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Previous: BNP COOPER NEFF ADVISORS INC/PA, 13F-HR, 2000-11-07 |
Next: SHAPIRO ROBERT N, 13F-HR, 2000-11-07 |
<PAGE>
FORM 13F
INFORMATION REQUIRED OF INSTITUTIONAL INVESTMENT
MANAGERS PURSUANT TO SECTION 13(f) OF THE SECURITIES
EXCHANGE ACT OF 1934 AND RULES THEREUNDER
Securities and Exchange Commission
Washington, D.C. 20549
Report for the Calendar Quarter Ended 9/30/2000
----------
If amended report check here: [_]
Name of Institutional Manager:
Susan R. Shapiro
--------------------------------------------------------------------------------
Business Address:
One International Place Boston Mass. 02110
----------------------- ------ ----- -----
Street City State Zip
Name, Phone No. and Title of Person Duly Authorized to Submit Report:
Nicholas A. Grace (617) 951-7209
--------------------------------------------------------------------------------
The institutional investment manager submitting this Form and its
attachments and the person by whom it is signed represent hereby that all the
information contained therein is true, correct and complete. It is understood
that all the required items, statements and schedules are considered integral
parts of this Form and that the submission of any amendment represents that all
unamended items, statements and schedules remain true, correct and complete as
previously submitted.
Pursuant to the requirements of Securities Exchange Act of 1934, the
undersigned institutional investment manager has caused this report to be signed
on his behalf in the City of Boston and State of Massachusetts on the 2/nd/ day
of November, 2000
Susan R. Shapiro
----------------------------------
Name and 13F file numbers of all Institutional Investment Managers with respect
to which this schedule is filed (other than the one filing this report).
1. Francis L. Coolidge 28-3602
2. Nicholas A. Grace 28-3488
3. Edward P. Lawrence 28-4738
<PAGE>
<TABLE>
<CAPTION>
REPORT RUN: 11/02/2000 at 11:15 AM 13-F EQUITIES DISCLOSURE BY AFFILATION PAGE 1
BUSINESS DATE: 11/02/2000 R33.110.003
As of 09/30/2000
HOLDING COMPANY: (1) ROPES AND GRAY
INVEST
MARKET INVEST AUTH VOTING AUTH (SHARES)
NAME OF ISSUER CUSIP VALUE SH/PV SOLE SHR MGR SOLE SHARED NONE
------------------------------ ------------ ----------------- ------------ ---- --- ---- ----------- ---------- ----------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
COMMON
------
ABBOTT LABS 002824100 61,831.25 1300 X 1300 0 0
4,672,207.08 98233 X 0 98233 0
2,175,984.38 45750 X 1 0 45750 0
31,391.25 660 X 2 0 660 0
523,187.50 11000 X 3 0 11000 0
----------------- -------------- ------------- ---------- ----------
7,464,601.46 156943 1300 155643 0
AGILENT TECHNOLOGIES INC 00846U101 18,596.26 380 X 380 0 0
786,963.96 16081 X 0 16081 0
166,974.76 3412 X 1 0 3412 0
44,728.88 914 X 3 0 914 0
----------------- -------------- ------------- ---------- ----------
1,017,263.86 20787 380 20407 0
AIR PRODS & CHEMS INC 009158106 363,780.00 10105 X 0 10105 0
143,424.00 3984 X 1 0 3984 0
----------------- -------------- ------------- ---------- ----------
507,204.00 14089 0 14089 0
AMERICAN EXPRESS CO 025816109 1,006,566.75 16569 X 0 16569 0
AMERICAN HOME PRODS CORP 026609107 108,882.81 1925 X 1925 0 0
3,481,704.75 61555 X 0 61555 0
1,602,132.82 28325 X 1 0 28325 0
226,250.00 4000 X 3 0 4000 0
----------------- -------------- ------------- ---------- ----------
5,418,970.38 95805 1925 93880 0
AMERICAN INTL GROUP INC 026874107 404,949.50 4232 X 4232 0 0
10,247,270.15 107091 X 0 107091 0
3,616,987.50 37800 X 1 0 37800 0
847,504.19 8857 X 3 0 8857 0
----------------- -------------- ------------- ---------- ----------
15,116,711.34 157980 4232 153748 0
ANHEUSER BUSCH COS IN 035229103 1,390,558.00 32864 X 0 32864 0
ARCHSTONE CMNTYS TR 039581103 142,462.50 5800 X 5800 0 0
1,832,141.51 74591 X 0 74591 0
749,279.07 30505 X 1 0 30505 0
----------------- -------------- ------------- ---------- ----------
SUBTOTALS FOR THIS PAGE 34,645,758.87 605933 13637 592296 0
</TABLE>
2
<PAGE>
<TABLE>
<CAPTION>
REPORT RUN: 11/02/2000 at 11:15 AM 13-F EQUITIES DISCLOSURE BY AFFILATION PAGE 2
BUSINESS DATE: 11/02/2000 R33.110.003
As of 09/30/2000
HOLDING COMPANY: (1) ROPES AND GRAY (Cont.)
INVEST
MARKET INVEST AUTH VOTING AUTH (SHARES)
NAME OF ISSUER CUSIP VALUE SH/PV SOLE SHR MGR SOLE SHARED NONE
------------------------------ ------------ ----------------- ------------ ---- --- ---- ----------- ---------- ----------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
COMMON (cont.)
--------------
100,706.25 4100 X 3 0 4100 0
----------------- -------------- ------------- ---------- ----------
2,824,589.33 114996 5800 109196 0
AUTOMATIC DATA PROCESSING 053015103 26,750.00 400 X 400 0 0
2,044,703.13 30575 X 0 30575 0
----------------- -------------- ------------- ---------- ----------
2,071,453.13 30975 400 30575 0
BAKER HUGHES INC 057224107 273,128.64 7357 X 0 7357 0
BELLSOUTH CORP 079860102 36,225.00 900 X 900 0 0
366,114.00 9096 X 0 9096 0
28,980.00 720 X 1 0 720 0
----------------- -------------- ------------- ---------- ----------
431,319.00 10716 900 9816 0
BERKSHIRE HATHAWAY INC CL A 084670108 708,400.00 11 X 0 11 0
BOEING CO 097023105 283,500.00 4500 X 0 4500 0
BRISTOL MYERS SQUIBB CO 110122108 17,137.50 300 X 300 0 0
2,126,363.88 37223 X 0 37223 0
571,250.00 10000 X 1 0 10000 0
34,275.00 600 X 2 0 600 0
28,562.50 500 X 3 0 500 0
----------------- -------------- ------------- ---------- ----------
2,777,588.88 48623 300 48323 0
CHEVRON CORP 166751107 902,200.75 10583 X 0 10583 0
68,200.00 800 X 1 0 800 0
14,492.50 170 X 2 0 170 0
15,345.00 180 X 3 0 180 0
----------------- -------------- ------------- ---------- ----------
1,000,238.25 11733 0 11733 0
CISCO SYS INC 17275R102 59,393.75 1075 X 1075 0 0
5,805,007.00 105068 X 0 105068 0
2,019,277.00 36548 X 1 0 36548 0
55,250.00 1000 X 2 0 1000 0
259,675.00 4700 X 3 0 4700 0
----------------- -------------- ------------- ---------- ----------
SUBTOTALS FOR THIS PAGE 15,844,936.90 266406 2675 263731 0
</TABLE>
3
<PAGE>
REPORT RUN: 11/02/2000 at 11:15 AM 13-F EQUITIES DISCLOSURE BY AFFILATION
PAGE 3
BUSINESS DATE: 11/02/2000 R33.110.003
As of 09/30/2000
HOLDING COMPANY: (1) ROPES AND GRAY (Cont.)
<TABLE>
<CAPTION>
INVEST
MARKET INVEST AUTH VOTING AUTH (SHARES)
NAME OF ISSUER CUSIP VALUE SH/PV SOLE SHR MGR SOLE SHARED NONE
------------------------------ ------------ ----------------- ------------ ---- --- ---- ----------- ---------- ----------
COMMON (cont.)
--------------
----------------- -------------- ------------- ---------- ----------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
8,198,602.75 148391 1075 147316 0
CITIGROUP INC 172967101 253,120.62 4682 X 4682 0 0
5,076,468.73 93900 X 0 93900 0
1,417,248.44 26215 X 1 0 26215 0
35,086.56 649 X 2 0 649 0
126,127.81 2333 X 3 0 2333 0
----------------- -------------- ------------- ---------- ----------
6,908,052.16 127779 4682 123097 0
COCA COLA CO 191216100 813,479.64 14757 X 0 14757 0
COLGATE PALMOLIVE CO 194162103 881,884.80 18684 X 0 18684 0
DISNEY WALT CO 254687106 107,100.00 2800 X 2800 0 0
2,561,602.50 66970 X 0 66970 0
922,054.50 24106 X 1 0 24106 0
191,250.00 5000 X 3 0 5000 0
----------------- -------------- ------------- ---------- ----------
3,782,007.00 98876 2800 96076 0
DOW CHEM CO 260543103 211,869.00 8496 X 0 8496 0
50,498.44 2025 X 1 0 2025 0
84,164.06 3375 X 3 0 3375 0
----------------- -------------- ------------- ---------- ----------
346,531.50 13896 0 13896 0
DU PONT E I DE NEMOURS 263534109 763,154.45 18417 X 0 18417 0
356,984.06 8615 X 1 0 8615 0
----------------- -------------- ------------- ---------- ----------
1,120,138.51 27032 0 27032 0
DUKE ENERGY CORP 264399106 403,025.00 4700 X 0 4700 0
508,068.75 5925 X 1 0 5925 0
32,156.25 375 X 2 0 375 0
----------------- -------------- ------------- ---------- ----------
943,250.00 11000 0 11000 0
E M C CORP MASS 268648102 574,925.00 5800 X 0 5800 0
----------------- -------------- ------------- ---------- ----------
SUBTOTALS FOR THIS PAGE 15,370,268.61 317824 7482 310342 0
</TABLE>
<PAGE>
REPORT RUN: 11/02/2000 at 11:15 AM 13-F EQUITIES DISCLOSURE BY AFFILATION
PAGE 4
BUSINESS DATE: 11/02/2000 R33.110.003
As of 09/30/2000
HOLDING COMPANY: (1) ROPES AND GRAY (Cont.)
<TABLE>
<CAPTION>
INVEST
MARKET INVEST AUTH VOTING AUTH (SHARES)
NAME OF ISSUER CUSIP VALUE SH/PV SOLE SHR MGR SOLE SHARED NONE
------------------------------ ------------ ----------------- ------------ ---- --- ---- ----------- ---------- ----------
COMMON (cont.)
--------------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
EXXON MOBIL CORP 30231G102 396,962.75 4454 X 4454 0 0
8,290,853.17 93025 X 0 93025 0
3,774,354.63 42349 X 1 0 42349 0
8,912.50 100 X 2 0 100 0
701,859.38 7875 X 3 0 7875 0
----------------- -------------- ------------- ---------- ----------
13,172,942.43 147803 4454 143349 0
FEDERAL NATL MTG ASSN 313586109 12,512.50 175 X 175 0 0
1,882,952.50 26335 X 0 26335 0
1,186,900.00 16600 X 1 0 16600 0
35,750.00 500 X 2 0 500 0
----------------- -------------- ------------- ---------- ----------
3,118,115.00 43610 175 43435 0
GANNETT INC 364730101 143,100.00 2700 X 0 2700 0
424,000.00 8000 X 1 0 8000 0
----------------- -------------- ------------- ---------- ----------
567,100.00 10700 0 10700 0
GENERAL ELEC CO 369604103 299,975.00 5200 X 5200 0 0
16,792,254.42 291090 X 0 291090 0
7,651,439.26 132636 X 1 0 132636 0
69,225.00 1200 X 2 0 1200 0
888,387.50 15400 X 3 0 15400 0
----------------- -------------- ------------- ---------- ----------
25,701,281.18 445526 5200 440326 0
GENERAL MLS INC 370334104 447,868.00 12616 X 0 12616 0
142,000.00 4000 X 3 0 4000 0
----------------- -------------- ------------- ---------- ----------
589,868.00 16616 0 16616 0
HEWLETT PACKARD CO 428236103 97,000.00 1000 X 1000 0 0
4,111,151.00 42383 X 0 42383 0
858,450.00 8850 X 1 0 8850 0
232,800.00 2400 X 3 0 2400 0
----------------- -------------- ------------- ---------- ----------
5,299,401.00 54633 1000 53633 0
HOME DEPOT INC 437076102 3,288,654.60 61977 X 0 61977 0
----------------- -------------- ------------- ---------- ----------
SUBTOTALS FOR THIS PAGE 51,737,362.21 780865 10829 770036 0
</TABLE>
<PAGE>
<TABLE>
<CAPTION>
REPORT RUN: 11/02/2000 at 11:15 AM 13-F EQUITIES DISCLOSURE BY AFFILATION PAGE 5
BUSINESS DATE: 11/02/2000 R33.110.003
As of 09/30/2000
HOLDING COMPANY: (1) ROPES AND GRAY (Cont.)
INVEST
MARKET INVEST AUTH VOTING AUTH (SHARES)
NAME OF ISSUER CUSIP VALUE SH/PV SOLE SHR MGR SOLE SHARED NONE
------------------------------ ------------ ----------------- ------------ ---- --- ---- ----------- ---------- ----------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
COMMON (cont.)
--------------
1,464,525.02 27600 X 1 0 27600 0
72,960.94 1375 X 3 0 1375 0
----------------- -------------- ------------- ---------- ----------
4,826,140.56 90952 0 90952 0
IBM CORP 459200101 1,155,375.00 10270 X 0 10270 0
131,400.00 1168 X 1 0 1168 0
----------------- -------------- ------------- ---------- ----------
1,286,775.00 11438 0 11438 0
ILLINOIS TOOL WKS INC 452308109 251,325.75 4498 X 0 4498 0
INTEL CORP 458140100 95,592.60 2300 X 2300 0 0
3,107,092.00 74758 X 0 74758 0
1,350,765.00 32500 X 1 0 32500 0
41,562.00 1000 X 2 0 1000 0
265,996.80 6400 X 3 0 6400 0
----------------- -------------- ------------- ---------- ----------
4,861,008.40 116958 2300 114658 0
JOHNSON & JOHNSON 478160104 1,747,237.50 18600 X 0 18600 0
112,725.00 1200 X 1 0 1200 0
----------------- -------------- ------------- ---------- ----------
1,859,962.50 19800 0 19800 0
KIMBERLY CLARK CORP 494368103 133,950.00 2400 X 2400 0 0
2,040,560.88 36561 X 0 36561 0
806,490.63 14450 X 1 0 14450 0
13,953.13 250 X 2 0 250 0
177,204.69 3175 X 3 0 3175 0
----------------- -------------- ------------- ---------- ----------
3,172,159.33 56836 2400 54436 0
LILLY ELI & CO 532457108 551,650.00 6800 X 0 6800 0
LUCENT TECHNOLOGIES INC 549463107 9,168.75 300 X 300 0 0
623,352.78 20396 X 0 20396 0
15,892.50 520 X 1 0 520 0
----------------- -------------- ------------- ---------- ----------
648,414.03 21216 300 20916 0
----------------- -------------- ------------- ---------- ----------
SUBTOTALS FOR THIS PAGE 14,168,780.97 266521 5000 261521 0
</TABLE>
<PAGE>
<TABLE>
<CAPTION>
REPORT RUN: 11/02/2000 at 11:15 AM 13-F EQUITIES DISCLOSURE BY AFFILATION PAGE 6
BUSINESS DATE: 11/02/2000 R33.110.003
As of 09/30/2000
HOLDING COMPANY: (1) ROPES AND GRAY (Cont.)
INVEST
MARKET INVEST AUTH VOTING AUTH (SHARES)
NAME OF ISSUER CUSIP VALUE SH/PV SOLE SHR MGR SOLE SHARED NONE
------------------------------ ------------ ----------------- ------------ ---- --- ---- ----------- ---------- ----------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
COMMON (cont.)
--------------
MCDONALDS CORP 580135101 1,121,797.70 37161 X 0 37161 0
410,550.00 13600 X 1 0 13600 0
30,187.50 1000 X 2 0 1000 0
144,900.00 4800 X 3 0 4800 0
----------------- -------------- ------------- ---------- ----------
1,707,435.20 56561 0 56561 0
MERCK & CO INC 589331107 200,981.25 2700 X 2700 0 0
5,713,375.90 76754 X 0 76754 0
2,233,125.00 30000 X 1 0 30000 0
----------------- -------------- ------------- ---------- ----------
8,147,482.15 109454 2700 106754 0
MICROSOFT CORP 594918104 63,327.60 1050 X 1050 0 0
4,302,477.15 71337 X 0 71337 0
1,714,368.60 28425 X 1 0 28425 0
18,093.60 300 X 2 0 300 0
170,381.40 2825 X 3 0 2825 0
----------------- -------------- ------------- ---------- ----------
6,268,648.35 103937 1050 102887 0
MINNESOTA MNG & MFG CO 604059105 868,732.45 9533 X 0 9533 0
90,760.50 996 X 1 0 996 0
----------------- -------------- ------------- ---------- ----------
959,492.95 10529 0 10529 0
MORGAN J P & CO INC 616880100 223,823.75 1370 X 0 1370 0
NORTEL NETWORKS CORP 656568102 257,190.88 4318 X 0 4318 0
PFIZER INC 717081103 71,900.00 1600 X 1600 0 0
6,412,536.35 142699 X 0 142699 0
4,790,337.50 106600 X 1 0 106600 0
590,928.13 13150 X 3 0 13150 0
----------------- -------------- ------------- ---------- ----------
11,865,701.98 264049 1600 262449 0
PROCTER & GAMBLE CO 742718109 546,988.00 8164 X 0 8164 0
SBC COMMUNICATIONS INC 78387G103 144,450.00 2889 X 2889 0 0
2,661,850.00 53237 X 0 53237 0
----------------- -------------- ------------- ---------- ----------
SUBTOTALS FOR THIS PAGE 32,783,063.26 614508 8239 606269 0
</TABLE>
<PAGE>
<TABLE>
<CAPTION>
REPORT RUN: 11/02/2000 at 11:15 AM 13-F EQUITIES DISCLOSURE BY AFFILATION PAGE 7
BUSINESS DATE: 11/02/2000 R33.110.003
As of 09/30/2000
HOLDING COMPANY: (1) ROPES AND GRAY (Cont.)
INVEST
MARKET INVEST AUTH VOTING AUTH (SHARES)
NAME OF ISSUER CUSIP VALUE SH/PV SOLE SHR MGR SOLE SHARED NONE
------------------------------ --------- ---------------- ----------- ---- --- ---- ---------- ---------- ----------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
COMMON (cont.)
--------------
586,000.00 11720 X 1 0 11720 0
35,000.00 700 X 2 0 700 0
---------------- ----------- ---------- ---------- ----------
3,427,300.00 68546 2889 65657 0
STATE STR CORP 857477103 520,000.00 4000 X 0 4000 0
SUN MICROSYSTEMS INC 866810104 291,875.00 2500 X 0 2500 0
SYSCO CORP 871829107 745,631.25 16100 X 0 16100 0
TEXACO INC 881694103 210,000.00 4000 X 0 4000 0
91,035.00 1734 X 1 0 1734 0
---------------- ----------- ---------- ---------- ----------
301,035.00 5734 0 5734 0
TYCO INTL LTD NEW 902124106 51,875.00 1000 X 1000 0 0
1,154,218.79 22250 X 0 22250 0
1,098,090.00 21168 X 1 0 21168 0
10,375.00 200 X 2 0 200 0
119,312.50 2300 X 3 0 2300 0
---------------- ----------- ---------- ---------- ----------
2,433,871.29 46918 1000 45918 0
VERIZON COMMUNICATIONS 92343V104 2,024,975.29 41806 X 0 41806 0
2,070,315.64 42742 X 1 0 42742 0
20,150.00 416 X 2 0 416 0
37,200.00 768 X 3 0 768 0
---------------- ----------- ---------- ---------- ----------
4,152,640.93 85732 0 85732 0
WAL MART STORES INC 931142103 27,671.88 575 X 575 0 0
2,000,556.32 41570 X 0 41570 0
770,000.00 16000 X 1 0 16000 0
107,078.13 2225 X 3 0 2225 0
---------------- ----------- ---------- ---------- ----------
2,905,306.33 60370 575 59795 0
WALGREEN CO 931422109 303,500.00 8000 X 0 8000 0
WEYERHAEUSER CO 962166104 242,250.00 6000 X 0 6000 0
---------------- ----------- ---------- ---------- ----------
SUBTOTALS FOR THIS PAGE 12,517,109.80 247774 1575 246199 0
</TABLE>
<PAGE>
<TABLE>
<CAPTION>
REPORT RUN: 11/02/2000 at 11:15 AM 13-F EQUITIES DISCLOSURE BY AFFILATION PAGE 8
BUSINESS DATE: 11/02/2000 R33.110.003
As of 09/30/2000
HOLDING COMPANY: (1) ROPES AND GRAY (Cont.)
INVEST
MARKET INVEST AUTH VOTING AUTH (SHARES)
NAME OF ISSUER CUSIP VALUE SH/PV SOLE SHR MGR SOLE SHARED NONE
------------------------------ --------- ---------------- ----------- ---- --- --- ----------- ---------- ----------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
COMMON (cont.)
--------------
WORLDCOM INC 98157D106 13,668.75 450 X 450 0 0
1,910,587.59 62900 X 0 62900 0
588,515.65 19375 X 1 0 19375 0
69,103.14 2275 X 3 0 2275 0
---------------- ----------- ----------- ---------- ----------
2,581,875.13 85000 450 84550 0
================ =========== =========== ========== ==========
TOTALS FOR COMMON 179,649,155.75 3184831 49887 3134944 0
================ =========== =========== ========== ==========
GRAND TOTALS 179,649,155.75 3184831 49887 3134944 0
</TABLE>
<PAGE>
<TABLE>
<CAPTION>
REPORT RUN: 11/02/2000 at 11:15 AM 13-F EQUITIES DISCLOSURE BY AFFILATION PAGE 9
BUSINESS DATE: 11/02/2000 R33.110.003
As of 09/30/2000
MGR Client Name
------ ----------------------------------------
<S> <C>
1 FRANCIS L COOLIDGE
2 NICHOLAS A GRACE
3 EDWARD P LAWRENCE
</TABLE>
<PAGE>
<TABLE>
<S> <C> <C>
REPORT RUN: 11/02/2000 at 11:15 AM 13-F EQUITY DISCLOSURE BY AFFILATION PAGE 10
BUSINESS DATE: 11/02/2000 R33.110.003
As of 09/30/2000
Produced on trust2*ROPEDB
The parameters used in producing report R33.110.003 were:
ASOF## = 09/30/2000
BK_LIST## = ()
DV_SUM# = YES
BK_SUM# = NO
MIN_SHARES# = 10,000
MIN_CORP_SHARES# = 10,000
MIN_MKT_VAL# = 200,000.00
AF# = 113
EMPL# = 33569/1/1
===================================== End of Report ============================================
</TABLE>
* = more than
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