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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
INFORMATION REQUIRED ON INSTITUTIONAL INVESTMENT MANAGERS PURSUANT TO SECTION
13(f) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULES THEREUNDER
Report for the Calendar Year or Quarter Ended: September 30, 1999.
-------------- ----
- --------------------------------------------------------------------------------
(Please read instructions before preparing form.)
- --------------------------------------------------------------------------------
If amended report check here: [ ]
Baldwin Brothers, Inc.
- --------------------------------------------------------------------------------
Name of Institutional Investment Manager
3 Barnabas Road Marion, MA 02738
- --------------------------------------------------------------------------------
Business Address (Street) (City) (State) (Zip)
Michael Baldwin, (508) 748-0800, President, Baldwin Brothers, Inc.
- --------------------------------------------------------------------------------
Name, Phone No., and Title of Person Duly Authorized to Submit This Report.
ATTENTION
- ----------------------------------- ------------------------------------
Intentional misstatements or omissions of facts constitute Federal Criminal
Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
- --------------------------------------------------------------------------------
The institutional investment manager submitting this Form and its
attachments and the person by whom it is signed represent hereby that all
information contained therein is true, correct and complete. It is understood
that all 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 its behalf in the City of Marion and the State of Massachusetts on the eighth
-------- --------------- -------
day of November, 1999.
--------- ----
Baldwin Brothers, Inc. (28-5814)
--------------------------------------------
(Name of Institutional Investment Manager)
/s/ Michael Baldwin
--------------------------------------------
(Manual Signature of Person Duly Authorized
to Submit This Report)
Name and 13F file numbers of ALL Institutional Investment Managers with respect
to which this schedule is filled (other than the one filing this report): (List
in alphabetical order).
13F File Numbers will be assigned to Institutional Investment Managers after
they file their first report.
Name: 13F File No.: Name: 13F File No.:
- ------------------------------ -------------- ------------------- -------------
1. Michael Baldwin 28-5818 6. Ellen O. Stone 28-7204
- ------------------------------ -------------- ------------------- -------------
2. David A. Barrett 28-6352 7.
- ------------------------------ -------------- ------------------- -------------
3. Andrew M. Wallerstein 28-5816 8.
- ------------------------------ -------------- ------------------- -------------
4. J. Michael Costello 28-6868 9.
- ------------------------------ -------------- ------------------- -------------
5. Malcolm G. Chace, Jr. 28-6870 10.
- ------------------------------ -------------- ------------------- -------------
<PAGE>
<TABLE>
<CAPTION>
Form 13F Information
Title Value Shares/ Sh/ Put/ Invstmt Other Voting Authority
Name of Issuer of Class CUSIP (x$1000) Prn Amt Prn Call Dscretn Managers Sole Shared None
- -------------- -------- ----- -------- -------- --- ---- ------- -------- ------- ------ ------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Avalon Bay Community Pfd S PFD 053484507 398 16900 SH Sole 16900
Bank One Cap 8.00% 09/15/2029 PFD 06421b202 415 16600 SH Sole 16600
Bellsouth Cap Fd Pfd QUIBS 7.3 PFD 079857207 253 10000 SH Sole 10000
Carlton Comm PLC PFD *% PFD G19068140 474 20000 SH Sole 20000
Equity Res Prop Tr Pfd Cv Cm 7 PFD 29476l859 560 27000 SH Sole 27000
Fleet Financial Grp 9.35% cum PFD 338915838 919 36300 SH Sole 36300
Glenborough Realty Trust 7.75% PFD 37803p105 2388 145300 SH Sole 4 200 145100
Houston Industries 7% pfd PFD 442161204 4610 45200 SH Sole 45200
ING 7.7% pfd PFD 44978d107 371 15500 SH Sole 15500
Joseph E. Seagrams & Sons Snr PFD 811845205 2062 87050 SH Sole 87050
MediaOne Fin Pfd Tr III 9.04% PFD 584458202 1386 54900 SH Sole 54900
Merrill Lynch Pfd 7.00% Srs 11 PFD 59021f206 634 28500 SH Sole 28500
Natl Westminster Bank ser A 7. PFD 638539809 1307 53500 SH Sole 53500
Rhone-Poulenc Overseas Ser PFD PFD G75495104 465 20000 SH Sole 20000
SI Financing Trust I 9.25% pfd PFD 828692103 395 15300 SH Sole 15300
Time Warner 8.875% pfd PFD 88731g204 301 12100 SH Sole 12100
Virginia Elec Pwr Co Ser A 6.7 PFD 927804591 239 10000 SH Sole 10000
Alza Corp sub Deb Conv CONV 022615ad0 48 40000 SH Sole 40000
Hilton Hotels Conv. Sub Notes CONV 432848al3 133 165000 SH Sole 165000
OHM Corp Sub Deb Conv Cv CONV 670839aa7 23 25000 SH Sole 25000
Avista Corp $12.40 Ser L Conv PFD CV 05379b503 315 18000 SH Sole 18000
Media One Group Pfd Conv Ser D PFD CV 58440j203 893 6616 SH Sole 6616
AT & T Corp Liberty Media Grou COM 001957208 224 6000 SH Sole 2 1400 4600
AT Cross CL A COM 227478104 369 88000 SH Sole 88000
AT&T Corp COM 001957109 2467 56703 SH Sole 56703
AXA-UAP ADR COM 054536107 510 8000 SH Sole 8000
Abbott Labs COM 002824100 5970 162723 SH Sole 162723
Access Solutions COM 004317103 91 757212 SH Sole 2 757212
Aegon NV Amer Reg COM 007924103 2290 26476 SH Sole 26476
Air Products & Chemicals COM 009158106 714 24400 SH Sole 24400
Airgas Inc COM 009363102 5213 44200 SH Sole 2 5200 39000
Albertson's Inc COM 013104104 249 6300 SH Sole 6300
Allied Signal Inc COM 019512102 2077 34650 SH Sole 34650
Ambase Corp. COM 023164106 28 35000 SH Sole 35000
Amerada Hess Corp COM 023551104 259 4222 SH Sole 4222
America OnLine Inc Del COM 02364J104 213 2050 SH Sole 2050
American Express Co COM 025816109 790 5850 SH Sole 5850
American Home Prods Corp COM 026609107 2276 54840 SH Sole 54840
American Int'l Group COM 026874107 11941 137353 SH Sole 5 2624 134729
American Power Conversion COM 029066107 198 10400 SH Sole 10400
</TABLE>
Page 1
<PAGE>
<TABLE>
<CAPTION>
Form 13F Information
Title Value Shares/ Sh/ Put/ Invstmt Other Voting Authority
Name of Issuer of Class CUSIP (x$1000) Prn Amt Prn Call Dscretn Managers Sole Shared None
- -------------- -------- ----- -------- -------- --- ---- ------- -------- ------- ------ ------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Amgen COM 031162100 644 7900 SH Sole 7900
Analog Devices COM 032654105 595 11616 SH Sole 11616
Andrew Corp COM 034425108 4991 287225 SH Sole 4 600 286625
Applied Extrusion Tech COM 038196101 175 23725 SH Sole 2 10225 13500
Atlantic Richfield Co COM 048825103 815 9200 SH Sole 9200
Automatic Data Processing COM 053015103 791 17732 SH Sole 17732
BP Amoco Pls Spons ADR COM 055622104 3013 27194 SH Sole 27194
Baker Hughes Inc. COM 057224107 334 11500 SH Sole 11500
Banc One Corp Ohio COM 06423a103 697 20014 SH Sole 20014
Bank New York Inc COM 064057102 424 12675 SH Sole 12675
Bank Rhode Island COM 064576101 747 73825 SH Sole 1,2 & 3 300 73625
Bank of America Corp COM 06605f102 1193 21422 SH Sole 2 200 21222
BankBoston Corp COM 060716107 8315 191709 SH Sole 2 4200 187509
Barbecue Galore Ltd spon ADR COM 067091108 98 14000 SH Sole 2 5000 9000
Bell Atlantic Corp COM 077853109 2527 37536 SH Sole 2 200 37336
Bellsouth Corp COM 079860102 1979 43970 SH Sole 43970
Belo Series A COM 080555105 383 20000 SH Sole 20000
Berkshire Hathaway Cl B COM 084670207 980 528 SH Sole 528
Berkshire Hathaway Inc COM 084670108 5115 93 SH Sole 5 30 63
Bestfoods COM 08658u101 435 8950 SH Sole 8950
Boeing Company COM 097023105 386 9065 SH Sole 9065
Boston Scientific Corp COM 101137107 5953 240515 SH Sole 2 2200 238315
Bristol Myers Squibb Co COM 110122108 4879 72277 SH Sole 72277
Brown Forman Corp Class A COM 115637209 404 7002 SH Sole 7002
Burlington Northn Inc COM 12189T104 268 9738 SH Sole 9738
C U N O Inc. COM 126583103 398 20000 SH Sole 20000
CBS Corp COM 12490K107 474 10250 SH Sole 10250
CNF Transportation Inc COM 12612W104 313 8400 SH Sole 8400
CVS Corp COM 126650100 1744 42725 SH Sole 42725
Cabot Industrial Trust COM 127072106 372 19325 SH Sole 19325
Capital One Financial COM 14040H105 919 23566 SH Sole 23566
Cardinal Health Inc COM 14149Y108 221 4062 SH Sole 4062
Carnival Corp COM 143658102 218 5000 SH Sole 5000
Carolina Pwr & Lt Co COM 144141108 407 11516 SH Sole 11516
Cendant Corp COM 151313103 825 46500 SH Sole 2 5200 41300
Centerpoint Properties Corp COM 151895109 236 7000 SH Sole 7000
Charles Schwab Corp New COM 808513105 425 12700 SH Sole 12700
Chase Manhattan Corp COM 16161A108 1619 21477 SH Sole 21477
Chevron Corp COM 166751107 1017 11455 SH Sole 11455
Chubb Corp COM 171232101 337 6800 SH Sole 4 400 6400
Cincinnati Financial Corp COM 172062101 254 6771 SH Sole 6771
Circuit City Stores Inc COM 172737108 1097 26000 SH Sole 26000
Cisco Systems Inc COM 17275R102 17169 250414 SH Sole 2 200 250214
Citigroup Inc COM 172967101 1135 25802 SH Sole 25802
Citizens Util COM 177342201 294 26000 SH Sole 26000
Coca Cola Co COM 191216100 7786 161371 SH Sole 2 3200 158171
</TABLE>
Page 2
<PAGE>
<TABLE>
<CAPTION>
Form 13F Information
Title Value Shares/ Sh/ Put/ Invstmt Other Voting Authority
Name of Issuer of Class CUSIP (x$1000) Prn Amt Prn Call Dscretn Managers Sole Shared None
- -------------- -------- ----- -------- -------- --- ---- ------- -------- ------- ------ ------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Colgate Palmolive Co COM 194162103 1261 27566 SH Sole 2 400 27166
Commerce Group Inc Mass COM 200641108 315 13700 SH Sole 13700
Compaq Computer COM 204493100 818 35755 SH Sole 35755
Computer Associates Intl Inc COM 204912109 239 3912 SH Sole 3912
Computer Sciences COM 205363104 281 4000 SH Sole 4000
Conectiv Inc COM 206829103 998 50875 SH Sole 50875
Corning Inc COM 219350105 202 2950 SH Sole 2950
DLJ High Yield Bond Fund COM 23322y108 427 52964 SH Sole 2 1200 51764
Disney Walt Company COM 254687106 1134 43617 SH Sole 43617
Dover Corp COM 260003108 474 11600 SH Sole 11600
Dow Chemical Corp COM 260543103 511 4495 SH Sole 4495
Du Pont E I De Nemours Co COM 263534109 656 10838 SH Sole 10838
Duke Energy Co. COM 264399106 609 11049 SH Sole 11049
Duke-Weeks Realty Corp COM 264411505 404 20700 SH Sole 20700
E M C Corp MA COM 268648102 635 8895 SH Sole 8895
Eastman Kodak COM 277461109 227 2999 SH Sole 2999
Eaton Corp COM 278058102 911 10557 SH Sole 10557
Echelon Corp COM 27874n105 114 15000 SH Sole 15000
Electronic Data Systems Corp COM 285661104 635 12000 SH Sole 12000
Emerson Elec Co COM 291011104 1035 16376 SH Sole 16376
Enron Corp COM 293561106 7108 173094 SH Sole 173094
Exxon Corp COM 302290101 11355 149410 SH Sole 149410
Family Ventures III Part COM 999027816 25 21250 SH Sole 21250
Fannie Mae COM 313586109 4213 67203 SH Sole 67203
Federated Dept Stores COM 31410H101 262 6000 SH Sole 6000
First Data Corporation COM 319963104 5645 128660 SH Sole 2 2700 125960
First Union Corp COM 337358105 264 7401 SH Sole 7401
Fleet Boston Corp COM 33901a108 4676 127674 SH Sole 4 & 5 389 127285
Foxborough Svgs Bank COM 351644109 784 14000 SH Sole 2 4000 10000
Freddie Mac COM 313400301 359 6900 SH Sole 6900
GTE Corp COM 362320103 3214 41809 SH Sole 41809
Gannett Inc Del COM 364730101 1045 15110 SH Sole 15110
General Electric Company COM 369604103 30005 253074 SH Sole 5 1600 251474
Gillette Co COM 375766102 1734 51086 SH Sole 2 90 50996
Glaxo Wellcome plc ADR COM 37733W105 380 7300 SH Sole 7300
Glenborough Realty Trust COM 37803P105 1089 66001 SH Sole 66001
Halliburton Co COM 406216101 2151 52463 SH Sole 52463
Hancock J Ptrot Pfd D Fund COM 41013J107 559 50250 SH Sole 50250
Harken Energy COM 412552101 20 17950 SH Sole 17950
Hershey Foods Corp COM 427866108 292 6000 SH Sole 6000
Hewlett Packard Co COM 428236103 2683 29567 SH Sole 29567
Home Depot Inc COM 437076102 5666 82558 SH Sole 2 200 82358
Il International Inc Escrow COM 449658996 21 1033676 SH Sole 2 492373 541303
Illinois Tool Works COM 452308109 378 5070 SH Sole 5070
Int'l Business Machines COM 459200101 4505 37233 SH Sole 37233
Integra, Inc. COM 45811m105 31 20996 SH Sole 2 4296 16700
</TABLE>
Page 3
<PAGE>
<TABLE>
<CAPTION>
Form 13F Information
Title Value Shares/ Sh/ Put/ Invstmt Other Voting Authority
Name of Issuer of Class CUSIP (x$1000) Prn Amt Prn Call Dscretn Managers Sole Shared None
- -------------- -------- ----- -------- -------- --- ---- ------- -------- ------- ------ ------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Intel Corp COM 458140100 22513 302943 SH Sole 5 3200 299743
Interface Inc CL A COM 458665106 60 11700 SH Sole 11700
J P Morgan & Co Inc COM 616880100 234 2048 SH Sole 2048
Jacobs Engr Group COM 469814107 1967 60515 SH Sole 4 100 60415
Johnson & Johnson COM 478160104 4366 47520 SH Sole 47520
Kimberly-Clark COM 494368103 2636 49973 SH Sole 4 277 49696
Korea Fund COM 500634100 125 10000 SH Sole 10000
Lexmark International Group In COM 529771107 403 5000 SH Sole 5000
Liberty Ppty Tr COM 531172104 204 9000 SH Sole 9000
Lilly Eli & Co COM 532457108 2036 31720 SH Sole 31720
Lucent Technologies COM 549463107 5023 77430 SH Sole 77430
MCI WorldCom COM 55268b106 10197 141875 SH Sole 2 800 141075
Mascotech Corp COM 57632n105 200 12000 SH Sole 12000
Mattell Inc COM 577081102 237 12468 SH Sole 12468
Maxim Integrated Products COM 57772k101 33026 523440 SH Sole 523440
McDonald's Corp COM 580135101 1689 39053 SH Sole 39053
Medford Bancorp COM 584303101 1833 119238 SH Sole 2 6448 112790
MediaOne Group Inc COM 58440j104 730 10688 SH Sole 10688
Mediscience COM 585901101 41 133000 SH Sole 133000
Medtronic COM 585055106 8747 245950 SH Sole 245950
Mellon Bank COM 585509102 339 10000 SH Sole 10000
Merck & Co COM 589331107 12182 187957 SH Sole 187957
Mercury Genl Corp COM 589400100 331 12000 SH Sole 12000
Meristar Hotels & Resorts COM 589988104 29 10000 SH Sole 2 2000 8000
Messagemedia Inc COM 590787107 108 10000 SH Sole 10000
MicroTel Intl Inc New (restric COM 59514K209 19 82067 SH Sole 3 8189 73878
Microsoft Corp Wash COM 594918104 5395 59577 SH Sole 59577
Miller Inds COM 600551105 788 280000 SH Sole 280000
Minnesota Mng & Mfg Co COM 604059105 1459 15185 SH Sole 15185
Mobil Corp COM 607059102 1368 13578 SH Sole 13578
Monsanto Company COM 611662107 300 8407 SH Sole 8407
Morgan Stanley Dean Witter Dis COM 617446448 676 7578 SH Sole 7578
Motorola COM 620076109 2314 26300 SH Sole 26300
Murray United Development COM 627189103 1 100000 SH Sole 100000
National City Corp COM 635405103 2352 88128 SH Sole 88128
Network Associates COM 640938106 1279 66900 SH Sole 4 300 66600
News Corp Ltd Spd Pref ADR COM 378 14174 SH Sole 14174
Norfolk Southern Corp COM 655844108 296 12100 SH Sole 12100
Oak Inds COM 671400505 4794 141000 SH Sole 141000
Office Depot COM 676220106 146 13925 SH Sole 2 1323 12602
Optika COM 683973101 389 103850 SH Sole 2 6500 97350
Oracle Sys Corp COM 68389X105 15054 330849 SH Sole 2 1975 328874
PNC Bank COM 693475105 3978 75508 SH Sole 75508
PPG Industries COM 693506107 591 9842 SH Sole 9842
Parametric Technology COM 699173100 186 13800 SH Sole 13800
Pepsico Inc COM 713448108 2943 96488 SH Sole 4 200 96288
</TABLE>
Page 4
<PAGE>
<TABLE>
<CAPTION>
Form 13F Information
Title Value Shares/ Sh/ Put/ Invstmt Other Voting Authority
Name of Issuer of Class CUSIP (x$1000) Prn Amt Prn Call Dscretn Managers Sole Shared None
- -------------- -------- ----- -------- -------- --- ---- ------- -------- ------- ------ ------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Pfizer Inc COM 717081103 2587 72114 SH Sole 72114
Philip Morris Cos COM 718154107 1548 45265 SH Sole 2 1500 43765
Procter & Gamble Co COM 742718109 8514 90813 SH Sole 90813
Protein Design Labs COM 74369L103 1407 38950 SH Sole 2 1500 37450
Providian Corp COM 744061102 3924 49559 SH Sole 49559
QUALCOMM COM 747525103 38725 204688 SH Sole 4 & 5 3100 201588
QWEST Communications Intl COM 749121109 773 26150 SH Sole 26150
Quintiles Transnational Corp COM 748767100 1306 68650 SH Sole 68650
Raytheon Co New CL B COM 755111408 737 14850 SH Sole 14850
Reuters Group plc ADR COM 76132M102 243 3531 SH Sole 3531
Rohm & Haas Co COM 775371107 400 11062 SH Sole 11062
Roper Industries Inc COM 776696106 433 11320 SH Sole 11320
Royal Dutch Pete NLG 1.25 COM 780257705 5965 100998 SH Sole 100998
SBC Communications Inc PV$1 COM 78387G103 1079 21122 SH Sole 21122
Sara Lee Corp COM 803111103 659 28210 SH Sole 28210
Schering Plough Corp COM 806605101 347 7960 SH Sole 7960
Schlumberger COM 806857108 1878 30133 SH Sole 30133
Seacoast Financial Svcs Corp COM 81170q106 658 65750 SH Sole 2 3000 62750
Servicemaster Co. COM 81760N109 728 45336 SH Sole 2 300 45036
Sherwin Williams Co COM 824348106 1229 58700 SH Sole 4 100 58600
Smithkline Beecham ADS COM 832378301 859 14899 SH Sole 14899
St. Joe Co COM 790148100 311 14400 SH Sole 14400
Staples COM 855030102 2657 121815 SH Sole 2 2000 119815
State Street Corp COM 857477103 228 3525 SH Sole 3525
Sun Microsystem Inc COM 866810104 5162 55500 SH Sole 55500
Supertex COM 868532102 816 50000 SH Sole 50000
Sybron Intl corp Wisc COM 87114F106 929 34575 SH Sole 34575
Teleflex Inc. COM 879369106 252 6400 SH Sole 6400
Thermo Electron Corp COM 883556102 171 12762 SH Sole 6 100 12662
Time Warner Inc COM 887315109 617 10150 SH Sole 10150
Transwitch Corp COM 894065101 1513 26549 SH Sole 4 600 25949
Tyco International Limited COM 902124106 981 9498 SH Sole 9498
U S West Inc COM 91273h101 793 13894 SH Sole 13894
United Technologies Corp COM 913017109 225 3800 SH Sole 3800
UnumProvident Corp COM 91529y106 5181 176000 SH Sole 2 2800 173200
Wal Mart Stores Inc COM 931142103 896 18830 SH Sole 18830
Walgreen Company COM 931422109 1199 47250 SH Sole 47250
Warner Lambert Co COM 934488107 383 5768 SH Sole 5768
Washington Mutual Inc COM 939322103 216 7395 SH Sole 7395
Whirlpool Corp COM 963320106 392 6000 SH Sole 6000
Williams Companies COM 969457100 5279 140300 SH Sole 140300
Xerox Corp COM 984121103 689 16436 SH Sole 16436
Alliance Cap Mgt Holding LP MLP 01855A101 4099 149400 SH Sole 2 4000 145400
Buckeye Partners L P MLP 118230101 1937 71754 SH Sole 2 400 71354
Crown Pacific Partners L.P. MLP 228439105 771 36800 SH Sole 36800
Kinder Morgan Energy Partners, MLP 494550106 8741 201817 SH Sole 2 500 201317
</TABLE>
Page 5
<PAGE>
<TABLE>
<CAPTION>
Form 13F Information
Title Value Shares/ Sh/ Put/ Invstmt Other Voting Authority
Name of Issuer of Class CUSIP (x$1000) Prn Amt Prn Call Dscretn Managers Sole Shared None
- -------------- -------- ----- -------- -------- --- ---- ------- -------- ------- ------ ------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Lakehead Pipeline PS L P MLP 511557100 2425 56900 SH Sole 2 300 56600
Leviathan Gas Partners L P MLP 527367205 3445 151423 SH Sole 2 800 150623
Northern Border Partners L P MLP 664785102 3434 118400 SH Sole 2 500 117900
PIMCO Advisors Cl A LP MLP 69338p102 790 25086 SH Sole 2 500 24586
TC Pipeline LP MLP 87233q108 1542 86250 SH Sole 2 500 85750
Teppco Partners L P MLP 872384102 3327 166350 SH Sole 2 800 165550
Carrefour SA FRF Par Ordinary FORGN 240 1500 SH Sole 1500
Dordtsche Petrol .65NLG Ord FORGN n27145189 250 5120 SH Sole 5120
Hays PLC 1P Gbp Par Ordinary FORGN 303 28000 SH Sole 28000
Koninklijke Numico NV (EUR) 0. FORGN 249 6000 SH Sole 6000
Koninklijke Philips Electronic FORGN 500472204 4386 43430 SH Sole 4 184 43246
Novartis ADR FORGN 66987v109 3866 52127 SH Sole 52127
Shire Pharmaceuticals Grp adr FORGN 82481r106 5620 195050 SH Sole 195050
</TABLE>
Page 6