-----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, J0TkCNasQJf1G6UADpEoiUcBm/MDfUriLAIRncukoDqwEASP+YkLuGPub3Kaf73N calWn/Mn5zww8oBukFT/zA== 0000908195-02-000012.txt : 20020503 0000908195-02-000012.hdr.sgml : 20020503 ACCESSION NUMBER: 0000908195-02-000012 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020331 FILED AS OF DATE: 20020503 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SHUFRO ROSE & CO LLC CENTRAL INDEX KEY: 0000908195 IRS NUMBER: 135390713 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-04541 FILM NUMBER: 02633579 BUSINESS ADDRESS: STREET 1: 745 FIFTH AVENUE STREET 2: 26TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10151-2600 BUSINESS PHONE: 2127545100 MAIL ADDRESS: STREET 1: 745 FIFTH AVENUE STREET 2: 26TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10151-2600 FORMER COMPANY: FORMER CONFORMED NAME: SHUFRO ROSE EHRMAN DATE OF NAME CHANGE: 19930624 13F-HR 1 shufrorose03312002.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: March 31, 2002 Check here if Amendment (); Amendment Number: This Amendment (Check only one): ( ) is a restatement. (X) adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Shufro Rose & Co, LLC Address: 745 Fifth Avenue 26th Floor New York, NY 10151 13F File Number:28-792 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: Steven J. Glass Title: Managing Director Phone: 212-754-5100 Signature, Place, and Date of Signing: Steven J. Glass New York, NY May 3, 2002 Report Type (Check only one): (X) 13F HOLDINGS REPORT ( ) 13F NOTICE ( ) 13F COMBINATION REPORT I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934. FORM 13F SUMMARY PAGE AS OF DATE: 03/31/02 RUN DATE: 5/03/02 11:17 A.M. REPORT SUMMARY: NUMBER OF OTHER INCLUDED MANAGERS: 0 FORM 13F INFORMATION TABLE ENTRY TOTAL: 245 FORM 13F INFORMATION TABLE VALUE TOTAL: $669,836,780.33 LIST OF OTHER INCLUDED MANAGERS: NO. 13F FILE NUMBER NAME Shufro, Rose & CO LLC Page: 1 Form 13F Information Table As of Date: 3/31/2002 - - Voting Authority - Title Name of Issuer of Class - CUSIP - Value Shares/ SH/ Put/ Invstmt/ Shared None (X $1000) Prn Amt Prn Call Dscretn - Managers - Sole RICHARDSON EL 8.25% 6-15-06 CONV BND 763165AC1 451,656 485,000 PRN SOLE 485,000 CHARMING SHOP CV 7.50% 7-15-06 CONV BND 161133AA1 865,406 765,000 PRN SOLE 765,000 STANDARD COML CV 7.25% 3-31-07 CONV BND 853258AA9 2,627,000 2,840,000 PRN SOLE 2,840,000 ABBOTT LABORATORIES COM 002824100 11,493,363 218,505 SH SOLE 218,505 ADAPTEC COM 00651F108 1,945,001 145,475 SH SOLE 145,475 AGILENT TECHNOLOGIES COM 00846U101 1,479,839 42,330 SH SOLE 42,330 AGRIUM INC COM 008916108 9,703,543 922,390 SH SOLE 922,390 ALEXANDER & BALDWIN COM 014482103 3,418,118 123,800 SH SOLE 123,800 ALLEGHANY CORP COM 017175100 5,233,688 27,913 SH SOLE 27,913 AMERICAN EXPRESS COM 025816109 2,535,219 61,895 SH SOLE 61,895 AMERICAN POWER CONVERSION COM 029066107 229,090 15,500 SH SOLE 15,500 AOL TIME WARNER COM 00184A105 2,274,515 96,174 SH SOLE 96,174 APARTMENT INVESTMENT & MGMT COM 03748R101 440,167 9,100 SH SOLE 9,100 APPLIED MATERIALS COM 038222105 5,290,131 97,478 SH SOLE 97,478 APRIA HEALTH GROUP COM 037933108 345,836 14,110 SH SOLE 14,110 ASCENTIAL SOFTWARE COM 04362P108 270,655 70,300 SH SOLE 70,300 ASYST TECHNOLOGIES COM 04648X107 915,460 50,300 SH SOLE 50,300 AT & T CORP COM 001957109 731,460 46,590 SH SOLE 46,590 AT&T WIRELESS SERVICES COM 00209A106 176,608 19,733 SH SOLE 19,733 ATMI COM 00207R101 1,695,155 53,900 SH SOLE 53,900 AUDIOVOX CL A COM 050757103 545,680 76,000 SH SOLE 76,000 AUTODESK COM 052769106 322,161 6,900 SH SOLE 6,900 AVAYA COM 053499109 103,549 14,031 SH SOLE 14,031 AVNET COM 053807103 337,276 12,464 SH SOLE 12,464 BALDWIN TECHNOLOGY COM 058264102 1,116,150 744,100 SH SOLE 744,100 BELLSOUTH COM 079860102 873,066 23,686 SH SOLE 23,686 BERKSHIRE HATHAWAY A SHARES COM 084670108 1,990,800 28 SH SOLE 28 BERKSHIRE BANCORP COM 084597103 226,949 8,202 SH SOLE 8,202 BERKSHIRE HATHAWAY B SHARES COM 084670207 5,870,382 2,478 SH SOLE 2,478 BIG LOTS COM 089302103 8,749,216 622,720 SH SOLE 622,720 BLOCKBUSTER INC COM 093679108 1,200,491 51,150 SH SOLE 51,150 BOEING CO COM 097023105 212,300 4,400 SH SOLE 4,400 BOLT TECHNOLOGY COM 097698104 78,200 17,000 SH SOLE 17,000 BOMBAY STORES COM 097924104 4,254,763 1,432,580 SH SOLE 1,432,580 BON-TON STORES COM 09776J101 98,880 24,000 SH SOLE 24,000 BORLAND SOFTWARE COM 099849101 2,589,393 199,031 SH SOLE 199,031 BOSTON ACOUSTICS COM 100534106 151,008 14,300 SH SOLE 14,300 BP PLC COM 055622104 2,219,527 41,799 SH SOLE 41,799 BRIGHTPOINT INC COM 109473108 282,282 310,200 SH SOLE 310,200 BRISTOL-MYERS SQUIBB COM 110122108 12,918,942 319,065 SH SOLE 319,065 BROOKTROUT INC COM 114580103 147,840 24,000 SH SOLE 24,000 BURLINGTON RESOURCES COM 122014103 2,017,930 50,335 SH SOLE 50,335 CANADIAN NATURAL RESOURCES LTD COM 136385101 4,600,104 139,651 SH SOLE 139,651 CAPTARIS COM 14071N104 260,192 75,200 SH SOLE 75,200 CARNIVAL CRUISE LINES COM 143658102 1,602,952 49,095 SH SOLE 49,095 CELERITEK INC COM 150926103 2,723,578 264,425 SH SOLE 264,425 CELLSTAR CORP COM 150925204 48,525 14,660 SH SOLE 14,660 CH ENERGY GROUP COM 12541M102 5,813,384 122,516 SH SOLE 122,516 CHARMING SHOPPES COM 161133103 2,663,496 336,300 SH SOLE 336,300 CHEVRONTEXACO COM 166764100 2,478,634 27,458 SH SOLE 27,458 CIRRUS LOGIC COM 172755100 471,750 25,000 SH SOLE 25,000 Shufro, Rose & CO LLC Page: 2 Form 13F Information Table As of Date: 3/31/2002 - - Voting Authority - Title Name of Issuer of Class - CUSIP - Value Shares/ SH/ Put/ Invstmt/ Shared None (X $1000) Prn Amt Prn Call Dscretn - Managers - Sole CITIGROUP COM 172967101 2,099,797 42,403 SH SOLE 42,403 COCA-COLA COM 191216100 470,863 9,010 SH SOLE 9,010 COHU INC COM 192576106 284,900 10,000 SH SOLE 10,000 COMCAST CLASS A SPECIAL COM 200300200 419,760 13,200 SH SOLE 13,200 COMSHARE COM 205912108 121,727 46,800 SH SOLE 46,800 CONCORD CAMERA COM 206156101 810,900 90,000 SH SOLE 90,000 CONSECO INC COM 208464107 61,540 17,000 SH SOLE 17,000 CONSOL ENERGY COM 20854P109 262,500 10,000 SH SOLE 10,000 CONSOLIDATED EDISON COM 209115104 319,689 7,628 SH SOLE 7,628 CONSOLIDATED TOMOKA LAND COM 210226106 5,669,550 263,700 SH SOLE 263,700 CONSUMERS FINANCIAL CORP COM 210520102 1,505 21,500 SH SOLE 21,500 COOLBRANDS INTL SUB VTG SHS COM 21639P208 241,412 68,700 SH SOLE 68,700 CORNING COM 219350105 3,523,031 462,340 SH SOLE 462,340 COVANSYS CORP COM 22281W103 262,500 35,000 SH SOLE 35,000 CPAC COM 126145101 145,935 23,500 SH SOLE 23,500 CRAFTMADE INTERNATIONAL COM 22413E104 3,310,824 203,743 SH SOLE 203,743 CREDENCE SYSTEMS COM 225302108 5,306,854 241,660 SH SOLE 241,660 DAVOX COM 239208101 3,464,680 433,085 SH SOLE 433,085 DEPARTMENT 56 COM 249509100 3,299,730 235,695 SH SOLE 235,695 DIGI INTERNATIONAL COM 253798102 717,220 131,600 SH SOLE 131,600 DIODES INC COM 254543101 80,950 10,000 SH SOLE 10,000 DISNEY WALT COM 254687106 12,106,083 524,527 SH SOLE 524,527 DMC STRATEX NETWORKS COM 23322L106 114,240 21,000 SH SOLE 21,000 DONNELLY CORP CLASS A COM 257870105 8,010,135 452,550 SH SOLE 452,550 DUKE ENERGY COM 264399106 207,900 5,500 SH SOLE 5,500 DUPONT COM 263534109 32,543,873 690,220 SH SOLE 690,220 ELECTRONIC CLEARING HOUSE NEW COM 285562500 21,781 10,625 SH SOLE 10,625 EL PASO ELECTRIC COM 283677854 9,157,128 585,120 SH SOLE 585,120 EMERSON ELECTRIC COM 291011104 259,403 4,520 SH SOLE 4,520 ESS TECHNOLOGY COM 269151106 1,007,964 48,600 SH SOLE 48,600 ETHAN ALLEN INTERIORS COM 297602104 9,285,156 243,961 SH SOLE 243,961 EXXON MOBIL COM 30231G102 40,264,912 918,661 SH SOLE 918,661 FIRST DATA COM 319963104 954,079 10,935 SH SOLE 10,935 FIRST NATIONAL BANK ALASKA COM 32112J106 1,849,375 1,345 SH SOLE 1,345 FIRST TENNESSEE NATIONAL COM 337162101 280,400 8,000 SH SOLE 8,000 FLEETBOSTON FINANCIAL COM 339030108 775,740 22,164 SH SOLE 22,164 FORD MOTOR CO COM 345370860 379,039 22,986 SH SOLE 22,986 FRANKLIN CE LTD COM 125151100 261,090 96,700 SH SOLE 96,700 FRESH BRANDS COM 35803U108 263,500 15,500 SH SOLE 15,500 GANNETT CO COM 364730101 10,480,644 137,722 SH SOLE 137,722 GAP INC COM 364760108 11,875,509 789,595 SH SOLE 789,595 GENERAL ELECTRIC COM 369604103 63,812,253 1,703,932 SH SOLE 1,703,932 GENERAL MOTORS COM 370442105 5,460,449 90,330 SH SOLE 90,330 GERMANY FUND COM 374143105 1,575,103 200,650 SH SOLE 200,650 GLATFELTER COM 377316104 2,450,837 136,613 SH SOLE 136,613 GLENAYRE TECHNOLOGIES COM 377899109 744,480 376,000 SH SOLE 376,000 GLOBAL INDUSTRIES COM 379336100 185,667 19,900 SH SOLE 19,900 GOODYEAR TIRE & RUBBER COM 382550101 333,995 13,062 SH SOLE 13,062 GOODYS FAMILY CLOTHING COM 382588101 1,593,550 203,000 SH SOLE 203,000 GREAT LAKES CHEMICAL COM 390568103 5,776,681 205,065 SH SOLE 205,065 GSI LUMONICS COM 36229U102 1,225,130 121,300 SH SOLE 121,300 Shufro, Rose & CO LLC Page: 3 Form 13F Information Table As of Date: 3/31/2002 - - Voting Authority - Title Name of Issuer of Class - CUSIP - Value Shares/ SH/ Put/ Invstmt/ Shared None (X $1000) Prn Amt Prn Call Dscretn - Managers - Sole GTSI CORP COM 36238K103 308,014 34,415 SH SOLE 34,415 GUIDANT COM 401698105 5,603,225 129,345 SH SOLE 129,345 H & Q LIFE SCIENCES COM 404053100 301,146 15,396 SH SOLE 15,396 HANSON INDUSTRIES ADR COM 411352404 6,335,343 165,198 SH SOLE 165,198 HEWLETT PACKARD COM 428236103 5,888,034 328,207 SH SOLE 328,207 HOLLINGER COM 435569108 907,015 69,185 SH SOLE 69,185 HOME DEPOT COM 437076102 6,144,547 126,405 SH SOLE 126,405 HONEYWELL INTL COM 438516106 225,334 5,888 SH SOLE 5,888 HORIZON OFFSHORE COM 44043J105 572,424 48,800 SH SOLE 48,800 HUDSON UNITED BANCORP COM 444165104 1,677,978 52,750 SH SOLE 52,750 HUNTCO INC COM 445660001 419 41,900 SH SOLE 41,900 IGEN INTERNATIONAL COM 449536101 678,052 17,900 SH SOLE 17,900 INPUT/OUTPUT COM 457652105 1,386,385 152,350 SH SOLE 152,350 INTEGRALVISION COM 45811H106 9,800 17,500 SH SOLE 17,500 INTEGRATED DEVICE TECHNOLOGY COM 458118106 1,285,225 38,665 SH SOLE 38,665 INTEL COM 458140100 862,580 28,365 SH SOLE 28,365 INTL BUSINESS MACHINES COM 459200101 7,506,408 72,177 SH SOLE 72,177 INTERNATIONAL PAPER COM 460146103 890,135 20,696 SH SOLE 20,696 IOMEGA CORP COM 462030305 96,184 10,856 SH SOLE 10,856 JACO ELECTRONICS COM 469783104 82,550 13,000 SH SOLE 13,000 JAPAN SMALLER CAP FUND COM 47109U104 291,078 47,100 SH SOLE 47,100 JO-ANN STORES COM 47758P109 1,129,800 70,000 SH SOLE 70,000 JOHNSON & JOHNSON COM 478160104 1,342,387 20,668 SH SOLE 20,668 KIMBERLY-CLARK COM 494368103 3,671,150 56,785 SH SOLE 56,785 KIRBY CORP COM 497266106 5,029,180 168,200 SH SOLE 168,200 KREISLER MANUFACTURING CORP COM 500773106 107,686 11,769 SH SOLE 11,769 KULICKE & SOFFA INDUSTRIES COM 501242101 1,301,666 62,550 SH SOLE 62,550 LABOR READY COM 505401208 366,600 47,000 SH SOLE 47,000 LADENBURG THALMANN FINL SVCS COM 50575Q102 39,207 66,452 SH SOLE 66,452 LAZARE KAPLAN INTL COM 521078105 2,169,420 328,700 SH SOLE 328,700 LCC INTERNATIONAL COM 501810105 140,070 29,000 SH SOLE 29,000 LENNOX INTERNATIONAL COM 526107107 221,038 16,720 SH SOLE 16,720 LIBERTY MEDIA SER A NEW COM 530718105 257,654 20,384 SH SOLE 20,384 LINCOLN NATIONAL CONV FUND COM 534183108 170,775 11,500 SH SOLE 11,500 LINENS N THINGS COM 535679104 3,680,544 120,555 SH SOLE 120,555 LOUISIANA PACIFIC COM 546347105 122,866 11,440 SH SOLE 11,440 LUCENT TECHNOLOGIES COM 549463107 729,636 154,257 SH SOLE 154,257 M & T BANK COM 55261F104 10,821,740 134,649 SH SOLE 134,649 MACDERMID COM 554273102 7,673,272 354,260 SH SOLE 354,260 MATTEL INC COM 577081102 427,324 20,505 SH SOLE 20,505 MATTSON TECHNOLOGY COM 577223100 2,409,400 344,200 SH SOLE 344,200 MAY DEPARTMENT STORES COM 577778103 209,100 6,000 SH SOLE 6,000 MCDERMOTT INTERNATIONAL COM 580037109 155,500 10,000 SH SOLE 10,000 MELLON FINANCIAL COM 58551A108 2,089,996 54,159 SH SOLE 54,159 MERCK & CO COM 589331107 9,362,681 162,603 SH SOLE 162,603 MERIDIAN RESOURCE CORP COM 58977Q109 154,350 31,500 SH SOLE 31,500 MERRILL LYNCH COM 590188108 8,611,147 155,492 SH SOLE 155,492 MFRI INC COM 552721102 720,036 236,000 SH SOLE 236,000 MICROSOFT COM 594918104 1,091,189 18,093 SH SOLE 18,093 MILBROOK PRESS COM 600179105 585,000 234,000 SH SOLE 234,000 MINNESOTA MINING & MFG COM 604059105 1,692,487 14,716 SH SOLE 14,716 Shufro, Rose & CO LLC Page: 4 Form 13F Information Table As of Date: 3/31/2002 - - Voting Authority - Title Name of Issuer of Class - CUSIP - Value Shares/ SH/ Put/ Invstmt/ Shared None (X $1000) Prn Amt Prn Call Dscretn - Managers - Sole MONMOUTH REAL ESTATE INVT CORP COM 609720107 183,910 26,500 SH SOLE 26,500 MORGAN CHASE J P & CO COM 46625H100 16,874,999 473,352 SH SOLE 473,352 MOTOROLA COM 620076109 482,999 34,014 SH SOLE 34,014 MOVADO GROUP COM 624580106 4,172,915 190,110 SH SOLE 190,110 MUNICIPAL PARTNERS FUND COM 62622C101 265,020 21,000 SH SOLE 21,000 NAM TAI ELECTRONICS COM 629865205 207,350 11,000 SH SOLE 11,000 NASDAQ 100 SHARES COM 631100104 261,507 7,252 SH SOLE 7,252 NEOMAGIC CORP COM 640497103 877,788 263,600 SH SOLE 263,600 NETWORK EQUIPMENT TECHNOLOGIES COM 641208103 3,600,829 699,190 SH SOLE 699,190 NEW GERMANY FUND COM 644465106 2,720,092 459,475 SH SOLE 459,475 NEW PLAN EXCEL REALTY TRUST COM 648053106 338,845 16,900 SH SOLE 16,900 NOVELL COM 670006105 177,477 45,624 SH SOLE 45,624 OAK TECHNOLOGY COM 671802106 4,630,879 311,215 SH SOLE 311,215 OCE NV ADR COM 674627203 188,000 16,000 SH SOLE 16,000 OFFICEMAX INC COM 67622M108 2,613,672 468,400 SH SOLE 468,400 ORTHOLOGIC CORP COM 68750J107 160,704 28,800 SH SOLE 28,800 PALM COM 696642107 3,774,145 945,901 SH SOLE 945,901 PAREXEL INTERNATIONAL COM 699462107 510,152 31,805 SH SOLE 31,805 PCTEL COM 69325Q105 1,119,267 129,395 SH SOLE 129,395 PEABODY ENERGY COM 704549104 3,119,363 107,750 SH SOLE 107,750 PEPSICO INC COM 713448108 2,311,063 44,875 SH SOLE 44,875 PERKINELMER COM 714046109 3,863,078 208,815 SH SOLE 208,815 PETSMART COM 716768106 834,008 61,505 SH SOLE 61,505 PFIZER INC COM 717081103 8,822,479 222,005 SH SOLE 222,005 PHARMACIA COM 71713U102 325,793 7,227 SH SOLE 7,227 PIONEER STANDARD ELECTRONICS COM 723877106 1,157,470 81,800 SH SOLE 81,800 PITNEY BOWES COM 724479100 8,221,666 192,095 SH SOLE 192,095 PREVIO COM 74138B105 37,000 20,000 SH SOLE 20,000 PROCTER & GAMBLE COM 742718109 307,657 3,415 SH SOLE 3,415 PROGRESS FINANCIAL COM 743266108 102,810 11,500 SH SOLE 11,500 RADISYS CORP COM 750459109 720,400 40,000 SH SOLE 40,000 REGAL BELOIT COM 758750103 3,962,805 155,100 SH SOLE 155,100 RELIANT ENERGY COM 75952J108 241,910 9,380 SH SOLE 9,380 REPUBLIC FIRST BANCORP COM 760416107 113,925 17,500 SH SOLE 17,500 ROBOTIC VISION SYSTEMS COM 771074101 117,733 97,300 SH SOLE 97,300 ROYAL DUTCH PETROLEUM COM 780257804 478,668 8,812 SH SOLE 8,812 ROYCE VALUE TRUST COM 780910105 4,091,505 227,939 SH SOLE 227,939 SAFEWAY COM 786514208 531,011 11,795 SH SOLE 11,795 SANDISK CORP COM 80004C101 217,000 10,000 SH SOLE 10,000 SARA LEE COM 803111103 758,031 36,514 SH SOLE 36,514 SBC COMMUNICATIONS COM 78387G103 2,343,295 62,588 SH SOLE 62,588 SCHERING-PLOUGH COM 806605101 270,776 8,651 SH SOLE 8,651 SCHLUMBERGER LTD COM 806857108 761,131 12,940 SH SOLE 12,940 SCHNITZER STEEL INDUSTRIES COM 806882106 1,099,900 64,700 SH SOLE 64,700 SCHULMAN A COM 808194104 2,607,240 142,550 SH SOLE 142,550 SCIENCE DYNAMICS CORP COM 808631105 3,140 44,850 SH SOLE 44,850 SCIENTIFIC GAMES CL A COM 80874P109 2,386,371 285,110 SH SOLE 285,110 SCM MICROSYSTEMS COM 784018103 479,290 41,000 SH SOLE 41,000 SCUDDER MULTI-MARKET INCOME TR COM 81118Q101 142,968 16,800 SH SOLE 16,800 SHERWIN WILLIAMS COM 824348106 2,759,712 96,900 SH SOLE 96,900 SIFCO INDUSTRIES COM 826546103 329,994 58,200 SH SOLE 58,200 Shufro, Rose & CO LLC Page: 5 Form 13F Information Table As of Date: 3/31/2002 - - Voting Authority - Title Name of Issuer of Class - CUSIP - Value Shares/ SH/ Put/ Invstmt/ Shared None (X $1000) Prn Amt Prn Call Dscretn - Managers - Sole SPARTON CORP COM 847235108 412,250 48,500 SH SOLE 48,500 SPEEDFAM IPEC COM 847705100 3,324,661 776,790 SH SOLE 776,790 STARRETT L S COM 855668109 4,575,654 209,700 SH SOLE 209,700 STEIN MART COM 858375108 290,290 29,000 SH SOLE 29,000 STEWART & STEVENSON SERVICES COM 860342104 5,971,410 308,600 SH SOLE 308,600 STIFEL FINANCIAL CORP COM 860630102 159,375 12,500 SH SOLE 12,500 SUN MICROSYSTEMS COM 866810104 125,773 14,260 SH SOLE 14,260 SWISS ARMY BRANDS COM 870827102 2,117,231 306,845 SH SOLE 306,845 SWISS HELVETIA FUND COM 870875101 5,769,563 503,892 SH SOLE 503,892 SYMBOL TECHNOLOGIES COM 871508107 169,162 15,050 SH SOLE 15,050 SYNTELLECT INC COM 87161L105 27,040 16,000 SH SOLE 16,000 SYSTEMAX INC COM 871851101 50,000 20,000 SH SOLE 20,000 TECHNITROL INC COM 878555101 269,392 11,300 SH SOLE 11,300 TECUMSEH PRODUCTS CL A COM 878895200 5,639,673 105,810 SH SOLE 105,810 TECUMSEH PRODUCTS CL B COM 878895101 425,700 8,600 SH SOLE 8,600 THREE FIVE SYSTEMS COM 88554L108 533,520 36,000 SH SOLE 36,000 TIMBERLINE SOFTWARE COM 887134104 120,700 17,000 SH SOLE 17,000 TIMKEN COM 887389104 233,209 10,100 SH SOLE 10,100 TOKIO MARINE & FIRE INS COM 889090403 4,289,655 115,035 SH SOLE 115,035 TOOTSIE ROLL INDUSTRIES COM 890516107 420,738 9,148 SH SOLE 9,148 TRANSACTION SYSTEMS ARCHITECTS COM 893416107 4,670,580 409,700 SH SOLE 409,700 TRANSOCEAN SEDCO FOREX COM G90078109 2,506,173 75,419 SH SOLE 75,419 TRENWICK GROUP LTD COM G9032C109 5,140,617 573,090 SH SOLE 573,090 TRICON GLOBAL RESTAURANTS COM 895953107 1,176,011 20,007 SH SOLE 20,007 TUPPERWARE COM 899896104 615,524 27,056 SH SOLE 27,056 TWIN DISC COM 901476101 3,739,590 224,600 SH SOLE 224,600 ULTICOM INC COM 903844108 91,680 12,000 SH SOLE 12,000 UNION PACIFIC COM 907818108 14,395,042 231,655 SH SOLE 231,655 USEC INC COM 90333E108 5,452,800 852,000 SH SOLE 852,000 VARIAN INSTRUMENTS COM 922206107 3,595,764 94,775 SH SOLE 94,775 VERITAS DGC COM 92343P107 811,680 48,000 SH SOLE 48,000 VERIZON COMMUNICATIONS COM 92343V104 631,705 13,838 SH SOLE 13,838 VIRBAC CORP COM 927649103 136,240 26,000 SH SOLE 26,000 VISTEON COM 92839U107 4,394,008 265,499 SH SOLE 265,499 VODAFONE GROUP PLC NEW COM 92857W100 1,077,879 58,485 SH SOLE 58,485 WAL-MART STORES COM 931142103 1,256,445 20,500 SH SOLE 20,500 WASHINGTON MUTUAL COM 939322103 1,222,398 36,897 SH SOLE 36,897 WORLDCOM COM 98157D106 4,057,527 602,007 SH SOLE 602,007 WYETH COM 983024100 2,142,225 32,631 SH SOLE 32,631 XCEL ENERGY COM 98389B100 292,843 11,552 SH SOLE 11,552 3COM COM 885535104 67,271 11,010 SH SOLE 11,010 Line Count: 245
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