13F-HR 1 d13fhr.txt 13F-HR 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 March 30, 2001 --------------- 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] May 11, 2001 ------------------------------------------------------------------------------ [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).) 340259_10 Form 13F Summary Page Report Summary: Number of Other Included Managers: 0 ----------------------------------------------------------------------- Form 13F Information Table Entry Total: 174 ----------------------------------------------------------------------- Form 13F Information Table Value Total: $ 289,589 (thousands) ------------------------------- List of Other Included Managers: NONE Page PAGE 2 of 10 340259_10 FORM 13F INFORMATION TABLE
----------------------------------------------------------------------------------------------------------------------------------- Col. Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 7 Column 8 ----------------------------------------------------------------------------------------------------------------------------------- Name of Issuer Title of CUSIP Value Shrs or SH/ Put/ Invest- Other Voting Authority Class ($) prn amt PRN Call ment Dis- Mana- ------------------- cretion gers Sole Shared None ----------------------------------------------------------------------------------------------------------------------------------- Abbott Laboratories Common 002824100 1,845,129 39,100 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Abbott Laboratories Common 002824100 1,123,122 23,800 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Ackerly Group Inc. Common 004527107 1,325,500 110,000 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Ackerly Group Inc. Common 004527107 972,435 80,700 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Adaptive Broadband Corporation Common 00650M104 73,031 61,500 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Adaptive Broadband Corporation Common 00650M104 45,815 38,500 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Ambac Financial Group Inc. Common 023139108 9,514,500 150,000 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Ambac Financial Group Inc. Common 023139108 6,498,404 102,450 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- American Express Common 025816109 3,518,760 85,200 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- American Express Common 025816109 2,180,640 52,800 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- American Int'l Group Inc. Common 026874107 11,136,370 138,340 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- American Int'l Group Inc. Common 026874107 7,944,304 98,687 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Anadarko Petroleum Corp. Common 032511107 2,507,559 39,942 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Anadarko Petroleum Corp. Common 032511107 1,604,406 25,556 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Applied Graphics Technologies Inc. Common 037937208 432,656 142,000 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Applied Graphics Technologies Inc. Common 037937208 267,516 87,800 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Aristotle Corp. Common 040448201 22,392 3,380 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Astro Power, Inc. Common 04644A101 294,000 9,800 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Astro Power, Inc. Common 04644A101 291,000 9,700 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- At Home Corporation Common 045919107 272,832 60,900 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- At Home Corporation Common 045919107 175,168 39,100 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Bank of NY Inc. Common 064057102 13,462,216 273,400 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Bank of NY Inc. Common 064057102 7,917,792 160,800 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Beazer Home's USA Inc. Common 07556Q105 1,831,380 46,600 SH SOLE X -----------------------------------------------------------------------------------------------------------------------------------
Page PAGE 3 of 10 340259_10
----------------------------------------------------------------------------------------------------------------------------------- Col. Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 7 Column 8 ----------------------------------------------------------------------------------------------------------------------------------- Name of Issuer Title of CUSIP Value Shrs or SH/ Put/ Invest- Other Voting Authority Class ($) prn amt PRN Call ment Dis- Mana- ------------------- cretion gers Sole Shared None ----------------------------------------------------------------------------------------------------------------------------------- Beazer Home's USA Inc. Common 07556Q105 1,147,560 29,200 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Bell & Howell Co. Common 077852101 1,765,665 78,300 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Bell & Howell Co. Common 077852101 1,030,535 45,700 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Bonus Resource Services Corp. Common 09853K104 367,636 149,750 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Bonus Resource Services Corp. Common 09853K104 412,213 168,250 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Borders Group Inc. Common 099709107 1,006,434 59,800 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Borders Group Inc. Common 099709107 530,145 31,500 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Butler International Inc. Common 123649105 448,400 121,600 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Butler International Inc. Common 123649105 289,296 78,400 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Canadian Natural Resources Ltd. Common 136385101 3,591,040 124,000 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Canadian Natural Resources Ltd. Common 136385101 4,074,672 140,700 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Chieftain International Inc. Common 16867C101 279,000 10,000 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Columbia Labs Inc. Common 197779101 2,911,272 483,600 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Columbia Labs Inc. Common 197779101 3,306,786 549,300 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Connetics Corporation Common 208192104 1,283,850 253,600 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Connetics Corporation Common 208192104 852,104 168,400 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Conseco Inc. Common 208464107 685,860 42,600 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Cytoclonal Pharm Inc. Common 23282G105 250,250 61,600 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Cytoclonal Pharm Inc. Common 23282G105 155,904 38,400 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- D.R. Horton Inc. Common 23331A109 4,206,291 198,879 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- D.R. Horton Inc. Common 23331A109 2,632,731 124,479 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Eclipse Surgical Technologies Inc. Common 278849104 244,234 223,300 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Eclipse Surgical Technologies Inc. Common 278849104 160,557 147,300 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Encore Acquisition Company Common 29255W100 533,400 42,000 SH DEFINED X -----------------------------------------------------------------------------------------------------------------------------------
Page PAGE 4 of 10 340259_10
----------------------------------------------------------------------------------------------------------------------------------- Col. Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 7 Column 8 ----------------------------------------------------------------------------------------------------------------------------------- Name of Issuer Title of CUSIP Value Shrs or SH/ Put/ Invest- Other Voting Authority Class ($) prn amt PRN Call ment Dis- Mana- ------------------- cretion gers Sole Shared None ----------------------------------------------------------------------------------------------------------------------------------- Ensign Resources Services Group Common 29357T104 737,500 25,000 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Ensign Resources Services Group Common 29357T104 885,000 30,000 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Fifth Third Bancorp Common 316773100 10,687,500 200,000 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Fifth Third Bancorp Common 316773100 7,539,582 141,085 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Eclipse Surgical Technologies Inc. Common 278849104 160,557 147,300 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Encore Acquisition Company Common 29255W100 533,400 42,000 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Eclipse Surgical Technologies Inc. Common 278849104 160,557 147,300 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Financial Performance Corporation Common 317630309 86,400 43,200 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Financial Performance Corporation Common 317630309 53,600 26,800 SH DEFINED X First Keystone Financial Inc. Common 320655103 1,007,000 84,800 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- First Keystone Financial Inc. Common 320655103 519,906 43,800 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Florida First Bancorp Common 340902105 450,000 30,000 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Frontline Limited Common 35921R102 841,269 46,900 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Frontline Limited Common 35921R102 593,814 33,100 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Genesco Inc. Common 371532102 1,411,100 51,500 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Genesco Inc. Common 371532102 832,960 30,400 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Gentiva Health Services Inc. Common 37247A102 8,717,281 457,300 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Gentiva Health Services Inc. Common 37247A102 6,068,704 318,400 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Goldenstar Resources Convertible 38119TAAZ 1,352,000 1,352,000 PRN SOLE X Debentures ----------------------------------------------------------------------------------------------------------------------------------- Goldenstar Resources Warrants 38119T148 2,704 270,400 Call SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Goldenstar Resources Convertible 38119TAAZ 773,000 773,000 PRN DEFINED X Debentures ----------------------------------------------------------------------------------------------------------------------------------- Goldenstar Resources Warrants 38119T148 1,546 154,600 Call DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Gulf Canada Resources Ltd. Common 40218L305 6,520,362 1,189,630 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Gulf Canada Resources Ltd. Common 40218L305 5,500,605 1,003,760 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Gulf Indonesia Resources Ltd. Common 402284103 2,596,512 292,400 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Gulf Indonesia Resources Ltd. Common 402284103 2,278,608 256,600 SH DEFINED X -----------------------------------------------------------------------------------------------------------------------------------
Page PAGE 5 of 10 340259_10
----------------------------------------------------------------------------------------------------------------------------------- Col. Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 7 Column 8 ----------------------------------------------------------------------------------------------------------------------------------- Name of Issuer Title of CUSIP Value Shrs or SH/ Put/ Invest- Other Voting Authority Class ($) prn amt PRN Call ment Dis- Mana- ------------------- cretion gers Sole Shared None ----------------------------------------------------------------------------------------------------------------------------------- Handleman Co. Common 410252100 1,202,382 120,600 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Handleman Co. Common 410252100 681,948 68,400 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Hollinger International Inc. Common 435569108 2,146,500 150,000 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Hollinger International Inc. Common 435569108 1,335,123 93,300 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Homestead Bancorp. Inc. Common 437698103 543,750 60,000 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Homestead Bancorp. Inc. Common 437698103 337,938 37,300 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Household Int'l Inc. Common 441815107 3,347,060 56,500 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Household Int'l Inc. Common 441815107 1,599,480 27,000 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Infosys Technologies Limited Common 456788108 556,750 8,500 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- International Speedway Corp. Common 460335201 763,487 20,600 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- International Speedway Corp. Common 460335201 385,424 10,400 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- InterTAN, Inc. Common 461120107 1,561,010 123,400 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- InterTAN, Inc. Common 461120107 968,990 76,600 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- IntraNet Solutions Inc. Common 460939309 162,775 6,800 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- IntraNet Solutions Inc. Common 460939309 76,608 3,200 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Intrawest Corporation Common 460915200 1,283,400 74,400 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Intrawest Corporation Common 460915200 824,550 47,800 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Ivanhoe Energy Inc. Common 465790103 366,211 88,800 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Ivanhoe Energy Inc. Common 465790103 252,144 61,200 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Kerr McGee Corp. Common 492386107 1,369,390 21,100 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Kerr McGee Corp. Common 492386107 1,693,890 26,100 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Magna Entertainment Corp. Common 559211107 408,281 97,500 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Magna Entertainment Corp. Common 559211107 261,875 62,500 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Medicis Pharmaceutical Corp. Common 584690309 201,690 4,500 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Medicis Pharmaceutical Corp. Common 584690309 100,845 2,250 SH DEFINED X -----------------------------------------------------------------------------------------------------------------------------------
Page PAGE 6 of 10 340259_10
----------------------------------------------------------------------------------------------------------------------------------- Col. Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 7 Column 8 ----------------------------------------------------------------------------------------------------------------------------------- Name of Issuer Title of CUSIP Value Shrs or SH/ Put/ Invest- Other Voting Authority Class ($) prn amt PRN Call ment Dis- Mana- ------------------- cretion gers Sole Shared None ----------------------------------------------------------------------------------------------------------------------------------- Mellon Financial Corporation Common 58551A108 5,814,620 143,500 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Mellon Financial Corporation Common 58551A108 3,626,540 89,500 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Mercantile Bankshares Corp. Common 587405101 566,100 15,300 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Mercantile Bankshares Corp. Common 587405101 358,900 9,700 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Mercury General Corp. Common 589400100 1,456,000 44,800 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Mercury General Corp. Common 589400100 864,500 26,600 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Meritage Corp. Common 59001A102 670,104 22,700 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Meritage Corp. Common 59001A102 433,944 14,700 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Mesa Air Group Inc. Common 590479101 455,600 54,400 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Mesa Air Group Inc. Common 590479101 109,647 13,100 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Methanex Corp. Common 59151K108 2,641,459 329,400 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Methanex Corp. Common 59151K108 1,769,212 220,600 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Murphy Oilcorp. Common 626717102 2,383,564 35,800 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Murphy Oilcorp. Common 626717102 2,476,776 37,200 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Nabi Common 628716102 881,719 142,500 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Nabi Common 628716102 547,815 88,500 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Natural MicroSystems Corporation Common 638882100 265,362 29,900 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Natural MicroSystems Corporation Common 638882100 164,982 18,600 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- New York Community Bancorp. Inc. Common 649445103 1,646,736 56,784 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Northern Trust Corporation Common 665859104 368,750 5,900 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Northfork Bancorp Inc. Common 659424105 472,290 18,200 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Northfork Bancorp Inc. Common 659424105 306,210 11,800 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Ocean Energy Inc. Common 67481E106 1,645,070 99,400 SH SOLE X -----------------------------------------------------------------------------------------------------------------------------------
Page PAGE 7 of 10 340259_10
----------------------------------------------------------------------------------------------------------------------------------- Col. Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 7 Column 8 ----------------------------------------------------------------------------------------------------------------------------------- Name of Issuer Title of CUSIP Value Shrs or SH/ Put/ Invest- Other Voting Authority Class ($) prn amt PRN Call ment Dis- Mana- ------------------- cretion gers Sole Shared None ----------------------------------------------------------------------------------------------------------------------------------- Ocean Energy Inc. Common 67481E106 1,550,735 93,700 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Optibase Ltd. Common M7524R108 170,769 30,700 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Optibase Ltd. Common M7524R108 107,308 19,300 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Penwest Pharmaceuticals Co. Common 709754105 527,175 42,600 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Penwest Pharmaceuticals Co. Common 709754105 338,938 27,400 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Pharmaceutical Resources Inc. Common 717125108 778,512 58,800 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Pharmaceutical Resources Inc. Common 717125108 483,260 36,500 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- PhotoMedex Inc. Common 719358103 307,208 61,800 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- PhotoMedex Inc. Common 719358103 189,854 38,200 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Picturetel Corp. Common 720035302 1,123,100 408,400 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Picturetel Corp. Common 720035302 697,950 253,800 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Pogo Producing Co. Common 730448107 885,300 30,000 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Pogo Producing Co. Common 730448107 1,422,382 48,200 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Presstek Inc. Common 741113104 59,812 5,500 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- PYR Energy Corp. Common 693677106 15,736 2,690 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- PYR Energy Corp. Common 693677106 13,514 2,310 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Register.com, Inc. Common 75914G101 2,756,841 438,900 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Register.com, Inc. Common 75914G101 1,746,468 278,100 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Rehabilicare Inc. Common 758944102 629,750 229,000 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Rehabilicare Inc. Common 758944102 393,250 143,000 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Research in Motion, Ltd. Common 760975102 136,214 6,200 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Sapient Corporation Common 803062108 44,562 6,200 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Schering Plough Corp. Common 806605101 1,165,307 31,900 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Schering Plough Corp. Common 806605101 752,518 20,600 SH DEFINED X -----------------------------------------------------------------------------------------------------------------------------------
Page PAGE 8 of 10 340259_10
----------------------------------------------------------------------------------------------------------------------------------- Col. Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 7 Column 8 ----------------------------------------------------------------------------------------------------------------------------------- Name of Issuer Title of CUSIP Value Shrs or SH/ Put/ Invest- Other Voting Authority Class ($) prn amt PRN Call ment Dis- Mana- ------------------- cretion gers Sole Shared None ----------------------------------------------------------------------------------------------------------------------------------- Seven Seas Petroleum Common 817917107 217,940 64,100 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Sigma Aldrich Corp. Common 826552101 1,201,662 25,100 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Sigma Aldrich Corp. Common 826552101 737,198 15,400 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Southwest Securities Group Common 845224104 67,248 3,600 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Southwest Securities Group Common 845224104 14,944 800 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Stamps.com Inc. Common 852857101 600,000 200,000 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Standard Pacific Corp. Common 85375C101 1,688,000 80,000 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Standard Pacific Corp. Common 85375C101 1,090,870 51,700 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Stone Energy Corp. Common 861642106 1,975,727 40,100 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Stone Energy Corp. Common 861642106 1,019,889 20,700 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Talisman Energy Inc. Common 87425E103 2,318,336 64,000 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Talisman Energy Inc. Common 87425E103 3,042,480 84,000 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Unocal Corp. Common 915289102 1,769,984 51,200 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Unocal Corp. Common 915289102 1,863,323 53,900 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- US Bancorp Common 902973304 2,320,000 100,000 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- US Bancorp. Common 902973304 1,471,622 63,430 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Valassis Communications Co. Common 918866104 1,049,800 36,200 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Valassis Communications Co. Common 918866104 407,450 14,050 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Verisign Inc. Common 92343E102 184,275 5,200 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Verso Technologies Inc. Common 925317109 148,903 199,775 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Verso Technologies Inc. Common 925317109 93,362 125,225 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Wells Fargo & Co. Common 949746101 13,965,381 282,300 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Wells Fargo & Co. Common 949746101 9,028,275 182,500 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Xcelera.com Inc. Common G31611109 216,750 51,000 SH SOLE X -----------------------------------------------------------------------------------------------------------------------------------
Page PAGE 9 of 10 340259_10
----------------------------------------------------------------------------------------------------------------------------------- Col. Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 7 Column 8 ----------------------------------------------------------------------------------------------------------------------------------- Name of Issuer Title of CUSIP Value Shrs or SH/ Put/ Invest- Other Voting Authority Class ($) prn amt PRN Call ment Dis- Mana- ------------------- cretion gers Sole Shared None ----------------------------------------------------------------------------------------------------------------------------------- Xybernaut Corporation Common 984149104 455,238 228,763 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Xybernaut Corporation Common 984149104 281,583 141,499 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Yahoo! Inc. Common 984332106 149,625 9,500 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Zions Bancorp Common 989701107 4,245,335 81,500 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Zions Bancorp Common 989701107 1,626,562 31,226 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- Zoran Corporation Common 98975F101 491,531 32,100 SH SOLE X ----------------------------------------------------------------------------------------------------------------------------------- Zoran Corporation Common 98975F101 312,324 20,400 SH DEFINED X ----------------------------------------------------------------------------------------------------------------------------------- ----------------------------------------------------------------------------------------------------------------------------------- GRAND TOTAL 289,589,196 19,656,090 -----------------------------------------------------------------------------------------------------------------------------------
Page PAGE 10 of 10 340259_10