-----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, LmZ8OSoUxuTIStFpGaTGaVLMxJ5YREbtRlUA3X6RFqMP7hEJgcfZNqxEuaQqTsEd NWOwAoSBFtK9nShDqD4xyg== 0000860655-03-000026.txt : 20031110 0000860655-03-000026.hdr.sgml : 20031110 20031110104906 ACCESSION NUMBER: 0000860655-03-000026 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030930 FILED AS OF DATE: 20031110 EFFECTIVENESS DATE: 20031110 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 SEC ACT: 1934 Act SEC FILE NUMBER: 028-02623 FILM NUMBER: 03987013 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 1 a13fhr-093003.txt FORM 13F HOLDINGS REPORT 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, 2003 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: 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 of Behalf of Reporting Manager: Name: Dana E. Smith Title: Chief Compliance Officer Phone: 212-371-6360 Signature, Place, and Date of Signing: /s/ Dana E. Smith New York, New York November 10, 2003 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: 73 Form 13F Information Table Value Total: $655,773 (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 28-10424 Amerindo Investment Advisors Inc. Offshore
FORM 13F INFORMATION TABLE VALUE SHARES/ SH/Put/INVSTMT OTHRVOTING AUTHORITY NAME OF ISSUER TTL OF CLASS CUSIP (X$1000) PRN AMT PRNCallDSCRETN MGRSSOLE SHARED NONE Abgenix, Inc. COM 00339B107 76 5262 SH DEFINED 01 5262 0 0 AirNet Communications Corporation COM 00941P106 7 6173 SH DEFINED 01 6173 0 0 Alcatel COM 013904305 1328 112229 SH SOLE 112229 0 0 Alexion Pharmaceuticals, Inc. COM 015351109 356 21052 SH DEFINED 01 21052 0 0 Amazon.com, Inc. COM 023135106 799 16500 SH DEFINED 01 16500 0 0 Amazon.com, Inc. COM 023135106 84128 1737100 SH SOLE 1737100 0 0 AOL Time Warner, Inc. COM 887317105 128 8500 SH SOLE 8500 0 0 Ariba, Inc. COM 04033V104 662 217600 SH DEFINED 01 217600 0 0 Ariba, Inc. COM 04033V104 14160 4657816 SH SOLE 4657816 0 0 AXA COM 054536107 6 374 SH DEFINED 01 374 0 0 Broadcom Inc. COM 111320107 120 4500 SH SOLE 4500 0 0 Brocade Communications Systems, Inc. COM 111621108 660 126505 SH DEFINED 01 126505 0 0 Brocade Communications Systems, Inc. COM 111621108 486 93075 SH SOLE 93075 0 0 BROKAT Antiengesellschaft COM 0 1533 SH DEFINED 01 1533 0 0 Centura Software Corporation COM 15640W103 0 500 SH DEFINED 01 500 0 0 Cerus Corporation COM 157085101 289 62200 SH SOLE 62200 0 0 CIENA Corporation COM 171779101 167 28416 SH SOLE 28416 0 0 CMGI,Inc. COM 125750109 494 319200 SH SOLE 319200 0 0 CoSine Communications COM 221222607 907 149750 SH SOLE 149750 0 0 Cygnus Inc. COM 232560102 0 1000 SH DEFINED 01 1000 0 0 Divine Inc. COM 255402406 0 3393 SH DEFINED 01 3393 0 0 eBay Inc. COM 278642103 10117 188600 SH DEFINED 01 188600 0 0 eBay Inc. COM 278642103 186931 3484909 SH SOLE 3484909 0 0 Enron Corporation COM 293561106 3 60000 SH DEFINED 01 60000 0 0 Epoch Biosciences, Inc. COM 294273107 691 285715 SH DEFINED 01 285715 0 0 FlexiInternational Software, Inc. COM 338923105 7 45000 SH DEFINED 01 45000 0 0 FreeMarkets, Inc. COM 356602102 134 17178 SH SOLE 17178 0 0 Genzyme Corporation General Div. COM 372917104 233 5028 SH DEFINED 01 5028 0 0 Genzyme Corporation General Div. COM 372917104 116 2500 SH SOLE 2500 0 0 Gilead Sciences, Inc. COM 375558103 20309 362400 SH SOLE 362400 0 0 HomeStore.com COM 437852106 1092 395800 SH DEFINED 01 395800 0 0 HomeStore.com COM 437852106 17905 6487200 SH SOLE 6487200 0 0 i2 Technologies, Inc. COM 465754109 961 756400 SH SOLE 756400 0 0 iBEAM Broadcasting Corporation COM 45073P408 0 850 SH DEFINED 01 850 0 0 IDEC Pharmaceuticals Corporation COM 449370105 1631 49000 SH SOLE 49000 0 0 ImClone Systems, Inc. COM 45245W109 6910 177500 SH SOLE 177500 0 0 InterActiveCorp COM 45840Q101 321 9683 SH DEFINED 01 9683 0 0 InterActiveCorp COM 45840Q101 76896 2317523 SH SOLE 2317523 0 0 InterActiveCorp Warrants COM 45840Q127 21898 525120 SH SOLE 525120 0 0 Internet Capital Group, Inc. COM 46059C106 9 20000 SH DEFINED 01 20000 0 0 Internet Capital Group, Inc. COM 46059C106 292 642410 SH SOLE 642410 0 0 Juniper Networks, Inc. COM 48203R104 10250 683300 SH SOLE 683300 0 0 Medimmune, Inc. COM 584699102 416 12595 SH SOLE 12595 0 0 MicroStrategy COM 594972408 63 1361 SH DEFINED 01 1361 0 0 MicroStrategy COM 594972408 2 52 SH SOLE 52 0 0 MicroStrategy Warrants COM 594972119 0 1028 SH DEFINED 01 1028 0 0 MicroStrategy Warrants COM 594972119 0 34 SH SOLE 34 0 0 Net2000 Communications, Inc. COM 64122G103 0 700 SH DEFINED 01 700 0 0 Onvia.com, Inc. COM 68338T403 98 25786 SH DEFINED 01 25786 0 0 OSI Pharmaceuticals, Inc. COM 671040103 1306 40000 SH SOLE 40000 0 0 Overture Services, Inc. COM 69039R100 184 7000 SH DEFINED 01 7000 0 0 Overture Services, Inc. COM 69039R100 35398 1344400 SH SOLE 1344400 0 0 Persistence Software, Inc. COM 715329207 80 15000 SH SOLE 15000 0 0 Paragon Financial Group COM 69912C105 11 21488 SH DEFINED 01 21488 0 0 Paragon Financial Group COM 69912C105 1 2772 SH SOLE 2772 0 0 Protein Design Labs, Inc. COM 74369L103 148 10500 SH SOLE 10500 0 0 Quokka Sports, Inc. COM 749077400 0 166 SH DEFINED 01 166 0 0 Sonus Networks Inc. COM 835916107 556 80300 SH SOLE 80300 0 0 Stratex Networks, Inc. COM 86279T109 1 315 SH DEFINED 01 315 0 0 Sycamore Networks, Inc. COM 871206108 9823 2004600 SH SOLE 2004600 0 0 Synopsys, Inc. COM 871607107 0 1 SH DEFINED 01 1 0 0 Tellium, Inc. COM 87967E107 171 124722 SH DEFINED 01 124722 0 0 Universal Access Global Holdings COM 91336M204 1 395 SH DEFINED 01 395 0 0 Verisign, Inc. COM 92343E102 34 2500 SH SOLE 2500 0 0 Vertex Pharmaceuticals, Inc. COM 92532F100 830 67500 SH SOLE 67500 0 0 WebMD Corporation COM 94769M105 4412 493000 SH DEFINED 01 493000 0 0 WebMD Corporation COM 94769M105 29441 3289500 SH SOLE 3289500 0 0 WebVan Group, Inc. COM 94845V103 0 90910 SH DEFINED 01 90910 0 0 WorldCom, Inc. COM 98157D106 1 10350 SH DEFINED 01 10350 0 0 XO Communications, Inc. COM 983764838 1 97 SH DEFINED 01 97 0 0 Yahoo! Inc. COM 984332106 354 10000 SH DEFINED 01 10000 0 0 Yahoo! Inc. COM 984332106 110962 3135393 SH SOLE 3135393 0 0
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