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| OMB APPROVAL |
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| OMB Number: 3235-0006 |
| Expires: February 28, 1997 |
| Estimated average burden |
| hours per response...24.60 |
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SEC USE ONLY
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 13F
INFORMATION REQUIRED OF 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, 2000
------------------
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(Please read instructions before preparing form)
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If amended report check here: [_]
Baldwin Brothers, Inc.
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Name of Institutional Investment Manager
Michael Baldwin, (508) 748-0800, President, Baldwin Brothers, Inc.
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Business Address (Street) (City) (State) (Zip)
3 Barnabas Road Marion, MA 02378
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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)
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The isntitutional 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 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 State of Massachusetts on the
tenth day of November, 2000.
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 28-5819 6. Ellen O. Stone 28-7204
------------------------ ------------- ------------------------- -------------
2. David A. Barrett 28-6352 7. Charles Mosseri-Marlio
------------------------ ------------- ------------------------- -------------
3. Andrew M. Wallerstein 28-5816 8.
------------------------ ------------- ------------------------- -------------
4. J. Michael Costello 28-6868 9.
------------------------ ------------- ------------------------- -------------
5. Malcolm G. Chace, Jr. 28-6870 10.
------------------------ ------------- ------------------------- -------------
<PAGE>
Baldwin Brothers, Inc.
FORM 13F
Baldwin Brothers Inc
September 30, 2000
<TABLE>
<CAPTION>
Voting Authority
-----------------------
Value Shares/ Sh/ Put/ Invstmt Other
Name of Issuer Title of class CUSIP (x$1000) Prn Amt Prn Call Dscretn Managers Sole Shared None
-------------- -------------- ----- -------- ------- --- ---- ------- -------- ---- ------ ----
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Avalon Bay Community Pfd Ser F PFD 053484507 244 9900 SH Sole 9900
Bank One Cap 8.00% 09/15/2029 PFD 06421b202 560 22725 SH Sole 22725
Barclays Bk PLC Am Dep Nt Rcpt PFD 06738c836 484 20000 SH Sole 20000
Bellsouth Cap Fd Pfd QUIBS 7.3 PFD 079857207 243 10000 SH Sole 10000
Carlton Comm PLC PFD *% PFD G19068140 227 10000 SH Sole 10000
Equity Res Prop Tr Pfd Cv Cm 7 PFD 29476l859 215 9500 SH Sole 9500
Glenborough Realty Trust 7.75% PFD 37803p105 2419 142275 SH Sole 142275
Ing Cap Fdg Tr II 9.2% PFD 44978b101 305 12000 SH Sole 12000
Joseph E. Seagrams & Sons Snr PFD 811845205 2122 90775 SH Sole 90775
MediaOne Fin Pfd Tr III 9.04% PFD 584458202 667 26500 SH Sole 26500
Merrill Lynch Pfd 7.00% Srs 11 PFD 59021f206 271 12500 SH Sole 12500
Natl Westminster Bank ser A 7. PFD 638539809 623 26500 SH Sole 26500
Rhone-Poulenc Overseas Ser PFD PFD G75495104 224 10000 SH Sole 10000
SI Financing Trust I 9.25% pfd PFD 828692103 254 10100 SH Sole 10100
Avalon Community Services Inc CONV 053431aa0 1 100000 SH Sole 100000
Hilton Hotels Conv. Sub Notes CONV 432848al3 139 165000 SH Sole 165000
AT & T Corp Liberty Media Grou COM 001957208 9766 542576 SH Sole 2 2800 539776
AT Cross CL A COM 227478104 204 38000 SH Sole 38000
AT&T Corp COM 001957109 1839 62603 SH Sole 62603
Abbott Labs COM 002824100 5847 122927 SH Sole 122927
Access Solutions COM 004317103 45 757212 SH Sole 4 757212
Advanced Micro Devices COM 007903107 201 8500 SH Sole 8500
Aegon NV Amer Reg COM 007924103 1677 45176 SH Sole 45176
Agilent Technologies COM 00846U101 1933 39499 SH Sole 39499
Air Products & Chemicals COM 009158106 734 20400 SH Sole 20400
Airgas Inc COM 009363102 177 26000 SH Sole 2 10000 16000
Alexion Pharmaceuticals COM 015351109 604 5300 SH Sole 5300
Allergan Inc COM 018490102 247 2926 SH Sole 2926
Ambase Corp. COM 023164106 33 50000 SH Sole 50000
America OnLine Inc Del COM 02364J104 917 17055 SH Sole 17055
American Express Co COM 025816109 1970 32425 SH Sole 32425
American Home Prods Corp COM 026609107 864 15280 SH Sole 15280
American Int'l Group COM 026874107 21012 219593 SH Sole 2 750 218843
American Wagering COM 030405104 12 36000 SH Sole 36000
Amgen COM 031162100 1154 16525 SH Sole 16525
Analog Devices COM 032654105 1388 16816 SH Sole 16816
Andrew Corp COM 034425108 11715 447325 SH Sole 4 1000 446325
Anheuser Busch Cos Inc COM 035229103 692 16350 SH Sole 16350
Applied Extrusion Tech COM 038196101 203 63725 SH Sole 2 6725 57000
Aquagenix COM 03838r102 3 290000 SH Sole 290000
Aradigm Corp COM 038505103 573 25000 SH Sole 25000
Ariba Inc COM 04033v104 287 2000 SH Sole 2000
Automatic Data Processing COM 053015103 1428 21358 SH Sole 21358
Avalon Correctional Srvc COM 053436101 124 65000 SH Sole 65000
BP Amoco Plc Spons ADR COM 055622104 6761 127563 SH Sole 127563
Banc One Corp Ohio COM 06423a103 248 6411 SH Sole 6411
Bancorp Rhode Island COM 059690107 585 44775 SH Sole 1,2 & 3 300 44575
Bank New York Inc COM 064057102 1376 24550 SH Sole 24550
Bank of America Corp COM 06605f102 701 13377 SH Sole 2 200 13177
Banknorth Group Inc COM 06646r107 261 14600 SH Sole 14600
</TABLE>
<PAGE>
Baldwin Brothers, Inc.
FORM 13F
Baldwin Brothers Inc
September 30, 2000
<TABLE>
<CAPTION>
Voting Authority
-----------------------
Value Shares/ Sh/ Put/ Invstmt Other
Name of Issuer Title of class CUSIP (x$1000) Prn Amt Prn Call Dscretn Managers Sole Shared None
-------------- -------------- ----- -------- ------- --- ---- ------- -------- ---- ------ ----
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Barbecues Galore Ltd Spons Adr COM 067091108 1295 172700 SH Sole 2 13000 159700
Bellsouth Corp COM 079860102 1974 49039 SH Sole 49039
Belo Series A COM 080555105 369 20000 SH Sole 20000
Berkshire Hathaway Cl B COM 084670207 855 413 SH Sole 413
Berkshire Hathaway Inc COM 084670108 12096 189 SH Sole 5 30 159
Bestfoods COM 08658u101 270 3717 SH Sole 3717
Bright Horizons Family Solutio COM 109195107 530 20720 SH Sole 20720
Bristol Myers Squibb Co COM 110122108 3998 69980 SH Sole 69980
Broadcom Corp Cl A COM 111320107 254 1042 SH Sole 1042
CVS Corp COM 126650100 17144 370170 SH Sole 2 1500 368670
Cabot Industrial Trust COM 127072106 199 10000 SH Sole 10000
Canada Southern Petel Vtg Shr COM 135231108 63 12002 SH Sole 12002
Capital One Financial COM 14040H105 3492 49841 SH Sole 49841
Celera Genomics Group COM 69332s201 274 2750 SH Sole 2750
Cendant Corp COM 151313103 4645 427150 SH Sole 2 & 7 5750 421400
Charles Schwab Corp New COM 808513105 687 19357 SH Sole 19357
Chase Manhattan Corp COM 16161A108 1854 40148 SH Sole 40148
Check Point Software Tech COM m22465104 280 1775 SH Sole 1775
Chevron Corp COM 166751107 1267 14861 SH Sole 14861
Circuit City Stores Inc COM 172737108 512 22240 SH Sole 22240
Cisco Systems Inc COM 17275R102 18954 343056 SH Sole 343056
Citigroup Inc COM 172967101 5839 107995 SH Sole 107995
Citizens Communications Co COM 177342201 309 23000 SH Sole 23000
Coca Cola Co COM 191216100 9725 176417 SH Sole 2 3200 173217
Colgate Palmolive Co COM 194162103 2590 54864 SH Sole 2 1400 53464
Compaq Computer COM 204493100 425 15425 SH Sole 15425
Computer Sciences COM 205363104 297 4000 SH Sole 4000
Cor Therapeutics COM 217753102 336 5400 SH Sole 5400
Corning Inc COM 219350105 7271 24480 SH Sole 24480
Costar Grp COM 22160n109 370 10000 SH Sole 10000
DLJ High Yield Bond Fund COM 23322y108 146 19778 SH Sole 2 1200 18578
Davnet Ltd COM q3123s106 12 11000 SH Sole 11000
Disney Walt Company COM 254687106 1764 46106 SH Sole 46106
Dover Corp COM 260003108 570 12150 SH Sole 12150
Du Pont E I De Nemours Co COM 263534109 930 22445 SH Sole 22445
Duke Energy Co. COM 264399106 604 7049 SH Sole 7049
Duke-Weeks Realty Corp COM 264411505 468 19400 SH Sole 19400
E M C Corp MA COM 268648102 3055 30822 SH Sole 30822
Emerson Elec Co COM 291011104 2515 37531 SH Sole 37531
Emisphere Technologies COM 291345106 629 21000 SH Sole 21000
Enron Corp COM 293561106 21257 242594 SH Sole 242594
Eurotech Ltd COM 298796103 604 163903 SH Sole 4 & 5 98000 65903
Exxon Mobil Corp COM 30231g102 15051 168880 SH Sole 168880
Fannie Mae COM 313586109 6352 88842 SH Sole 88842
Federal Home Loan Mtg Corp COM 313400301 274 5070 SH Sole 5070
First Data Corporation COM 319963104 4004 102499 SH Sole 2 2700 99799
FleetBoston Finl Corp COM 339030108 14708 377139 SH Sole 2 & 4 5348 371791
Foxborough Svgs Bank COM 351644109 812 14000 SH Sole 2 4000 10000
Franchise Mgmt COM 351811203 0 50700 SH Sole 50700
Gannett Inc Del COM 364730101 290 5475 SH Sole 5475
</TABLE>
<PAGE>
Baldwin Brothers, Inc.
FORM 13F
Baldwin Brothers Inc
September 30, 2000
<TABLE>
<CAPTION>
Voting Authority
-------------------
Value Shares/ Sh/ Put/ Invstmt Other
Name of Issuer Title of class CUSIP (x$1000) Prn Amt Prn Call Dscretn Managers Sole Shared None
-------------- -------------- ----- -------- ------- --- ---- ------- -------- ---- ------ ----
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Genentech, Inc New COM 368710406 5624 30285 SH Sole 30285
General Electric Company COM 369604103 44124 764868 SH Sole 764868
Gillette Co COM 375766102 2081 67403 SH Sole 2 90 67313
Glenborough Realty Trust COM 37803P105 201 11150 SH Sole 11150
Goldman Sachs Group COM 38141g104 920 8075 SH Sole 8075
Guidant COM 401698105 2202 31150 SH Sole 31150
Halliburton Co COM 406216101 1898 38788 SH Sole 38788
Hancock J Ptrot Pfd D Fund COM 41013J107 153 14350 SH Sole 14350
Harley Davidson Inc COM 412822108 1154 24100 SH Sole 24100
Health Management COM 42219m100 50 25000 SH Sole 25000
Hewlett Packard Co COM 428236103 2965 30571 SH Sole 30571
Home Depot Inc COM 437076102 5747 108300 SH Sole 2 250 108050
Honeywell Int'l COM 438516106 662 18584 SH Sole 18584
IBIS Technology Corp COM 450909106 679 18700 SH Sole 18700
Illinois Tool Works COM 452308109 265 4750 SH Sole 4750
Inprise COM 45766c102 103 19300 SH Sole 2 4300 15000
Int'l Business Machines COM 459200101 18484 164304 SH Sole 2 500 163804
Integra, Inc. COM 45811m105 24 20996 SH Sole 2 4296 16700
Intel Corp COM 458140100 22047 530454 SH Sole 2 & 5 2600 527854
Iomega COM 462030107 720 144000 SH Sole 2 4000 140000
J P Morgan & Co Inc COM 616880100 430 2632 SH Sole 2632
Jacobs Engr Group COM 469814107 9177 227650 SH Sole 4 200 227450
John Hancock Patriot Global Fd COM 41013G103 1040 89920 SH Sole 89920
Johnson & Johnson COM 478160104 8502 90502 SH Sole 2 500 90002
Kimberly-Clark COM 494368103 5496 98480 SH Sole 4 277 98203
Kleenair Systems Inc (restrict COM 498487206 18 20000 SH Sole 20000
LSI Logic Corp COM 502161102 464 15871 SH Sole 2 395 15476
LTV Corp COM 501921100 33 25000 SH Sole 25000
Level 3 Communications COM 52729n100 488 6325 SH Sole 6325
Lilly Eli & Co COM 532457108 2456 30274 SH Sole 30274
Loral Space Communications COM G56462107 98 16000 SH Sole 16000
Lucent Technologies COM 549463107 2559 83740 SH Sole 83740
MBIA Inc COM 55262C100 341 4800 SH Sole 4800
Magellan Pete Corp COM 559091301 25 20000 SH Sole 20000
Magellan Petroleum Australia L COM 559083209 29 26250 SH Sole 26250
Maxim Integrated Prods COM 57772k101 724 9000 SH Sole 9000
McDonald's Corp COM 580135101 425 14078 SH Sole 14078
McLeodUSA COM 582266102 172 12000 SH Sole 12000
Medford Bancorp COM 584303101 1704 105648 SH Sole 2 6448 99200
Medtronic COM 585055106 13207 254900 SH Sole 254900
Merck & Co COM 589331107 16764 225212 SH Sole 2 1000 224212
Mercury Genl Corp COM 589400100 340 12000 SH Sole 12000
Messagemedia Inc COM 590787107 25 10000 SH Sole 10000
MicroTel Intl Inc New COM 59514K209 140 297300 SH Sole 2 & 3 138796 158504
Microsoft Corp Wash COM 594918104 3980 65981 SH Sole 65981
Miller Inds COM 600551105 329 351108 SH Sole 351108
Minnesota Mng & Mfg Co COM 604059105 675 7410 SH Sole 7410
Morgan Stanley Dean Witter Dis COM 617446448 2474 27056 SH Sole 27056
Motorola COM 620076109 2570 90991 SH Sole 90991
National City Corp COM 635405103 624 28200 SH Sole 28200
</TABLE>
<PAGE>
Baldwin Brothers, Inc.
FORM 13F
Baldwin Brothers Inc
September 30, 2000
<TABLE>
<CAPTION>
Voting Authority
-----------------------
Value Shares/ Sh/ Put/ Invstmt Other
Name of Issuer Title of class CUSIP (x$1000) Prn Amt Prn Call Dscretn Managers Sole Shared None
-------------- -------------- ----- -------- ------- --- ---- ------- -------- ---- ------ ----
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Network Appliance COM 64120L104 592 4650 SH Sole 2 1000 3650
Network Associates COM 640938106 5737 253585 SH Sole 2 & 4 700 252885
New Era of Networks COM 644312100 4081 167736 SH Sole 2 & 7 2286 165450
Nokia Corp Sponsored ADR COM 654902204 772 19400 SH Sole 19400
Nortel Networks Corp COM 665815106 711 11940 SH Sole 11940
Office Depot COM 676220106 97 12400 SH Sole 2 1323 11077
On-Point Technologies COM 682184106 12 24105 SH Sole 24105
Optika COM 683973101 1293 369500 SH Sole 2,4 & 7 27990 341510
Oracle Sys Corp COM 68389X105 34865 442729 SH Sole 2 3450 439279
PE Biosystems Group COM 69332s102 1014 8700 SH Sole 8700
PNC Finl Svcs Group COM 693475105 1388 21350 SH Sole 21350
Pace Health Mgmt COM 693723108 6 30000 SH Sole 30000
Paychex Inc. COM 704326107 328 6250 SH Sole 6250
Pepsico Inc COM 713448108 5033 109423 SH Sole 4 200 109223
Pfizer Inc COM 717081103 2957 65799 SH Sole 65799
Pharmacia Corp COM 71713u102 309 5140 SH Sole 5140
Philip Morris Cos COM 718154107 503 17085 SH Sole 17085
Procter & Gamble Co COM 742718109 725 10825 SH Sole 10825
Protein Design Labs COM 74369L103 8171 67812 SH Sole 2 & 7 2950 64862
Providian Corp COM 744061102 1327 10450 SH Sole 10450
QUALCOMM COM 747525103 45855 643575 SH Sole 2,4 & 5 7900 635675
Qwest Comm Int'l COM 749121109 7892 164196 SH Sole 164196
Roper Industries Inc COM 776696106 376 11320 SH Sole 11320
Royal Dutch Pete NLG 1.25 COM 780257705 5803 96813 SH Sole 96813
Rstk Long Distance COM 542904107 0 135000 SH Sole 135000
SBC Communications Inc PV$1 COM 78387G103 1553 31068 SH Sole 31068
Sara Lee Corp COM 803111103 526 25911 SH Sole 25911
Schering Plough Corp COM 806605101 721 15500 SH Sole 15500
Schlumberger COM 806857108 1833 22267 SH Sole 22267
Seagate Technology COM 811804103 207 3000 SH Sole 3000
Sherwin Williams Co COM 824348106 2433 113825 SH Sole 4 200 113625
Smithkline Beecham ADS COM 832378301 716 10431 SH Sole 10431
Solectron Corp COM 834182107 208 4500 SH Sole 4500
Sprint Corp COM 852061100 654 22325 SH Sole 22325
Staples COM 855030102 8136 573473 SH Sole 2 5500 567973
State Street Corp COM 857477103 1439 11066 SH Sole 11066
Sun Hydraulics Inc COM 866942105 632 79000 SH Sole 79000
Sun Microsystem Inc COM 866810104 10426 89300 SH Sole 89300
Supertex COM 868532102 2519 50000 SH Sole 50000
Sybron Intl corp Wisc COM 87114F106 1414 58925 SH Sole 58925
Telephone & Data Systems Inc COM 879433100 7378 66650 SH Sole 66650
Texas Biotechnology COM 88221t104 1528 95500 SH Sole 95500
Texas Instruments Inc COM 882508104 727 15416 SH Sole 15416
Time Warner Inc COM 887315109 5296 67682 SH Sole 67682
Transwitch Corp COM 894065101 10101 158448 SH Sole 4 1750 156698
Tyco International Limited COM 902124106 16223 312731 SH Sole 2 1500 311231
USinternetworking Inc COM 917311805 1001 150000 SH Sole 150000
Verizon Communications COM 92343v104 2210 45617 SH Sole 2 200 45417
Viacom Cl B COM 925524308 6979 119301 SH Sole 2 1000 118301
Wal Mart Stores Inc COM 931142103 1020 21190 SH Sole 21190
</TABLE>
<PAGE>
Baldwin Brothers, Inc.
FORM 13F
Baldwin Brothers Inc
September 30, 2000
<TABLE>
<CAPTION>
Voting Authority
-----------------------
Value Shares/ Sh/ Put/ Invstmt Other
Name of Issuer Title of class CUSIP (x$1000) Prn Amt Prn Call Dscretn Managers Sole Shared None
-------------- -------------- ----- -------- ------- --- ---- ------- -------- ---- ------ ----
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Walgreen Company COM 931422109 1491 39300 SH Sole 39300
Wells Fargo & Company COM 949740101 246 5350 SH Sole 5350
Williams Companies COM 969457100 5280 124975 SH Sole 124975
Worldcom Inc GA New COM 98157d106 2726 89737 SH Sole 2 1200 88537
csusitwo COM 465754109 224 1200 SH Sole 1200
eBay Inc COM 278642103 479 7800 SH Sole 7800
Alliance Cap Mgt Holding LP MLP 01855A101 6652 132716 SH Sole 2 4000 128716
Buckeye Partners L P MLP 118230101 1593 55400 SH Sole 2 400 55000
Crown Pacific Partners L.P. MLP 228439105 236 13600 SH Sole 13600
El Paso Energy Partners MLP 28368b102 2908 108723 SH Sole 2 800 107923
Kinder Morgan Energy Partners, MLP 494550106 8744 184576 SH Sole 2 500 184076
Lakehead Pipeline PS L P MLP 511557100 2706 65200 SH Sole 65200
Northern Border Partners L P MLP 664785102 1755 55500 SH Sole 55500
TC Pipeline LP MLP 87233q108 485 24700 SH Sole 24700
Teppco Partners L P MLP 872384102 3748 141116 SH Sole 2 800 140316
Dordtsche Petrol .65NLG Ord FORGN n27145189 258 5120 SH Sole 5120
Shire Pharmaceuticals Grp adr FORGN 82481r106 10487 203134 SH Sole 203134
Rstk Recycling inds WT 756990164 0 18000 SH Sole 18000
REPORT SUMMARY 218 DATA RECORDS 719556 0 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED
</TABLE>
Do not save this screen as a text file. This report automatically creates the
text file inftable.txt, which meets all SEC filing requirements. For details on
the location of this text file, see your 705 Report documentation.
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