-----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, OuObJBDZ/E6qJd1U19n1g5e7ltObnvXEZjIk8HIH6EdC8zEI9S/e7vDiEPvShuM9 nj8VIDtjWGxyQMCDsSFtEA== 0000860655-04-000006.txt : 20040419 0000860655-04-000006.hdr.sgml : 20040419 20040419160906 ACCESSION NUMBER: 0000860655-04-000006 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020930 FILED AS OF DATE: 20040419 EFFECTIVENESS DATE: 20040419 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: 04740650 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 a13fhr-093002amend2.txt FORM 13F HOLDINGS REPORT AMENDMENT This filing lists securities holdings reported on the Form 13F filed on November 13, 2002 pursuant to a request for confidential treatment and for which that request was denied on September 29, 2003. 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, 2002 Check here if Amendment [ X ]; Amendment Number: 2 This Amendment (Check only one.): [ x ] 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 April 16, 2004 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: 161 Form 13F Information Table Value Total: $502,947 (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 34 5262 SH DEFINED 01 5262 0 0 Actuate Corporation COM 00508B102 222 233900 SH SOLE 233900 0 0 Aether Systems, Inc. COM 00808V105 85 31600 SH DEFINED 01 31600 0 0 Agere Systems Inc COM 00845V100 17 15000 SH DEFINED 01 15000 0 0 AirNet Communications Corporation COM 00941P106 5 6173 SH DEFINED 01 6173 0 0 Akamai Technologies, Inc. COM 00971T101 69 83400 SH DEFINED 01 83400 0 0 Akamai Technologies, Inc. COM 00971T101 3917 4719411 SH SOLE 4719411 0 0 Alexion Pharmaceuticals, Inc. COM 015351109 244 21052 SH DEFINED 01 21052 0 0 Alkermes, Inc. COM 01642T108 5345 677500 SH SOLE 677500 0 0 Amazon.com, Inc. COM 023135106 1685 105800 SH DEFINED 01 105800 0 0 Amazon.com, Inc. COM 023135106 34375 2157874 SH SOLE 2157874 0 0 AOL Time Warner, Inc. COM 00184A105 34 2900 SH DEFINED 01 2900 0 0 AOL Time Warner, Inc. COM 00184A105 99 8500 SH SOLE 8500 0 0 Ariba, Inc. COM 04033V104 106 78400 SH DEFINED 01 78400 0 0 Ariba, Inc. COM 04033V104 6107 4523964 SH SOLE 4523964 0 0 Art Technology Group, Inc. COM 04289L107 2105 2192900 SH SOLE 2192900 0 0 ARTISTdirect, Inc. COM 043150400 46 8040 SH DEFINED 01 8040 0 0 Ask Jeeves, Inc. COM 045174109 5 4900 SH DEFINED 01 4900 0 0 Ask Jeeves, Inc. COM 045174109 762 785200 SH SOLE 785200 0 0 At Home Corporation COM 045919107 3 1004400 SH DEFINED 01 1004400 0 0 Avici Systems, Inc. COM 05367L109 48 77056 SH DEFINED 01 77056 0 0 Avici Systems, Inc. COM 05367L109 291 469046 SH SOLE 469046 0 0 AXA COM 054536107 4 374 SH DEFINED 01 374 0 0 Bookham Technology plc COM 09856Q108 23 31586 SH DEFINED 01 31586 0 0 Brio Software, Inc. COM 109704106 1750 1605672 SH SOLE 1605672 0 0 Broadcom Inc. COM 111320107 139 12970 SH DEFINED 01 12970 0 0 Broadcom Inc. COM 111320107 3733 349500 SH SOLE 349500 0 0 Brocade Comm. Systems, Inc. COM 111621108 6591 875328 SH SOLE 875328 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 333 20000 SH SOLE 20000 0 0 Check Point Software Technologies LTD COM 7 500 SH DEFINED 01 500 0 0 CIENA Corporation COM 171779101 13 4408 SH DEFINED 01 4408 0 0 CIENA Corporation COM 171779101 2817 948329 SH SOLE 948329 0 0 Ciphergen Biosystems, Inc. COM 17252Y104 508 169400 SH SOLE 169400 0 0 Cisco Systems Inc. COM 17275R102 1 53 SH DEFINED 01 53 0 0 CMGI, Inc. COM 125750109 5 15000 SH SOLE 15000 0 0 Commerce One, Inc. COM 200693208 297 100000 SH DEFINED 01 100000 0 0 Corvis Corporation COM 221009103 274 481088 SH DEFINED 01 481088 0 0 Corvis Corporation COM 221009103 1417 2485240 SH SOLE 2485240 0 0 CoSine Communications, Inc. COM 221222607 1722 683447 SH DEFINED 01 683447 0 0 CoSine Communications, Inc. COM 221222607 669 265550 SH SOLE 265550 0 0 Covad Communications Group Inc. COM 222814204 31 21104 SH DEFINED 01 21104 0 0 Critical Path, Inc. COM 22674V100 0 400 SH DEFINED 01 400 0 0 CTI Molecular Imaging COM 168820108 127 5000 SH DEFINED 01 5000 0 0 Dell Computer Corp. COM 247025109 110 4700 SH DEFINED 01 4700 0 0 Divine Inc. COM 255402406 9 3393 SH DEFINED 01 3393 0 0 DMC Stratex Networks, Inc. COM 86279T109 0 315 SH DEFINED 01 315 0 0 Documentum, Inc. COM 256159104 3201 277100 SH SOLE 277100 0 0 Dyax Corporation COM 26746E103 35 18000 SH DEFINED 01 18000 0 0 eBay Inc. COM 278642103 491 9300 SH DEFINED 01 9300 0 0 eBay Inc. COM 278642103 145330 2751944 SH SOLE 2751944 0 0 ELAN Corporation plc RTS COM 0 1500 SH DEFINED 01 1500 0 0 Enron Corporation COM 293561106 7 60000 SH DEFINED 01 60000 0 0 E.piphany, Inc. COM 26881V100 3 950 SH DEFINED 01 950 0 0 Epoch Biosciences, Inc. COM 294273107 343 285715 SH DEFINED 01 285715 0 0 eToys Inc. COM 297862104 0 178900 SH DEFINED 01 178900 0 0 Expedia Inc. COM 302125109 15 300 SH DEFINED 01 300 0 0 Expedia Inc. COM 302125109 75646 1493500 SH SOLE 1493500 0 0 Expedia Inc.- Warrants COM 302125125 5593 275520 SH SOLE 275520 0 0 FlexiInternational Software, Inc. COM 338923105 5 75000 SH DEFINED 01 75000 0 0 FreeMarkets, Inc. COM 356602102 122 24678 SH SOLE 24678 0 0 Genzyme Corp. Molecular Oncology COM 372917500 0 270 SH DEFINED 01 270 0 0 Genzyme Corporation Biosurgery COM 372917708 1 270 SH DEFINED 01 270 0 0 Genzyme Corporation General Div. COM 372917104 103 5000 SH DEFINED 01 5000 0 0 Gilead Sciences, Inc. COM 375558103 15347 457700 SH SOLE 457700 0 0 GTC Biotherapeutics, Inc. COM 36238T104 28 20000 SH DEFINED 01 20000 0 0 HomeStore.com, Inc. COM 437852106 46 153400 SH DEFINED 01 153400 0 0 HomeStore.com, Inc. COM 437852106 2001 6668385 SH SOLE 6668385 0 0 i2 Technologies, Inc. COM 465754109 1837 3533469 SH SOLE 3533469 0 0 iBEAM Broadcasting Corporation COM 45073P408 0 850 SH DEFINED 01 850 0 0 IDEC Pharmaceuticals Corporation COM 449370105 2221 53500 SH SOLE 53500 0 0 ImClone Systems, Inc. COM 45245W109 30 3900 SH DEFINED 01 3900 0 0 ImClone Systems, Inc. COM 45245W109 4875 625000 SH SOLE 625000 0 0 Inktomi Corporation COM 457277101 2 6000 SH SOLE 6000 0 0 InterMune, Inc. COM 45884X103 3656 111400 SH SOLE 111400 0 0 InterNAP Network Services Corp COM 45885A102 205 977835 SH SOLE 977835 0 0 Internet Capital Group, Inc. COM 46059C106 43 216650 SH DEFINED 01 216650 0 0 Internet Capital Group, Inc. COM 46059C106 237 1191160 SH SOLE 1191160 0 0 JDS Uniphase Corporation COM 46612J101 5 2400 SH DEFINED 01 2400 0 0 Juniper Networks, Inc. COM 48203R104 341 71000 SH DEFINED 01 71000 0 0 Juniper Networks, Inc. COM 48203R104 1000 208300 SH SOLE 208300 0 0 Kana Software, Inc. COM 483600300 31 38803 SH DEFINED 01 38803 0 0 Kana Software, Inc. COM 483600300 2114 2641935 SH SOLE 2641935 0 0 LookSmart, Ltd. COM 543442107 61 62974 SH DEFINED 01 62974 0 0 LookSmart, Ltd. COM 543442107 1518 1565000 SH SOLE 1565000 0 0 McData Corporation COM 580031102 46 8300 SH DEFINED 01 8300 0 0 McData Corporation COM 580031102 824 150000 SH SOLE 150000 0 0 MedImmune, Inc. COM 584699102 7714 368725 SH SOLE 368725 0 0 MicroStrategy COM 594972408 1 174 SH SOLE 174 0 0 MicroStrategy- Warrants COM 594972119 0 1039 SH DEFINED 01 1039 0 0 MicroStrategy- Warrants COM 594972119 0 122 SH SOLE 01 122 0 0 Millennium Pharmaceticals,Inc. COM 599902103 1164 124900 SH SOLE 124900 0 0 Neoforma, Inc. COM 640475505 12 1300 SH DEFINED 01 1300 0 0 Net2000 Communications, Inc. COM 64122G103 0 700 SH DEFINED 01 700 0 0 NetScreen Technologies, Inc. COM 64117V107 49 4500 SH DEFINED 01 4500 0 0 NetScreen Technologies, Inc. COM 64117V107 13644 1257500 SH SOLE 1257500 0 0 Network Appliance, Inc. COM 64120L104 7 1000 SH DEFINED 01 1000 0 0 Network Appliance, Inc. COM 64120L104 18387 2508459 SH SOLE 2508459 0 0 Niku Corporation COM 654113703 44 336800 SH DEFINED 01 336800 0 0 Niku Corporation COM 654113703 277 2133560 SH SOLE 2133560 0 0 Onvia.com, Inc. COM 68338T403 53 25786 SH DEFINED 01 25786 0 0 Openwave Systems, Inc. COM 683718100 6 10000 SH DEFINED 01 10000 0 0 Opsware, Inc. COM 68383A101 242 335696 SH DEFINED 01 335696 0 0 Opsware, Inc. COM 68383A101 3892 5405830 SH SOLE 5405830 0 0 OSI Pharmaceuticals,Inc. COM 671040103 679 40000 SH SOLE 40000 0 0 Overture Services, Inc. COM 69039R100 1091 46300 SH DEFINED 01 46300 0 0 Overture Services, Inc. COM 69039R100 18781 796800 SH SOLE 796800 0 0 Palm, Inc. COM 696642107 444 30000 SH DEFINED 01 30000 0 0 Parametric Technology Corporation COM 699173100 1 600 SH DEFINED 01 600 0 0 PayPal Inc. COM 704508100 9989 477700 SH SOLE 477700 0 0 Persistence Software, Inc. COM 715329108 1 1523 SH DEFINED 01 1523 0 0 Persistence Software, Inc. COM 715329108 133 315721 SH SOLE 315721 0 0 PlanetRx.com COM 727049405 7 93488 SH DEFINED 01 93488 0 0 PlanetRx.com COM 727049405 0 2772 SH SOLE 2772 0 0 Plumtree Software, Inc. COM 72940Q104 431 165600 SH SOLE 165600 0 0 Portal Software, Inc. COM 736126103 11 45100 SH DEFINED 01 45100 0 0 Portal Software, Inc. COM 736126103 624 2599632 SH SOLE 2599632 0 0 Priceline.com Incorporated COM 741503106 112 77000 SH DEFINED 01 77000 0 0 Priceline.com Incorporated COM 741503106 801 548756 SH SOLE 548756 0 0 Protein Design Labs, Inc. COM 74369L103 42 5000 SH DEFINED 01 5000 0 0 Protein Design Labs, Inc. COM 74369L103 87 10500 SH SOLE 10500 0 0 PSINet, Inc. COM 74437C309 60 21020 SH DEFINED 01 21020 0 0 Quokka Sports, Inc. COM 749077400 0 166 SH DEFINED 01 166 0 0 QXL.com, Inc. COM 74912W408 0 8 SH DEFINED 01 8 0 0 Rambus Inc. COM 750917106 1 200 SH DEFINED 01 200 0 0 Rational Software Corporation COM 75409P202 0 1 SH SOLE 1 0 0 Red Hat, Inc. COM 756577102 2137 449800 SH SOLE 449800 0 0 Research In Motion,LTD. COM 760975102 2025 215000 SH SOLE 215000 0 0 Retek Inc. COM 76128Q109 18 5000 SH SOLE 5000 0 0 Rhythms NetConnections Inc COM 762430205 0 1500 SH DEFINED 01 1500 0 0 Saba Software, Inc. COM 784932105 32 15000 SH DEFINED 01 15000 0 0 Scient Corporation COM 808649305 0 86 SH DEFINED 01 86 0 0 Sepracor, Inc. COM 817315104 4412 842000 SH SOLE 842000 0 0 SEQUENOM, Inc. COM 817337108 8 5000 SH DEFINED 01 5000 0 0 Shire Pharmaceuticals Group plc COM 82481R106 56 2275 SH DEFINED 01 2275 0 0 Siebel Systems, Inc. COM 826170102 844 146820 SH DEFINED 01 146820 0 0 Siebel Systems, Inc. COM 826170102 18028 3135220 SH SOLE 3135220 0 0 Starbase Corporation COM 854910403 0 83 SH DEFINED 01 83 0 0 Sycamore Networks, Inc. COM 871206108 3 1135 SH DEFINED 01 1135 0 0 Sycamore Networks, Inc. COM 871206108 9420 4008400 SH SOLE 4008400 0 0 Synopsys, Inc. COM 871607107 0 1 SH DEFINED 01 1 0 0 Telik, Inc. COM 87959M109 248 20000 SH DEFINED 01 20000 0 0 Telik, Inc. COM 87959M109 5687 459400 SH SOLE 459400 0 0 Tellium, Inc. COM 87967E107 63 164722 SH DEFINED 01 164722 0 0 TIBCO Software, Inc. COM 88632Q103 225 60000 SH DEFINED 01 60000 0 0 Universal Access Global Holdings COM 91336M105 4 20800 SH DEFINED 01 20800 0 0 VeriSign, Inc. COM 92343E102 49 9700 SH DEFINED 01 9700 0 0 VeriSign, Inc. COM 92343E102 13 2500 SH SOLE 2500 0 0 Vertex Pharmaceuticals,Inc. COM 92532F100 29 1550 SH DEFINED 01 1550 0 0 Vertex Pharmaceuticals,Inc. COM 92532F100 3633 196500 SH SOLE 196500 0 0 Vignette Corporation COM 926734104 16 20000 SH DEFINED 01 20000 0 0 Vignette Corporation COM 926734104 1094 1365652 SH SOLE 1365652 0 0 Visual Networks, Inc. COM 928444108 5 6000 SH DEFINED 01 6000 0 0 WebMD Corporation COM 94769M105 51 10000 SH DEFINED 01 10000 0 0 Websense Inc. COM 947684106 726 62500 SH SOLE 62500 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 0 97 SH DEFINED 01 97 0 0 Yahoo! Inc. COM 984332106 460 48062 SH DEFINED 01 48062 0 0 Yahoo! Inc. COM 984332106 31326 3273369 SH SOLE 3273369 0 0
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