-----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, RtIaEAbol7UAIELoflD96HIH76fvGalqt1yOEcEjDj4qb0Mrecs5yxSbQFBQeM2a Va86g9zy9YHX3jZky02/aA== 0000860655-02-000024.txt : 20021113 0000860655-02-000024.hdr.sgml : 20021113 20021113165247 ACCESSION NUMBER: 0000860655-02-000024 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010930 FILED AS OF DATE: 20021113 EFFECTIVENESS DATE: 20021113 FILER: COMPANY DATA: COMPANY CONFORMED NAME: AMERINDO INVESTMENT ADVISORS INC CENTRAL INDEX KEY: 0000860655 IRS NUMBER: 942997472 STATE OF INCORPORATION: CA FISCAL YEAR END: 0430 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-02623 FILM NUMBER: 02820632 BUSINESS ADDRESS: STREET 1: ONE EMBARCADERO CENTER STREET 2: STE 2300 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 4153620292 MAIL ADDRESS: STREET 1: ONE EMBARCADERO CENTER STREET 2: STE 2300 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 13F-HR/A 1 a13fhra-093001.txt FORM 13F HOLDINGS REPORT- AMENDMENT THIS FILING LISTS SECURITIES HOLDINGS REPORTED ON THE FORM 13F FILED ON NOVEMBER 14, 2001 PURSUANT TO A REQUEST FOR CONFIDENTIAL TREATMENT WHICH EXPIRED ON NOVEMBER 14, 2002. 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 [ X ]; Amendment Number: 1 This Amendment (Check only one.): [ ] is a restatement. [ X ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Amerindo Investment Advisors Inc. Address: One Embarcadero Center, Suite 2300 San Francisco, California 94111 Form 13F File Number: 28-2623 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: Kristen E. Kipp Title: Chief Compliance Officer Phone: 212-371-6360 Signature, Place, and Date of Signing: /s/ Kristen E. Kipp New York, New York November 14, 2002 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: 1 Form 13F Information Table Entry Total: 246 Form 13F Information Table Value Total: $757,305 (in thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. No. 13F File Number Name 01 To Be Determined Amerindo Investment Advisors, Inc.
FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHR VOTING AUTHORITY NAME OF ISSUER TTL OF CLASS CUSIP (X$1000) PRN AMT PRN CALL DSCRETN MGRS SOLE SHARED NONE Abgenix Inc. COM 00339B107 119 5262 SH DEFINED 01 5262 0 0 ACE*COMM Corp. COM 004404109 2 1400 SH DEFINED 01 1400 0 0 Actuate Corp. COM 00508B102 1586 378600 SH SOLE 378600 0 0 Aether Systems Inc. COM 00808V105 200 31860 SH DEFINED 01 31860 0 0 Affymetrix Inc. COM 00826T108 77 4800 SH DEFINED 01 4800 0 0 Affymetrix Inc. COM 00826T108 13522 842500 SH SOLE 842500 0 0 AGENCY.COM Ltd. COM 008447104 24 9500 SH DEFINED 01 9500 0 0 Agere Systems Inc. COM 00845V100 62 15000 SH DEFINED 01 15000 0 0 AirNet Communications Corp. COM 00941P106 1 6173 SH DEFINED 01 6173 0 0 Airspan Networks Inc. COM 00950H102 41 25000 SH DEFINED 01 25000 0 0 Akamai Technologies Inc. COM 00971T101 804 276300 SH DEFINED 01 276300 0 0 Akamai Technologies Inc. COM 00971T101 13743 4722700 SH SOLE 4722700 0 0 Alexion Pharmaceuticals Inc. COM 015351109 358 21052 SH DEFINED 01 21052 0 0 Alkermes Inc. COM 01642T108 10 500 SH DEFINED 01 500 0 0 Amazon.com Inc. COM 023135106 1987 332900 SH DEFINED 01 332900 0 0 Amazon.com Inc. COM 023135106 14535 2434600 SH SOLE 2434600 0 0 answerthink inc. COM 036916104 5 1000 SH DEFINED 01 1000 0 0 AOL Time Warner Inc. COM 00184A105 1592 48084 SH DEFINED 01 48084 0 0 AOL Time Warner Inc. COM 00184A105 6537 197500 SH SOLE 197500 0 0 Aradigm Corp. COM 038505103 67 20000 SH DEFINED 01 20000 0 0 Ariba Inc. COM 04033V104 157 84400 SH DEFINED 01 84400 0 0 Ariba Inc. COM 04033V104 5475 2943531 SH SOLE 2943531 0 0 Art Technology Group Inc. COM 04289L107 22 31500 SH DEFINED 01 31500 0 0 Art Technology Group Inc. COM 04289L107 2045 2920800 SH SOLE 2920800 0 0 Artisan Components Inc. COM 042923102 1842 232600 SH DEFINED 01 232600 0 0 Artisan Components Inc. COM 042923102 4189 528976 SH SOLE 528976 0 0 ARTISTdirect Inc. COM 04315D400 52 8940 SH DEFINED 01 8940 0 0 Ashford.com Inc. COM 044093102 1 4000 SH DEFINED 01 4000 0 0 Ask Jeeves Inc. COM 045174109 174 179400 SH DEFINED 01 179400 0 0 Ask Jeeves Inc. COM 045174109 944 973200 SH SOLE 973200 0 0 At Home Corp. COM 045919107 36 241900 SH DEFINED 01 241900 0 0 Audiohighway.com COM 050740109 0 2000 SH DEFINED 01 2000 0 0 Autobytel.com Inc. COM 05275N106 1 900 SH DEFINED 01 900 0 0 Avanex Corp. COM 05348W109 1 500 SH DEFINED 01 500 0 0 Avant! Corp. COM 053487104 0 53 SH DEFINED 01 53 0 0 Avici Systems Inc. COM 05367L109 135 105156 SH DEFINED 01 105156 0 0 Avici Systems Inc. COM 05367L109 385 301046 SH SOLE 301046 0 0 AXA COM 054536107 7 374 SH DEFINED 01 374 0 0 BMC Software Inc. COM 055921100 191 15000 SH DEFINED 01 15000 0 0 Bookham Technology plc COM 09856Q108 54 42086 SH DEFINED 01 42086 0 0 Bookham Technology plc COM 09856Q108 30 23358 SH SOLE 23358 0 0 Broadcom Corp. COM 111320107 430 21200 SH DEFINED 01 21200 0 0 Broadcom Corp. COM 111320107 7799 384200 SH SOLE 384200 0 0 Brocade Comm. Systems Inc. COM 111621108 63 4500 SH DEFINED 01 4500 0 0 Brocade Comm. Systems Inc. COM 111621108 21011 1497600 SH SOLE 1497600 0 0 BROKAT Antiengesellschaft COM 112080205 1 1533 SH DEFINED 01 1533 0 0 CacheFlow Inc. COM 126946102 76 50600 SH DEFINED 01 50600 0 0 CacheFlow Inc. COM 126946102 38 25000 SH SOLE 25000 0 0 Centra Software Inc. COM 15234X103 73 8500 SH DEFINED 01 8500 0 0 Centura Software Corp. COM 15640W103 0 500 SH DEFINED 01 500 0 0 Cerus Corp. COM 157085101 307 6500 SH SOLE 6500 0 0 CGI Group Inc. COM 39945C109 11 1916 SH DEFINED 01 1916 0 0 Check Point Software Tech. COM M22465104 121 5500 SH DEFINED 01 5500 0 0 chinadotcom Corp. COM G2108N109 8 3800 SH DEFINED 01 3800 0 0 CIENA Corp. COM 171779101 241 23400 SH DEFINED 01 23400 0 0 Ciphergen Biosystems Inc. COM 17252Y104 590 193500 SH DEFINED 01 193500 0 0 Ciphergen Biosystems Inc. COM 17252Y104 839 275000 SH SOLE 275000 0 0 Cisco Systems Inc. COM 17275R102 1 53 SH DEFINED 01 53 0 0 Citrix Systems Inc. COM 177376100 255 12900 SH DEFINED 01 12900 0 0 CMGI Inc. COM 125750109 55 55000 SH DEFINED 01 55000 0 0 CNET Networks Inc. COM 12613R104 4 1000 SH DEFINED 01 1000 0 0 Commerce One Inc. COM 200693109 362 147000 SH DEFINED 01 147000 0 0 Commerce One Inc. COM 200693109 599 243400 SH SOLE 243400 0 0 Computer Access Tech. Corp. COM 204853105 13 2500 SH DEFINED 01 2500 0 0 Comverse Technology Inc. COM 205862402 100 4900 SH DEFINED 01 4900 0 0 Corio Inc. COM 218875102 0 800 SH DEFINED 01 800 0 0 Corio Inc. COM 218875102 62 135000 SH SOLE 135000 0 0 Corvis Corporation COM 221009103 3790 2493628 SH DEFINED 01 2493628 0 0 Corvis Corporation COM 221009103 1715 1128600 SH SOLE 1128600 0 0 CoSine Communications Inc. COM 221222102 391 1056447 SH DEFINED 01 1056447 0 0 CoSine Communications Inc. COM 221222102 993 2682500 SH SOLE 2682500 0 0 Covad Comm. Group Inc. COM 222814204 8 21104 SH DEFINED 01 21104 0 0 Critical Path Inc. COM 22674V100 6 10400 SH DEFINED 01 10400 0 0 Crossroads Systems Inc. COM 22765D100 30 8985 SH DEFINED 01 8985 0 0 CrossWorlds Software Inc. COM 22769P109 68 28700 SH DEFINED 01 28700 0 0 Cygnus Inc. COM 232560102 1083 194500 SH DEFINED 01 194500 0 0 dELiA*s Inc. COM 24688Q101 4 686 SH DEFINED 01 686 0 0 Digital Lightwave Inc. COM 253855100 123 12500 SH SOLE 12500 0 0 DMC Stratex Networks Inc. COM 23322L106 2 315 SH DEFINED 01 315 0 0 DoubleClick Inc. COM 258609304 827 145000 SH DEFINED 01 145000 0 0 DoubleClick Inc. COM 258609304 10029 1759500 SH SOLE 1759500 0 0 Dyax Corp. COM 26746E103 500 52000 SH DEFINED 01 52000 0 0 E.piphany Inc. COM 26881V100 4 950 SH DEFINED 01 950 0 0 E.piphany Inc. COM 26881V100 888 209000 SH SOLE 209000 0 0 eBay Inc. COM 278642103 7142 156100 SH DEFINED 01 156100 0 0 eBay Inc. COM 278642103 182899 3997800 SH SOLE 3997800 0 0 E-LOAN Inc. COM 26861P107 2 1400 SH DEFINED 01 1400 0 0 eMachines Inc. COM 29076P102 44 271906 SH DEFINED 01 271906 0 0 Emulex Corp. COM 292475209 24 2500 SH DEFINED 01 2500 0 0 Epoch Biosciences Inc. COM 294273107 643 285715 SH DEFINED 01 285715 0 0 Epoch Biosciences Inc. COM 294273107 620 275500 SH SOLE 275500 0 0 Eprise Corp. COM 294352109 33 35000 SH DEFINED 01 35000 0 0 eToys Inc. COM 297862104 1 178900 SH DEFINED 01 178900 0 0 Exodus Communications Inc. COM 302088109 173 1020000 SH DEFINED 01 1020000 0 0 Expedia Inc. COM 302125109 10688 440000 SH SOLE 440000 0 0 FlexiInternational Soft. Inc. COM 338923105 7 75000 SH DEFINED 01 75000 0 0 Foundry Networks Inc. COM 35063R100 6 1000 SH DEFINED 01 1000 0 0 FreeMarkets Inc. COM 356602102 5150 486753 SH DEFINED 01 486753 0 0 FreeMarkets Inc. COM 356602102 26456 2500600 SH SOLE 2500600 0 0 Gateway Inc. COM 367626108 5 1000 SH DEFINED 01 1000 0 0 Gemstar TV Guide Intl. Inc. COM 36866W106 0 18 SH DEFINED 01 18 0 0 Genzyme Corp. Biosurgery COM 372917708 1 363 SH DEFINED 01 363 0 0 Genzyme Corp. General Div. COM 372917104 227 5000 SH DEFINED 01 5000 0 0 Genzyme Corp. Molecular Onc. COM 372917500 2 270 SH DEFINED 01 270 0 0 Genzyme Transgenics Corp. COM 37246E105 77 20000 SH DEFINED 01 20000 0 0 Genzyme Transgenics Corp. COM 37246E105 6668 1732000 SH SOLE 1732000 0 0 Geron Corp. COM 374163103 33 3400 SH DEFINED 01 3400 0 0 Gilead Sciences Inc. COM 375558103 169 3000 SH DEFINED 01 3000 0 0 Gilead Sciences Inc. COM 375558103 225 4000 SH SOLE 4000 0 0 Global Crossing Ltd. COM G3921A100 96 53217 SH SOLE 53217 0 0 GoTo.com Inc. COM 38348T107 4 300 SH DEFINED 01 300 0 0 homestore.com Inc. COM 437852106 3326 434800 SH DEFINED 01 434800 0 0 homestore.com Inc. COM 437852106 40228 5258500 SH SOLE 5258500 0 0 Hotel Reservations Network COM 441451101 171 7500 SH DEFINED 01 7500 0 0 Hotel Reservations Network COM 441451101 98 4300 SH SOLE 4300 0 0 Human Genome Sciences Inc. COM 444903108 124 4000 SH DEFINED 01 4000 0 0 i2 Technologies Inc. COM 465754109 1009 293200 SH DEFINED 01 293200 0 0 i2 Technologies Inc. COM 465754109 16265 4728300 SH SOLE 4728300 0 0 iBEAM Broadcasting Corp. COM 45073P408 0 850 SH DEFINED 01 850 0 0 IDEC Pharmaceuticals Corp. COM 449370105 744 15000 SH DEFINED 01 15000 0 0 IDEC Pharmaceuticals Corp. COM 449370105 1140 23000 SH SOLE 23000 0 0 Industri-Matematik Int. Corp. COM 455792101 14 22200 SH DEFINED 01 22200 0 0 InfoSpace Inc. COM 45678T102 7 5000 SH DEFINED 01 5000 0 0 Inktomi Corp. COM 457277101 1 300 SH DEFINED 01 300 0 0 Inktomi Corp. COM 457277101 27 10000 SH SOLE 10000 0 0 Instinet Group Inc. COM 457750107 98 10000 SH DEFINED 01 10000 0 0 InsWeb Corp. COM 45809K103 1 2000 SH DEFINED 01 2000 0 0 Interactive Intelligence Inc. COM 45839M103 10 2000 SH DEFINED 01 2000 0 0 InterNAP Network Svcs. Corp. COM 45885A102 1 700 SH DEFINED 01 700 0 0 InterNAP Network Svcs. Corp. COM 45885A102 953 952835 SH SOLE 952835 0 0 Intl. Business Machines Corp. COM 459200101 550 6000 SH DEFINED 01 6000 0 0 Internet Capital Group Inc. COM 46059C106 247 617900 SH DEFINED 01 617900 0 0 Internet Capital Group Inc. COM 46059C106 644 1609910 SH SOLE 1609910 0 0 JDS Uniphase Corp. COM 46612J101 32 5000 SH DEFINED 01 5000 0 0 Johnson & Johnson COM 478160104 87 1568 SH DEFINED 01 1568 0 0 Juniper Networks Inc. COM 48203R104 1569 161800 SH DEFINED 01 161800 0 0 Juniper Networks Inc. COM 48203R104 1761 181500 SH SOLE 181500 0 0 Jupiter Media Metrix Inc. COM 48206U104 1 3000 SH DEFINED 01 3000 0 0 Kana Software Inc. COM 483600102 134 371495 SH DEFINED 01 371495 0 0 Kana Software Inc. COM 483600102 2593 7202200 SH SOLE 7202200 0 0 KPMG Consulting Inc. COM 48265R109 2047 189400 SH DEFINED 01 189400 0 0 lastminute.com plc COM 518129101 5 3800 SH DEFINED 01 3800 0 0 Legato Systems Inc. COM 524651106 14 2500 SH DEFINED 01 2500 0 0 LookSmart Ltd. COM 543442107 305 725474 SH DEFINED 01 725474 0 0 LookSmart Ltd. COM 543442107 537 1277500 SH SOLE 1277500 0 0 Loudcloud Inc. COM 545735102 504 449696 SH DEFINED 01 449696 0 0 Loudcloud Inc. COM 545735102 6389 5704306 SH SOLE 5704306 0 0 Loudeye Technologies Inc. COM 545754103 5 9200 SH DEFINED 01 9200 0 0 Manhattan Associates Inc. COM 562750109 136 8000 SH DEFINED 01 8000 0 0 Manugistics Group Inc. COM 565011103 44 7500 SH DEFINED 01 7500 0 0 Maxim Pharmaceuticals Inc. COM 57772M107 88 22300 SH DEFINED 01 22300 0 0 Maxim Pharmaceuticals Inc. COM 57772M107 1843 466500 SH SOLE 466500 0 0 McDATA Corp. COM 580031102 76 9000 SH DEFINED 01 9000 0 0 MedImmune Inc. COM 584699102 8372 234975 SH SOLE 234975 0 0 MicroStrategy Inc. COM 594972101 1 1300 SH DEFINED 01 1300 0 0 Momentum Bus. Applications COM 60877P108 2 90 SH DEFINED 01 90 0 0 Multex.com Inc. COM 625367107 19 9300 SH DEFINED 01 9300 0 0 Neoforma.com Inc. COM 640475505 265 37853 SH DEFINED 01 37853 0 0 Netro Corp. COM 64114R109 27 10000 SH DEFINED 01 10000 0 0 Net2000 Communications Inc. COM 64122G103 0 700 SH DEFINED 01 700 0 0 Network Appliance Inc. COM 64120L104 11691 1719272 SH SOLE 1719272 0 0 Niku Corp. COM 654113109 444 836800 SH DEFINED 01 836800 0 0 Niku Corp. COM 654113109 407 768500 SH SOLE 768500 0 0 NPS Pharmaceuticals Inc. COM 62936P103 4196 134500 SH SOLE 134500 0 0 Nuance Communications Inc. COM 669967101 66 10100 SH DEFINED 01 10100 0 0 Nuance Communications Inc. COM 669967101 325 50000 SH SOLE 50000 0 0 ONI Systems Corp. COM 68273F103 478 118650 SH DEFINED 01 118650 0 0 ONI Systems Corp. COM 68273F103 6738 1672000 SH SOLE 1672000 0 0 Onvia.com Inc. COM 68338T106 108 257862 SH DEFINED 01 257862 0 0 Openwave Systems Inc. COM 683718100 789 61900 SH DEFINED 01 61900 0 0 OPNET Technologies Inc. COM 683757108 15 2500 SH DEFINED 01 2500 0 0 Organic Inc. COM 68617E101 0 300 SH DEFINED 01 300 0 0 OSI Pharmaceuticals Inc. COM 671040103 36 1100 SH DEFINED 01 1100 0 0 Palm Inc. COM 696642107 146 100100 SH DEFINED 01 100100 0 0 Palm Inc. COM 696642107 168 115000 SH SOLE 115000 0 0 Parametric Technology Corp. COM 699173100 3 600 SH DEFINED 01 600 0 0 PC Connection Inc. COM 69318J100 28 3600 SH DEFINED 01 3600 0 0 PeopleSoft Inc. COM 712713106 36 2000 SH DEFINED 01 2000 0 0 Persistence Software Inc. COM 715329108 60 301523 SH DEFINED 01 301523 0 0 Persistence Software Inc. COM 715329108 5 23721 SH SOLE 23721 0 0 Pharmacyclics Inc. COM 716933106 178 10000 SH DEFINED 01 10000 0 0 PictureTel Corp. COM 720035302 6 1000 SH DEFINED 01 1000 0 0 PlanetRx.com Inc. COM 727049405 10 93488 SH DEFINED 01 93488 0 0 PlanetRx.com Inc. COM 727049405 0 2772 SH SOLE 2772 0 0 Portal Software Inc. COM 736126103 248 166500 SH DEFINED 01 166500 0 0 Portal Software Inc. COM 736126103 4786 3212132 SH SOLE 3212132 0 0 priceline.com Inc. COM 741503106 2858 754000 SH DEFINED 01 754000 0 0 priceline.com Inc. COM 741503106 39316 10373607 SH SOLE 10373607 0 0 Protein Design Labs Inc. COM 74369L103 118 2500 SH DEFINED 01 2500 0 0 PSINet Inc. COM 74437C101 1 21020 SH DEFINED 01 21020 0 0 PurchasePro.com Inc. COM 746144104 14 25400 SH DEFINED 01 25400 0 0 QUALCOMM Inc. COM 747525103 666 14000 SH DEFINED 01 14000 0 0 QUALCOMM Inc. COM 747525103 4992 105000 SH SOLE 105000 0 0 Quokka Sports Inc. COM 749077400 0 166 SH DEFINED 01 166 0 0 Qwest Comm. Int. Inc. COM 749121109 251 15000 SH SOLE 15000 0 0 QXL.com plc COM 74912W309 0 80 SH DEFINED 01 80 0 0 Rambus Inc. COM 750917106 1 200 SH DEFINED 01 200 0 0 Red Hat Inc. COM 756577102 95 27100 SH DEFINED 01 27100 0 0 Redback Networks Inc. COM 757209101 52 36100 SH DEFINED 01 36100 0 0 Resonate Inc. COM 76115Q104 42 11400 SH DEFINED 01 11400 0 0 Reuters Group PLC COM 76132M102 4 67 SH DEFINED 01 67 0 0 Rhythms NetConnections Inc. COM 762430205 0 1900 SH DEFINED 01 1900 0 0 Saba Software Inc. COM 784932105 30 15000 SH DEFINED 01 15000 0 0 Scient Corp. COM 80864H109 0 1400 SH DEFINED 01 1400 0 0 Sepracor Inc. COM 817315104 1167 32500 SH SOLE 32500 0 0 SEQUENOM Inc. COM 817337108 35 5000 SH DEFINED 01 5000 0 0 SEQUENOM Inc. COM 817337108 2294 327720 SH SOLE 327720 0 0 Shire Pharm. Group Inc. COM G81083100 31 2275 SH DEFINED 01 2275 0 0 Siebel Systems Inc. COM 826170102 2 180 SH DEFINED 01 180 0 0 Siebel Systems Inc. COM 826170102 59770 4594120 SH SOLE 4594120 0 0 Sonus Networks Inc. COM 835916107 80 26500 SH DEFINED 01 26500 0 0 Soundview Tech. Group Inc. COM 83611Q109 12 6000 SH DEFINED 01 6000 0 0 StarBase Corp. COM 854910205 1 837 SH DEFINED 01 837 0 0 StorageNetworks Inc. COM 86211E103 38 9500 SH DEFINED 01 9500 0 0 StorageNetworks Inc. COM 86211E103 99 25000 SH SOLE 25000 0 0 Sun Microsystems Inc. COM 866810104 409 49500 SH DEFINED 01 49500 0 0 Sycamore Networks Inc. COM 871206108 5754 1653385 SH DEFINED 01 1653385 0 0 Sycamore Networks Inc. COM 871206108 13193 3791100 SH SOLE 3791100 0 0 TCSI Corp. COM 87233R106 9 14500 SH DEFINED 01 14500 0 0 Tellium Inc. COM 87967E107 880 178472 SH DEFINED 01 178472 0 0 Tellium Inc. COM 87967E107 1285 260744 SH SOLE 260744 0 0 TIBCO Software Inc. COM 88632Q103 1245 169600 SH DEFINED 01 169600 0 0 TIBCO Software Inc. COM 88632Q103 147 20000 SH SOLE 20000 0 0 Turnstone Systems Inc. COM 900423104 16 5200 SH DEFINED 01 5200 0 0 Tyco International Ltd. COM 902124106 42 913 SH DEFINED 01 913 0 0 UAXS Global Holdings Inc. COM 902580109 27 37000 SH SOLE 37000 0 0 US Oncology Inc. COM 90338W103 18 2350 SH DEFINED 01 2350 0 0 VA Linux Systems Inc. COM 91819B105 10 9300 SH DEFINED 01 9300 0 0 Ventro Corp. COM 922815105 1 2000 SH DEFINED 01 2000 0 0 VeriSign Inc. COM 92343E102 406 9700 SH DEFINED 01 9700 0 0 VeriSign Inc. COM 92343E102 41879 999500 SH SOLE 999500 0 0 Vertex Pharmaceuticals Inc. COM 92532F100 28 1550 SH DEFINED 01 1550 0 0 Vertex Pharmaceuticals Inc. COM 92532F100 920 51000 SH SOLE 51000 0 0 Vignette Corp. COM 926734104 2603 735284 SH DEFINED 01 735284 0 0 Vignette Corp. COM 926734104 29686 8385800 SH SOLE 8385800 0 0 Virage Logic Corp. COM 92763R104 115 10500 SH DEFINED 01 10500 0 0 Visual Networks Inc. COM 928444108 45 19900 SH DEFINED 01 19900 0 0 WebMD Corp. COM 94769M105 157 36747 SH DEFINED 01 36747 0 0 WebMD Corp. COM 94769M105 1556 365155 SH SOLE 365155 0 0 Webvan Group Inc. COM 94845V103 0 90910 SH DEFINED 01 90910 0 0 Westell Technologies Inc. COM 957541105 6 5700 SH DEFINED 01 5700 0 0 Wink Communications Inc. COM 974168106 1 900 SH DEFINED 01 900 0 0 XO Communications Inc. COM 983764101 0 97 SH DEFINED 01 97 0 0 Xoma Ltd. COM G9825R107 17188 2038900 SH SOLE 2038900 0 0 Yahoo Inc. COM 984332106 1860 211172 SH DEFINED 01 211172 0 0 Yahoo Inc. COM 984332106 36441 4136285 SH SOLE 4136285 0 0
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