<PAGE> 1
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OMB APPROVAL
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UNITED STATES Expires: February 28, 1997
SECURITIES AND EXCHANGE COMMISSION Estimated average burden
WASHINGTON, D.C. 20549 hours per response.... 24.60
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SEC USE ONLY
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.
--------------------------------------------------------------------------------
(Please read instructions before preparing form.)
--------------------------------------------------------------------------------
If amended report check here: / /
SENECA CAPITAL MANAGEMENT LLC
--------------------------------------------------------------------------------
Name of Institutional Investment Manager
909 MONTGOMERY STREET, SUITE 500 SAN FRANCISCO CA 94133
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Business Address (Street) (City) (State) (Zip)
SANDRA J. MONTICELLI 415-486-6505 CHIEF OPERATING OFFICER
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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).
--------------------------------------------------------------------------------
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 San Francisco and State of California on the 24th
day of October, 2000.
SENECA CAPITAL MANAGEMENT LLC
------------------------------------------
(Name of Institutional Investment Manager)
/s/ Sandra J. Monticelli
------------------------------------------
(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 filed (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.
<TABLE>
<CAPTION>
Name: 13F File No.: Name: 13F File No.:
------------------------------------ ------------- ------------------------------------ -------------
<S> <C> <C> <C>
1. SENECA CAPITAL MANAGEMENT LLC 28-6450 6.
------------------------------------ ------------- ------------------------------------ -------------
2. PHOENIX INVESTMENT PARTNERS, LTD 7.
------------------------------------ ------------- ------------------------------------ -------------
3. PHOENIX HOME LIFE MUTUAL INS. CO. 8.
------------------------------------ ------------- ------------------------------------ -------------
4. 9.
------------------------------------ ------------- ------------------------------------ -------------
5. 10.
------------------------------------ ------------- ------------------------------------ -------------
</TABLE>
SEC 1685 (5/91)
Copyright (C) 1992. NRS Systems, Inc. (Portions of Software Only)
<PAGE> 2
Seneca Capital Management LLC
FORM 13F
3Q 13F Seneca
September 30, 2000
<TABLE>
<CAPTION>
Voting Authority
----------------
Title Value Shares/ Sh/ Put/ Invstmt Other
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>
Actuate Corp COM 00508B102 4305 124620 SH Defined 124620
Adobe Systems Inc COM 00724F101 3338 21500 SH Defined 21500
Advanced Fibre Communications COM 00754A105 56753 1498440 SH Defined 1498440
Agile Software Corp-Del COM 00846X105 44142 490810 SH Defined 490810
Allergan Inc COM 018490102 99463 1177950 SH Defined 1177950
Alpha Inds Inc - DEL COM 020753109 1727 50710 SH Defined 50710
Alteon Websystems Inc COM 02145A109 8345 76990 SH Defined 76990
Altera Corp COM 021441100 6078 127290 SH Defined 127290
American Express Co COM 025816109 82572 1359203 SH Defined 1359203
American International Group I COM 026874107 34875 364470 SH Defined 364470
American Tower Corp Cl A COM 029912201 7469 198180 SH Defined 198180
Anheuser Busch Cos Inc. COM 035229103 21377 505212 SH Defined 505212
AnnTaylor Stores Corp COM 036115103 2201 57250 SH Defined 57250
Applied Materials Inc COM 038222105 76946 1297290 SH Defined 1297290
Applied Micro Circuits Corp COM 03822W109 2713 13100 SH Defined 13100
Automatic Data Processing Inc COM 053015103 24587 367659 SH Defined 367659
Avery Dennison Corp COM 053611109 33486 722070 SH Defined 722070
Bank Of Amer Corp COM 060505104 1257 24000 SH Defined 24000
Bed Bath & Beyond Inc COM 075896100 94510 3874830 SH Defined 3874830
Boeing Co COM 097023105 283 4500 SH Defined 4500
Brinker Intl Inc COM 109641100 11818 392300 SH Defined 392300
CAl Dive International Inc COM 127914109 2947 51530 SH Defined 51530
CVS Corp COM 126650100 36250 782720 SH Defined 782720
Capital One Financial Corp COM 14040H105 129066 1842150 SH Defined 1842150
</TABLE>
<PAGE> 3
<TABLE>
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Charles Schwab Corp New COM 808513105 35002 985983 SH Defined 985983
Chartered Semiconductor Mfg LT COM 16133R106 64527 1063269 SH Defined 1063269
Chase Manhattan Corp New COM 16161A108 554 12000 SH Defined 12000
Cisco Systems Inc COM 17275R102 87266 1579470 SH Defined 1579470
Citigroup Inc COM 172967101 141792 2622741 SH Defined 2622741
Clear Channels Communications COM 184502102 78488 1389163 SH Defined 1389163
Coca Cola Co COM 191216100 59289 1075540 SH Defined 1075540
Colgate-Palmolive Co COM 194162103 6198 131317 SH Defined 131317
Comverse Technology Inc New COM 205862402 15387 142470 SH Defined 142470
Convergys Corp COM 212485106 91211 2346270 SH Defined 2346270
Copper Mountain Networks Inc COM 217510106 12646 337230 SH Defined 337230
Corning Inc COM 219350105 103159 347336 SH Defined 347336
Credence Systems Corp COM 225302108 60314 2010460 SH Defined 2010460
Crown Castle Int'l Corp COM 228227104 100424 3232955 SH Defined 3232955
Diamond Offshore Drilling Inc COM 25271C102 67260 1640480 SH Defined 1640480
Ditech Communications Corp COM 25500M103 1875 45740 SH Defined 45740
Dril-Quip Inc COM 262037104 2913 73060 SH Defined 73060
Duke Energy Corp COM 264399106 46168 538400 SH Defined 538400
Dynegy Inc-CL A COM 26816Q101 103368 1813470 SH Defined 1813470
E M C Corp Mass COM 268648102 15226 153600 SH Defined 153600
Echostar Communications Corp N COM 278762109 106157 2012452 SH Defined 2012452
Edwards Lifesciences Corp COM 28176E108 2820 129280 SH Defined 129280
El Paso Energy Corp COM 283905107 97520 1582478 SH Defined 1582478
Electro Scientific Inds Inc COM 285229100 3145 89530 SH Defined 89530
Emerson Electric Co COM 291011104 14299 213420 SH Defined 213420
Emulex Corp COM 292475209 11478 93700 SH Defined 93700
Enron Corp COM 293561106 4457 50860 SH Defined 50860
Exodus Communications Inc COM 302088109 1151 23320 SH Defined 23320
Extreme Networks Inc COM 30226D106 168795 1474190 SH Defined 1474190
Exxon Mobil Corp COM 30231G102 27027 303249 SH Defined 303249
Fairchild Semicon Intl CL A COM 303726103 70127 2493400 SH Defined 2493400
Flextronics International Ltd COM Y2573F102 21144 257465 SH Defined 257465
Forest Labs Inc COM 345838106 80287 700050 SH Defined 700050
General Electric Co COM 369604103 120804 2094110 SH Defined 2094110
General Motors Corp Class H COM 370442832 134360 3613775 SH Defined 3613775
</TABLE>
<PAGE> 4
<TABLE>
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Grant Prideco Inc COM 38821G101 1581 72090 SH Defined 72090
Guidant Corp COM 401698105 75355 1066033 SH Defined 1066033
HCA - The Healthcare Company COM 404119109 84610 2279050 SH Defined 2279050
Halliburton Company COM 406216101 108979 2226911 SH Defined 2226911
Hershey Foods Corp COM 427866108 82969 1532920 SH Defined 1532920
Human Genome Sciences Inc COM 444903108 11253 65000 SH Defined 65000
Infinity Broadcasting Corp - C COM 45662S102 5718 173278 SH Defined 173278
Infocus Corp COM 45665B106 2623 49500 SH Defined 49500
Intel Corp COM 458140100 85042 2046120 SH Defined 2046120
Interlink Electronics Inc COM 458751104 2942 151825 SH Defined 151825
International Business Machine COM 459200101 100971 897521 SH Defined 897521
International Rectifier Corp COM 460254105 59961 1187350 SH Defined 1187350
Intuit Inc COM 461202103 21153 371100 SH Defined 371100
JDS Uniphase Corp COM 46612J101 1921 20286 SH Defined 20286
JNI Corp COM 46622G105 11344 127460 SH Defined 127460
Johnson & Johnson COM 478160104 86426 920040 SH Defined 920040
Keithley Instruments Inc COM 487584104 2415 34500 SH Defined 34500
Key Energy Services Inc COM 492914106 2681 273250 SH Defined 273250
LSI Logic Corp COM 502161102 1434 49040 SH Defined 49040
Lilly (Eli) & Co COM 532457108 5832 71890 SH Defined 71890
Limited Inc COM 532716107 16732 758400 SH Defined 758400
Linens N Things Inc COM 535679104 11149 437200 SH Defined 437200
Lowe's Cos Inc COM 548661107 80789 1800308 SH Defined 1800308
Lucent Technologies Inc COM 549463107 223 7302 SH Defined 7302
MBNA Corp COM 55262L100 98930 2569608 SH Defined 2569608
MGIC Investment Corp COM 552848103 125219 2048570 SH Defined 2048570
McData Corporation COM 580031102 41173 335040 SH Defined 335040
Medimmune Inc COM 584699102 10003 129485 SH Defined 129485
Medtronic Inc COM 585055106 435 8400 SH Defined 8400
Mellon Financial Corp COM 58551A108 66191 1427300 SH Defined 1427300
Merck & Co COM 589331107 83290 1118930 SH Defined 1118930
Mercury Interactive Corp COM 589405109 149214 951922 SH Defined 951922
Mettler-Toledo Intl Inc COM 592688105 2856 64910 SH Defined 64910
Microsoft Corp COM 594918104 2756 45703 SH Defined 45703
Millipore Corp COM 601073109 1775 36640 SH Defined 36640
</TABLE>
<PAGE> 5
<TABLE>
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Morgan Stanley Dean Witter & C COM 617446448 71885 786160 SH Defined 786160
NDS Group Plc-Spons ADR COM 628891103 52052 676000 SH Defined 676000
Nabors Industries COM 629568106 87851 1676540 SH Defined 1676540
Nextel Communications Inc Cl A COM 65332V103 110522 2364098 SH Defined 2364098
Nextel Partners Inc-Cl A COM 65333F107 69322 2380150 SH Defined 2380150
Nokia Corp - Spon ADR COM 654902204 9567 240300 SH Defined 240300
Nortel Networks Corp COM 656568102 49254 826931 SH Defined 826931
OM Group Inc COM 670872100 205 4700 SH Defined 4700
OTG Software Inc COM 671059103 5057 123720 SH Defined 123720
Orbotech Ltd COM M75253100 2606 47650 SH Defined 47650
PMC-Sierra Inc COM 69344F106 10394 48290 SH Defined 48290
Palm Inc COM 696642107 45659 862510 SH Defined 862510
Perkinelmer Inc COM 714046109 132156 1266170 SH Defined 1266170
Pfizer Inc COM 717081103 92858 2066376 SH Defined 2066376
Pope & Talbot Inc COM 732827100 2428 169610 SH Defined 169610
Powertel Inc COM 73936C109 15958 209800 SH Defined 209800
Powerwave Technologies Inc COM 739363109 67198 1769820 SH Defined 1769820
Proton Energy Systems COM 74371k101 716 25000 SH Defined 25000
RF Micro Devices Inc COM 749941100 2778 86810 SH Defined 86810
SBC Communications Inc COM 78387G103 83930 1678600 SH Defined 1678600
SDL Inc COM 784076101 8747 28280 SH Defined 28280
SPX Corp COM 784635104 110244 776710 SH Defined 776710
STMicroelectronics NV COM 861012102 24657 517725 SH Defined 517725
Sandisk Corp COM 80004C101 13183 197500 SH Defined 197500
Santa Fe International Corp COM G7805C108 79433 1762733 SH Defined 1762733
Sawtek Inc COM 805468105 17287 448830 SH Defined 448830
Schlumberger LTD COM 806857108 4366 53046 SH Defined 53046
Scientific-Atlanta Inc COM 808655104 185480 2915200 SH Defined 2915200
Southern Energy Inc COM 842816100 20432 651230 SH Defined 651230
Spectrasite Holdings Inc COM 84760T100 45330 2442020 SH Defined 2442020
Sun Microsystems Inc COM 866810104 111938 958782 SH Defined 958782
Talbots Inc COM 874161102 5050 76230 SH Defined 76230
Tenet Healthcare Corporation COM 88033G100 103443 2843800 SH Defined 2843800
Texas Instruments Inc COM 882508104 20748 439686 SH Defined 439686
The PMI Group Inc COM 69344M101 2829 41750 SH Defined 41750
</TABLE>
<PAGE> 6
<TABLE>
<S> <C> <C> <C> <C> <C> <C> <C>
Tut Systems Inc. COM 901103101 57719 668720 SH Defined 668720
Tycom LTD COM G9144B106 73923 1926340 SH Defined 1926340
UTI Energy COM 903387108 3603 80750 SH Defined 80750
Ulticom Inc COM 903844108 3493 74130 SH Defined 74130
Universal Health Svcs Inc CLas COM 913903100 29969 350000 SH Defined 350000
Valero Energy Corp COM 91913Y100 58414 1660080 SH Defined 1660080
Valuevision Intl Inc - CL A COM 92047K107 2756 109710 SH Defined 109710
Veritas Software Corp COM 923436109 3640 25633 SH Defined 25633
Viacom Inc-CL B COM 925524308 8014 137000 SH Defined 137000
Vicor Corp COM 925815102 4144 76390 SH Defined 76390
Virage Logic Corporation COM 92763R104 2825 171890 SH Defined 171890
Walmart Stores Inc COM 931142103 77167 1603467 SH Defined 1603467
Waters Corp COM 941848103 18928 212670 SH Defined 212670
Weatherford International COM 947074100 89732 2086790 SH Defined 2086790
Xilinx Inc COM 983919101 19200 224230 SH Defined 224230
Equity Residential cv7 1/4 Ser 29476l859 234 10000 SH Defined 10000
</TABLE>
<TABLE>
<S> <C> <C> <C> <C>
REPORT SUMMARY 145 DATA RECORDS 6308416 0 OTHER MA
</TABLE>
<PAGE> 7
Seneca Capital Management LLC
STOCK PORTFOLIO
GE Investments Real Estate Securities Funds, Inc.
September 30, 2000
<TABLE>
<CAPTION>
Unit Total Market Pct. Cur.
Quantity Security Cost Cost Price Value Assets Yield
-------- -------- ---- ---- ----- ----- ------ -----
SPECIAL SITUATIONS
------------------
<S> <C> <C> <C> <C> <C> <C> <C>
214500 Allied Riser Communications Corp 7.45 1598828.25 6.62 1421062.5 3.1 0
80597 Archstone Communities Trust 22.3 1797644.22 24.56 1979663.81 4.3 6.3
63500 Arden Realty Group Inc. 26.51 1683235 26.81 1702593.75 3.7 6.9
34660 Avalon Bay Communities, Inc. 36.95 1280834.06 47.69 1652854.95 3.6 4.7
66300 Bedford Property Investors 18.37 1217706.2 20.31 1346718.75 3 8.9
71000 Chateau Properties Inc. 28.57 2028317.5 26.81 1903687.5 4.2 7.7
70000 Duke Realty 24.16 1691076 24.12 1688750 3.7 7.1
88200 Equity Office Properties 27.88 2458724 31.06 2739712.5 6 5.8
51600 Equity Residential Properties 43.71 2255482.04 48 2476800 5.4 6.8
57450 Essex Property Trust Inc. 30.48 1750985.12 55.37 3181293.75 7 4.4
35300 First Industrial Realty Trust 27.18 959470.3 30.75 1085475 2.4 8.1
36200 Freddie Mac 41.77 1512184.5 54.06 1957062.5 4.3 1.3
25000 General Growth Properties 33.08 827125 32.19 804687.5 1.8 6.3
110050 Glenborough Realty Trust Pf. A 19.65 2162564.5 17 1870850 4.1 11.3
109810 Istar Financial Inc 21.53 2363908.02 22.44 2463861.87 5.4 10.7
78500 Macerich Co 25.49 2001267.53 21.25 1668125 3.7 9.6
79900 Mack-Cali Realty Corp. 28.67 2291112.75 28.19 2252181.25 4.9 8.2
73500 Manufactured Home Communities Inc. 19.99 1469059.25 25 1837500 4 6.6
105000 Northstar Financial 16.16 1696875 14.12 1483125 3.3 0
56600 Philip Morris Companies Inc 28.83 1631537 29.44 1666162.5 3.7 7.2
29000 Prentiss Properties Trust 25.8 748240 26.12 757625 1.7 7.4
41000 Reckson Associates Preferred A 23.42 960159.55 23.37 958375 2.1 8.2
29700 Reckson Assocs Realty Corp 25.81 766482 25.5 757350 1.7 0
111600 Simon Property Group, Inc. 26.11 2914389.04 23.44 2615625 5.7 8.6
</TABLE>
<PAGE> 8
<TABLE>
<S> <C> <C> <C> <C> <C> <C> <C>
12500 Spieker Properties Inc. 33.24 415442.8 57.56 719531.25 1.6 4.9
84200 Starwood Hotels & Resorts Worldwide Inc. 43.35 3650315.8 31.25 2631250 5.8 2.2
----------- --------- --- ---
</TABLE>
<TABLE>
<S> <C> <C> <C> <C>
44132965.44 45621924.39 100 6.3
----------- ----------- --- ---
TOTAL PORTFOLIO 44132965.44 45621924.39 100 6.3
=========== =========== === ===
</TABLE>
<PAGE> 9
<TABLE>
<CAPTION>
NON VOTING VOTING G
--------------------------- --------------------------------------
SECURITY CUSIP SYMBOL UNITS COUNT MKT VALUE UNITS COUNT MKT VALUE
-------- ----- ------ ----- ----- --------- ----- ----- ---------
<S> <C> <C> <C> <C> <C> <C> <C> <C>
ABBOTT LABORATORIES 2824100 ABT 0 0 0 50 1 2,378
AIR PROD & CHEM INC 9158106 APD 0 0 0 90 1 3,240
ALCOA INC 13817101 AA 0 0 0 455 2 11,517
ALLIED ZURICH PLC LEVEL I 01959Q101 ADZHY 0 0 0 70 1 1,585
ALLSTAR INNS INC 19889104 ALSTF 0 0 0 33 1 0
ALLSTATE CORP 20002101 ALL 0 0 0 110 1 3,823
AMERICA ONLINE INC 02364J104 AOL 61 1 3,279 801 3 43,054
AMERICAN EXPRESS CO 25816109 AXP 35,759 385 2,172,408 171,429 1,971 10,414,571
AMERICAN INTERNATIONAL GP 26874107 AIG 3,354 19 320,938 16,066 140 1,537,318
AMERICAN NEW PERSPECTIVE 648018109 ANWPX 0 0 0 1 1 29
ANALOG DEVICES INC 32654105 ADI 20 1 1,651 0 0 0
ANHEUSER BUSCH COS INC 35229103 BUD 5,668 19 239,827 27,051 140 1,144,599
APPLIED MATERIALS INC 38222105 AMAT 30,806 384 1,827,203 148,178 1,968 8,788,894
ARCHER DANIELS MIDLAND 39483102 ADM 5 1 1,035 138 1 1,190
AT&T WIRELESS GP TRACKING 1957406 AWE 0 0 0 50 1 1,044
AUTOMATIC DATA PROCESSING 53015103 AUD 4,228 19 282,748 18,759 139 1,254,513
BANK OF AMERICA CORP 60505104 BAC 0 0 0 20 1 1,048
BANK ONE CORP 06423A103 ONE 0 0 0 60 1 2,318
BASF AG SP ADR 55262505 BF 0 0 0 40 1 1,458
BEA SYSTEMS INC 73325102 BEAS 38 1 2,959 172 1 13,395
BOEING CO 97023105 BA 0 0 0 95 1 5,985
BRISTOL MYERS SQUIBB CO 110122108 BMY 0 0 0 50 1 2,856
BRITISH AMER TOB SPON ADR 110448107 BTI 0 0 0 180 1 2,351
BRITISH TELECOMMUNIC PLC 111021408 BTY 0 0 0 20 1 2,141
CAPITAL ONE FINANCIAL COR 14040H105 COF 0 0 0 45 1 3,153
CENTRAIS ELECTRICAS CO AD 15234Q207 CAIFY -200 1 -3,275 285 1 2,780
CHARLES SCHWAB NEW 808513105 SCH 7,530 17 267,318 38,136 133 1,353,862
CHEVRON CORP 166751107 CHV 0 0 0 20 1 1,705
CISCO SYS INC 17275R102 CSCO 44,158 385 2,439,769 211,221 1,976 11,670,188
CITIGROUP INC 172967101 C 64,321 384 3,477,380 310,655 1,979 16,794,949
CLEAR CHANNEL COMMUNICATI 184502102 CCU 41,773 384 2,360,270 197,975 1,975 11,186,076
CNH GLOBAL NV RT 8 4 00 N N20935990 N20935 198 1 0 157 1 0
</TABLE>
<PAGE> 10
<TABLE>
<S> <C> <C> <C> <C> <C> <C> <C> <C>
COCA COLA CO 191216100 KO 39,085 365 2,154,588 187,132 1,843 10,315,783
COLGATE PALMOLIVE CO 194162103 CL 0 0 0 161 3 7,600
COMMONWEALTH ED 1.40 PREF 202795696 202795 -94 1 0 1 1 0
COMP DE BEB AMBEV SP ADR 20441W203 ABV 0 0 0 130 1 2,876
CONAGRA FOODS INC 205887102 CAG 0 0 0 1,300 1 26,081
CONAGRA INC 205887102 CAG 0 0 0 140 1 2,809
CONOCO INC CL A 208251306 COCA 0 0 0 90 1 2,351
CONTRONIC CORP 220799100 CTXO 0 0 0 4,000 1 0
CORNING INC 219350105 GLW 8,181 383 2,429,757 39,223 1,959 11,649,231
COSTCO WHOLESALE CORP NEW 22160K105 COST 0 0 0 40 1 1,398
CVS CORPORATION 126650100 CVS 15,210 355 704,434 71,686 1,761 3,320,051
DE BEER CONS MINES ADR DE 240253302 DBRSY 0 0 0 80 1 2,215
DELL COMPUTER CORP 247025109 DELL 27 1 832 177 2 5,454
DEUTSCHE TELEKOM AG 1 ORD 251566105 DT 0 0 0 60 1 2,055
DIAGEO PLC SPON ADR NEW 25243Q205 DEO 0 0 0 110 1 3,884
DIAMOND OFFSHORE DRILLING 25271C102 DO 46,592 365 1,910,272 223,379 1,842 9,158,539
DUKE ENERGY CORP 264399106 DUK 14,312 364 1,227,296 67,747 1,830 5,809,497
DW REALTY INCOME PTNSHP 3 24241G301 24241G 0 0 0 4 1 4
EL PASO ENERGY CORP 283905107 EPG 39,908 384 2,459,358 190,040 1,963 11,711,363
ELECTR DATA SYSTEMS CORP 285661104 EDS 35 1 1,453 191 2 7,927
ELI LILLY & CO 532457108 LLY 30 1 2,434 1,727 33 140,105
EMC CORP MASS 268648102 EMC 76 1 7,534 388 2 38,461
EMERSON ELECTRIC CO 291011104 EMR 0 0 0 45 1 3,015
ENI SPA AMER DEP RCPT 26874R108 E 0 0 0 30 1 1,588
ENRON CORP 293561106 ENE 14 1 1,227 67 1 5,871
ENTERGY CORP NEW 29364G103 ETR 0 0 0 110 1 4,098
EXXON MOBIL CORP 30231G102 XOM 3,369 18 300,262 15,519 134 1,383,153
FANNIE MAE 313586109 FNM 0 0 0 40 1 2,860
FARM ENERGY 30766L104 FECPF 0 0 0 2,000 1 0
FHLMC 1994 1720 A 7 1/2 3133T5DC4 0 0 0 547 1 544
FIRST SENTINEL BANCORP 33640T103 FSLA 0 0 0 220 1 2,097
FLEETBOSTON FINANCIAL CP 339030108 FBF 0 0 0 70 1 2,730
GATEWAY INC 367626108 GTW 0 0 0 25 1 1,169
GENENTECH INC 368710406 DNA 7 1 1,300 31 1 5,756
GENERAL ELECTRIC CO 369604103 GE 62,961 383 3,632,102 305,657 1,976 17,632,793
</TABLE>
<PAGE> 11
<TABLE>
<S> <C> <C> <C> <C> <C> <C> <C> <C>
GENERAL MOTORS CORP H (NE 370442832 GMH 86,552 383 3,218,019 416,837 1,977 15,498,035
GENZYME CP (GENERAL DIVIS 372917104 GENZ 0 0 0 370 1 25,229
GOODYEAR TIRE & RUBBER 382550101 GT 0 0 0 40 1 720
GUIDANT CORP 401698105 GDT 32,060 384 2,266,252 153,800 1,975 10,871,771
H J HEINZ CO 423074103 HNZ 0 0 0 50 1 1,853
HALLIBURTON CO HLDG CO 406216101 HAL 56,154 384 2,748,060 271,925 1,974 13,307,438
HCA-THE HEALTHCARE CO 404119109 HCA 57,904 382 2,149,710 277,511 1,973 10,302,716
HITACHI 10 COM NEW ADR 433578507 HIT 0 0 0 20 1 2,285
HOME DEPOT INC 437076102 HD 37 1 1,963 169 1 8,968
HUDSON RIVER BANCORP INC 444128102 HRBT 0 0 0 150 1 1,959
IBP INC 449223106 IBP 0 0 0 100 1 1,831
INFINITY BROADCASTING CP 45662S102 INF 125 1 4,125 372 5 12,276
ING GROEP NV ADR 456837103 ING 0 0 0 40 1 2,635
INTEL CORP 458140100 INTC 49,815 376 2,070,458 240,847 1,939 10,010,316
INTERNATIONAL PAPER CO 460146103 IP 0 0 0 50 1 1,434
INTERPUBLIC GROUP OF COS 460690100 IPG 0 0 0 195 2 6,642
INTL BUSINESS MACHINES CO 459200101 IBM 23,415 383 2,634,283 112,824 1,975 12,693,202
INVENSYS PLC SPONS ADR 461204109 IVNSY 0 0 0 298 1 1,311
JDS UNIPHASE CORP 46612J101 JDSU 22 1 2,083 101 1 9,563
JOHNSON & JOHNSON 478160104 JNJ 27,362 384 2,570,356 131,608 1,970 12,363,075
KLA TENCOR CORP 482480100 KLAC 40 1 1,648 87 1 3,583
LEAP WIRELESS INTL INC 521863100 LWIN 0 0 0 25 1 1,564
LINEAR TECHNOLOGY CORPORA 535678106 LLTC 0 0 0 78 1 5,051
LOCKHEED MARTIN CORP 539830109 LMT 0 0 0 160 1 5,274
LOEWS CORP DELAWARE 540424108 LTR 0 0 0 30 1 2,501
LOWES COMPANIES INC 548661107 LOW 49,555 384 2,223,799 233,629 1,969 10,484,240
LUBRIZOL CORP 549271104 LZ 0 0 0 60 1 1,181
LUCENT TECHNOLOGIES 549463107 LU 62 1 1,895 285 1 8,710
MARKS SPEN ADR SPONS 570697607 MASPY 0 0 0 120 1 2,161
MATSUSHITA EL INDL ADR 576879209 MC 0 0 0 15 1 3,939
MAXIM INTEGRATED PRODUCTS 57772K101 MXIM 21 1 1,689 93 1 7,481
MBNA CORP 55262L100 KRB 63,191 383 2,432,941 305,656 1,974 11,768,258
MC DONALDS CORP 580135101 MCD 0 0 0 60 1 1,811
MCKESSON HBOC INC 58155Q103 MCK 0 0 0 120 1 3,668
MEDIAONE GROUP INC 58440J104 58440J 0 0 0 26 1 0
</TABLE>
<PAGE> 12
<TABLE>
<S> <C> <C> <C> <C> <C> <C> <C> <C>
MEDTRONIC INC 585055106 MDT 86 1 4,456 400 2 20,725
MELLON FINCL CORP 58551A108 MEL 54,391 368 2,522,405 261,762 1,855 12,139,349
MERCK & CO 589331107 MRK 37,999 367 2,828,551 182,790 1,845 13,606,445
MERRILL LYNCH & CO INC 590188108 MER 0 0 0 30 1 1,980
MGIC INVT CORP 552848103 MTG 0 0 0 170 1 10,391
MICROSOFT CORP 594918104 MSFT 38 1 2,292 212 2 12,787
MORGAN STNLY DEAN WITTER 617446448 MWD 24,859 360 2,273,049 119,634 1,814 10,939,068
MOTOROLA INC 620076109 MOT 0 0 0 147 1 4,153
MSDW AMERICAN OPPORTUNITI 616933206 AMOBX 0 0 0 6 1 259
NATIONAL CITY CORPORATION 635405103 NCC 0 0 0 130 1 2,876
NEXTEL COMMUNICATIONS INC 65332V103 NXTL 52,521 384 2,455,416 254,473 1,977 11,896,950
NOKIA CP ADR 654902204 NOK 1,751 7 69,713 6,087 22 242,344
NORTEL NETWORKS CORP NEW 656568102 NT 24,331 368 1,449,238 116,403 1,844 6,933,337
ORACLE CORP 68389X105 ORCL 52 1 4,095 282 2 22,208
PALM INC 696642107 PALM 22,690 366 1,201,161 110,004 1,831 5,823,406
PECO ENERGY CO 693304107 PE 0 0 0 45 1 2,725
PETROLEO BRASILEIRO SA AD 71654V101 PEBPY 0 0 0 80 1 2,289
PFIZER INC 717081103 PFE 47,818 385 2,148,844 223,157 1,960 10,028,184
PG&E CORPORATION 69331C108 PCG 0 0 0 80 1 1,935
PHARMACIA CORP 71713U102 PHA 48 1 2,889 254 2 15,288
PHILIP MORRIS CO INC 718154107 MO 0 0 0 40 1 1,178
POWERGEN PLC ADR FINAL IS 738905405 PWG 5 1 1,076 60 1 1,890
QWEST COMMUNICATIONS INTL 749121109 Q 0 0 0 25 1 1,202
RAYTHEON CO (NEW) CLB 755111408 RTNB 0 0 0 195 1 5,545
REEBOK INTERNATIONAL LTD 758110100 RBK 0 0 0 100 1 1,881
SAFECO CORP 786429100 SAFC 0 0 0 70 1 1,908
SBC COMMUNICATIONS 78387G103 SBC 44,946 364 2,247,300 222,274 1,836 11,113,700
SCHERING PLOUGH CORP 806605101 SGP 0 0 0 50 1 2,325
SCIENTIFIC ATLANTA 808655104 SFA 33,011 382 2,100,328 157,238 1,968 10,004,307
SERVICE CORP INTL 817565104 SRV 0 0 0 220 1 536
SHERWIN WILLIAMS COMPANY 824348106 SHW 0 0 0 90 1 1,924
SOLECTRON CP 834182107 SLR 30 1 1,384 190 1 8,764
SOUTHERN ENERGY INC 842816100 SOE 20,681 362 648,883 98,421 1,826 3,088,043
STMICROELECTRONICS NV 861012102 STM 38,551 347 1,836,020 189,132 1,737 9,007,550
SUN MICROSYSTEMS INC 866810104 SUNW 17,999 381 2,101,432 88,952 1,936 10,385,445
</TABLE>
<PAGE> 13
<TABLE>
<S> <C> <C> <C> <C> <C> <C> <C> <C>
SWIRE PACIFIC SPN ADR LTD 870794302 SWRAY 0 0 0 400 1 2,493
TELEBRASILEIRAS SA TELECO 879287100 879287 0 0 0 200 1 8
TELECOMUNICACOES BRAS SA 879287308 TBH 0 0 0 30 1 2,374
TELEFONICA DE ESPANA SA A 879382208 TEF 0 0 0 66 1 3,923
TELEFONOS DE MX SA DE CV 879403780 TMX 0 0 0 65 1 3,457
TELLABS INC DELAWARE 879664100 TLAB 17 1 812 106 2 5,062
TELSP CEL PT SP ADR RT EX 87952L116 TCPRT 0 0 0 1 1 0
TEXAS INSTRUMENTS 882508104 TXN 4,884 19 230,465 23,149 132 1,092,359
THE BRAZILIAN EQUITY FUND 105884100 BZL 0 0 0 0 1 1
THISTLE GROUP HOLDINGS 8.84E+107 THTL 0 0 0 200 1 1,550
TIME WARNER INC 887315109 TWX 0 0 0 40 1 3,130
TOKIO MARINE & FIRE ADR N 889090403 TKIOY 0 0 0 40 1 2,008
TOYS R US 892335100 TOY 0 0 0 120 1 1,950
TRIARX GOLD CORPORATION 895940104 TRXGF 0 0 0 500 1 0
TYCO INTERNATIONAL LTD NE 902124106 TYC 79 1 4,098 361 1 18,727
TYCOM LTD G9144B106 TCM 59,939 367 2,300,184 286,743 1,840 11,003,870
UNICOM CORP (HOLDING COMP 904911104 UCM 0 0 0 60 1 3,371
UNILEVER PLC (NEW) ADS 904767704 UL 0 0 0 60 1 1,575
UNIT GSIF GOV GNMA $1PV G 383743580 37,320 1 1,194 0 0 0
UNIT MSDW HI-TECH 35 INDE 61745G841 16,432 1 526 3,143 1 29,566
UNIT 1ST TR SPL COMMUN GW 30264V752 0 0 0 2 1 26
USA EDUCATION 90390U102 SLM 32 1 1,196 90 1 4,337
UST INC 902911106 UST 0 0 0 130 1 2,974
VERITAS SOFTWARE DE 923436109 VRTS 20 1 2,840 91 1 12,922
VIACOM INC B 925524308 VIAB 35 1 2,048 159 1 9,302
WAL MART STORES INC 931142103 WMT 40,237 385 1,936,435 189,003 1,970 9,095,910
WALT DISNEY CO HLDG CO 254687106 DIS 427 2 16,333 3,595 12 137,511
WASTE MGMT INC (DELA) 94106L109 WMI 0 0 0 30 1 523
WEBVAN GRP INC 94845V103 WBVN 0 0 0 107 1 247
WORLDCOM INC 98157D106 WCOM 154 1 4,678 756 2 22,963
XEROX CORP 984121103 XRX 0 0 0 120 1 1,808
XILINX INC 983919101 XLNX 16 1 1,370 74 1 6,336
ZEBRA TECH CORP CL B 989207204 ZBRB 0 0 0 120 1 3,990
</TABLE>
<PAGE> 14
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: Sept 30, 2000
Check here if Amendment [ ]; Amendment Number:
This Amendment (Check only one.): [ ] is a restatement.
[ ] adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: Seneca Capital Management
Address: 909 Montgomery Street
<PAGE> 15
13F File Number: 28-______
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: ______________________________
Title: ______________________________
Phone: ______________________________
Signature, Place, and Date of Signing:
------------------------ ----------------------- --------------------------
Report Type (Check only one.):
[ X ] 13F HOLDINGS REPORT.
[ ] 13F NOTICE.
[ ] 13F COMBINATION REPORT.
List of Other Managers Reporting for this Manager:
<PAGE> 16
I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934.
FORM 13F SUMMARY PAGE
Report Summary:
<TABLE>
<S> <C>
Number of Other Included Managers:
Form 13F Information Table Entry Total: 66
Form 13F Information Table Value Total: $826,752
</TABLE>
List of Other Included Managers:
No. 13F File Number Name
<TABLE>
<CAPTION>
FORM 13F INFORMATION TABLE
VOTING AUTHORITY
TITLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER
NAME OF ISSUER OF CLASS CUSIP NO (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE
-------------- -------- -------- -------- ------- --- ---- ------- -------- ---- ------ ----
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
ADVANCED FIBRE COMMUNICATIONS COM 00754A105 17351 458119 SH SOLE 458119
AGILE SOFTWARE COM 00846X105 20933 232754 SH SOLE 232754
ALLERGAN INC COM 018490102 28705 339950 SH SOLE 339950
AMERICAN EXPRESS CO COM 025816109 449 7394 SH SOLE 7394
AMERICAN INTL GROUP INC COM 026874107 1010 10552 SH SOLE 10552
ANHEUSER BUSCH COS INC COM 035229103 634 14987 SH SOLE 14987
</TABLE>
<PAGE> 17
<TABLE>
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
APPLIED MATERIALS INC COM 038222105 572 9652 SH SOLE 9652
AUTOMATIC DATA PROCESSING INC COM 053015103 782 11690 SH SOLE 11690
AVERY DENNISON CORP COM 053611109 13893 299581 SH SOLE 299581
BED BATH & BEYOND INC COM 075896100 25585 1048953 SH SOLE 1048953
CAPITAL ONE FINL CORP COM 14040H105 31893 455210 SH SOLE 455210
CHARTERED SEMICONDUCTORS COM 16133R106 17313 285278 SH SOLE 285278
CISCO SYSTEMS INC COM 17275R102 1145 20716 SH SOLE 20716
CITIGROUP INC COM 172967101 1137 21032 SH SOLE 21032
CLEAR CHANNEL COMMUNICATIONS COM 184502102 630 11145 SH SOLE 11145
COLGATE PALMOLIVE CO COM 194162103 529 11202 SH SOLE 11202
CONVERGYS CORP COM 212485106 21831 561577 SH SOLE 561577
COPPER MTN NETWORKS INC COM 217510106 766 20425 SH SOLE 20425
CORNING INC COM 219350105 605 2038 SH SOLE 2038
CREDENCE SYS CORP COM 225302108 14049 468310 SH SOLE 468310
CROWN CASTLE INTL CORP COM 228227104 22475 723546 SH SOLE 723546
DISNEY WALT CO COM 254687106 511 13349 SH SOLE 13349
DYNEGY INC (NEW) CLASS A 26816Q101 29299 514015 SH SOLE 514015
ECHOSTAR COMMUNICATNS CORP NEW CL A 278762109 27849 527940 SH SOLE 527940
EL PASO ENERGY CORP DEL COM 283905107 594 9642 SH SOLE 9642
EXTREME NETWORKS INC COM 30226D106 38810 338955 SH SOLE 338955
EXXON MOBIL CORP (NEW) COM 30231G102 841 9433 SH SOLE 9433
FAIRCHILD SEMICONDUCTOR COM 303726103 19447 691465 SH SOLE 691465
FOREST LABS INC CL A COM 345838106 22411 195405 SH SOLE 195405
GENERAL ELECTRIC CO COM 369604103 1237 21443 SH SOLE 21443
GENERAL MOTORS CORP CL H (NEW) COM 370442832 1074 28883 SH SOLE 28883
GUIDANT CORP COM 401698105 526 7437 SH SOLE 7437
HCA - HEALTHCARE CO COM 404119109 855 23019 SH SOLE 23019
HALLIBURTON CO COM 406216101 836 17093 SH SOLE 17093
HERSHEY FOODS CORP COM 427866108 18855 348363 SH SOLE 348363
INFINITY BROADCASTING COM 45662S102 210 6369 SH SOLE 6369
INTEL CORP COM 458140100 808 19432 SH SOLE 19432
INTERNATIONAL BUSINESS MACHINE COM 459200101 554 4928 SH SOLE 4928
INTERNATIONAL RECTIFIER COM 460254105 21699 429681 SH SOLE 429681
JOHNSON & JOHNSON COM 478160104 719 7652 SH SOLE 7652
LILLY ELI & COMPANY COM 532457108 238 2939 SH SOLE 2939
</TABLE>
<PAGE> 18
<TABLE>
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
LOWES CO INC COM 548661107 342 7612 SH SOLE 7612
MBNA CORP COM 55262L100 749 19444 SH SOLE 19444
MGIC INVESTMENT CORP COM 552848103 35767 585142 SH SOLE 585142
MCDATA CORPORATION COM 580031102 21224 172708 SH SOLE 172708
MERCURY INTERACTIVE CORP COM 589405109 40254 256806 SH SOLE 256806
NDS GROUP PLC ADS COM 628891103 16317 211909 SH SOLE 211909
NABORS INDUSTRIES INC COM 629568106 29069 554751 SH SOLE 554751
NEXTEL COMMUNICATIONS INC CL A COM 65332V103 799 17081 SH SOLE 17081
NEXTEL PARTNERS COM 65333F107 18148 623100 SH SOLE 623100
NOKIA CORP SPONSORED ADR COM 654902204 744 18697 SH SOLE 18697
PERKIN ELMER INC COM 714046109 41029 393094 SH SOLE 393094
PFIZER INC COM 717081103 634 14109 SH SOLE 14109
POWERWAVE TECHNOLOGIES INC COM 739363109 16457 433423 SH SOLE 433423
SPX CORP COM 784635104 29881 210524 SH SOLE 210524
SCHWAB CHARLES CORP COM 808513105 1272 35818 SH SOLE 35818
SCIENTIFIC ATLANTA INC COM 808655104 24495 384986 SH SOLE 384986
SPECTRASITE HOLDINGS INC COM 84760T100 12799 689520 SH SOLE 689520
SUN MICROSYSTEMS INC COM 866810104 2014 17247 SH SOLE 17247
TENET HEALTHCARE CORP COM 88033G100 34113 937803 SH SOLE 937803
TEXAS INSTRUMENTS INC COM 882508104 663 14059 SH SOLE 14059
TUT SYSTEMS COM 901103101 18096 209653 SH SOLE 209653
VALERO ENERGY CORP (NEW) COM 91913Y100 18212 517575 SH SOLE 517575
WAL MART STORES INC COM 931142103 864 17944 SH SOLE 17944
WEATHERFORD INTL INC COM 947074100 24341 566077 SH SOLE 566077
SANTA FE INTL CORP ORD COM G7805C108 28809 639312 SH SOLE 639312
</TABLE>
