-----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, J9rOdaqTfaWrLhqJa+YfvUKUSkVAVVE1mDH8qKKa6gloK1bR39UHWJZMORa+6VAT 5joD3ZDRPM7PAHMjp9ZrfQ== 0000919574-01-501072.txt : 20040129 0000919574-01-501072.hdr.sgml : 20040129 20011101173347 ACCESSION NUMBER: 0000919574-01-501072 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010930 FILED AS OF DATE: 20011102 FILER: COMPANY DATA: COMPANY CONFORMED NAME: DELTEC ASSET MANAGEMENT CORP /NY/ /ADV CENTRAL INDEX KEY: 0000811166 IRS NUMBER: 135133790 STATE OF INCORPORATION: NY FISCAL YEAR END: 0826 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-04706 FILM NUMBER: 01773437 BUSINESS ADDRESS: STREET 1: 645 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2125466200 FORMER COMPANY: FORMER CONFORMED NAME: DELTEC SECURITIES CORP /ADV DATE OF NAME CHANGE: 19920820 13F-HR 1 de01552002ac8.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2001 Check here if Amendment [ ]; Amendment Number: 1 This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Deltec Asset Management LLC Address: 645 Fifth Avenue New York, New York 10022 Form 13F File Number: 28-4706 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Stephen Zupello Title: Senior Managing Director Phone: (212) 546-6285 Signature, Place, and Date of Signing: /s/ Stephen Zupello New York, New York October 30, 2001 ___________________ __________________ _________________ [Signature] [City, State] [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 her 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).) List of Other Managers Reporting for this Manager: [If there are no entries in this list, omit this section.] Form 13F File Number Name 28- [Repeat as necessary.] 2 Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 361 Form 13F Information Table Value Total: $102,366 [thousands] List of Other Included Managers: NONE Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. No. Form 13F File Number Name 28- [Repeat as necessary.] 3 Form 13F PORTIA REPORT September 30, 2001
TITLE CUSIP VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER OF CLASS NUMBER (X1000) PRN AMT PRN CALL DISCRETION MGRS SOLE SHARED NONE - -------------- ------- ------ ------ ------- --- ---- ---------- ------ ----- ------ ---- A T & T Corp. common stock 001957109 19.30 1,000 Sh n/a sole 1,000 ABBOTT LABS COM common stock 002824100 866.60 17,350.00 Sh n/a sole 17,350 ABGENIX INC COM common stock 00339B107 11.94 400.00 Sh n/a sole 400 ACT MFG INC common stock 000973107 389.04 37,300.00 Sh n/a sole 37,300 ACT MFG INC SUB NT CONV due 4/15/01 @ 7.00% bond 000973AB3 1,387.69 3,045,000.00 Prin n/a sole 3,045,000 ADC Telecommunications Inc. common stock 000886101 1,238.47 285,250 Sh n/a sole 285,250 AES CORP common stock 00130H105 828.00 25,000.00 Sh n/a sole 25,000 AFLAC INC common stock 001055102 137.60 5,000.00 Sh n/a sole 5,000 AGERE SYS INC CL A common stock 00845V100 1,067.84 209,850.00 Sh n/a sole 209,850 AGILENT TECHNOLOGIESINC COM common stock 00846U101 91.23 3,600.00 Sh n/a sole 3,600 AKAMAI TECHNOLOGIES INC COM common stock 00971T101 4.11 1,000.00 Sh n/a sole 1,000 ALBERTA ENERGY LTD common stock 012873105 13.31 395.00 Sh n/a sole 395 ALCATEL SPONSORED ADR common stock 013904305 15.37 985.00 Sh n/a sole 985 ALLIANZ AKTIENGESELLSCHAFT common stock 018805101 17.34 615.00 Sh n/a sole 615 Allos Therapeutics Inc. common stock 019777101 1,577.84 302,250 Sh n/a sole 302,250 AMAZON COM INC common stock 023135106 0.89 100.00 Sh n/a sole 100 AMERICA MOVIL S A DEC V SPONSORED ADR common stock 02364W105 131.35 7,800.00 Sh n/a sole 7,800 AMERICAN INTERNATIONAL GROUP common stock 026874107 1,546.87 19,781.00 Sh n/a sole 19,781 AMERICAN EXPRESS COMPANY common stock 025816109 680.47 18,795.00 Sh n/a sole 18,795 AMERICAN HOME PRODS CORP common stock 026609107 148.40 2,650.00 Sh n/a sole 2,650 AMGEN INC common stock 031162100 859.76 13,500.00 Sh n/a sole 13,500 Amkor Technology Inc. common stock 031652100 56.12 4,500 Sh n/a sole 4,500 Amylin Pharmaceuticals Inc. common stock 032346108 104.90 15,700 Sh n/a sole 15,700 ANADARKO PETE CORP common stock 032511107 2,148.03 41,632.00 Sh n/a sole 41,632 4 Ann Taylor Stores Corp. common stock 036115103 43.84 2,000 Sh n/a sole 2,000 AOL TIME WARNER INC COM common stock 00184A105 1,833.44 50,311.00 Sh n/a sole 50,311 APPLE COMPUTER INC common stock 037833100 418.18 25,000.00 Sh n/a sole 25,000 APW LTD SHS ISIN#BMG043971081 common stock G04397108 1,754.22 228,350.00 Sh n/a sole 228,350 ARIBA INC COM common stock 04033V104 4.09 1,810.00 Sh n/a sole 1,810 Artesyn Technologies Inc. common stock 043127109 554.18 61,900 Sh n/a sole 61,900 ASIA GLOBAL CROSSINGLTD CL A SHS common stock G05330108 3.87 1,000.00 Sh n/a sole 1,000 ASIA PULP & PAPER LTD SPONSORED ADR common stock 04516V100 5.13 125,000.00 Sh n/a sole 125,000 ASML HOLDINGS NV NY REG SHS common stock N07059111 18.09 995.00 Sh n/a sole 995 ASTRAZENECA PLC SPONSORED ADR common stock 046353108 24.25 500.00 Sh n/a sole 500 ASTROPOWER INC COM common stock 04644A101 3.51 100.00 Sh n/a sole 100 AT&T Wireless Services Inc. common stock 00209A106 4.80 321 Sh n/a sole 321 AUDIOCODES LTD SHS common stock M15342104 193.80 50,000.00 Sh n/a sole 50,000 AXA AMERICAN DEPOSITORY SHS common stock 054536107 26.07 1,330.00 Sh n/a sole 1,330 B.V.R. Technologies Ltd. common stock M20514101 4.20 6,000 Sh n/a sole 6,000 BALTIMORE TECHNOLOGIES PLC common stock 059284109 0.09 150.00 Sh n/a sole 150 BANCO SANTANDER CENTHISPANO S A ADR common stock 05964H105 35.55 3,885.00 Sh n/a sole 3,885 BANK ONE CORP COM common stock 06423A103 15.26 440.00 Sh n/a sole 440 BARCLAYS PLC ADRS common stock 06738E204 50.63 405.00 Sh n/a sole 405 BAUSCH & LOMB INC common stock 071707103 0.73 20.00 Sh n/a sole 20 Baxter Int'l. Inc. common stock 071813109 3,493.04 67,260 Sh n/a sole 67,260 BEAR STEARNS COS INC common stock 073902108 5.22 100.00 Sh n/a sole 100 BELLSOUTH CORP common stock 079860102 38.05 1,020.00 Sh n/a sole 1,020 BENCHMARK ELECTRONICS INC common stock 08160H101 1,815.31 74,450.00 Sh n/a sole 74,450 BERKSHIRE HATHAWAY HLDG CO CL B COM common stock 084670207 83.45 36.00 Sh n/a sole 36 BERKSHIRE HATHAWAY HLDG INC CL A common stock 084670108 140.00 2.00 Sh n/a sole 2 BIOVAIL CORP COM ISIN#CA09067J1093 common stock 09067J109 28.81 625.00 Sh n/a sole 625 5 BLUEGREEN CORP SUB DEB CONV bond 096231AA3 170.04 244,000.00 Sh n/a sole 244,000 BP PLC SPONS ADR common stock 055622104 95.76 1,882.00 Sh n/a sole 1,882 BRISTOL-MYERS SQUIBBCO COM common stock 110122108 81.07 1,444.00 Sh n/a sole 1,444 BRITISH AMERN TOB PLC SPONSORED ADR common stock 110448107 174.00 10,000.00 Sh n/a sole 10,000 BRITISH TELECOM ADR common stock 111021408 8.83 141.00 Sh n/a sole 141 BROADCOM CORP CL A common stock 111320107 4.82 150.00 Sh n/a sole 150 BROADWAY FINL CORP (DEL) common stock 111444105 605.58 51,000.00 Sh n/a sole 51,000 BROADWING INC COM common stock 111620100 8.98 500.00 Sh n/a sole 500 CABLE AND WIRELESS PLC SPONSORED ADR common stock 126830207 14.81 997.00 Sh n/a sole 997 CABOT OIL AND GAS CORP CL A common stock 127097103 223.60 10,000.00 Sh n/a sole 10,000 CANADIAN NATURAL RESLTD common stock 136385101 1.56 56.00 Sh n/a sole 56 CANON INC ADR REPSTG5 SHS common stock 138006309 31.79 1,045.00 Sh n/a sole 1,045 CARDINAL HEALTH INC COM common stock 14149Y108 147.12 2,017.00 Sh n/a sole 2,017 CELESTICA INC SUB VTG SHS common stock 15101Q108 283.99 7,802.00 Sh n/a sole 7,802 CELL PATHWAYS INC NEW COM common stock 15114R101 23.77 4,200.00 Sh n/a sole 4,200 CEMEX S A SPON ADR NEW ORD PARTN CTF common stock 151290889 469.29 21,000.00 Sh n/a sole 21,000 CENDANT CORP COM common stock 151313103 1,696.87 97,200.00 Sh n/a sole 97,200 CHARLES SCHWAB CORP common stock 808513105 9.81 787.00 Sh n/a sole 787 CHARTERED SEMICONDUCTOR MFG common stock 16133R106 26.22 980.00 Sh n/a sole 980 CHINA PETE & CHEM CORP SPONSORED ADR common stock 16941R108 331.91 23,300.00 Sh n/a sole 23,300 China Unicom Limited Sponsored ADR common stock 16945R104 276.31 25,000 Sh n/a sole 25,000 Cia Vale do Rio Doce Sponsored ADR common stock 204412100 34.20 1,800 Sh n/a sole 1,800 CIENA CORP COM common stock 171779101 36.85 2,154.00 Sh n/a sole 2,154 CIGNA Corporation common stock 125509109 20.74 250 Sh n/a sole 250 CISCO SYSTEMS INC common stock 17275R102 8.65 530.00 Sh n/a sole 530 CITIGROUP INC COM common stock 172967101 2,314.82 50,862.00 Sh n/a sole 50,862 CITY INVESTING COMPANY LIQUIDATING common stock 177900107 407.50 250,000.00 Sh n/a sole 250,000 CLARENT CORP common stock 180461105 570.29 106,200.00 Sh n/a sole 106,200 CMGI INC COM common stock 125750109 0.14 80.00 Sh n/a sole 80 COCA-COLA COMPANY common stock 191216100 97.34 2,000.00 Sh n/a sole 2,000 Colgate Palmolive Co. common stock 194162103 43.69 750 Sh n/a sole 750 Comdisco, Inc. common stock 200336105 0.44 750 Sh n/a sole 750 6 COMMERCE ONE INC DELCOM common stock 200693109 0.65 200.00 Sh n/a sole 200 COMPANHIA SIDERURGICA NACIONAL common stock 20440W105 672.19 55,200.00 Sh n/a sole 55,200 Companhia Brasileira de Dist. Grupo PAO De Acucar ADR common stock 20440T201 24.57 1,800 Sh n/a sole 1,800 Companhia De Bebidas Das AmersAmbev - Spons. ADR common stock 20441W203 44.25 3,000 Sh n/a sole 3,000 Compania Paranaense De Energia(Copel) - Spons. ADR common stock 20441B407 5.85 1,000 Sh n/a sole 1,000 COMPAQ COMPUTER CORP common stock 204493100 2.10 170.00 Sh n/a sole 170 Concord Camera Corp common stock 206156101 2,703.01 465,425 Sh n/a sole 465,425 CONSOLIDATED EDISON INC COM common stock 209115104 245.40 6,000.00 Sh n/a sole 6,000 CONTINENTAL AIRLINESINC CL-B common stock 210795308 436.20 10,000.00 Sh n/a sole 10,000 CORNING INC COM common stock 219350105 23.02 1,917.00 Sh n/a sole 1,917 CORRECTIONS CORP AMER NEW COM NEW common stock 22025Y407 14.14 972.00 Sh n/a sole 972 Corrections Corp of America 12% Conv Pfd Ser B bond 22025Y308 1.72 112 Prin n/a sole 112 COSTCO WHSL CORP NEWCOM common stock 22160K105 530.33 14,180.00 Sh n/a sole 14,180 CVS CORP COM common stock 126650100 101.00 2,918.00 Sh n/a sole 2,918 Cypress Semiconductor Corp common stock 232806109 37.15 2,500 Sh n/a sole 2,500 DARDEN RESTAURANTS INC COM common stock 237194105 14.31 500.00 Sh n/a sole 500 DAVITA INC COM common stock 23918K108 10.33 500.00 Sh n/a sole 500 DDI CORP COM common stock 233162106 1,823.48 135,250.00 Sh n/a sole 135,250 DELL COMPUTER CORP common stock 247025109 121.69 5,689.00 Sh n/a sole 5,689 DEVON ENERGY CORP NEW COM common stock 25179M103 224.64 4,855.00 Sh n/a sole 4,855 DIAGEO PLC SPONSORED ADR NEW common stock 25243Q205 25.77 635.00 Sh n/a sole 635 DISNEY WALT COMPANY HOLDING CO common stock 254687106 82.98 3,263.00 Sh n/a sole 3,263 DOVER CORP common stock 260003108 22.99 640.00 Sh n/a sole 640 DREYFUS STRATEGIC MUNICIPALS INC common stock 261932107 0.09 9.00 Sh n/a sole 9 7 DU PONT E I DE NEMOURS & COMPANY common stock 263534109 44.58 1,088.00 Sh n/a sole 1,088 Duke Energy Corporation common stock 264399106 18.93 500 Sh n/a sole 500 DUN & BRADSTREET CORP DEL NEW COM common stock 26483E100 30.19 905.00 Sh n/a sole 905 E MEDSOFT.COM COMMONSTOCK common stock 26873Q101 14.08 4,000.00 Sh n/a sole 4,000 EASTMAN CHEMICAL CO common stock 277432100 13.46 347.00 Sh n/a sole 347 Edison International common stock 281020107 1,205.89 89,000 Sh n/a sole 89,000 EFTC CORP COM common stock 268443108 97.44 57,320.00 Sh n/a sole 57,320 ELAN PLC ADR REPSTG SHS common stock 284131208 30.13 580.00 Sh n/a sole 580 ELIZABETH ARDEN INC COM common stock 28660G106 1,199.23 88,000.00 Sh n/a sole 88,000 EMBRAER EMPRESA BRASILEIRA DE common stock 29081M102 482.85 18,500.00 Sh n/a sole 18,500 Embratel Participacoes SA Sponsored ADR common stock 29081N100 20.71 8,700 Sh n/a sole 8,700 EMC CORP (MASS) COM common stock 268648102 59.18 3,828.00 Sh n/a sole 3,828 EMERSON ELECTRIC CO COM common stock 291011104 24.12 450.00 Sh n/a sole 450 ENDESA S A SPONSOREDADR common stock 29258N107 11.52 690.00 Sh n/a sole 690 ENTERASYS NETWORKS INC COM common stock 293637104 10.15 1,000.00 Sh n/a sole 1,000 ENTRADA NETWORKS INCCOM common stock 29382Y102 0.00 13.00 Sh n/a sole 13 ERICSSON L M TEL CO ADR CLASS B SEK 10 common stock 294821400 66.08 13,270.00 Sh n/a sole 13,270 EURO909.COM A/S SPONS ADR common stock 298737107 23.54 18,350.00 Sh n/a sole 18,350 EXXON MOBIL CORP COM common stock 30231G102 386.08 9,616.00 Sh n/a sole 9,616 FAIRCHILD SEMICONDUCTOR INTL common stock 303726103 21.57 1,000.00 Sh n/a sole 1,000 FLANDERS CORP common stock 338494107 1,146.93 557,900.00 Sh n/a sole 557,900 FLEXTRONICS INTL LTD common stock Y2573F102 52.61 2,645.00 Sh n/a sole 2,645 FNMA COM common stock 313586109 30.48 400.00 Sh n/a sole 400 Fomento Economico Mex Spon Adr Ser D-B common stock 344419106 213.53 7,500 Sh n/a sole 7,500 FONAR CORP COM common stock 344437108 0.20 109.00 Sh n/a sole 109 FORD MOTOR CO DEL COM PAR common stock 345370860 2.29 115.00 Sh n/a sole 115 8 FREEPORT-MCMORAN COPPER & GOLD INC common stock 35671D857 61.90 5,000.00 Sh n/a sole 5,000 FREQUENCY ELECTRS common stock 358010106 72.48 4,800.00 Sh n/a sole 4,800 FRESENIUS MED CARE AG ADS REPSTG common stock 358029106 2.96 111.00 Sh n/a sole 111 GAP INC common stock 364760108 41.07 2,090.00 Sh n/a sole 2,090 GENELABS TECHNOLOGIES INC common stock 368706107 14.62 10,833.00 Sh n/a sole 10,833 GENENTECH INC COM NEW common stock 368710406 11.48 250.00 Sh n/a sole 250 GENERAL ELECTRIC CO COM common stock 369604103 546.99 13,410.00 Sh n/a sole 13,410 GLAXOSMITHKLINE PLC SPONS ADR common stock 37733W105 17.37 328.00 Sh n/a sole 328 GLOBAL CROSSING LTD COM common stock G3921A100 6.07 1,436.00 Sh n/a sole 1,436 GOLDEN ST BANCORP INC LITIGATION common stock 381197136 37.21 30,750.00 Sh n/a sole 30,750 GOLDEN WEST FINL CORP DEL common stock 381317106 49.48 855.00 Sh n/a sole 855 GRAPHON CORP common stock 388707101 203.05 131,000.00 Sh n/a sole 131,000 GRUPO IUSACELL SA DECV NEW SPONS ADR common stock 40050B100 16.80 4,000.00 Sh n/a sole 4,000 GRUPO TELEVISA SA DECV SPON GDR REPSTG common stock 40049J206 5.48 150.00 Sh n/a sole 150 HARTFORD FINL SVCS GROUP INC COM common stock 416515104 76.46 1,180.00 Sh n/a sole 1,180 HECLA MINING COMPANY common stock 422704106 4.12 4,000.00 Sh n/a sole 4,000 HEWLETT-PACKARD CA common stock 428236103 46.65 2,010.00 Sh n/a sole 2,010 HOLLYWOOD ENTERTAINMENT CORP common stock 436141105 59.65 5,000.00 Sh n/a sole 5,000 HOME DEPOT INC COM common stock 437076102 154.55 3,450.00 Sh n/a sole 3,450 HONDA MTR LTD ADR REPRESENTING 2 ORD common stock 438128308 36.14 495.00 Sh n/a sole 495 HONEYWELL INTL INC COM common stock 438516106 590.57 15,850.00 Sh n/a sole 15,850 HOUSEHOLD INTL INC common stock 441815107 115.54 1,955.00 Sh n/a sole 1,955 HSBC HLDGS PLC SPONS ADR NEW common stock 404280406 44.28 745.00 Sh n/a sole 745 HUFFY CORP common stock 444356109 15.50 2,000.00 Sh n/a sole 2,000 ICICI LTD SPON ADR common stock 44926P202 209.95 35,000.00 Sh n/a sole 35,000 Idexx Laboratories Inc common stock 45168D104 144.57 6,000 Sh n/a sole 6,000 IMMUNEX CORP NEW common stock 452528102 1.74 100.00 Sh n/a sole 100 9 IMPSAT FIBER NETWORKS INC COM common stock 45321T103 0.72 2,000.00 Sh n/a sole 2,000 INDEPENDENCE CMNTY BK CORP COM common stock 453414104 6.26 288.00 Sh n/a sole 288 ING GROEP N.V. ADR common stock 456837103 47.52 1,500.00 Sh n/a sole 1,500 INKTOMI CORP COM common stock 457277101 3.95 1,000.00 Sh n/a sole 1,000 INTEL CORP COM common stock 458140100 5.59 200.00 Sh n/a sole 200 INTERDIGITAL COMMUNICATIONS CORP common stock 45866A105 11.86 1,300.00 Sh n/a sole 1,300 INTERNATIONAL BUSINESS MACHS CORP common stock 459200101 160.92 1,610.00 Sh n/a sole 1,610 INTERNATIONAL SHIPHOLDING CORP common stock 460321201 8.25 1,000.00 Sh n/a sole 1,000 INTERPUBLIC GROUP OFCOS INC common stock 460690100 7.39 273.00 Sh n/a sole 273 IOMEGA CORP COM common stock 462030107 1.03 750.00 Sh n/a sole 750 IRELAND BK SPONSORED ADR common stock 46267Q103 3.78 100.00 Sh n/a sole 100 Ivax Corp. common stock 465823102 1,616.87 51,875 Sh n/a sole 51,875 IXYS CORP DEL COM common stock 46600W106 2,422.35 297,800.00 Sh n/a sole 297,800 J NET ENTERPRISES INC COM common stock 46622V102 0.04 10.00 Sh n/a sole 10 J P MORGAN CHASE & CO COM common stock 46625H100 407.35 10,492.00 Sh n/a sole 10,492 JABIL CIRCUIT INC COM common stock 466313103 207.99 9,000.00 Sh n/a sole 9,000 JDS UNIPHASE CORP common stock 46612J101 133.61 19,050.00 Sh n/a sole 19,050 JMAR TECHNOLOGIES INC common stock 466212107 59.62 22,000.00 Sh n/a sole 22,000 JOHNSON & JOHNSON common stock 478160104 135.78 2,576.00 Sh n/a sole 2,576 JONES APPAREL GROUP INC common stock 480074103 5.74 180.00 Sh n/a sole 180 Juniper Networks, Inc. common stock 48203R104 25.22 2,600 Sh n/a sole 2,600 KNIGHT TRADING GROUPINC COM common stock 499063105 1.35 130.00 Sh n/a sole 130 KONINKLIJKE AHOLD NVSPON ADR NEW common stock 500467303 1,074.21 42,046.00 Sh n/a sole 42,046 KOREA ELEC PWR CO SPONSORED ADR RPSTG common stock 500631106 485.36 54,000.00 Sh n/a sole 54,000 KOREA TELECOM CORP SPONSORED ADR common stock 50063P103 888.32 45,250.00 Sh n/a sole 45,250 KROGER CO common stock 501044101 352.44 13,500.00 Sh n/a sole 13,500 KYOCERA CORP ADR FRMLY KYOTO common stock 501556203 8.58 128.00 Sh n/a sole 128 10 LEGATO SYSTEMS INC COM common stock 524651106 4.25 500.00 Sh n/a sole 500 LEHMAN BROTHERS HOLDINGS INC COMMON common stock 524908100 26.26 400.00 Sh n/a sole 400 LEVEL 3 COMMUNICATIONS INC common stock 52729N100 19.52 5,150.00 Sh n/a sole 5,150 LEXMARK INTL INC CL A common stock 529771107 52.17 1,000.00 Sh n/a sole 1,000 LIBERTY MEDIA CORP NEW COM SER A common stock 530718105 3.53 232.00 Sh n/a sole 232 LILLY ELI & CO common stock 532457108 38.43 495.00 Sh n/a sole 495 LOEWS CORPORATION common stock 540424108 12.45 255.00 Sh n/a sole 255 LOWES COS INC common stock 548661107 97.98 2,634.00 Sh n/a sole 2,634 LTX CORP common stock 502392103 8.96 500.00 Sh n/a sole 500 LUCENT TECHNOLOGIES INC COM common stock 549463107 20.49 3,004.00 Sh n/a sole 3,004 LUMENON INNOVATION LIGHTWAVE TECHNOLOGY common stock 55024L109 0.24 500.00 Sh n/a sole 500 MAGELLAN HEALTH SVCSINC common stock 559079108 23.85 1,800.00 Sh n/a sole 1,800 MANUFACTURERS SVCS LTD COM common stock 565005105 15.00 3,000.00 Sh n/a sole 3,000 MARCONI PLC SPONS ADR common stock 566306205 33.40 20,000.00 Sh n/a sole 20,000 MARRIOTT INTL INC NEW CL A common stock 571903202 20.83 475.00 Sh n/a sole 475 MASCO CORP COM common stock 574599106 76.94 2,980.00 Sh n/a sole 2,980 MATSUSHITA ELEC INDLLTD ADR common stock 576879209 29.89 1,985.00 Sh n/a sole 1,985 MAY DEPT STORES CO common stock 577778103 0.20 6.00 Sh n/a sole 6 MBNA CORP common stock 55262L100 28.60 900.00 Sh n/a sole 900 MCDATA CORP CL A common stock 580031201 0.92 65.00 Sh n/a sole 65 MCDONALDS CORP common stock 580135101 48.05 1,600.00 Sh n/a sole 1,600 MCLEODUSA INC CL A COM common stock 582266102 1.24 1,000.00 Sh n/a sole 1,000 MELLON FINL CORP COM common stock 58551A108 176.25 5,000.00 Sh n/a sole 5,000 MERCK & CO INC common stock 589331107 802.35 12,209.61 Sh n/a sole 12,210 MERIDIAN RESOURCE CORP COM common stock 58977Q109 126.00 22,500.00 Sh n/a sole 22,500 MERRILL LYNCH & CO INC common stock 590188108 402.43 7,799.00 Sh n/a sole 7,799 MESSAGEMEDIA INC COM common stock 590787107 0.05 160.00 Sh n/a sole 160 MICROSOFT CORP common stock 594918104 1,851.50 32,691.00 Sh n/a sole 32,691 MINNESOTA MINING & MANUFACTURING CO common stock 604059105 122.01 1,172.00 Sh n/a sole 1,172 11 MITSUBISHI TOKYO INL GROUP INC common stock 606816106 23.37 2,756.00 Sh n/a sole 2,756 MOODYS CORP COM common stock 615369105 18.40 535.00 Sh n/a sole 535 MORGAN STANLEY HIGH YIELD FD INC common stock 61744M104 58.08 6,000.00 Sh n/a sole 6,000 MORGAN STANLEY DEAN WITTER & CO COM NEW common stock 617446448 975.24 18,444.00 Sh n/a sole 18,444 MRV COMMUNICATIONS INC common stock 553477100 1.02 250.00 Sh n/a sole 250 NASDAQ 100 SHARES common stock 631100104 144.68 4,000.00 Sh n/a sole 4,000 NATIONAL HEALTH NVESTORS INC common stock 63633D104 27.10 2,000.00 Sh n/a sole 2,000 NATIONAL TECHTEAM INC common stock 638108100 89.43 33,000.00 Sh n/a sole 33,000 Neopharm Inc common stock 640919106 1,114.18 62,400 Sh n/a sole 62,400 NETWORKS ASSOCS INC COM common stock 640938106 682.49 49,900.00 Sh n/a sole 49,900 NEW VY CORP WT EXP 2004 common stock 649080116 0.67 3,200.00 Sh n/a sole 3,200 NEXTEL COMMUNS INC CLASS A common stock 65332V103 25.69 2,125.00 Sh n/a sole 2,125 Nexus Telocation Systems LTD common stock M74919149 2.60 1,845 Sh n/a sole 1,845 NIPPON TELEG & TELEPHONE CORP common stock 654624105 27.45 1,215.00 Sh n/a sole 1,215 NOKIA CORP SPONSORED ADR common stock 654902204 20.46 1,300.00 Sh n/a sole 1,300 NORTEL NETWORKS CORPNEW COM common stock 656568102 40.69 6,500.00 Sh n/a sole 6,500 NOVELL INC common stock 670006105 0.18 40.00 Sh n/a sole 40 NOVELLUS SYSTEM INC common stock 670008101 4.43 100.00 Sh n/a sole 100 NUVEEN MUNICIPAL ALUE FUND INC common stock 670928100 143.10 15,000.00 Sh n/a sole 15,000 NUVEEN PREM INCOME MUN BD FD 4 INC COM common stock 6706K4105 69.45 5,000.00 Sh n/a sole 5,000 Ocean Energy, Inc. common stock 67481E106 47.27 2,900 Sh n/a sole 2,900 OFFICEMAX INC COM common stock 67622M108 93.60 20,000.00 Sh n/a sole 20,000 ORACLE CORP COM common stock 68389X105 87.21 7,148.00 Sh n/a sole 7,148 ORGANOGENESIS INC common stock 685906109 1.85 243.00 Sh n/a sole 243 PATHMARK STORES INC NEW COM common stock 70322A101 415.93 17,983.00 Sh n/a sole 17,983 PATHMARK STORES INC NEW WT EXP 9/19/10 common stock 70322A119 297.05 34,097.00 Sh n/a sole 34,097 PEAPACK GLADSTONE FINANCIAL CORP COM common stock 704699107 58.28 1,457.00 Sh n/a sole 1,457 12 PENN TREATY AMERICANCORP common stock 707874103 1,421.60 409,200.00 Sh n/a sole 409,200 PENN TREATY AMERN CORP SUB NT CONV bond 707874AC7 6,023.70 12,520,000.00 Prin n/a sole 12,520,000 PERUSAHAAN PERSEROANPERSERO P.T. common stock 715684106 10.51 1,600.00 Sh n/a sole 1,600 PETRO-CDA COM ISIN#CA71644E1025 common stock 71644E102 628.75 25,000.00 Sh n/a sole 25,000 Petroleo Brasileiro S.A. ADR common stock 71654V101 597.96 32,800 Sh n/a sole 32,800 PETROLEO BRASILEIRO SA PETROBRAS common stock 71654V408 81.75 4,000.00 Sh n/a sole 4,000 PFIZER INC common stock 717081103 1,103.45 28,691.00 Sh n/a sole 28,691 PG & E CORP common stock 69331C108 0.57 35.00 Sh n/a sole 35 PHARMACEUTICAL PROD DEV INC COM common stock 717124101 934.65 31,000.00 Sh n/a sole 31,000 Pharmacia Corporation common stock 71713U102 50.70 1,250 Sh n/a sole 1,250 PHILIP MORRIS COS NC common stock 718154107 96.22 2,030.00 Sh n/a sole 2,030 Philips Electronics - NY Sh common stock 500472303 37.44 1,940 Sh n/a sole 1,940 PHILLIPS PETROLEUM OMPANY common stock 718507106 38.24 665.00 Sh n/a sole 665 PITNEY BOWES INC common stock 724479100 13.05 300.00 Sh n/a sole 300 PLAINS ALL AMERN PIPELINE L.P. UNIT common stock 726503105 428.79 15,200.00 Sh n/a sole 15,200 PLANTRONICS INC NEW common stock 727493108 59.70 3,000.00 Sh n/a sole 3,000 PNC FINL SVCS GROUP INC COM common stock 693475105 212.16 3,186.00 Sh n/a sole 3,186 POLAROID CORP common stock 731095105 0.27 200.00 Sh n/a sole 200 POLO RALPH LAUREN CORP CL A common stock 731572103 1,247.67 52,600.00 Sh n/a sole 52,600 POWER INTEGRATIONS INC COM common stock 739276103 23.67 1,000.00 Sh n/a sole 1,000 POWER ONE INC COM common stock 739308104 162.60 15,000.00 Sh n/a sole 15,000 PROGRESSIVE CORP OF OHIO common stock 743315103 29.09 225.00 Sh n/a sole 225 PROVIDIAN FINL CORP COM common stock 74406A102 32.81 840.00 Sh n/a sole 840 QUANTUM CORP DSSG COM common stock 747906204 1.75 200.00 Sh n/a sole 200 Quintiles Transnational Corp. common stock 748767100 255.53 17,500 Sh n/a sole 17,500 QWEST COMMUNICATIONSINTL INC COM common stock 749121109 11.29 525.00 Sh n/a sole 525 RADCOM LTD SHS common stock M81865103 106.52 95,500.00 Sh n/a sole 95,500 RANGE RES CORP COM common stock 75281A109 118.00 20,000.00 Sh n/a sole 20,000 RCN CORP COM common stock 749361101 3.41 1,000.00 Sh n/a sole 1,000 REALNETWORKS INC COM common stock 75605L104 0.32 45.00 Sh n/a sole 45 13 RITA MED SYS INC DELCOM common stock 76774E103 2.76 800.00 Sh n/a sole 800 RITE AID CORP common stock 767754104 425.64 55,000.00 Sh n/a sole 55,000 RIVERSTONE NETWORKS INC COM common stock 769320102 4.86 513.00 Sh n/a sole 513 ROPER INDUSTRIES INC common stock 776696106 20.50 500.00 Sh n/a sole 500 ROWAN COS INC common stock 779382100 139.95 9,000.00 Sh n/a sole 9,000 ROYAL DUTCH PETE CO N Y REGISTRY SH PAR common stock 780257804 17.84 315.00 Sh n/a sole 315 RURAL/METRO CORP common stock 781748108 1.70 2,500.00 Sh n/a sole 2,500 SALOMON BROS FD INC common stock 795477108 8.06 608.00 Sh n/a sole 608 SANMINA CORP common stock 800907107 35.98 2,000.00 Sh n/a sole 2,000 SANTA FE INTERNATIONAL common stock G7805C108 629.68 25,625.00 Sh n/a sole 25,625 SAYTAM COMPUTER SVCSLTD ADR common stock 804098101 724.39 106,000.00 Sh n/a sole 106,000 SBC COMMUNICATIONS INC common stock 78387G103 1,279.66 31,166.00 Sh n/a sole 31,166 SCANA CORP NEW common stock 80589M102 284.24 10,500.00 Sh n/a sole 10,500 SCHERING-PLOUGH CORP common stock 806605101 38.13 1,000.00 Sh n/a sole 1,000 SCHLUMBERGER LTD COMISIN- AN8068571086 common stock 806857108 17.15 350.00 Sh n/a sole 350 SCI SYS INC common stock 783890106 483.50 20,000.00 Sh n/a sole 20,000 SCIENTIFIC GAMES CORP CL-A common stock 80874P109 630.06 148,600.00 Sh n/a sole 148,600 SEALED AIR CORP NEW COM common stock 81211K100 59.47 1,480.00 Sh n/a sole 1,480 SEPRACOR INC common stock 817315104 42.71 1,000.00 Sh n/a sole 1,000 SHELDAHL CO common stock 822440103 0.09 66.00 Sh n/a sole 66 SIEBEL SYS INC COM common stock 826170102 215.30 10,000.00 Sh n/a sole 10,000 SIPEX CORP COM common stock 829909100 201.65 17,642.00 Sh n/a sole 17,642 SOLECTRON CORP COM common stock 834182107 646.95 48,000.00 Sh n/a sole 48,000 SONERA GROUP PLC SPONSERED ADR common stock 835433202 8.61 2,100.00 Sh n/a sole 2,100 SONY CORP ADR AMERN SH NEW common stock 835699307 31.65 705.00 Sh n/a sole 705 SORRENTO NETWORKS ORP COM common stock 83586Q100 0.21 50.00 Sh n/a sole 50 SPRINT CORP (FON GROUP) common stock 852061100 0.47 20.00 Sh n/a sole 20 STAKE TECHNOLOGY common stock 852559103 1.57 1,000.00 Sh n/a sole 1,000 STAR GAS PARTNERS L.P. common stock 85512C105 203.10 10,000.00 Sh n/a sole 10,000 STAR GAS PARTNERS LP SR SUB UNIT bond 85512C204 98.76 4,703.00 Prin n/a sole 4,703 State Street Corp common stock 857477103 22.75 500 Sh n/a sole 500 14 STILWELL FINL INC COM common stock 860831106 22.74 795.00 Sh n/a sole 795 Stolt Offshore S.A. ADR common stock 861567105 7.45 990 Sh n/a sole 990 SUN MICROSYSTEMS INC common stock 866810104 17.16 1,500.00 Sh n/a sole 1,500 Taiwan Semiconductor Mfg Co ADR common stock 874039100 142.32 15,000 Sh n/a sole 15,000 TANGER FACTORY OUTLET CENTERS INC common stock 875465106 0.55 25.00 Sh n/a sole 25 TELE NORTE LESTE PARTICIPACOES S A common stock 879246106 1,650.97 168,658.00 Sh n/a sole 168,658 TELEFONICA S A ADR (FORMERLY) common stock 879382208 21.04 597.00 Sh n/a sole 597 Telefonos De Mexico SA ADR L common stock 879403780 810.79 23,800 Sh n/a sole 23,800 Telesp Celular Participacoes S.A. Sponsored ADR common stock 87952L108 14.25 3,000 Sh n/a sole 3,000 TELLABS INC COM common stock 879664100 248.18 24,575.00 Sh n/a sole 24,575 TEVA PHARMACEUTICAL INDUSTRIES LTD ADR common stock 881624209 1,045.20 15,000.00 Sh n/a sole 15,000 TEXAS INSTRUMENTS INC common stock 882508104 562.70 17,000.00 Sh n/a sole 17,000 THORATEC CORP COM NEW common stock 885175307 1,193.87 59,634.00 Sh n/a sole 59,634 TITANIUM METALS CORPCOM common stock 888339108 135.07 13,000.00 Sh n/a sole 13,000 TOMMY HILFIGER CORP ORD common stock G8915Z102 451.50 35,000.00 Sh n/a sole 35,000 TOTALFINA ELF S A PONSORED ADR common stock 89151E109 15.88 215.00 Sh n/a sole 215 TRANSATLANTIC HLDGS INC COM common stock 893521104 38.51 525.00 Sh n/a sole 525 TRANSOCEAN SEDCO FOREX INC COM common stock G90078109 187.85 6,500.00 Sh n/a sole 6,500 TRANSPORTACION MARATIMA MEXICANA L common stock 893868208 26.09 3,700.00 Sh n/a sole 3,700 TRANSWITCH CORP common stock 894065101 3,887.40 477,022.00 Sh n/a sole 477,022 TRANSWITCH CORP CONVNT bond 894065AB7 486.80 690,000.00 Prin n/a sole 690,000 TRICOM S A SPONSORED ADR common stock 89612A100 37.38 6,500.00 Sh n/a sole 6,500 TRIMBLE NAV LTD common stock 896239100 89.32 5,500.00 Sh n/a sole 5,500 TUBOS DE ACERO DE MEXICO S.A. ADR NEW common stock 898592506 925.10 93,000.00 Sh n/a sole 93,000 15 TUMBLEWEED COMMUNICATIONS CORP common stock 899690101 4.16 1,300.00 Sh n/a sole 1,300 TV AZTECA S A DE V SPONSORED ADR common stock 901145102 137.70 22,500.00 Sh n/a sole 22,500 TYCO INTL LTD NEW common stock 902124106 3,761.62 73,079.00 Sh n/a sole 73,079 UBS AG NAMEN AKT SIN#CH0012032030 common stock H8920M855 24.90 510.00 Sh n/a sole 510 UNIBANCO UNIAO DE ANCOS BRASILEROS SA common stock 90458E107 155.74 8,800.00 Sh n/a sole 8,800 UNILEVER PLC PON ADR NEW common stock 904767704 24.94 725.00 Sh n/a sole 725 UNITED MICROELECTRONICS common stock 910873207 362.70 57,550.00 Sh n/a sole 57,550 UNITED PARCEL SVC NC CL B common stock 911312106 29.27 530.00 Sh n/a sole 530 UNITED TECHNOLOGIES CORP DEL COM common stock 913017109 69.49 1,016.00 Sh n/a sole 1,016 UNITEDHEALTH GROUP INC COM common stock 91324P102 156.81 2,304.00 Sh n/a sole 2,304 VAN KAMPEN VALUE MUNINCOME COM common stock 921132106 301.84 22,000.00 Sh n/a sole 22,000 VERITAS SOFTWARE CO common stock 923436109 71.17 2,478.00 Sh n/a sole 2,478 VERIZON COMMUNICATIONS COM common stock 92343V104 131.60 2,632.00 Sh n/a sole 2,632 Viacom Inc. Class B common stock 925524308 17.25 500 Sh n/a sole 500 VISIBLE GENETICS INCCOM common stock 92829S104 19.95 750.00 Sh n/a sole 750 Vitech America, Inc. common stock 928489103 2.14 71,429 Sh n/a sole 71,429 VODAFONE GROUP PLC NEW SPONS ADR common stock 92857W100 78.18 3,880.00 Sh n/a sole 3,880 VORNADO OPER CO COM common stock 92904N103 0.43 250.00 Sh n/a sole 250 VORNADO RLTY TR SBI common stock 929042109 257.71 6,425.00 Sh n/a sole 6,425 VOTORANTIM CELULOSE E PAPEL S.A. SPON common stock 92906P106 397.19 31,000.00 Sh n/a sole 31,000 VULCAN MATERIALS CO common stock 929160109 20.64 430.00 Sh n/a sole 430 WAL MART STORES INC common stock 931142103 120.85 2,500.00 Sh n/a sole 2,500 WASHINGTON MUTUAL INC common stock 939322103 159.49 4,260.00 Sh n/a sole 4,260 WELLS FARGO & CO NEW COM common stock 949746101 79.14 1,720.00 Sh n/a sole 1,720 WORLDCOM INC GA NEW MCI GROUP COM common stock 98157D304 2.68 197.00 Sh n/a sole 197 WORLDCOM INC GA NEW WORLDCOM GROUP COM common stock 98157D106 83.48 6,223.50 Sh n/a sole 6,224 16 WPP GROUP PLC ADR SPONS ADR NEW common stock 929309300 12.37 250.00 Sh n/a sole 250 WPS RESOURCES CORP common stock 92931B106 1.84 55.00 Sh n/a sole 55 XILINX INC common stock 983919101 97.58 2,500.00 Sh n/a sole 2,500 XO COMMUNICATIONS INC CL A COM common stock 983764101 1.73 1,500.00 Sh n/a sole 1,500 YAHOO INC COM common stock 984332106 1.19 100.00 Sh n/a sole 100 ZARLINK SEMICONDUCTOR INC common stock 989139100 31.40 4,000.00 Sh n/a sole 4,000 ZIMMER HLDGS INC COM common stock 98956P102 3.89 143.00 Sh n/a sole 143 Total $102,366
17 01552002.AC8 -----END PRIVACY-ENHANCED MESSAGE-----