,858 1,164,506 DEFINED 1 34994 61000 1068512 CCI PFD $3.11 Pfd 172967705 2,572 52,600 DEFINED 1 52600 CEC ENTERTAINMENT I Common 125137109 1,356 37,800 DEFINED 1 33400 4400 CEDAR FAIR LP Common 150185106 7,124 343,320 DEFINED 1 315000 28320 CENDANT CORPORATION Common 151313103 6,576 370,504 DEFINED 1 370504 CENT IL LT $5.85 SFP Pfd 153645882 203 2,000 DEFINED 1 2000 CENTURA BANKS INC Common 15640T100 443 10,700 DEFINED 1 9500 1200 CENTURYTEL INC Common 156700106 344 8,459 DEFINED 1 2920 5539 CHASE MANHATTAN COR Common 16161A108 62,877 834,183 DEFINED 1 28952 128800 676431 CHASE MANHTN $2.48 Pfd 16161A777 2,425 50,000 DEFINED 1 50000 CHECKFREE HOLDINGS Common 162816102 10,281 250,000 DEFINED 1 250000 CHEVRON CORP Common 166751107 6,192 69,766 DEFINED 1 255 69511 CHILDREN'S PLACE Common 168905107 692 26,000 DEFINED 1 26000 CHIRON Common 170040109 450 16,256 DEFINED 1 16256 CHROMAVISION MEDICA Common 17111P104 443 35,400 DEFINED 1 31500 3900 CIGNA CORP Common 125509109 675 8,688 DEFINED 1 900 7788 CIRCLE INTERNATIONA Common 172574105 456 22,300 DEFINED 1 17500 4800 CISCO SYSTEMS INC Common 17275R102 374,326 5,459,629 DEFINED 1 40353 2302900 3116376 CISCO SYSTEMS INC Common 17275R102 137 2,000 DEFINED 2 2000 CITIGROUP INC Common 172967101 189,503 4,306,889 DEFINED 1 66819 2345311 1894759 CITIGRP $2.932 Pfd 172967812 236 5,000 DEFINED 1 5000 CITIZENS UTILS CO DE Common 177342201 400 35,396 DEFINED 1 35396 CITRIX SYS INC Common 177376100 869 14,035 DEFINED 1 14000 35 CK WITCO CORP Common 12562C108 237 15,915 DEFINED 1 155 15760 CLEAR CHANNEL COMMU Common 184502102 93,114 1,165,751 DEFINED 1 17480 575000 573271 CLOROX CO Common 189054109 2,263 59,160 DEFINED 1 46200 12960 CN BIORA AB ADR 09065Q105 311 31,100 DEFINED 1 31100 COCA-COLA Common 191216100 70,051 1,454,720 DEFINED 1 11718 740000 703002 COCA-COLA Common 191216100 193 4,000 DEFINED 2 4000 COLGATE PALMOLIVE Common 194162103 20,617 450,648 DEFINED 1 2100 448548 COLUMBIA HEALTHCARE Common 197677107 8,579 404,900 DEFINED 1 404900 COMCAST Cl A 200300101 851 23,599 DEFINED 1 23599 COMCAST CORP-SPECIA Common 200300200 62,735 1,573,295 DEFINED 1 600 1263000 309695 COMMERCE BANCSHARES Common 200519106 627 15,100 DEFINED 1 13400 1700 COMPAQ COMPUTER COR Common 204493100 11,194 488,821 DEFINED 1 1359 195000 292462 COMPUTER ASSOC INTL Common 204912109 546 8,935 DEFINED 1 155 8780 COMSAT CORP Common 20564D107 296 10,000 DEFINED 1 10000 COMVERSE TECH Common 205862402 11,761 124,700 DEFINED 1 123200 1500 CONAGRA INC Common 205887102 269 11,938 DEFINED 1 11938 CONCORD EFS INC Common 206197105 1,981 96,042 DEFINED 1 94950 1092 CONEXANT SYSTEMS IN Common 207142100 11,119 153,040 DEFINED 1 150000 3040 CONOCO INC Cl B 208251405 5,481 200,232 DEFINED 1 181807 18425 CONOCO INC Cl A 208251306 6,809 245,370 DEFINED 1 104800 140570 CONSOLIDATED GRAPHI Common 209341106 1,011 24,000 DEFINED 1 21700 2300 CONSOLIDATED STORES Common 210149100 3,690 167,250 DEFINED 1 167250 CONTINENTAL AIRLINE Common 210795308 5,568 170,000 DEFINED 1 170000 COOPER INDS Common 216669101 978 20,928 DEFINED 1 20928 COOPER TIRE & RUBBE Common 216831107 5,288 300,000 DEFINED 1 300000 CORNING INCORPORATE Common 219350105 23,942 349,200 DEFINED 1 325000 24200 COSTCO WHOLESALE CRP Common 22160K105 7,211 100,149 DEFINED 1 850 99299 COVAD COMMUNICATION Common 222814204 610 14,000 DEFINED 1 14000 COYOTE NETWORK SYS Common 22406P108 58 11,000 DEFINED 1 11000 CROSS TIMBER OIL CO Common 227573102 15,744 1,166,225 DEFINED 1 1166225 CROWN CORK AND SEAL Common 228255105 8,148 336,000 DEFINED 1 336000 CTS CORP Common 126501105 1,530 26,600 DEFINED 1 24000 2600 CUBE MICROSYSTEMS I Common 125015107 1,827 42,000 DEFINED 1 36900 5100 CULLEN/FROST BANKER Common 229899109 1,346 53,839 DEFINED 1 39 48400 5400 CUMULUS MEDIA INC C Common 231082108 880 26,931 DEFINED 1 131 23300 3500 CYPRUS AMAX MINERAL Common 232809103 14,032 715,000 DEFINED 1 715000 CYTYC CORPORATION Common 232946103 1,153 29,800 DEFINED 1 26300 3500 D.R. HORTON INC. Common 23331A109 835 64,565 DEFINED 1 57700 6865 DAIMLERCHRYSLER AG Common D1668R123 938 14,578 DEFINED 1 208 14370 DANA CORP Common 235811106 5,591 150,594 DEFINED 1 150000 594 DAYTON HUDSON Common 239753106 1,450 24,149 DEFINED 1 35 24114 DELL COMPUTER CORPO Common 247025109 3,461 82,785 DEFINED 1 85 20000 62700 DELPHI AUTOMOTIVE Common 247126105 268 16,674 DEFINED 1 164 16510 DELUXE CORP Common 248019101 644 18,950 DEFINED 1 18950 DEVRY INC Common 251893103 2,153 107,660 DEFINED 1 101700 5960 DEXTER CORP Common 252165105 10,344 277,239 DEFINED 1 275000 2239 DIAMOND OFFSHORE DR Common 25271C102 5,654 169,400 DEFINED 1 92000 77400 DIONEX CORP Common 254546104 1,300 30,400 DEFINED 1 26800 3600 DLJ FRAPS A $2.97 Pfd 257661207 3,006 60,000 DEFINED 1 60000 DLJ FRAPS B $2.65 Pfd 257661306 2,048 42,000 DEFINED 1 42000 DOLLAR GEN CORP Common 256669102 58,524 1,895,519 DEFINED 1 51250 1844269 DOLLAR GEN(STRYPES) Convert 256678103 952 22,000 DEFINED 1 22000 DOLLAR TREE STORES Common 256747106 8,387 210,000 DEFINED 1 210000 DONNELLEY (RR) Common 257867101 428 14,818 DEFINED 1 18 14800 DOUBLECLICK INC Common 258609304 1,072 9,000 DEFINED 1 9000 DOVER CORP Common 260003108 20,810 509,111 DEFINED 1 31365 477746 DOW CHEMICAL Common 260543103 638 5,614 DEFINED 1 365 5249 DPL INC Common 233293109 290 16,430 DEFINED 1 675 15755 DUKE ENERGY $1.55 Pfd 264399718 208 8,250 DEFINED 1 8250 DUKE ENERGY CORP Common 264399106 422 7,658 DEFINED 1 7658 DUN & BRADSTREET Common 26483B106 398 13,332 DEFINED 1 230 13102 DYCOM INDUSTRIES IN Common 267475101 4,008 95,000 DEFINED 1 95000 E G & G INC Common 268457108 359 9,041 DEFINED 1 9041 E.W. BLANCH HOLDING Common 093210102 723 11,100 DEFINED 1 8300 2800 EASTMAN KODAK Common 277461109 639 8,454 DEFINED 1 85 8369 EATON CORP Common 278058102 5,488 63,582 DEFINED 1 59000 4582 ECLIPSE SURGICAL TE Common 278849104 442 26,800 DEFINED 1 23700 3100 ECOLAB INC Common 278865100 57,966 1,698,650 DEFINED 1 30710 410000 1257940 EDISON INTERNATIONAL Common 281020107 311 12,781 DEFINED 1 12781 EGLOBE INC Common 282339100 75 23,400 DEFINED 1 23400 EI DUPONT DE NEMOUR Common 263534109 11,052 181,999 DEFINED 1 3002 110201 68796 EL PASO ENER $2.375 Convert 283678209 1,092 20,850 DEFINED 1 20850 EL PASO ENERGY CORP Common 283905107 1,283 31,880 DEFINED 1 31880 ELAN CORP Spn ADR 284131208 4,087 121,784 DEFINED 1 184 116000 5600 ELECTRONIC DATA SYS Common 285661104 729 13,772 DEFINED 1 1250 12522 ELF AQUITAINE Common 286269105 216 2,359 DEFINED 1 469 1890 ELI LILLY & CO Common 532457108 35,549 555,448 DEFINED 1 4450 61500 489498 EMC CORP Common 268648102 152,320 2,132,776 DEFINED 1 26566 1491000 615210 EMERSON ELECTRIC CO Common 291011104 20,791 329,038 DEFINED 1 275 158000 170763 ENDESA SA ADR 29258N107 7,127 372,639 DEFINED 1 410 166000 206229 ENRON CORP Common 293561106 50,754 1,231,182 DEFINED 1 10812 1059000 161370 ENTRUST TECHNOLOGIE Common 293848107 754 33,600 DEFINED 1 29100 4500 ENZYMES AMERICAN HLD Common 293922100 2 206,000 DEFINED 1 206000 EQUANT N V NYregsh 294409107 16,275 200,000 DEFINED 1 200000 EQUIFAX INC Common 294429105 222 7,900 DEFINED 1 7900 EQUITY RES $2.15 CV PFD 29476L826 599 22,300 DEFINED 1 22300 EQUITY RESIDENTIAL Common 29476L107 3,504 82,693 DEFINED 1 73000 9693 ERICSSON L M TEL CO ADR B 294821400 75,962 2,430,778 DEFINED 1 22241 2408537 ERICSSON L M TEL CO ADR B 294821400 125 4,000 DEFINED 2 4000 ERICSSON L M TEL CV ADR CV 294821509 4,544 526,852 DEFINED 1 526852 ETHAN ALLEN INTERIO Common 297602104 1,288 40,500 DEFINED 1 35700 4800 EUR AMR BK $5.84 Pfd 29874F207 534 525 DEFINED 1 525 EURO AMR BK $6.01 Pfd 29874F306 1,029 1,000 DEFINED 1 1000 EXODUS COMMUNICATIO Common 302088109 3,632 50,400 DEFINED 1 50000 400 EXPEDITORS INTL WAS Common 302130109 735 22,900 DEFINED 1 18700 4200 EXPRESS SCRIPTS INC Common 302182100 8,748 111,800 DEFINED 1 110500 1300 EXXON Common 302290101 16,645 219,018 DEFINED 1 3450 215568 F-PORT MCMORAN COP Common 35671D857 9,338 600,000 DEFINED 1 600000 FANNIE MAE Common 313586109 166,051 2,648,870 DEFINED 1 20200 1175500 1453170 FANNIE MAE Common 313586109 94 1,500 DEFINED 2 1500 FED-MOGUL $3.50 CV Pfd 313552408 2,339 58,100 DEFINED 1 58100 FEDERAL-MOGUL CORP Common 313549107 1,411 51,200 DEFINED 1 51200 FEDERATED DEPT STOR Common 31410H101 4,412 101,000 DEFINED 1 1000 100000 FIFTH THIRD BANCORP Common 316773100 4,827 79,333 DEFINED 1 40 79293 FIRST DATA CORP Common 319963104 1,741 39,671 DEFINED 1 1024 38647 FIRST HEALTH GROUP Common 320960107 11,111 495,200 DEFINED 1 495200 FIRST UNION CORP Common 337358105 2,003 56,213 DEFINED 1 40 56173 FIRSTAR CORP Common 33763V109 1,398 54,538 DEFINED 1 54538 FIRSTMERIT CORP Common 337915102 399 15,728 DEFINED 1 15728 FISERV INC Common 337738108 13,814 425,040 DEFINED 1 425000 40 FLEET FINL GROUP INC Common 338915101 221 6,036 DEFINED 1 6036 FLEET FINL VIII Pfd 338915747 514 10,000 DEFINED 1 10000 FLOWSERVE CORP Common 34354P105 6,068 365,000 DEFINED 1 365000 FOCAL COMMUNICATION Common 344155106 1,176 45,900 DEFINED 1 40400 5500 FORD MOTOR CO Common 345370100 4,791 95,428 DEFINED 1 390 73000 22038 FOREST LABORATORIES Common 345838106 851 20,210 DEFINED 1 17000 3210 FOUNDRY NETWORKS IN Common 35063R100 5,040 40,000 DEFINED 1 40000 FREDDIE MAC Common 313400301 40,039 769,981 DEFINED 1 14830 389000 366151 FREEPRT MC C&G$1.75 Pfd 35671D501 404 22,900 DEFINED 1 22900 FRESENIUS MEDICAL CA Common 358029106 211 9,458 DEFINED 1 9458 FULTON FINANCIAL COM Common 360271100 515 27,472 DEFINED 1 27472 G & K SERVICES INC- Common 361268105 579 14,300 DEFINED 1 12700 1600 GANNETT Common 364730101 6,663 96,305 DEFINED 1 255 96050 GAP INC Common 364760108 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