-----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, GwNQfRiTTHHkzGdREiuKPSy3GOGuUlouQTf7fBhehd/b1MP8udzql55TlNuPV08g njUT6syL4S8p1atpquseCQ== /in/edgar/work/0000950130-00-005979/0000950130-00-005979.txt : 20001114 0000950130-00-005979.hdr.sgml : 20001114 ACCESSION NUMBER: 0000950130-00-005979 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: KNOTT DAVID M CENTRAL INDEX KEY: 0000808722 STANDARD INDUSTRIAL CLASSIFICATION: [ ] FILING VALUES: FORM TYPE: 13F-HR SEC ACT: SEC FILE NUMBER: 028-03121 FILM NUMBER: 760554 BUSINESS ADDRESS: STREET 1: 485 UNDERHILL BLVD STREET 2: STE 205 CITY: SYOSSET STATE: NY ZIP: 11791-3419 MAIL ADDRESS: STREET 1: 485 UNDERHILL BLVD STREET 2: STE 205 CITY: SYOSSET STATE: NY ZIP: 11791-3419 13F-HR 1 0001.txt 13F HOLDINGS REPORT ------------------------------- OMB APPROVAL ------------------------------- OMB Number: 3235-0006 Expires: October 31, 2000 Estimated average burden hours per response........24.7 ------------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 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: David M. Knott ------------------------------------------------------------------------ Address: 485 Underhill Boulevard --------------------------------------------------------------------- Suite 205 --------------------------------------------------------------------- Syosset, NY 11791 --------------------------------------------------------------------- Form 13F File Number: 28- ------------------------------------------------------- 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: Reporting Manager: Name: David M. Knott ------------------------------------------------------------------------- Title: Investment Manager ------------------------------------------------------------------------- Phone: (516) 364-0303 ------------------------------------------------------------------------- Signature, Place and Date of Signing: /s/ David M. Knott - -------------------------------------------------------------------------------- [Signature] Syosset, New York - -------------------------------------------------------------------------------- [City, State] November 10, 2000 - -------------------------------------------------------------------------------- [Date] Report Type (Check only one.): |X| 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: 0 ------------------------------------------------------------------------ Form 13F Information Table Entry Total: 197 ------------------------------------------------------------------------ Form 13F Information Table Value Total: $ 319,080 (thousands) ------------------------------- List of Other Included Managers: NONE Page 2 of 11
FORM 13F INFORMATION TABLE - ----------------------------------------------------------------------------------------------------------------------------------- Column 2 Column 1 Title of Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 - ----------------------------------------------------------------------------------------------------------------------------------- Name of Issuer Class CUSIP Value Shrs or SH/PRN Put/Call Investment Other Voting Authority ($) prn amt discretion Managers ------------------- Sole Shared None - ----------------------------------------------------------------------------------------------------------------------------------- Abbott Laboratories Common 002824100 2,268,731 47,700 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Abbott Laboratories Common 002824100 1,426,800 30,000 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Ackerly Group Inc. Common 004527107 1,688,000 168,800 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Ackerly Group Inc. Common 004527107 917,000 91,700 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Action Performance Co.'s Inc. Common 004933107 114,469 33,300 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Action Performance Co.'s Inc. Common 004933107 20,984 6,100 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Ambac Financial Group Inc. Common 023139108 7,325,000 100,000 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Ambac Financial Group Inc. Common 023139108 5,625,600 76,800 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- American Express Common 025816109 5,048,325 83,100 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- American Express Common 025816109 9,113 150 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- American Home Products Corp. Common 026609107 846,562 15,000 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- American Home Products Corp. Common 026609107 530,536 9,400 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- American Int'l Group Inc. Common 026874107 21,868,421 228,540 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- American Int'l Group Inc. Common 026874107 14,218,194 148,586 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Anadarko Petroleum Corp. Common 032511107 2,654,545 39,942 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Anadarko Petroleum Corp. Common 032511107 1,698,452 25,556 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Aristotle Corp. Common 040448201 22,815 3,380 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Astro Power, Inc. Common 04644A101 499,275 12,600 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Astro Power, Inc. Common 04644A101 451,668 11,400 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Bank of NY Inc. Common 064057102 20,566,000 364,000 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Bank of NY Inc. Common 064057102 9,458,100 167,400 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Bayview Capital Corporation Common 07262L101 791,200 73,600 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Bayview Capital Corporation Common 07262L101 511,700 47,600 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Beazer Home's USA Inc. Common 07556Q105 414,200 15,200 SH SOLE X - -----------------------------------------------------------------------------------------------------------------------------------
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FORM 13F INFORMATION TABLE - ----------------------------------------------------------------------------------------------------------------------------------- Column 2 Column 1 Title of Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 - ----------------------------------------------------------------------------------------------------------------------------------- Name of Issuer Class CUSIP Value Shrs or SH/PRN Put/Call Investment Other Voting Authority ($) prn amt discretion Managers -------------------- Sole Shared None - ----------------------------------------------------------------------------------------------------------------------------------- Beazer Home's USA Inc. Common 07556Q105 269,775 9,900 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Bell & Howell Co. Common 077852101 1,712,812 78,300 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Bell & Howell Co. Common 077852101 1,130,679 51,700 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Bethlehem Steel Corporation Common 087509105 235,500 78,500 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Bethlehem Steel Corporation Common 087509105 154,500 51,500 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Borders Group Inc. Common 099709107 833,462 59,800 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Borders Group Inc. Common 099709107 506,022 36,300 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Cereus Technology Partners Inc.Common 15677Q102 195,788 24,100 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Cereus Technology Partners Inc.Common 15677Q102 129,108 15,900 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- CheckFree Holding Corporation Common 162816102 385,394 9,200 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Children's Place Retail Stores Common 168905107 800,825 31,100 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Coca-Cola Co. Common 191216100 1,229,287 22,300 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Columbia Labs Inc. Common 197779101 2,123,887 365,400 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Columbia Labs Inc. Common 197779101 2,889,313 497,300 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Connetics Corporation Common 208192104 5,457,075 226,200 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Connetics Corporation Common 208192104 3,709,656 153,800 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Conseco Inc. Common 208464107 436,150 57,200 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Conseco Inc. Common 208464107 191 25 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Copytele Inc. Common 217721109 80,206 62,600 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- D.R. Horton Inc. Common 23331A109 417,777 24,307 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- D.R. Horton Inc. Common 23331A109 331,647 19,293 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Delphi Automotive Systems Corp.Common 247126105 609,537 40,300 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Delphi Automotive Systems Corp.Common 247126105 338,688 22,400 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Duramed Pharm. Inc. Common 266354109 428,347 73,300 SH SOLE X - -----------------------------------------------------------------------------------------------------------------------------------
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FORM 13F INFORMATION TABLE - ----------------------------------------------------------------------------------------------------------------------------------- Column 2 Column 1 Title of Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 - ----------------------------------------------------------------------------------------------------------------------------------- Name of Issuer Class CUSIP Value Shrs or SH/PRN Put/Call Investment Other Voting Authority ($) prn amt discretion Managers -------------------- Sole Shared None - ----------------------------------------------------------------------------------------------------------------------------------- Duramed Pharm. Inc. Common 266354109 272,728 46,700 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Eclipse Surgical Technologies Inc. Common 278849104 482,000 120,500 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Eclipse Surgical Technologies Inc. Common 278849104 318,000 79,500 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Egghead.Com Inc. Common 282329101 11,550 5,000 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Egghead.Com Inc. Common 282329101 189,625 82,000 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Eltrax Systems Inc. Common 925317109 175,987 36,100 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Eltrax Systems Inc. Common 925317109 116,393 23,900 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Emerson Electric Co. Common 291011104 2,110,500 31,500 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Emerson Electric Co. Common 291011104 1,460,600 21,800 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- EntreMed Inc. Common 29382F103 206,275 7,400 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- EntreMed Inc. Common 29382F103 139,350 5,000 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Fifth Third Bancorp Common 316773100 12,062,774 223,903 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Fifth Third Bancorp Common 316773100 8,378,186 155,526 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- First Keystone Financial Inc. Common 320655103 869,200 84,800 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- First Keystone Financial Inc. Common 320655103 448,950 43,800 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Firstar Corp. Common 33763V109 10,740,000 480,000 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Firstar Corp. Common 33763V109 7,727,314 345,432 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Fossil Inc. Common 349882100 81,206 6,100 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Fossil Inc. Common 349882100 51,909 3,900 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Friede Goldman Halter, Inc. Common 358430106 183,625 26,000 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Furniture Brands International Common 360921100 1,009,137 60,700 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Furniture Brands International Common 360921100 658,152 39,600 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Genesco Inc. Common 371532102 872,281 51,500 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Genesco Inc. Common 371532102 572,572 33,800 SH DEFINED X - -----------------------------------------------------------------------------------------------------------------------------------
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FORM 13F INFORMATION TABLE - ----------------------------------------------------------------------------------------------------------------------------------- Column 2 Column 1 Title of Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 - ----------------------------------------------------------------------------------------------------------------------------------- Name of Issuer Class CUSIP Value Shrs or SH/PRN Put/Call Investment Other Voting Authority ($) prn amt discretion Managers ------------------- Sole Shared None - ----------------------------------------------------------------------------------------------------------------------------------- Gentiva Health Services Inc. Common 37247A102 5,473,575 429,300 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Gentiva Health Services Inc. Common 37247A102 4,034,100 316,400 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Gliatech Inc. Common 37929C103 6,875 1,100 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Gobal Light Telecommunications Common 37934X100 544,355 105,700 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Gobal Light Telecommunications Common 37934X100 345,050 67,000 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Goldenstar Resources Convertible 38119TAAZ 1,601,539 1,352,000 PRN SOLE X Debentures - ----------------------------------------------------------------------------------------------------------------------------------- Goldenstar Resources Convertible 38119TAAZ 915,232 773,000 PRN DEFINED X Debentures - ----------------------------------------------------------------------------------------------------------------------------------- Goldenstar Resources Warrants 38119T148 35,152 270,400 Call SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Goldenstar Resources Warrants 38119T148 27,248 209,600 Call DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Gulf Indonesia Resources Ltd. Common 402284103 2,740,500 252,000 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Gulf Indonesia Resources Ltd. Common 402284103 2,569,668 236,400 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Handleman Co. Common 410252100 1,492,425 120,600 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Handleman Co. Common 410252100 982,178 79,400 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Hanover Compressor Co. Common 410768105 355,725 10,800 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Hanover Compressor Co. Common 410768105 500,688 15,200 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Haven Bancorp Inc. Common 419352109 1,865,312 63,500 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Haven Bancorp Inc. Common 419352109 1,133,682 38,600 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Hollinger International Inc. Common 435569108 5,443,750 325,000 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Hollinger International Inc. Common 435569108 3,376,800 201,600 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Homestead Bancorp. Inc. Common 437698103 555,000 60,000 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Homestead Bancorp. Inc. Common 437698103 345,025 37,300 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Household Int'l Inc. Common 441815107 3,816,525 67,400 SH SOLE X - -----------------------------------------------------------------------------------------------------------------------------------
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FORM 13F INFORMATION TABLE - ----------------------------------------------------------------------------------------------------------------------------------- Column 2 Column 1 Title of Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 - ----------------------------------------------------------------------------------------------------------------------------------- Name of Issuer Class CUSIP Value Shrs or SH/PRN Put/Call Investment Other Voting Authority ($) prn amt discretion Managers ------------------- Sole Shared None - ----------------------------------------------------------------------------------------------------------------------------------- Household Int'l Inc. Common 441815107 1,591,022 28,100 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Hudson City Bancorp. Common 443683107 425 25 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Innovative Solutions and Support Inc. Common 45769N105 157,550 9,200 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Innovative Solutions and Support Inc. Common 45769N105 116,416 6,800 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- International Speedway Corp. Common 460335201 803,400 20,600 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- International Speedway Corp. Common 460335201 522,600 13,400 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- IVillage Inc. Common 46588H105 203,825 52,600 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- IVillage Inc. Common 46588H105 113,004 29,200 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- JCC Holding Co. Common 46611Q205 42,762 62,200 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- JCC Holding Co. Common 46611Q205 28,704 41,600 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- J.P. Morgan & Co. Inc. Common 616880100 1,617,412 9,900 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- J.P. Morgan & Co. Inc. Common 616880100 1,061,905 6,500 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Kerr McGee Corp. Common 492386107 1,179,250 17,800 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Kerr McGee Corp. Common 492386107 1,285,250 19,400 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Keyspan Corporation Common 49337W100 1,384,312 34,500 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Keyspan Corporation Common 49337W100 966,892 24,100 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- LML Payment Systems Inc. Common 50208P109 95,550 14,700 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- LML Payment Systems Inc. Common 50208P109 20,800 3,200 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- MBIA, Inc. Common 55262C100 547,662 7,700 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- MBIA, Inc. Common 55262C100 355,600 5,000 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Medicis Pharmaceutical Corp. Common 584690309 276,750 4,500 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Medicis Pharmaceutical Corp. Common 584690309 138,375 2,250 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Mellon Financial Corporation Common 58551A108 5,518,625 119,000 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Mellon Financial Corporation Common 58551A108 3,524,120 76,000 SH DEFINED X - -----------------------------------------------------------------------------------------------------------------------------------
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FORM 13F INFORMATION TABLE - ----------------------------------------------------------------------------------------------------------------------------------- Column 2 Column 1 Title of Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 - ----------------------------------------------------------------------------------------------------------------------------------- Name of Issuer Class CUSIP Value Shrs or SH/PRN Put/Call Investment Other Voting Authority ($) prn amt discretion Managers ------------------- Sole Shared None - ----------------------------------------------------------------------------------------------------------------------------------- Mercury General Corp. Common 589400100 1,217,437 43,000 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Mercury General Corp. Common 589400100 795,511 28,100 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Mesa Air Group Inc. Common 590479101 399,219 73,000 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Mesa Air Group Inc. Common 590479101 79,297 14,500 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Methanex Corp. Common 59151K108 1,726,145 350,700 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Methanex Corp. Common 59151K108 1,226,556 249,300 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Murphy Oilcorp. Common 626717102 453,688 7,000 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- MyTurn.com Inc. Common 628690109 203,147 27,900 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- MyTurn.com Inc. Common 628690109 124,488 17,100 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Nabi Common 628716102 331,800 47,400 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Nabi Common 628716102 217,000 31,000 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Nextcard, Inc. Common 65332K107 371,025 40,800 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Ocean Energy Inc. Common 67481E106 1,306,650 84,300 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Ocean Energy Inc. Common 67481E106 1,376,400 88,800 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Oneida Ltd. Common 682505102 610,500 44,000 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Oneida Ltd. Common 682505102 370,329 26,700 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Osicom Technologies Common 688271501 445,500 18,000 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Osicom Technologies Common 688271501 297,000 12,000 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Pediatrix Medical Group Inc. Common 705324101 1,293,750 100,000 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Pediatrix Medical Group Inc. Common 705324101 355,850 27,500 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Penwest Pharmaceuticals Co. Common 709754105 435,181 34,300 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Penwest Pharmaceuticals Co. Common 709754105 307,098 24,200 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Per-se Technologies Inc. Common 713569309 780,281 61,500 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Per-se Technologies Inc. Common 713569309 524,097 41,300 SH DEFINED X - -----------------------------------------------------------------------------------------------------------------------------------
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FORM 13F INFORMATION TABLE - ----------------------------------------------------------------------------------------------------------------------------------- Column 2 Column 1 Title of Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 - ----------------------------------------------------------------------------------------------------------------------------------- Name of Issuer Class CUSIP Value Shrs or SH/PRN Put/Call Investment Other Voting Authority ($) prn amt discretion Managers ------------------- Sole Shared None - ----------------------------------------------------------------------------------------------------------------------------------- Picturetel Corp. Common 720035302 2,832,891 402,900 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Picturetel Corp. Common 720035302 1,822,879 259,300 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Polaroid Corp. Common 731095105 401,781 29,900 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Polaroid Corp. Common 731095105 220,416 16,400 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Progressive Corp. Common 743315103 3,029,375 37,000 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- PYR Energy Corp. Common 693677106 562,925 97,900 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- PYR Energy Corp. Common 693677106 277,725 48,300 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Reebok Int'l Common 758110100 752,500 40,000 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Rehabilicare Inc. Common 758944102 658,375 229,000 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Rehabilicare Inc. Common 758944102 410,410 143,000 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Rite Aid Corp. Common 767754104 962,000 240,500 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Rite Aid Corp. Common 767754104 600 150 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Ryder Systems Inc. Common 783549108 595,531 32,300 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Ryder Systems Inc. Common 783549108 289,508 15,700 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Salton Inc. Common 795757103 1,388,887 42,900 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Salton Inc. Common 795757103 666,822 20,600 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Schering Plough Corp. Common 806605101 954,531 20,500 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Schering Plough Corp. Common 806605101 628,560 13,500 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Seven Seas Petroleum Common 817917107 378,600 126,200 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Seven Seas Petroleum Common 817917107 2,100 700 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Sigma Aldrich Corp. Common 826552101 1,993,200 60,400 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Sigma Aldrich Corp. Common 826552101 1,306,800 39,600 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Southwest Securities Group Common 845224104 479,700 16,400 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Southwest Securities Group Common 845224104 105,300 3,600 SH DEFINED X - -----------------------------------------------------------------------------------------------------------------------------------
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FORM 13F INFORMATION TABLE - ----------------------------------------------------------------------------------------------------------------------------------- Column 2 Column 1 Title of Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 - ----------------------------------------------------------------------------------------------------------------------------------- Name of Issuer Class CUSIP Value Shrs or SH/PRN Put/Call Investment Other Voting Authority ($) prn amt discretion Managers ------------------- Sole Shared None - ----------------------------------------------------------------------------------------------------------------------------------- Stamps.com Inc. Common 852857101 417,047 108,500 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Stamps.com Inc. Common 852857101 234,240 61,000 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Standard Pacific Corp. Common 85375C101 1,265,400 70,300 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Standard Pacific Corp. Common 85375C101 840,600 46,700 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Stone Energy Corp. Common 861642106 2,948,000 53,600 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Stone Energy Corp. Common 861642106 1,138,500 20,700 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Sunrise Tech Inc. Common 86769L103 888,375 123,600 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Sycamore Networks Inc. Common 871206108 1,987,200 18,400 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Talisman Energy Inc. Common 87425E103 635,020 18,100 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Talisman Energy Inc. Common 87425E103 768,252 21,900 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Uniview Technologies Corp. Common 915282206 441,166 178,700 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Uniview Technologies Corp. Common 915282206 299,611 121,300 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Unocal Corp. Common 915289102 1,701,000 48,000 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Unocal Corp. Common 915289102 1,492,024 42,100 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- USA Education Inc. Common 903900102 1,204,687 25,000 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- USA Education Inc. Common 903900102 749,355 15,550 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Valassis Communications Co. Common 918866104 1,410,650 63,400 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Valassis Communications Co. Common 918866104 318,175 14,300 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Valence Tech. Inc. Common 918914102 106,950 6,200 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Valence Tech. Inc. Common 918914102 67,275 3,900 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Vertel Corporation Common 924907108 103,600 11,200 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Vertel Corporation Common 924907108 61,975 6,700 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Vialog Corp. Common 92552X106 528,750 60,000 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Vialog Corp. Common 92552X106 330,375 37,500 SH DEFINED X - -----------------------------------------------------------------------------------------------------------------------------------
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FORM 13F INFORMATION TABLE - ----------------------------------------------------------------------------------------------------------------------------------- Column 2 Column 1 Title of Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 - ----------------------------------------------------------------------------------------------------------------------------------- Name of Issuer Class CUSIP Value Shrs or SH/PRN Put/Call Investment Other Voting Authority ($) prn amt discretion Managers ------------------- Sole Shared None - ----------------------------------------------------------------------------------------------------------------------------------- Wells Fargo & Co. Common 949746101 13,689,375 298,000 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Wells Fargo & Co. Common 949746101 8,953,706 194,900 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Winn Dixie Common 974280109 237,187 16,500 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Xcelera.com Inc. Common G31611109 178,600 9,400 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Xcelera.com Inc. Common G31611109 106,400 5,600 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- Zions Bancorp Common 989701107 5,114,062 100,000 SH SOLE X - ----------------------------------------------------------------------------------------------------------------------------------- Zions Bancorp Common 989701107 2,660,610 52,026 SH DEFINED X - ----------------------------------------------------------------------------------------------------------------------------------- GRAND TOTAL: 319,079,777 16,747,841 - -----------------------------------------------------------------------------------------------------------------------------------
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