-----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, Sb7jeG/0BFdUhT0Fxq9aBXyHQfQzIpl5ikyxHzOuKJAixMjvjLgR7LmGYEjk/dCq PD+0F4ZEw5ZvAI2uiBlY0w== 0001047469-99-030986.txt : 19990812 0001047469-99-030986.hdr.sgml : 19990812 ACCESSION NUMBER: 0001047469-99-030986 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990630 FILED AS OF DATE: 19990811 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: 99683996 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: June 30, 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: Corporate Vice President and Principal Phone: (415) 248-6000 /s/ Dana Schmidt San Francisco, California August 9, 1999 - ------------------------ ----------------------------- ---------------- 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: 376 Form 13F Information Table Value Total: $2,768,209,257 List of Other Included Managers: None
TITLE FAIR INVESTMENT DISCRETION VOTING AUTHORITY OF MARKET SHARE PUT/ --------------------- OTHER ------------------ NAME OF ISSUER CLASS CUSIP VALUE QUANTITY CALL SOLE SHARED OTHER MANAGERS SOLE NONE Abbott Labs COM 002824100 $2,345,888 51,700 X 51,700 Abercrombie & Fitch Company COM 002896207 $1,478,400 30,800 X 30,800 Acxiom Corp Com COM 005125109 $6,009,938 241,000 X 241,000 Adelphia Communications - CL A COM 006848105 $916,200 14,400 X 3,000 11,400 Administaff Inc. COM 007094105 $1,920,000 120,000 X 120,000 Adobe Systems COM 00724F101 $1,232,344 15,000 X 15,000 Advanced Energy Industries COM 007973100 $12,631,100 311,400 X 252,400 59,000 Affiliated Managers Group COM 008252108 $12,682,438 420,100 X 347,800 72,300 Albertson's Inc. COM 013104104 $2,647,734 51,350 X 51,350 Alcoa Inc. COM 013817101 $34,917,609 564,325 X 564,325 Alkermes Inc. COM 01642T108 $8,954,750 387,200 X 317,200 70,000 Altera Corporation COM 021441100 $2,208,750 60,000 X 60,000 Alza Corp. COM 022615108 $768,213 15,100 X 15,100 Amazon.Com Inc. COM 023135106 $675,675 5,400 X 5,400 AMBAC Financial Group, Inc. COM 023139108 $1,079,663 18,900 X 18,900 Amerada Hess Corporation COM 023551104 $28,973,525 486,950 X 486,950 America Online Inc Del Com COM 02364J104 $242,000 2,200 X 2,200 American Bankers Insurance Gro COM 024456105 $713,131 13,100 X 13,100 American Express COM 025816109 $2,023,444 15,550 X 15,550 American General Corp COM 026351106 $2,231,100 29,600 X 29,600 American Home Products Corp COM 026609107 $1,488,881 25,950 X 25,950 American International Group COM 026874107 $522,935 4,460 X 4,460 American Tower Corp. COM 029912201 $969,600 40,400 X 40,400 AmeriCredit Corporation COM 03060R101 $30,219,200 1,888,700 X 1,531,700 357,000 Amerisource Health Corp. Cl-A COM 03071P102 $16,891,400 662,400 X 546,400 116,000 Ameritech Corp COM 030954101 $4,053,525 55,150 X 55,150 Ames Dept Stores, Inc. COM 030789507 $17,461,563 382,700 X 330,700 52,000 AMFM, Inc. COM 029161106 $2,397,938 43,500 X 43,500 Anadarko Pete Corp Com COM 032511107 $887,181 24,100 X 24,100 Anglo American PLC COM 03485P102 $1,819,670 38,939 X 38939 Anheuser-Busch Cos Inc COM 035229103 $2,826,859 39,850 X 39,850 Ann Taylor Stores Corp. COM 036115103 $4,306,500 95,700 X 95,700 Annuity And Life Re COM G03910109 $11,661,019 519,700 X 413,700 106,000 Antec Corp COM 03664P105 $971,494 30,300 X 30,300 Apollo Group, Inc - CL A COM 037604105 $905,781 34,100 X 34,100 Applied Micro Circuits Corp COM 03822W109 $16,968,325 206,300 X 167,100 39,200 Applied Power, Inc. Cl-A COM 038225108 $9,537,525 349,200 X 349,200 Aptargroup Inc COM 038336103 $4,401,000 146,700 X 146,700 Ask Jeeves, Inc. COM 045174109 $134,000 9,600 X 9,600 AT & T COM 001957109 $417,840 7,488 X 7,488 AT&T Corp. - Liberty Media - A COM 001957208 $53,787,800 1,463,600 X 1,223,600 240,000 Autodesk Inc. COM 052769106 $14,526,273 491,375 X 491,375 Avant! Corporation COM 053487104 $3,087,788 244,500 X 199,000 45,500 Aviation Sales Company COM 053672101 $11,708,200 296,400 X 235,400 61,000 Avid Technology COM 05367P100 $16,890,938 1,047,500 X 1,047,500 Baker Hughes Inc. COM 057224107 $559,450 16,700 X 16,700 Banc One Corp COM 06423a103 $205,788 3,455 X 3,455 Banco Santander Central Hisp COM 05964H105 $1,545,542 148,200 X 148200 Bank of America Corp (NEW) COM 060505104 $18,730,317 255,486 X 255,486 Bank United Corp. COM 065412108 $24,968,181 621,300 X 551,800 69,500 Bausch & Lomb Inc. COM 071707103 $20,310,750 265,500 X 265,500 Baxter International Inc COM 071813109 $1,203,406 19,850 X 19,850 Belco Oil & Gas Corp. COM 077410108 $2,428,125 350,000 X 350,000 Bell & Howell Company COM 077852101 $4,904,281 129,700 X 129,700 Bell Atlantic Corp. COM 077853109 $994,354 15,210 X 15,210 Bellsouth Corp. COM 079860102 $392,063 8,500 X 8,500
TITLE FAIR INVESTMENT DISCRETION VOTING AUTHORITY OF MARKET SHARE PUT/ --------------------- OTHER ------------------ NAME OF ISSUER CLASS CUSIP VALUE QUANTITY CALL SOLE SHARED OTHER MANAGERS SOLE NONE Berkshire Hathaway Inc. - CL B COM 084670207 $222,880 100 X 100 Bisys Group, Inc. COM 055472104 $24,949,700 375,200 X 303,200 72,000 BMC Software Inc. COM 055921100 $1,009,216 18,700 X 18700 Boeing Company COM 097023105 $228,624 5,196 X 5,196 Boise Cascade Corp COM 097383103 $27,683,316 645,675 X 645,675 Bowater, Inc COM 102183100 $686,938 14,500 X 14,500 BP Amoco - PLC ADR 055622104 $1,194,151 11,006 X 11,006 Brinker International Inc. COM 109641100 $10,148,000 369,000 X 301,000 68,000 Bristol-Meyers Squibb COM 110122108 $1,675,004 23,780 X 23,780 British Airways COM 110419306 $784,401 113,400 X 113400 Canadian National Railway Comp COM 136375102 $20,687,925 308,775 X 308,775 Canadian Pacific, Ltd. COM 135923100 $1,238,250 52,000 X 52,000 Canandaigua Wine Co., Inc. Cla COM 137219200 $26,434,675 504,100 X 450,300 53,800 Capital One COM 14040H105 $13,093,523 235,125 X 235,125 Cardinal Health, Inc. COM 14149Y108 $578,792 9,026 X 9,026 Careinsite Inc COM 14170M106 $1,129,275 23,900 X 23,900 Carpenter Technology COM 144285103 $9,012,897 315,550 X 315,550 Carrier Access Corp COM 144460102 $8,427,334 192,350 X 192,350 Carrier Access Corp COM 144460102 $1,322,194 30,200 X 30200 Casella Waste Systems Inc-A COM 147448104 $5,031,000 193,500 X 193,500 Catalina Marketing Corp. COM 148867104 $4,066,400 44,200 X 44,200 Catalytica Inc COM 148885106 $7,595,000 542,500 X 542,500 CEC Entertainment Inc. COM 125137109 $5,830,500 138,000 X 138,000 Celestial Seasonings COM 151016102 $4,235,500 197,000 X 197,000 Centocor, Inc. COM 152342101 $1,972,238 42,300 X 42,300 Cerus Corp COM 157085101 $3,051,400 138,700 X 138,700 Champion Enterprises COM 158496109 $30,161,325 1,619,400 X 1,383,400 236,000 Charles Schwab Corp. COM 808513105 $2,667,448 24,472 X 24,472 Chase Manhattan Corp COM 16161A108 $320,050 3,700 X 3,700 Chesapeake Corp COM 165159104 $8,469,298 226,225 X 226,225 Chevron Corp. COM 166751107 $2,081,393 21,895 X 21,895 China Telecom ADR 169428109 $484,500 8,500 X 8500 Cisco Systems COM 17275R102 $409,178 6,350 X 6,350 Cisco Systems COM 17275R102 $1,165,753 18,100 X 18100 Citigroup Inc. COM 172967101 $812,250 17,100 X 17,100 Clear Channel Communications COM 184502102 $2,369,520 34,372 X 34,372 CNF Transportation Inc COM 12612W104 $1,220,450 31,700 X 31,700 Coastal Corp COM 190441105 $603,750 15,000 X 15,000 Coca Cola Company COM 191216100 $639,840 10,320 X 10,320 Coflexip COM 192384105 $1,061,604 12,350 X 12350 Colgate-Palmolive Company COM 194162103 $226,550 2,300 X 2,300 Colt Telecom Group PLC ADR 196877104 $1,556,034 18,100 X 18100 Columbia Energy Group COM 197648108 $313,438 5,000 X 5,000 Commercial Federal Corp. COM 201647104 $22,873,534 986,450 X 873,450 113,000 Commscope Inc. COM 203372107 $20,833,125 677,500 X 553,500 124,000 Compucredit Corp COM 20478N100 $5,900,500 310,500 X 278,500 32,000 Computer Sciences Corp. COM 205363104 $8,241,961 119,125 X 119,125 Compuware Corp. COM 205638109 $1,323,400 41,600 X 41,600 Comverse Technology COM 205862402 $29,463,422 390,244 X 390,244 Conexant Systems Inc. COM 207142100 $42,804,613 737,200 X 605,200 132,000 Consolidated Products, Inc. COM 209798107 $4,302,000 239,000 X 239,000 Credicorp Ltd COM G2519Y108 $136,400 12,400 X 12400 CSG Systems Intl Inc. COM 126349109 $26,965,719 1,029,700 X 844,500 185,200 Cunningham Graphics Intl. Inc. COM 231157108 $415,625 25,000 X 25,000 Cutter & Buck Inc. COM 232217109 $1,604,813 95,100 X 95,100 Dayton Hudson COM 239753106 $312,000 4,800 X 4,800 Devry Inc COM 251893103 $747,325 33,400 X 33,400 Dial Corp COM 25247D101 $1,234,625 33,200 X 33,200 Dole Food Company COM 256605106 $1,292,500 44,000 X 44,000 Donnelley R R & Sons COM 257867101 $21,616,703 583,250 X 583,250 Doral Financial Corporation COM 25811p100 $4,847,250 281,000 X 153,000 128,000 Dow Chemical COM 260543103 $27,208,344 214,450 X 214,450 DST Systems, Inc. COM 233326107 $15,656,075 249,000 X 206,000 43,000
TITLE FAIR INVESTMENT DISCRETION VOTING AUTHORITY OF MARKET SHARE PUT/ --------------------- OTHER ------------------ NAME OF ISSUER CLASS CUSIP VALUE QUANTITY CALL SOLE SHARED OTHER MANAGERS SOLE NONE Du Pont (E.I.) De Nemours COM 263534109 $208,353 3,050 X 3,050 Duane Reade Inc. COM 263578106 $19,664,113 644,725 X 644,725 E.W. Blanch Holdings COM 093210102 $25,945,731 380,500 X 316,500 64,000 Eastman Chemical Co COM 277432100 $1,656,000 32,000 X 32,000 Echostar Communications COM 278762109 $100,026,594 651,900 X 516,400 135,500 Education Management Corporati COM 28139T101 $4,463,325 215,100 X 215,100 Elcor Corp COM 284443108 $19,126,388 437,800 X 437,800 Electronic Data System COM 285661104 $18,544,688 327,500 X 327,500 Eli Lilly & Co COM 532457108 $304,836 4,256 X 4,256 Embratel ADR 29081N100 $480,075 34,600 X 34600 Emerson Electric Company COM 291011104 $201,400 3,200 X 3,200 Emmis Broadcasting COM 291525103 $1,575,063 31,900 X 31,900 Enersis SA ADR 29274F104 $290,444 12,697 X 12697 Enron Corporation COM 293561106 $310,650 3,800 X 3,800 Equant NV (NY Reg.) COM 294409107 $1,458,938 15,500 X 15500 ESAT Telecom Group Plc ADR 26883Y102 $5,861,700 133,600 X 133,600 Estee Lauder Companies CL-A COM 518439104 $260,650 5,200 X 5,200 Ethan Allen Interiors Inc. COM 297602104 $13,239,463 350,700 X 291,300 59,400 Exxon Corp. COM 302290101 $910,075 11,800 X 11,800 Family Dollar Stores COM 307000109 $1,444,800 60,200 X 60,200 FDX Corporation COM 31304n107 $15,306,638 282,150 X 282,150 Fed. Nat'l Mtge. Assoc. COM 313586109 $363,090 5,320 X 5,320 Ferro Corp Com COM 315405100 $888,250 32,300 X 32,300 First Health Group Corp COM 320960107 $24,857,250 1,152,800 X 1,152,800 Fleet Financial Group COM 338915101 $310,625 7,000 X 7,000 Fleming Companies, Inc. COM 339130106 $17,061,722 1,467,675 X 1,467,675 Flextronics International LTD COM Y2573F102 $15,557,950 280,300 X 233,200 47,100 Fomento Economico MX ADR 344419106 $634,013 15,900 X 15900 Ford Motor Co. COM 345370100 $275,020 4,873 X 4,873 Forest Laboratories Inc COM 345838106 $1,211,750 26,200 X 26,200 Fox Entertainment Group Inc. COM 35138t107 $12,363,639 458,975 X 393,075 65,900 Gap Stores COM 364760108 $313,736 6,228 X 6,228 Gemstar Intl Group Ltd COM g3788v106 $913,500 14,000 X 14,000 General Electric COM 369604103 $5,057,767 44,759 X 44,759 General Motors COM 370442105 $14,996,850 227,225 X 227,225 Genesys Telecomn Labs Inc. COM 371931106 $6,265,000 250,600 X 250,600 Genrad, Inc. COM 372447102 $9,116,425 426,500 X 354,500 72,000 Gentex COM 371901109 $1,148,000 41,000 X 41,000 Giga Information Group Inc. COM 37517M109 $1,706,665 341,333 X 230,666 110,667 Gilat Satellite Networks Ltd COM M51474100 $12,621,000 240,400 X 186,400 54,000 Gilead Sciences COM 375558103 $30,916,075 591,700 X 481,700 110,000 Glaxo Wellcome PLC COM 37733W105 $1,064,535 38,300 X 38300 Global Telesystems Group COM 37936U104 $1,805,603 22,300 X 22300 Golden West Financial Corp COM 381317106 $25,908,750 264,375 X 264,375 Granite Construction, Inc. COM 387328107 $7,225,531 246,500 X 246,500 GTE Corp. COM 362320103 $2,778,400 36,800 X 36,800 Halliburton Co. COM 406216101 $1,253,425 27,700 X 27,700 HA-LO Industries COM 404429102 $7,677,684 777,487 X 777,487 Harcourt General Inc. COM 41163G101 $10,218,398 198,175 X 198,175 Heller Financial Inc. COM 423328103 $10,152,688 365,000 X 297,000 68,000 Hewlett Packard Co COM 428236103 $4,155,675 41,350 X 41,350 Hitachi Ltd. COM 433578507 $1,859,270 198,000 X 198000 Hollinger International COM 435569108 $12,789,750 1,077,000 X 965,000 112,000 Honeywell Inc COM 438506107 $730,013 6,300 X 6,300 Host Marriott Corp. (REIT) COM 44107p104 $7,347,656 618,750 X 618,750 Houghton Mifflin Co. COM 441560109 $1,411,875 30,000 X 30,000 Household International COM 441815107 $1,852,363 39,100 X 39,100 ICG Communications, Inc. COM 449246107 $45,482,125 2,127,800 X 1,743,100 384,700 Idec Pharmaceuticals Corp COM 449370105 $26,632,650 345,600 X 282,600 63,000
TITLE FAIR INVESTMENT DISCRETION VOTING AUTHORITY OF MARKET SHARE PUT/ --------------------- OTHER ------------------ NAME OF ISSUER CLASS CUSIP VALUE QUANTITY CALL SOLE SHARED OTHER MANAGERS SOLE NONE Illinois Tool Works COM 452308109 $735,750 9,000 X 9,000 Infinity Broadcasting Corp COM 45662s102 $221,719 7,500 X 7,500 Intel Corp. COM 458140100 $2,544,339 42,762 X 42,762 Intergraph Corp COM 458683109 $1,317,500 170,000 X 170,000 Intermedia Comm Of Florida COM 458801107 $3,378,000 112,600 X 52,100 60,500 International Business Machine COM 459200101 $506,660 3,920 X 3,920 International Paper Co. COM 460146103 $16,519,688 328,750 X 328,750 Interpublic Group Of Companies COM 460690100 $441,788 5,100 X 5,100 Intuit COM 461202103 $270,375 3,000 X 3,000 ITC Deltacom Inc. COM 45031T104 $4,726,800 168,800 X 144,400 24,400 ITT Educational Services Inc COM 45068B109 $1,120,688 43,000 X 43,000 J. Jill Group Inc. COM 466189107 $4,702,350 321,500 X 281,500 40,000 Johnson & Johnson COM 478160104 $2,928,730 29,885 X 29,885 Johnson Controls, Inc. COM 478366107 $277,250 4,000 X 4,000 Juniper Networks Inc COM 48203R104 $4,648,800 31,200 X 31,200 Kaufman And Broad Home Corp. COM 486168107 $4,437,700 178,400 X 178,400 Kimberly Clark Corp. COM 494368103 $3,311,700 58,100 X 58,100 Kmart Corp. COM 482584109 $15,306,638 927,675 X 927,675 Koninklijk COM 500472204 $1,515,937 32,267 X 32267 Korea Telecom Corp COM 50063P103 $2,096,657 31,600 X 31600 Kronos, Inc. COM 501052104 $8,142,225 178,950 X 178,950 Kulicke & Soffa Industries COM 501242101 $9,051,956 337,600 X 275,800 61,800 L-3 Communications COM 502424104 $9,914,163 205,200 X 148,600 56,600 Lamar Advertising Co COM 512815101 $466,688 11,400 X 11,400 Legend Airlines, Inc - Series COM 512815101 $4,000,000 500,000 X 500,000 Leucadia National Corp. COM 527288104 $1,040,375 41,000 X 41,000 Level 3 Communications Inc COM 52729N100 $396,413 6,600 X 6,600 Linens 'N Things Inc COM 535679104 $19,548,000 446,800 X 390,800 56,000 Lockheed Martin Corporation COM 539830109 $12,374,450 332,200 X 332,200 Loews Corp. COM 540424108 $10,986,506 138,850 X 138,850 Lucent Technologies Inc COM 549463107 $845,666 12,540 X 12540 Lucent Technologies Inc. COM 549463107 $458,575 6,800 X 6,800 Macromedia Inc. COM 556100105 $3,327,600 94,400 X 94,400 Manitowoc COM 563571108 $22,657,216 544,318 X 544,318 Marsh & McLennan Cos. COM 571748102 $1,120,175 14,800 X 14,800 Masco Corp. COM 574599106 $2,613,188 90,500 X 90,500 Matsushita Electric Industrial ADR 576879209 $13,847,170 69,825 X 69,825 Maximus Inc. COM 577933104 $3,786,375 131,700 X 131,700 May Department Stores Company COM 577778103 $797,063 19,500 X 19,500 Maytag Corp. COM 578592107 $202,456 2,900 X 2,900 McDonalds Corp COM 580135101 $205,625 5,000 X 5,000 McGraw-Hill, Inc. COM 580645109 $970,875 18,000 X 18,000 MCI Worldcom, Inc. COM 55268B106 $2,185,471 25,394 X 25,394 MCI-Worldcom, Inc. COM 55268B106 $2,081,956 24,200 X 24200 Mcleod USA, Inc. COM 582266102 $26,471,500 481,300 X 397,300 84,000 Mead Corp COM 582834107 $8,249,800 197,600 X 197,600 Meade Instruments Com COM 583062104 $3,173,500 184,000 X 100,000 84,000 Medimmune, Inc. COM 584699102 $21,598,950 318,800 X 260,800 58,000 Medquist Inc COM 584949101 $2,712,500 62,000 X 44,000 18,000 Mentor Corp COM 587188103 $9,123,638 489,900 X 429,900 60,000 Merck & Company COM 589331107 $3,169,556 43,050 X 43,050 Mercury Interactive COM 589405109 $976,350 27,600 X 27,600 Metro Networks, Inc. COM 591918107 $10,952,550 205,200 X 205,200 Metzler Group Inc COM 592903108 $942,013 34,100 X 34,100 MGIC Investment Corp. COM 552848103 $1,298,288 26,700 X 26,700 Micros Systems Inc. COM 594901100 $13,396,000 394,000 X 394,000 Microsoft Corp. COM 594918104 $1,016,954 11,276 X 11,276 MKS Instruments, Inc. COM 55306N104 $9,157,575 491,700 X 404,200 87,500 Mobil Corp. COM 607059102 $844,313 8,550 X 8,550 Moog, Inc. COM 615394202 $10,154,375 295,400 X 295,400
TITLE FAIR INVESTMENT DISCRETION VOTING AUTHORITY OF MARKET SHARE PUT/ --------------------- OTHER ------------------ NAME OF ISSUER CLASS CUSIP VALUE QUANTITY CALL SOLE SHARED OTHER MANAGERS SOLE NONE Morgan St Dean Witter & Co COM 617446448 $205,250 2,000 X 2,000 Motorola COM 620076109 $12,540,163 132,350 X 132,350 Nalco Chem Co Com COM 629853102 $14,889,422 287,025 X 287,025 National City Corp COM 635405103 $1,159,350 17,700 X 17,700 National Data Corp. COM 635621105 $21,426,050 501,200 X 409,200 92,000 NCR Corporation COM 62886e108 $1,464,375 30,000 X 30,000 New Era of Networks, Inc. COM 644312100 $263,438 6,000 X 6000 Newbridge Networks Corp. COM 650901101 $11,401,531 396,575 X 396,575 Newell Rubbermaid Inc COM 651229106 $791,436 17,066 X 17,066 News Corp Ltd - Spons ADR 652487802 $8,969,273 284,175 X 284,175 Nissan Motor Co. COM 654744408 $735,865 363,000 X 363000 Nokia Corporation A PRF 654902204 $1,212,937 13,820 X 13820 Nordstrom Inc COM 655664100 $18,718,125 558,750 X 558,750 Nortel Netwporks Corporation COM 656569100 $243,075 2,800 X 2,800 Nova Corporation COM 669784100 $14,738,000 589,500 X 484,300 105,200 Novoste Corporation COM 67010C100 $2,423,400 115,400 X 75,400 40,000 On Assignment Inc. COM 682159108 $10,269,738 393,100 X 393,100 Optical Coating Laboratory COM 683829105 $1,120,575 13,400 X 13,400 Optimal Robotics Corp. COM 68388R208 $4,758,325 478,800 X 278,800 200,000 Orange PLC COM 685211104 $1,769,311 120,800 X 120800 Outdoor Systems, Inc. COM 690057104 $1,259,250 34,500 X 34,500 Oxford Health Plans COM 691471106 $4,054,031 260,500 X 260,500 Paccar Inc Com COM 693718108 $15,418,703 288,875 X 288,875 Pantry Inc COM 698657103 $3,548,000 220,000 X 220,000 PE Corp-PE Biosystems Group COM 69332S102 $803,250 7,000 X 7,000 Pegasus Communications Corp. COM 705904100 $3,881,438 98,400 X 81,300 17,100 Pepsico, Inc. COM 713448108 $355,925 9,200 X 9,200 Petroleum Geo-Services ADR 716597109 $8,352,113 561,500 X 459,500 102,000 Pfizer Inc. COM 717081103 $554,810 5,090 X 5,090 Pharmacia & Upjohn, Inc. COM 716941109 $965,813 17,000 X 17,000 Philippine Long Dist Telephone ADR 718252604 $514,535 17,080 X 17080 Pinnacle Holdings Inc COM 72346N101 $1,173,550 47,900 X 47,900 Pinnacle Systems, Inc. COM 723481107 $269,000 8,000 X 8,000 Pitney-Bowes, Inc. COM 724479100 $2,810,938 43,750 X 43,750 Playtex Prods Inc Com COM 72813P100 $9,038,700 580,800 X 580,800 Plexus Corp. COM 729132100 $7,721,038 256,300 X 256,300 Pohang Iron & Steel ADS 730450103 $242,100 7,200 X 7200 Ppg Industries Inc. COM 693506107 $236,250 4,000 X 4,000 Pri Automation Inc. COM 69357H106 $9,014,875 248,700 X 202,700 46,000 Procter & Gamble Co COM 742718109 $884,289 9,908 X 9,908 Project Software & Developemnt COM 74339P101 $422,450 13,600 X 13600 R & B Falcon Corporation COM 74912e101 $4,487,578 478,675 X 478,675 Radian Group Inc COM 750236101 $26,420,913 541,284 X 459,284 82,000 Radio One Inc. COM 75040P108 $558,000 12,000 X 12,000 Rational Software COM 75409P202 $1,307,619 39,700 X 39,700 Raychem Corporation COM 754603108 $30,329,825 819,725 X 819,725 Reader's Digest Assn. Class A COM 755267101 $767,175 19,300 X 19,300 Regis Corp. COM 758932107 $5,292,872 275,850 X 275,850 Rent-A-Center Inc. COM 76009N100 $24,974,000 1,040,600 X 840,200 200,400 Rent-Way Inc COM 76009U104 $7,978,550 324,000 X 260,000 64,000 Republic New York Corp COM 760719104 $7,827,925 114,800 X 114,800 Republic Services Inc - CL A COM 760759100 $29,696,288 1,199,850 X 1,086,150 113,700 RF Micro Devices Inc. COM 749941100 $13,007,350 174,300 X 141,300 33,000 Rio Tinto PLC ADR 767204100 $15,526,344 230,875 X 230,875 Rohm & Haas Co. COM 775371107 $1,715,000 40,000 X 40,000 Safeway Inc COM 786514208 $306,900 6,200 X 6,200 Sanmina Corp. COM 800907107 $5,167,088 68,100 X 68,100 SBC Communications Inc COM 78387G103 $336,400 5,800 X 5,800 Schering Plough Corp Com COM 806605101 $771,750 14,700 X 14,700 Schlumberger COM 806857108 $17,609,148 276,493 X 276,493
TITLE FAIR INVESTMENT DISCRETION VOTING AUTHORITY OF MARKET SHARE PUT/ --------------------- OTHER ------------------ NAME OF ISSUER CLASS CUSIP VALUE QUANTITY CALL SOLE SHARED OTHER MANAGERS SOLE NONE Seagate Tech COM 811804103 $758,500 29,600 X 29600 Seagate Technologies, Inc. COM 811804103 $1,563,125 61,000 X 61,000 Sealed Air Corp COM 81211K100 $1,693,238 26,100 X 26,100 Seminis Inc - CL A COM 816658108 $10,280,156 682,500 X 682,500 Sepracor Inc COM 817315104 $365,625 4,500 X 4,500 SFX Entertainment Inc. COM 784178105 $32,832,000 513,000 X 423,000 90,000 Siebel Systems, Inc. COM 826170102 $1,551,713 23,400 X 23,400 SkyTel Communications Inc. COM 83087q104 $8,491,813 405,600 X 311,600 94,000 Smithfield Foods COM 832248108 $56,074,938 1,677,000 X 1,373,000 304,000 Snyder Communications Inc. COM 832914105 $21,292,094 650,125 X 614,125 36,000 Solectron Corp COM 834182107 $4,531,416 67,950 X 67,950 Sony Corp COM 835699307 $1,295,607 12,000 X 12000 Sony Corp. ADR 835699307 $9,812,338 88,900 X 88,900 Sprint Corp (PCS Group) COM 852061506 $1,987,950 34,800 X 34800 Sprint Corp. (PCS Group) COM 852061506 $444,600 7,800 X 7,800 Stancorp Financial Group COM 852891100 $32,307,000 1,076,900 X 1,004,900 72,000 Steris Corporation COM 859152100 $10,574,625 545,800 X 441,800 104,000 Stet Hellas Telecom ADR 859823106 $720,475 32,200 X 32200 Suiza Foods Corp COM 865077101 $3,768,750 90,000 X 90,000 Summit Bancorp COM 866005101 $204,881 4,900 X 4,900 Supersol Limited COM 868511205 $323,276 110,000 X 110000 Swift Transportation Co Inc. COM 870756103 $9,709,051 441,321 X 441,321 Synopsys COM 871607107 $4,464,669 80,900 X 80,900 Sysco Corp. COM 871829107 $1,833,469 61,500 X 61,500 Taiwan Semiconductor ADR 874039100 $2,434,188 72,500 X 72500 Talbots COM 874161102 $5,143,063 134,900 X 134,900 Tandy Corp COM 875382103 $3,724,275 76,200 X 76,200 TCI Music Inc - CL A COM 87229N101 $11,788,750 223,000 X 184,500 38,500 Telefonica de Argentina ADR 879378206 $530,238 16,900 X 16900 Telefonica SA COM 879382208 $1,383,875 28,693 X 28693 Telefonos de Mexico ADR 879403780 $4,056,788 50,200 X 50200 Telemig Celular SA Pref C PRF 87944E105 $45,347 5,094,740 X 5094740 Telesp Celular SA Pref B PRF 87952L108 $499,231 9,981,801 X 9981801 Teradyne COM 880770102 $947,100 13,200 X 13,200 Tetra Tech Inc COM 88162G103 $3,904,725 236,650 X 236,650 Texaco Inc. COM 881694103 $642,463 10,300 X 10,300 Texas Instruments Inc. COM 882508104 $216,000 1,500 X 1,500 Texas Utilities Co. COM 882848104 $207,188 5,000 X 5,000 The Men's Wearhouse Inc. COM 587118100 $3,861,975 151,450 X 151,450 Time Warner, Inc. COM 887315109 $355,863 4,900 X 4,900 TJX Companies COM 872540109 $9,889,648 296,875 X 296,875 TMP Worldwide Inc. COM 872941109 $1,606,550 25,300 X 25,300 Tower Automotive Inc COM 891707101 $903,031 35,500 X 35,500 Trans World Entertainment COM 89336Q100 $2,302,500 204,700 X 164,400 40,300 Trigon Healthcare Inc Com COM 89618L100 $22,181,350 609,800 X 491,800 118,000 Tyco International Ltd COM 902124106 $12,438,306 131,275 X 131,275 U.S. Bancorp COM 902973106 $363,788 10,900 X 10,900 Unigraphics Solutions, Inc. COM 904928108 $978,250 52,000 X 52,000 Unilever N V NYS 904784709 $6,495,557 93,127 X 93,127 Union Pacific Corp. COM 907818108 $22,689,394 389,100 X 389,100 Union Pacific Resources Group, COM 907834105 $25,266,023 1,548,875 X 1,548,875 Union Planters Corp. COM 908068109 $205,563 4,600 X 4,600 Unionbancal Corporation COM 908906100 $8,291,063 229,500 X 181,500 48,000 Unisys Corp COM 909214108 $1,265,469 32,500 X 32,500 United Pan-European Commun. COM 911300200 $939,600 17,300 X 17300 USA Networks, Inc. COM 902984103 $60,014,963 1,495,700 X 1,165,500 330,200 V F Corp COM 918204108 $598,500 14,000 X 14,000 Varco International COM 922126107 $3,135,625 290,000 X 290,000 Veba AG COM 92239H102 $1,626,762 27,640 X 27640 Viatel Inc. COM 925529208 $38,339,138 683,100 X 557,100 126,000
TITLE FAIR INVESTMENT DISCRETION VOTING AUTHORITY OF MARKET SHARE PUT/ --------------------- OTHER ------------------ NAME OF ISSUER CLASS CUSIP VALUE QUANTITY CALL SOLE SHARED OTHER MANAGERS SOLE NONE Vitesse Semiconductor Corporat COM 928497106 $789,019 11,700 X 11,700 Wachovia Corp COM 929771103 $470,594 5,500 X 5,500 Waddell & Reed Financial-A COM 930059100 $6,300,788 228,600 X 228,600 Walgreen Co Com COM 931422109 $235,000 8,000 X 8,000 Wal-Mart Stores Inc. COM 931142103 $335,820 6,960 X 6,960 Walt Disney Company COM 254687106 $674,609 21,894 X 21,894 Waste Management COM 94106l109 $2,427,458 45,162 X 45,162 Westvaco Corp COM 961548104 $290,000 10,000 X 10,000 Weyerhaeuser Co. COM 962166104 $13,310,000 193,600 X 193,600 Whirlpool Corp. COM 963320106 $19,643,300 265,450 X 265,450 Whole Food Markets COM 966837106 $13,235,600 275,400 X 227,400 48,000 Willamete Industries COM 969133107 $7,604,919 165,100 X 165,100 Williams Cos. Inc. COM 969457100 $285,169 6,700 X 6,700 Winstar Communications Inc. COM 975515107 $39,672,750 813,800 X 659,800 154,000 Xerox Corp. COM 984121103 $708,750 12,000 X 12,000 Y.P.F. Sociedad Anonima ADS 984245100 $923,400 24,300 X 24300 Yahoo! Inc. COM 984332106 $430,625 2,500 X 2,500 Zale Corp COM 988858106 $2,176,000 54,400 X 54,400 GRAND TOTAL $2,768,209,257
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