-----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, VqW09wb/eE1azSOCzKubnjS3Iujf+rSUBKOF1ARY1ebZiKtt63vG8Ft+3ffRwQcn YNQVhqVm3Qz3FV15aW7Y1g== 0000912057-00-006931.txt : 20000216 0000912057-00-006931.hdr.sgml : 20000216 ACCESSION NUMBER: 0000912057-00-006931 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19991231 FILED AS OF DATE: 20000215 FILER: COMPANY DATA: COMPANY CONFORMED NAME: MONTGOMERY ASSET MANAGEMENT L P /CA CENTRAL INDEX KEY: 0000896160 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 943273703 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: SEC FILE NUMBER: 028-04249 FILM NUMBER: 544750 BUSINESS ADDRESS: STREET 1: 101 CALIFORNIA STREET STREET 2: 35TH FLOOR CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 4152486000 MAIL ADDRESS: STREET 1: 101 CALIFORNIA STREET STREET 2: 35TH FLOOR CITY: SAN FRANCISCO STATE: CA ZIP: 94111 13F-HR 1 13F-HR UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13 F COVER PAGE Report for the Quarter Ended: December 31, 1999 Check Here if Amendment [ ]; Amendment Number: This Amendment (check only one): [ ] is a restatement [ ] adds new holding entries Institutional Investment Manager Filing this Report: Name: Montgomery Asset Management, LLC Address: 101 California Street, 35th Floor San Francisco, CA 94111 Form 13F File Number: 28-3396 The institutional investment manager filing this report and the person by whom it is signed hereby represents 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: Dana Schmidt Title: Director Phone: (415) 248-6000 /s/ Dana Schmidt San Francisco, California February 14, 2000 - -------------------- ---------------------------- ---------------------- 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 here if no holdings reported are in this report, and all holdings are reported by other reporting managers(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: None FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: None Form 13F Information Table Entry Total: 416 Form 13F Information Table Value Total: $3,810,249,000 List of Other Included Managers: None
VOTING AUTHORITY Title of Value Shares/ Sh/ Put/ Invstmt Other Name of Issuer class CUSIP (x$1000) Prn Amt Prn Call Dscretn Mngrs Sole Shared None - ---------------------------------------------------------------------------------------------------------------------------------- 3Com Corp Com 885535104 743 15800 SH Sole 15800 AT & T Com 001957109 2405 47337 SH Sole 47337 AT & T Canada Inc. Com 00207Q202 2701 67200 SH Sole 67200 ATMEL Corp Com 049513104 2956 100000 SH Sole 57400 42600 Abbott Labs Com 002824100 1126 31000 SH Sole 31000 Acxiom Corp Com Com 005125109 4279 178300 SH Sole 178300 Administaff Inc. Com 007094105 4138 136800 SH Sole 136800 Advanced Energy Industries Com 007973100 32313 656100 SH Sole 392100 264000 Advanced Energy Industries Com 007973100 2000 40600 SH Other 13000 27600 Advent Software, Inc. Com 007974108 5113 79350 SH Sole 48750 30600 Advent Software, Inc. 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Com 126349109 1739 43600 SH Other 14000 29600 California Amplifier Inc Com 129900106 2815 107000 SH Sole 107000 Canadian National Railway Comp Com 136375102 13606 513425 SH Sole 469225 44200 Canadian Pacific, Ltd. Com 135923100 1876 87000 SH Sole 50000 37000 Canandaigua Wine Co., Inc. Cla Com 137219200 31442 616500 SH Sole 400200 216300 Canandaigua Wine Co., Inc. Cla Com 137219200 2377 46600 SH Other 15000 31600 Capital One Com 14040H105 14891 309025 SH Sole 279625 29400 Carrier Access Corp Com 144460102 6271 93000 SH Sole 93000 Casella Waste Systems Inc-A Com 147448104 4190 222000 SH Sole 222000 Catalina Marketing Corp. Com 148867104 5197 44900 SH Sole 44900 Catalytica Inc Com 148885106 5378 396500 SH Sole 396500 Caterpillar Inc. Com 149123101 932 19800 SH Sole 19800 Cerus Corp Com 157085101 4094 154500 SH Sole 154500 Champion International Corp Com 158525105 14170 228775 SH Sole 202775 26000 Charles Schwab Corp. 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Com 775371107 2392 58800 SH Sole 34000 24800 SBC Communications Inc Com 78387G103 4915 100829 SH Sole 100829 SFX Entertainment Inc. Com 784178105 44952 1242200 SH Sole 746200 496000 SFX Entertainment Inc. Com 784178105 3318 91700 SH Other 40700 51000 Safeway Inc Com 786514208 736 20600 SH Sole 20600 Sanmina Corp. Com 800907107 3246 32500 SH Sole 32500 Santa Fe Snyder Corp Com 80218k105 3262 407700 SH Sole 407700 Sap AG ADR 803054204 411 7900 SH Sole 7900 Schering Plough Corp Com Com 806605101 1509 35600 SH Sole 35600 Schlumberger Com 806857108 13296 236893 SH Sole 236893 Seagate Technologies, Inc. Com 811804103 3134 67300 SH Sole 38600 28700 Sealed Air Corp Com 81211K100 1036 20000 SH Sole 20000 Shaw Industries Com 820286102 2703 174400 SH Sole 100000 74400 Smithfield Foods Com 832248108 47093 1962200 SH Sole 1194200 768000 Smithfield Foods Com 832248108 3168 132000 SH Other 42000 90000 Solectron Corp Com 834182107 5779 60750 SH Sole 60750 Sprint Corp. (PCS Group) Com 852061506 5494 53600 SH Sole 53600 Sprint Corp.(FON Group) Com 852061100 498 7400 SH Sole 7400 St. Paul Companies Com 792860108 2692 79900 SH Sole 46300 33600 Stancorp Financial Group Com 852891100 11195 444475 SH Sole 414875 29600 Summit Bancorp Com 866005101 1109 36200 SH Sole 36200 Sun Microsystems Inc. Com 866810104 1766 22800 SH Sole 22800 Sysco Corp. Com 871829107 2314 58500 SH Sole 58500 TJX Companies Com 872540109 7404 362275 SH Sole 330275 32000 Talbots Com 874161102 3316 74300 SH Sole 74300 Telebras Holders Com 879287308 1763 13300 SH Sole 13300 Tetra Tech Inc Com 88162G103 2966 192900 SH Sole 192900 Texaco Inc. Com 881694103 1651 30400 SH Sole 30400 Texas Instruments Inc. Com 882508104 1275 13200 SH Sole 13200 Textron Inc. Com 883203101 982 12800 SH Sole 12800 The Men's Wearhouse Inc. Com 587118100 1842 62700 SH Sole 62700 Theragenics Corp Com 883375107 3537 390300 SH Sole 227300 163000 Theragenics Corp Com 883375107 212 23400 SH Other 7000 16400 Thermo Electron Corp Com 883556102 9961 664050 SH Sole 560050 104000 Time Warner, Inc. Com 887315109 1866 25800 SH Sole 25800 Titan Pharmaceuticals, Inc Com 888314101 10712 563800 SH Sole 335800 228000 Titan Pharmaceuticals, Inc Com 888314101 665 35000 SH Other 12000 23000 Transocean Sedco Forex Inc. Com G90078109 1539 45697 SH Sole 45697 Trigon Healthcare Inc Com Com 89618L100 14166 480200 SH Sole 288300 191900 Trigon Healthcare Inc Com Com 89618L100 882 29900 SH Other 9300 20600 Tyco International Ltd Com 902124106 11718 300463 SH Sole 300463 U.S. Bancorp Com 902973106 1236 51900 SH Sole 51900 USA Networks, Inc. Com 902984103 98643 1785400 SH Sole 1053400 732000 USA Networks, Inc. Com 902984103 5967 108000 SH Other 34000 74000 UTI Energy Corporation Com 903387108 2099 91000 SH Sole 91000 Ultimate Eletronics Inc Com 903849107 2022 81700 SH Sole 81700 Unigraphics Solutions, Inc. Com 904928108 2192 81200 SH Sole 45200 36000 Union Carbide Corp Com 905581104 3197 47900 SH Sole 27800 20100 Union Pacific Corp. Com 907818108 13195 302025 SH Sole 302025 Union Pacific Resources Group Com 907834105 19055 1494500 SH Sole 1367500 127000 Union Planters Corp. Com 908068109 1120 28400 SH Sole 28400 Unionbancal Corporation Com 908906100 7795 197650 SH Sole 115350 82300 Unionbancal Corporation Com 908906100 63 1600 SH Other 1600 United Parcel Service -CL B Com 911312106 5210 75500 SH Sole 75500 United Technologies Corp Com 913017109 260 4000 SH Sole 4000 Unocal Corp Com 915289102 1745 52000 SH Sole 29900 22100 Varco International Com 922126107 3255 319500 SH Sole 319500 Verisign, Inc. Com 92343e102 2559 13400 SH Sole 13400 Verticalnet Inc. Com 92532L107 52300 318900 SH Sole 190900 128000 Verticalnet Inc. Com 92532L107 3411 20800 SH Other 7000 13800 Viatel Inc. Com 925529208 57068 1064200 SH Sole 640200 424000 Viatel Inc. Com 925529208 3518 65600 SH Other 22000 43600 Viropharma Inc Com 928241108 14761 398950 SH Sole 238950 160000 Viropharma Inc Com 928241108 962 26000 SH Other 8000 18000 Vishay Intertechnology Inc. Com 928298108 332 10500 SH Sole 10500 Waddell & Reed Financial-A Com 930059100 3551 130900 SH Sole 130900 Wal-Mart Stores Inc. Com 931142103 4337 62735 SH Sole 62735 Walgreen Co Com Com 931422109 202 6900 SH Sole 6900 Walt Disney Company Com 254687106 436 14894 SH Sole 14894 Wells Fargo & Co Com 949746101 1326 32800 SH Sole 32800 Westpoint Stevens Inc Com 961238102 2044 116800 SH Sole 116800 Westvaco Corp Com 961548104 326 10000 SH Sole 10000 Westwood One Inc. Com 961815107 15785 207700 SH Sole 207700 Weyerhaeuser Co. Com 962166104 18452 256950 SH Sole 256950 Whirlpool Corp. Com 963320106 39760 611100 SH Sole 562700 48400 Whole Food Markets Com 966837106 464 10000 SH Sole 10000 Willamete Industries Com 969133107 7449 160400 SH Sole 160400 Williams Cos. Inc. Com 969457100 715 23400 SH Sole 23400 Winstar Communications Inc. Com 975515107 53555 711700 SH Sole 427700 284000 Winstar Communications Inc. Com 975515107 3161 42000 SH Other 14000 28000 Xerox Corp. Com 984121103 204 9000 SH Sole 9000 Yahoo! Inc. Com 984332106 1038 2400 SH Sole 2400 ZixIt Corporation Com 98974p100 1268 32000 SH Sole 32000 BP Amoco - PLC Com 055622104 1282 21606 SH Sole 21606 Business Objects SA ADR 12328X107 6200 46400 SH Sole 46400 ESAT Telecom Group Plc ADR 26883Y102 10550 115300 SH Sole 115300 Matsushita Electric Industrial Com 576879209 18191 65200 SH Sole 65200 News Corp Ltd ADR 652487802 10841 324225 SH Sole 324225 Petroleum Geo-Services ADR 716597109 9788 549500 SH Sole 349500 200000 Petroleum Geo-Services ADR 716597109 273 15300 SH Other 12200 3100 Rio Tinto PLC ADR 767204100 21946 231625 SH Sole 231625 Sony Corp. ADR 835699307 25343 89000 SH Sole 89000 Host Marriott Corp. Com 44107p104 3943 477950 SH Sole 477950 TOTAL 3810249 ------- -------
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