-----------------------------
OMB APPROVAL
-----------------------------
OMB Number: 3235-0006
Expires: February 28, 1997
Estimated average burden
hours per response ....24.60
----------------------------
-------------------------
SEC USE ONLY
-------------------------
-------------------------
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 December 31, 1998.
- -----------------------------------------------------------------------
Check here if Amendment [ X ]; Amendment Number: Two
-----
This Amendment (Check only one.): [ X ] is a restatement.
[ ] adds new holdings entries.
- -----------------------------------------------------------------------
Richard L. Grubman
- -----------------------------------------------------------------------
Name of Institutional Investment Manager
c/o Highfields Capital Management LP, 200 Clarendon Street,
51st Floor, Boston, MA 02117
- -----------------------------------------------------------------------
Business Address (Street) (City) (State) (Zip)
Richard L. Grubman 617-850-7500 Managing Member of
the General Partner
- -----------------------------------------------------------------------
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).
- -----------------------------------------------------------------------
<PAGE>
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 Boston and State of
Massachusetts on the 23rd day of March, 1999.
Richard L. Grubman
------------------------------------------
(Name of Institutional Investment Manager)
BY: Kenneth H. Colburn
/s/ Kenneth H. Colburn1
------------------------------------------
(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.: 3 Name: 13F File No.: 3
- ----------------- ------------- ----------------- -------------
1. 6.
- ----------------- ------------- ----------------- -------------
2. 7.
- ----------------- ------------- ----------------- -------------
3. 8.
- ----------------- ------------- ----------------- -------------
4. 9.
- ----------------- ------------- ----------------- -------------
5. 10.
- ----------------- ------------- ----------------- -------------
SEC 1685 (5/91)
<PAGE>
-----------------------------
OMB APPROVAL
-----------------------------
OMB Number: 3235-0006
Expires: February 28, 1997
Estimated average burden
hours per response ....24.60
----------------------------
-------------------------
SEC USE ONLY
-------------------------
-------------------------
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 December 31, 1998.
- -----------------------------------------------------------------------
Check here if Amendment [ X ]; Amendment Number: Two
-----
This Amendment (Check only one.): [ X ] is a restatement.
[ ] adds new holdings entries.
- -----------------------------------------------------------------------
Jonathon S. Jacobson
- -----------------------------------------------------------------------
Name of Institutional Investment Manager 1
c/o Highfields Capital Management LP, 200 Clarendon Street,
51st Floor, Boston, MA 02117
- -----------------------------------------------------------------------
Business Address (Street) (City) (State) (Zip) 2
Jonathon S. Jacobson 617-850-7500 Managing Member of
the General Partner
- -----------------------------------------------------------------------
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).
- -----------------------------------------------------------------------
<PAGE>
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 Boston and State of
Massachusetts on the 23rd day of March, 1999.
Jonathon S. Jacobson
------------------------------------------
(Name of Institutional Investment Manager)
By: Kenneth H. Colburn
/s/ Kenneth H. Colburn 1
------------------------------------------
(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.: 3 Name: 13F File No.: 3
- ----------------- ------------- ----------------- -------------
1. 6.
- ----------------- ------------- ----------------- -------------
2. 7.
- ----------------- ------------- ----------------- -------------
3. 8.
- ----------------- ------------- ----------------- -------------
4. 9.
- ----------------- ------------- ----------------- -------------
5. 10.
- ----------------- ------------- ----------------- -------------
SEC 1685 (5/91)
Mr. Jonathon S. Jacobson shares investment discretion with Mr.
Richard L. Grubman and Highfields Capital Management LP with respect to
certain securities. Please refer to the Form 13F filing for Mr. Grubman
for said securities.
<PAGE>
<TABLE>
=======================================================================
FORM 13F
Page 3 of 3 Name of Reporting Manager Richard L. Grubman
------------------------
=======================================================================
Item 1: Item 2: Title of Item 3:
Name of Issuer Class CUSIP
Number
=======================================================================
<S> <C> <C>
- -----------------------------------------------------------------------
AMERICAN BKRS INS. GRP, INC. COM 024456105
- -----------------------------------------------------------------------
AMOCO CORP COM 031905102
- -----------------------------------------------------------------------
AXOGEN LTD UNITS COM 054614201
- -----------------------------------------------------------------------
BALLYS TOTAL FITNESS HLDG CORP COM 05873K108
- -----------------------------------------------------------------------
BANKERS TRUST CORP COM 066365107
- -----------------------------------------------------------------------
CARRIER ACCESS CORP COM 144460102
- -----------------------------------------------------------------------
CBT GROUP COM 124853300
- -----------------------------------------------------------------------
CAMPBELL RESOURCES COM 134422104
- -----------------------------------------------------------------------
CHEMFIRST INC COM 16361A106
- -----------------------------------------------------------------------
CRESTAR FINANCIAL COM 226091106
- -----------------------------------------------------------------------
MACK CALI REALTY GRP COM 554489104
- -----------------------------------------------------------------------
CITY INVESTING CO. LIQUID TRUST COM 177900107
- -----------------------------------------------------------------------
CRW FINANCIAL COM 126276104
- -----------------------------------------------------------------------
CVS CORP COM COM 126650100
- -----------------------------------------------------------------------
DATA TRANSMISSION COM 238017107
- -----------------------------------------------------------------------
EASTERN ENVIRONMENTAL SERVICES COM 276369105
- -----------------------------------------------------------------------
Item 1: Item 2: Title of Item 3:
Name of Issuer Class CUSIP
Number
=======================================================================
<S> <C> <C>
- -----------------------------------------------------------------------
EL PASO ELECTRIC CO COM 283677854
- -----------------------------------------------------------------------
EIDOS PLC COM 282485101
- -----------------------------------------------------------------------
FIRST BRANDS CORP COM COM 319356101
- -----------------------------------------------------------------------
GENERAL MTRS CORP COM 370442105
- -----------------------------------------------------------------------
GENERAL MOTORS "H" CLASS COM 370442832
- -----------------------------------------------------------------------
GRAND CASINOS INC COM COM 385269105
- -----------------------------------------------------------------------
GOLDEN STATE BANCRP WARRANT COM 381197136
- -----------------------------------------------------------------------
HBO & CO COM 404100109
- -----------------------------------------------------------------------
HILTON HOTELS CORP COM 432848109
- -----------------------------------------------------------------------
IXC COMMUNICATIONS COM 450713102
- -----------------------------------------------------------------------
INTELLIGENT POLYMERS COM 45815V200
- -----------------------------------------------------------------------
ST JOE COMPANY COM 790148100
- -----------------------------------------------------------------------
J RAY MCDERMOTT COM P64658100
- -----------------------------------------------------------------------
LIGAND PHARMACEUTICALS WARRANTS COM 53220K116
- -----------------------------------------------------------------------
LASER MORTGAGE MANAGEMENT COM 51806D100
- -----------------------------------------------------------------------
Item 1: Item 2: Title of Item 3:
Name of Issuer Class CUSIP
Number
=======================================================================
<S> <C> <C>
- -----------------------------------------------------------------------
LIMITED COM 532716107
- -----------------------------------------------------------------------
LUCAS VARITY PLC ADR COM 549395101
- -----------------------------------------------------------------------
MEDPARTNERS INC COM 58503X107
- -----------------------------------------------------------------------
MCDERMOTT INTL INC COM 580037109
- -----------------------------------------------------------------------
MONY GROUP COM 615337102
- -----------------------------------------------------------------------
MOBIL COM 607059102
- -----------------------------------------------------------------------
MORGAN STANLEY & DEAN WITTER COM 617446448
- -----------------------------------------------------------------------
NATL AUSTRALIA BK 7.875% SERIES UNIT COM 632525309
- -----------------------------------------------------------------------
NORTHROP GRUMMAN COM 666807102
- -----------------------------------------------------------------------
PICTURETEL CORP COM 720035302
- -----------------------------------------------------------------------
PHILLIPS ELECTRONICS NV - ADR COM 500472105
- -----------------------------------------------------------------------
PIXAR COM 725811103
- -----------------------------------------------------------------------
RUBBERMAID COM 781088109
- -----------------------------------------------------------------------
READERS DIGEST ASSOCIATION COM 755267101
- -----------------------------------------------------------------------
REYNOLDS METALS COMPANY COM 761763101
- -----------------------------------------------------------------------
SHELL TRANSPORT & TRADING COM 822703609
- -----------------------------------------------------------------------
Item 1: Item 2: Title of Item 3:
Name of Issuer Class CUSIP
Number
=======================================================================
<S> <C> <C>
- -----------------------------------------------------------------------
SOUTHTRUST COM 844730101
- -----------------------------------------------------------------------
PANAMSAT CORP COM 697933109
- -----------------------------------------------------------------------
SOURCE MEDIA INC COM 836153304
- -----------------------------------------------------------------------
TELE COMMUNICATIONS INC CLASS A COM 87924V101
- -----------------------------------------------------------------------
TELESPECTRUM WORLD WIDE INC COM 87951U109
- -----------------------------------------------------------------------
TORCHMARK CORP COM 891027104
- -----------------------------------------------------------------------
UNION CAMP CORP COM 905530101
- -----------------------------------------------------------------------
US CELLULAR CORP COM 911684108
- -----------------------------------------------------------------------
VALUEVISION INTL INC CLASS A COM 92047K107
- -----------------------------------------------------------------------
WADDELL & REED FINANCIAL COM 930059100
- -----------------------------------------------------------------------
WADDELL & REED CLASS B COM 930059209
- -----------------------------------------------------------------------
WASTE MANAGEMENT INC COM 94106L109
- -----------------------------------------------------------------------
WESTCORP COM 957907108
- -----------------------------------------------------------------------
<PAGE>
Item 6:
Investment Discretion
------------------------------------------------
(a) (b) (c) Item 7:
Item 5: Sole Shared- Shared- Managers
Item 4: Fair Shares or As Def. Other See Instr.
Market Value Principal in Instr. V V
Amount
=======================================================================
<C> <C> <C> <C> <C> <C>
- -----------------------------------------------------------------------
4,728,656 97,750 x
- -----------------------------------------------------------------------
104,561,324 1,663,400 x
- -----------------------------------------------------------------------
19,833,000 300,500 x
- -----------------------------------------------------------------------
22,644,956 910,350 x
- -----------------------------------------------------------------------
13,242,813 155,000 x
- -----------------------------------------------------------------------
2,403,738 69,800 x
- -----------------------------------------------------------------------
1,707,650 114,800 x
- -----------------------------------------------------------------------
262,125 1,120,000 x
- -----------------------------------------------------------------------
5,016,500 254,000 x
- -----------------------------------------------------------------------
2,232,000 31,000 x
- -----------------------------------------------------------------------
3,263,488 105,700 x
- -----------------------------------------------------------------------
751,966 586,900 x
- -----------------------------------------------------------------------
45,900 6,800 x
- -----------------------------------------------------------------------
63,739,500 1,158,900 x
- -----------------------------------------------------------------------
12,364,275 428,200 x
- -----------------------------------------------------------------------
1,273,875 43,000 x
- -----------------------------------------------------------------------
Item 6:
Investment Discretion
------------------------------------------------
(a) (b) (c) Item 7:
Item 5: Sole Shared- Shared- Managers
Item 4: Fair Shares or As Def. Other See Instr.
Market Value Principal in Instr. V V
Amount
=======================================================================
<C> <C> <C> <C> <C> <C>
- -----------------------------------------------------------------------
34,328,875 3,923,300 x
- -----------------------------------------------------------------------
1,606,250 100,000 x
- -----------------------------------------------------------------------
15,775,000 400,000 x
- -----------------------------------------------------------------------
40,633,188 567,800 x
- -----------------------------------------------------------------------
6,028,531 151,900 x
- -----------------------------------------------------------------------
18,619,538 2,309,400 x
- -----------------------------------------------------------------------
2,732,938 599,000 x
- -----------------------------------------------------------------------
11,475,000 400,000 x
- -----------------------------------------------------------------------
17,752,208 928,220 x
- -----------------------------------------------------------------------
25,944,714 771,590 x
- -----------------------------------------------------------------------
4,200,000 150,000 x
- -----------------------------------------------------------------------
39,248,438 1,674,600 x
- -----------------------------------------------------------------------
23,508,875 962,000 x
- -----------------------------------------------------------------------
1,065,175 198,172 x
- -----------------------------------------------------------------------
17,812,706 3,275,900 x
- -----------------------------------------------------------------------
Item 6:
Investment Discretion
------------------------------------------------
(a) (b) (c) Item 7:
Item 5: Sole Shared- Shared- Managers
Item 4: Fair Shares or As Def. Other See Instr.
Market Value Principal in Instr. V V
Amount
=======================================================================
<C> <C> <C> <C> <C> <C>
- -----------------------------------------------------------------------
16,831,338 577,900 x
- -----------------------------------------------------------------------
11,205,750 334,500 x
- -----------------------------------------------------------------------
6,096,825 1,161,300 x
- -----------------------------------------------------------------------
21,018,938 851,400 x
- -----------------------------------------------------------------------
9,011,738 287,800 x
- -----------------------------------------------------------------------
90,435,750 1,038,000 x
- -----------------------------------------------------------------------
19,283,600 271,600 x
- -----------------------------------------------------------------------
6,968,750 250,000 x
- -----------------------------------------------------------------------
27,056,250 370,000 x
- -----------------------------------------------------------------------
3,878,275 585,400 x
- -----------------------------------------------------------------------
98,519,156 1,455,500 x
- -----------------------------------------------------------------------
1,669,500 47,700 x
- -----------------------------------------------------------------------
6,287,500 200,000 x
- -----------------------------------------------------------------------
33,380,994 1,325,300 x
- -----------------------------------------------------------------------
85,928,044 1,630,900 x
- -----------------------------------------------------------------------
19,635,000 528,000 x
- -----------------------------------------------------------------------
Item 6:
Investment Discretion
------------------------------------------------
(a) (b) (c) Item 7:
Item 5: Sole Shared- Shared- Managers
Item 4: Fair Shares or As Def. Other See Instr.
Market Value Principal in Instr. V V
Amount
=======================================================================
<C> <C> <C> <C> <C> <C>
- -----------------------------------------------------------------------
1,082,269 29,300 x
- -----------------------------------------------------------------------
2,129,881 54,700 x
- -----------------------------------------------------------------------
3,666,688 203,000 x
- -----------------------------------------------------------------------
143,264,906 2,590,100 x
- -----------------------------------------------------------------------
17,078,656 1,740,500 x
- -----------------------------------------------------------------------
3,531,250 100,000 x
- -----------------------------------------------------------------------
46,625,025 694,600 x
- -----------------------------------------------------------------------
3,283,200 86,400 x
- -----------------------------------------------------------------------
1,126,406 160,200 x
- -----------------------------------------------------------------------
4,488,497 189,488 x
- -----------------------------------------------------------------------
26,839,521 1,154,388 x
- -----------------------------------------------------------------------
9,318,239 199,855 x
- -----------------------------------------------------------------------
1,624,763 234,200 x
- -----------------------------------------------------------------------
1,240,069,911 Total
Item 8:
Voting Authority
(Shares)
- -------------------------
(a) (b) (c)
Sole Shared None
=========================
<C> <C> <C>
- -------------------------
x
- -------------------------
x
- -------------------------
x
- -------------------------
x
- -------------------------
x
- -------------------------
x
- -------------------------
x
- -------------------------
x
- -------------------------
x
- -------------------------
x
- -------------------------
x
- -------------------------
x
- -------------------------
x
- -------------------------
x
- -------------------------
x
- -------------------------
x
- -------------------------
Item 8:
Voting Authority
(Shares)
- -------------------------
(a) (b) (c)
Sole Shared None
=========================
<C> <C> <C>
- -------------------------
x
- -------------------------
x
- -------------------------
x
- -------------------------
x
- -------------------------
x
- -------------------------
x
- -------------------------
x
- -------------------------
x
- -------------------------
x
- -------------------------
x
- -------------------------
x
- -------------------------
x
- -------------------------
x
- -------------------------
x
- -------------------------
x
- -------------------------
x
- -------------------------
Item 8:
Voting Authority
(Shares)
- -------------------------
(a) (b) (c)
Sole Shared None
=========================
<C> <C> <C>
- -------------------------
x
- -------------------------
x
- -------------------------
x
- -------------------------
x
- -------------------------
x
- -------------------------
x
- -------------------------
x
- -------------------------
x
- -------------------------
x
- -------------------------
x
- -------------------------
x
- -------------------------
x
- -------------------------
x
- -------------------------
x
- -------------------------
x
- -------------------------
x
- -------------------------
Item 8:
Voting Authority
(Shares)
- -------------------------
(a) (b) (c)
Sole Shared None
=========================
<C> <C> <C>
- -------------------------
x
- -------------------------
x
- -------------------------
x
- -------------------------
x
- -------------------------
x
- -------------------------
x
- -------------------------
x
- -------------------------
x
- -------------------------
x
- -------------------------
x
- -------------------------
x
- -------------------------
x
- -------------------------
x
- -------------------------
Note 1
RESOLUTION OF THE MANAGING MEMBERS
AUTHORIZATION TO SIGN
REGULATORY REPORTS
The undersigned, being the Managing Members of Highfields
Associates LLC and Highfields GP LLC , the general partner of Highfields
Capital Management LP, each a Delaware limited liability company (the
"Companies"), recognizing the need for the prompt preparation and
execution of reports required by various regulatory authorities, do
hereby adopt the following resolution and consent to the actions to be
taken thereby:
RESOLVED, that Kenneth H. Colburn ("Colburn") is authorized to
sign on behalf of the Companies all reports, applications, filings and
correspondence in connection with reporting requirements ("Regulatory
Reports") of any and all federal regulatory authorities, including the
Commodity Futures Trading Commission, the Securities and Exchange
Commission and the Interstate Commerce Commission, and of any and all
foreign, state, United States territorial and local regulatory
authorities. Regulatory reports do not include any documents
specifically required to be signed by one or both of the Managing
Members or a chief executive officer of the Companies, or agreements,
consents or authorizations to act on behalf of the Companies. However,
Colburn is authorized to sign any resolution or consent appearing on any
Regulatory Report with respect to appointing the signatory thereof.
/s/ Jonathon S. Jacobson
---------------------------
Jonathon S. Jacobson
Managing Member
/s/ Richard L. Grubman
---------------------------
Richard L. Grubman
Managing Member
Date: March 19, 1999
Continued on next page
</TABLE>
