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THIS FILING LISTS SECURITIES HOLDINGS REPORTED ON THE FORM 13F FILED ON
NOVEMBER 12, 1999 PURSUANT TO A REQUEST FOR CONFIDENTIAL TREATMENT AND
FOR WHICH CONFIDENTIAL TREATMENT EXPIRED ON NOVEMBER 14, 2000
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: September 30, 1999
Check here if Amendment [X]; Amendment Number: 1
This Amendment (Check only one):
[ ] is a restatement.
[X] adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: Kenneth Lipper
Address: 101 Park Avenue, 6th Floor
New York, New York 10178
Form 13F File Number: 28-6106
The institutional investment manager filing this report and the
attachment hereto 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: Kenneth Lipper
Phone: (212) 883-6333
Signature, Place and Date of Signing:
/s/ Kenneth Lipper New York, New York November 14, 2000
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 manager(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).)
--------------------------------------------------------------------------------
Page 1
<PAGE>
FORM 13F SUMMARY PAGE
Report Summary
Number of Other Included Managers: 5
Form 13F Information Table Entry Total: 111
Form 13F Information Table Value Total: $242,738 (thousands)
CONFIDENTIAL INFORMATION HAS BEEN OMITTED FROM THE PUBLIC FORM 13F REPORT AND
FILED SEPARATELY WITH THE COMMISSION.
List of Other Included Mangers:
Provide a numbered list of the name(s) and Form 13F file number(s) of all
institutional investment managers with respect to which this report is
filed, other than the manager filing this report.
No. Form 13F File Number Name
1 28-6547 Jerome Services Corp. LDC
2 28-6112 Lipper & Company, Inc.
3 28-6114 Lipper & Company, L.P.
4 28-6108 Lipper Convertibles, L.P.
5 28-6802 Lipper Holdings, LLC
ATTACHMENT
Kenneth Lipper ("K. Lipper") owns a majority of the shares of Lipper & Company,
Inc. ("Lipper Inc."), a Delaware corporation, and a majority of the member
interests of Lipper Holdings, LLC ("Lipper Holdings"), a Delaware limited
liability company. Lipper Inc. is the general partner of Lipper & Company, L.P.
("Lipper L.P."), a Delaware limited partnership, and the manager of Lipper
Holdings. Lipper L.P. is the investment manager of a number of limited
partnerships. Lipper Holdings is the general partner of a number of limited
partnerships, some of which are or may be deemed to be "institutional investment
managers" for the purposes of the reporting requirements under Section 13(f) of
the Act, including Lipper Convertibles, L.P. ("Lipper Convertibles"). K. Lipper
is the majority shareholder of Jerome Service Corp. LDC ("Jerome Services"), a
Cayman Islands limited duration company, which is the general partner of a
number of limited partnerships. K. Lipper, by virtue of his relationship to the
aforementioned entities, may be deemed to exercise investment discretion with
respect to the Section 13(f) securities held directly and indirectly by such
entities, but K. Lipper disclaims investment discretion with respect to such
Section 13(f) securities for all other purposes. To the extent that K. Lipper's
interest in the aforementioned entities may nevertheless give rise to a Form 13F
filing obligation for K. Lipper, the information required by Form 13F is
reported herein on behalf of certain entities which are themselves institutional
investment managers subject to Section 13(f) of the Act. In that regard, the
Section 13(f) securities positions of Jerome Services, Lipper Inc., Lipper L.P.,
Lipper Convertibles and Lipper Holdings are included in this Form 13F-HR report
by K. Lipper on behalf of himself and each such entity.
--------------------------------------------------------------------------------
Page 2
<PAGE>
<TABLE>
<CAPTION>
FORM 13F INFORMATION TABLE
COL. 1 COL. 2 COL. 3 COL. 4 COL. 5 COL. 6 COL. 7 COL. 8
------------------------------------------------------------------------------------------------------------------------------------
VOTING AUTHORITY
FAIR MARKET SHARES OR INVESTMENT OTHER ----------------------
NAME OF ISSUER TITLE OF CLASS CUSIP NO. VAL (X$1000) PRN AMT DISCRETION MANAGERS SOLE SHARED NONE
------------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C>
A T & T Com 001957 10 9 853 19,600 Shared-Def 2,3,5 19,600
A T & T Com 001957 10 9 57 1,300 Shared-Def 2,3 1,300
A T & T Com 001957 10 9 178 4,100 Shared-Def 1,2,3 4,100
Alza Corporation Com 022615 10 8 4,273 99,800 Shared-Def 2,3,5 99,800
Alza Corporation Com 022615 10 8 257 6,000 Shared-Def 2,3 6,000
Alza Corporation Com 022615 10 8 852 19,900 Shared-Def 1,2,3 19,900
American Home Prod Com 026609 10 7 1,448 34,900 Shared-Def 2,3 34,900
American Home Prod Com 026609 10 7 1,054 25,400 Shared-Def 25,400
American Home Prod Com 026609 10 7 448 10,800 Shared-Def 1,2,3 10,800
American Home Prod Com 026609 10 7 5,287 127,400 Shared-Def 2,3,5 127,400
Aquarion Com 03838W 10 1 2,088 58,200 Shared-Def 2,3,5 58,200
Aquarion Com 03838W 10 1 136 3,800 Shared-Def 2,3 3,800
Aquarion Com 03838W 10 1 438 12,200 Shared-Def 1,2,3 12,200
Atlantic Richfield Co Com 048825 10 3 7,059 79,200 Shared-Def 2,3,5 79,200
Atlantic Richfield Co Com 048825 10 3 428 4,800 Shared-Def 2,3 4,800
Atlantic Richfield Co Com 048825 10 3 1,426 16,000 Shared-Def 1,2,3 16,000
Columbia Energy Group Com 197648 10 8 2,171 39,200 Shared-Def 2,3,5 39,200
Columbia Energy Group Com 197648 10 8 150 2,700 Shared-Def 2,3 2,700
Columbia Energy Group Com 197648 10 8 449 8,100 Shared-Def 1,2,3 8,100
Compaq Computer Com 204493 10 0 2,613 113,900 Shared-Def 2,3 113,900
Compaq Computer Com 204493 10 0 1,239 54,000 Shared-Def 54,000
Compaq Computer Com 204493 10 0 1,039 45,300 Shared-Def 1,2,3 45,300
Compaq Computer Com 204493 10 0 7,620 332,200 Shared-Def 2,3,5 332,200
Data Gen Corp Com 237688 10 6 1,668 79,200 Shared-Def 2,3 79,200
Data Gen Corp Com 237688 10 6 101 4,800 Shared-Def 2,3,5 4,800
Data Gen Corp Com 237688 10 6 337 16,000 Shared-Def 1,2,3 16,000
Delta & Pine Ld Co Com 247357 10 6 947 36,600 Shared-Def 36,600
Delta & Pine Ld Co Com 247357 10 6 331 12,800 Shared-Def 2,3 12,800
Delta & Pine Ld Co Com 247357 10 6 5,113 197,600 Shared-Def 2,3,5 197,600
Delta & Pine Ld Co Com 247357 10 6 1,025 39,600 Shared-Def 1,2,3 39,600
E I Dupont De Nemours Com 263534 10 9 10,900 179,050 Shared-Def 2,3 179,050
E I Dupont De Nemours Com 263534 10 9 1,278 21,000 Shared-Def 21,000
E I Dupont De Nemours Com 263534 10 9 939 15,241 Shared-Def 1,2,3 15,241
E I Dupont De Nemours Com 263534 10 9 8,133 133,600 Shared-Def 2,3,5 133,600
General Instr Corp Del Com 370120 10 7 230 4,800 Shared-Def 2,3 4,800
General Instr Corp Del Com 370120 10 7 4,003 83,400 Shared-Def 2,3,5 83,400
General Instr Corp Del Com 370120 10 7 806 16,800 Shared-Def 1,2,3 16,800
General Mtrs Corp Com 370442 10 5 3,795 60,300 Shared-Def 2,3 60,300
General Mtrs Corp Com 370442 10 5 1,208 19,200 Shared-Def 19,200
General Mtrs Corp Com 370442 10 5 906 14,400 Shared-Def 1,2,3 14,400
General Mtrs Corp Com 370442 10 5 3,531 56,100 Shared-Def 2,3,5 56,100
General Motors Crp Cl H Com 370442 83 2 6,469 113,000 Shared-Def 2,3 113,000
General Motors Crp Cl H Com 370442 83 2 4,065 71,000 Shared-Def 71,000
General Motors Crp Cl H Com 370442 83 2 1,454 25,400 Shared-Def 1,2,3 25,400
General Motors Crp Cl H Com 370442 83 2 10,276 179,500 Shared-Def 2,3,5 179,500
Hannaford Bros Co Com 410550 10 7 338 4,800 Shared-Def 2,3 4,800
Hannaford Bros Co Com 410550 10 7 5,501 78,100 Shared-Def 2,3,5 78,100
Hannaford Bros Co Com 410550 10 7 1,092 15,500 Shared-Def 1,2,3 15,500
HealthSouth Corp 3.25% Conv '03 421924 AF 8 2,406 3,125,000 Shared-Def 2,3,5
HealthSouth Corp 3.25% Conv '03 421924 AF 8 2,310 3,000,000 Shared-Def 2,3
HealthSouth Corp 3.25% Conv '03 421924 AF 8 3,080 4,000,000 Shared-Def
HealthSouth Corp 3.25% Conv '03 421924 AF 8 289 375,000 Shared-Def 1,2,3
Household Intl Inc Com 441815 10 7 1,184 29,500 Shared-Def 29,500
Intel Corp Com 458140 10 0 524 7,052 Shared-Def 2,3 7,052
Intel Corp Com 458140 10 0 8,008 107,758 Shared-Def 2,3,5 107,758
Intel Corp Com 458140 10 0 1,694 22,790 Shared-Def 1,2,3 22,790
J.D. Edwards & Co Com 281667 10 5 4,458 215,500 Shared-Def 2,3 215,500
J.D. Edwards & Co Com 281667 10 5 1,876 90,700 Shared-Def 90,700
J.D. Edwards & Co Com 281667 10 5 645 31,200 Shared-Def 1,2,3 31,200
J.D. Edwards & Co Com 281667 10 5 4,688 226,600 Shared-Def 2,3,5 226,600
Loral Space & Comm Com G56462 10 7 1,545 89,900 Shared-Def 2,3 89,900
Loral Space & Comm Com G56462 10 7 344 20,000 Shared-Def 20,000
Loral Space & Comm Com G56462 10 7 345 20,100 Shared-Def 1,2,3 20,100
Loral Space & Comm Com G56462 10 7 480 27,900 Shared-Def 2,3,5 27,900
Mascotech Inc 4.5% Conv '03 574670 AB 1 1,705 2,125,000 Shared-Def 2,3,5
Mascotech Inc 4.5% Conv '03 574670 AB 1 100 125,000 Shared-Def 2,3
Mascotech Inc 4.5% Conv '03 574670 AB 1 2,809 3,500,000 Shared-Def
Mascotech Inc 4.5% Conv '03 574670 AB 1 201 250,000 Shared-Def 1,2,3
Mediaone Com 58440J 10 4 8,020 117,400 Shared-Def 2,3,5 117,400
Mediaone Com 58440J 10 4 526 7,700 Shared-Def 2,3 7,700
Mediaone Com 58440J 10 4 1,701 24,900 Shared-Def 1,2,3 24,900
Monsanto Company Com 611662 10 7 4,622 129,500 Shared-Def 2,3 129,500
Monsanto Company Com 611662 10 7 1,217 34,100 Shared-Def 34,100
Monsanto Company Com 611662 10 7 906 25,400 Shared-Def 1,2,3 25,400
Monsanto Company Com 611662 10 7 6,463 181,100 Shared-Def 2,3,5 181,100
Nalco Chem Co Com 629853 10 2 5,646 111,800 Shared-Def 2,3,5 111,800
Nalco Chem Co Com 629853 10 2 333 6,600 Shared-Def 2,3 6,600
Nalco Chem Co Com 629853 10 2 1,126 22,300 Shared-Def 1,2,3 22,300
Office Depot Com 676220 10 6 596 58,500 Shared-Def 58,500
Old Guard Group Inc Com 679783 10 0 298 26,500 Shared-Def 2,3 26,500
Omnicare Inc. 5% Conv '07 681904 AD 0 2,113 3,250,000 Shared-Def 2,3,5
Omnicare Inc. 5% Conv '07 681904 AD 0 1,869 2,875,000 Shared-Def 2,3
Omnicare Inc. 5% Conv '07 681904 AD 0 2,925 4,500,000 Shared-Def
Omnicare Inc. 5% Conv '07 681904 AD 0 244 375,000 Shared-Def 1,2,3
Orion Cap Corp Com 686268 10 3 2,539 53,600 Shared-Def 2,3,5 53,600
Orion Cap Corp Com 686268 10 3 152 3,200 Shared-Def 2,3 3,200
Orion Cap Corp Com 686268 10 3 516 10,900 Shared-Def 1,2,3 10,900
Polymer Group Inc Com 731745 10 5 7 11,167 Shared-Def 2,3 11,167
Republic NY Com 760719 10 4 9,160 149,100 Shared-Def 2,3,5 149,100
Republic NY Com 760719 10 4 6,734 109,600 Shared-Def 2,3 109,600
Republic NY Com 760719 10 4 1,923 31,300 Shared-Def 1,2,3 31,300
Republic NY Com 760719 10 4 1,290 21,000 Shared-Def 21,000
</TABLE>
<PAGE>
<TABLE>
<CAPTION>
FORM 13F INFORMATION TABLE
COL. 1 COL. 2 COL. 3 COL. 4 COL. 5 COL. 6 COL. 7 COL. 8
------------------------------------------------------------------------------------------------------------------------------------
VOTING AUTHORITY
FAIR MARKET SHARES OR INVESTMENT OTHER ----------------------
NAME OF ISSUER TITLE OF CLASS CUSIP NO. VAL (X$1000) PRN AMT DISCRETION MANAGERS SOLE SHARED NONE
------------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C>
SAP Aktiengesellschaft Spnsrd ADR 803054 20 4 2,548 67,500 Shared-Def 2,3 67,500
SAP Aktiengesellschaft Spnsrd ADR 803054 20 4 1,608 42,600 Shared-Def 42,600
SAP Aktiengesellschaft Spnsrd ADR 803054 20 4 513 13,600 Shared-Def 1,2,3 13,600
SAP Aktiengesellschaft Spnsrd ADR 803054 20 4 4,462 118,200 Shared-Def 2,3,5 118,200
Smart Modular Tech Inc Com 831690 10 2 1,141 33,500 Shared-Def 2,3,5 33,500
Smart Modular Tech Inc Com 831690 10 2 68 2,000 Shared-Def 2,3 2,000
Smart Modular Tech Inc Com 831690 10 2 228 6,700 Shared-Def 1,2,3 6,700
Southwest Gas Corp Com 844895 10 2 1,164 43,200 Shared-Def 2,3,5 43,200
Southwest Gas Corp Com 844895 10 2 89 3,300 Shared-Def 2,3 3,300
Southwest Gas Corp Com 844895 10 2 248 9,200 Shared-Def 1,2,3 9,200
Steinway Musical Instrs Inc Com 858495 10 4 430 20,575 Shared-Def 2,3,5 20,575
Thermo Electron Corp 4.25% Conv '03 883556 AF 9 1,410 1,625,000 Shared-Def 2,3,5
Thermo Electron Corp 4.25% Conv '03 883556 AF 9 2,819 3,250,000 Shared-Def 2,3
Thermo Electron Corp 4.25% Conv '03 883556 AF 9 1,627 1,875,000 Shared-Def
Thermo Electron Corp 4.25% Conv '03 883556 AF 9 217 250,000 Shared-Def 1,2,3
Union Carbide Corp Com 905581 10 4 5,863 103,200 Shared-Def 2,3,5 103,200
Union Carbide Corp Com 905581 10 4 352 6,200 Shared-Def 2,3 6,200
Union Carbide Corp Com 905581 10 4 1,170 20,600 Shared-Def 1,2,3 20,600
Watson Pharmaceuticals Inc Com 942683 10 3 1,155 37,800 Shared-Def 37,800
242,738
</TABLE>
