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Previous: INVESTORS ASSET MANAGEMENT INC/TX, 13F-HR, 2000-11-02 |
Next: JL ADVISORS LLC, 13F-HR, 2000-11-02 |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 13F
Form 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: September 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: Forum Investment Advisers, LLC
Address: Two Portland Square
Portland, Maine 04101
Form 13F File Number: 28-05247
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: Nanette K. Chern
Title: Chief Compliance Officer
Phone: (207) 879-1900
Signature, Place, and Date of Signing:
/s/ Nanette K. Chern Portland, ME November 2, 2000
---------------------- ----------------------- ------------------------
[Signature] [City, State] [Date]
Report Type (Check only one.):
[ ] 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).)
[ X ] 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>
Form 13F SUMMARY PAGE
Report Summary:
Number of other Included Managers: 2
------------------------
Form 13F Information Table Entry Total 140
------------------------
Form 13F Information Table Value Total $ 65,776
-----------------------
(thousands)
List of other Included Managers:
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.
[If there are no entries in this list, state "NONE" and omit the column headings
and list entries.]
No. Form 13F File Number Name
1 28-03192 Davis Hamilton Jackson & Assoc., L.P.
2 28-03586 PPM America, Inc.
<PAGE>
FORM 13F
US DOLLAR DENOMINATED HOLDINGS - [FUND]
<TABLE>
<S> <C> <C> <C> <C> <C> <C> <C>
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ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 - INVESTMENT ITEM 7- ITEM 8 - VOTING
DISCRETION AUTHORITY
NAME OF ISSUE CLASS TITLE CUSIP MARKET VALUE SHARES SOLE SHARED OTHER MANAGERS SOLE SHARED NONE
A B C A B C
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ADC Telecommunications Common 000886101 272 10,100 X 1 10,100
AFLAC Incorporated Common 001055102 583 9,100 X 1 9,100
Abbott Laboratories Common 002824100 203 4,267 X 4,267
Adobe Systems Inc Common 00724F101 776 5,000 X 1 5,000
Aetna Inc. Common 008117103 691 11,900 X 2 11,900
Air Products & Chemicals Common 009158106 154 4,267 X 4,267
Allergan Inc. Common 018490102 515 6,100 X 1 6,100
America Online Inc Common 02364J104 317 5,900 X 1 5,900
American Financial Group Common 025932104 262 11,300 X 2 11,300
American General Corp Common 026351106 577 7,400 X 2 7,400
American Home Products Common 026609107 211 3,733 X 3,733
American Int'l Group Common 026874107 383 4,000 X 4,000
American Int'l Group Common 026874107 421 4,400 X 1 4,400
Anheuser-Busch Cos. Common 035229103 592 14,000 X 1 14,000
Apache Corporation Common 037411105 325 5,500 X 1 5,500
Applied Materials, Inc. Common 038222105 237 4,000 X 1 4,000
Ashland, Inc. Common 044204105 472 14,000 X 2 14,000
Automatic Data Processing Common 053015103 143 2,133 X 2,133
BJ Services Company Common 055482103 495 8,100 X 1 8,100
Bank of America Corp Common 060505104 128 2,436 X 2,436
Bank of America Corp Common 060505104 597 11,400 X 2 11,400
Bea Systems Inc Common 073325102 273 3,500 X 1 3,500
BellSouth Corporation Common 079860102 455 11,300 X 2 11,300
Berkshire Hathaway - B Common 084670207 87 42 X 42
Best Buy Company Inc Common 086516101 484 7,600 X 1 7,600
Broadwing Inc Common 111620100 524 20,500 X 1 20,500
Brunswick Corporation Common 117043109 336 18,400 X 2 18,400
Burlington No Santa Fe Common 12189T104 502 23,300 X 2 23,300
CIGNA Corporation Common 125509109 595 5,700 X 2 5,700
CSX Corporation Common 126408103 513 23,500 X 2 23,500
Cardinal Health, Inc. Common 14149Y108 679 7,700 X 1 7,700
CenturyTel Inc Common 156700106 559 20,500 X 2 20,500
Charter One Financial Inc Common 160903100 634 26,000 X 2 26,000
Chase Manhattan Corp Common 16161A108 480 10,400 X 2 10,400
Chevron Corporation Common 166751107 264 3,100 X 2 3,100
Chubb Corp. Common 171232101 807 10,200 X 1 10,200
Cisco Systems Inc Common 17275R102 1,044 18,900 X 1 18,900
Citigroup Inc Common 172967101 962 17,800 X 1 17,800
Clear Channel Commun Common 184502102 254 4,500 X 1 4,500
Computer Associates Int Common 204912109 519 20,600 X 2 20,600
Computer Sciences Corp Common 205363104 119 1,600 X 1,600
Compuware Corp Common 205638109 480 57,300 X 2 57,300
Comverse Technology Inc Common 205862402 410 3,800 X 1 3,800
Conoco Inc - Class B Common 208251405 62 2,292 X 2,292
<PAGE>
Cooper Industries, Inc. Common 216669101 560 15,900 X 2 15,900
Dell Computer Corp. Common 247025109 280 9,100 X 1 9,100
Delphi Automotive Systems Common 247126105 551 36,400 X 2 36,400
Walt Disney Company Common 254687106 153 4,000 X 4,000
Walt Disney Company Common 254687106 666 17,400 X 1 17,400
Dollar General Corp Common 256669102 261 15,600 X 1 15,600
Du Pont (E.I.) de Nemours Common 263534109 45 1,090 X 1,090
EMC Corporation Common 268648102 793 8,000 X 1 8,000
Enron Corp Common 293561106 561 6,400 X 1 6,400
Exxon Mobil Corp Common 30231G102 285 3,200 X 3,200
Exxon Mobil Corp Common 30231G102 784 8,800 X 1 8,800
FNMA Common 313586109 191 2,667 X 2,667
Federated Dept. Stores Common 31410H101 622 23,800 X 2 23,800
Fiserv, Inc. Common 337738108 359 6,000 X 6,000
FirstEnergy Corp Common 337932107 555 20,600 X 2 20,600
Ford Motor Company W/I Common 345370860 557 21,998 X 2 21,998
Forest Laboratories Inc. Common 345838106 356 3,100 X 1 3,100
Fort James Corporation Common 347471104 269 8,800 X 2 8,800
Fortune Brands Inc Common 349631101 612 23,100 X 2 23,100
Franklin Resources Inc Common 354613101 444 10,000 X 2 10,000
GPU, Inc. Common 36225X100 564 17,400 X 2 17,400
General Electric Company Common 369604103 462 8,000 X 8,000
General Electric Company Common 369604103 1,552 26,900 X 1 26,900
General Motors Corp. Common 370442105 384 5,900 X 2 5,900
HCA - The Healthcare Co Common 404119109 598 16,100 X 2 16,100
Hartford Financial Svcs Common 416515104 569 7,800 X 2 7,800
Hewlett-Packard Company Common 428236103 349 3,600 X 1 3,600
ITT Industries, Inc. Common 450911102 425 13,100 X 2 13,100
Intel Corp Common 458140100 670 16,100 X 1 16,100
IBM Corp Common 459200101 225 2,000 X 2,000
Intimate Brands Inc Common 461156101 298 15,940 X 1 15,940
Johnson & Johnson Common 478160104 200 2,133 X 2,133
Johnson & Johnson Common 478160104 695 7,400 X 1 7,400
K mart Corporation Common 482584109 543 90,500 X 2 90,500
KeyCorp Common 493267108 671 26,500 X 2 26,500
Estee Lauder Companies Common 518439104 253 6,900 X 1 6,900
Linear Technology Corp Common 535678106 356 5,500 X 1 5,500
Liz Claiborne, Inc. Common 539320101 389 10,100 X 2 10,100
Lockheed Martin Corp Common 539830109 554 16,800 X 2 16,800
Marsh & McLennan Cos. Inc Common 571748102 1,035 7,800 X 1 7,800
Maytag Corporation Common 578592107 500 16,100 X 2 16,100
Mead Corporation Common 582834107 463 19,800 X 2 19,800
Merck & Company Inc Common 589331107 274 3,680 X 3,680
Merck & Company Inc Common 589331107 529 7,100 X 1 7,100
Mercury Interactive Corp Common 589405109 580 3,700 X 1 3,700
Merrill Lynch & Co., Inc. Common 590188108 352 5,334 X 5,334
Microsoft Corporation Common 594918104 645 10,700 X 1 10,700
Minnesota Mining & Mfg Common 604059105 355 3,900 X 1 3,900
Molex Inc. Common 608554101 403 7,400 X 1 7,400
<PAGE>
Morgan St Dean Witter Common 617446448 622 6,800 X 1 6,800
Nortel Networks Corp Common 656568102 399 6,700 X 1 6,700
Nucor Corporation Common 670346105 488 16,200 X 2 16,200
OM Group Inc Common 670872100 236 5,400 X 1 5,400
Occidental Petroleum Corp Common 674599105 489 22,400 X 2 22,400
Oracle Corporation Common 68389X105 420 5,333 X 5,333
Oracle Corporation Common 68389X105 961 12,200 X 1 12,200
PPG Industries Inc. Common 693506107 599 15,100 X 2 15,100
Pactiv Corp Common 695257105 299 26,700 X 2 26,700
Parker Hannifin Common 701094104 537 15,900 X 2 15,900
Paychex, Inc. Common 704326107 630 12,000 X 1 12,000
PepsiCo Common 713448108 135 2,933 X 2,933
PepsiCo Common 713448108 396 8,600 X 1 8,600
PerkinElmer Inc Common 714046109 522 5,000 X 1 5,000
Pfizer Inc. Common 717081103 980 21,800 X 1 21,800
Phelps Dodge Corporation Common 717265102 547 13,100 X 2 13,100
Philip Morris Cos Inc Common 718154107 736 25,000 X 2 25,000
Phillips Petroleum Co Common 718507106 483 7,700 X 2 7,700
Providian Financial Corp Common 74406A102 559 4,400 X 1 4,400
Robert Half International Common 770323103 541 15,600 X 1 15,600
Rohm & Haas Company Common 775371107 610 21,000 X 2 21,000
SBC Communications, Inc. Common 78387G103 136 2,720 X 2,720
SBC Communications Inc Common 78387G103 690 13,800 X 2 13,800
SBC Communications Inc Common 78387G103 685 13,700 X 1 13,700
Schlumberger Ltd. Common 806857108 198 2,400 X 2,400
Sears, Roebuck & Co. Common 812387108 454 14,000 X 2 14,000
SouthTrust Corp Common 844730101 443 14,100 X 2 14,100
Sovereign Bancorp Inc Common 845905108 463 50,000 X 2 50,000
Sprint Corp (PCS Group) Common 852061506 281 8,000 X 1 8,000
Stryker Corp Common 863667101 356 8,300 X 1 8,300
Sun Microsystems Common 866810104 350 3,000 X 1 3,000
Symbol Technologies Common 871508107 334 9,287 X 1 9,287
TRW Inc. Common 872649108 504 12,400 X 2 12,400
Texas Instruments, Inc. Common 882508104 538 11,400 X 1 11,400
United Technologies Corp. Common 913017109 222 3,200 X 3,200
United Technologies Corp. Common 913017109 395 5,700 X 2 5,700
V F Corporation Common 918204108 607 24,600 X 2 24,600
Verizon Communications Common 92343V104 688 14,200 X 2 14,200
Viacom, Inc., Class B Common 925524308 632 10,800 X 1 10,800
Vodafone Group plc Common 92857W100 197 5,333 X 5,333
Wal-Mart Stores Inc Common 931142103 621 12,900 X 1 12,900
Washington Mutual Inc Common 939322103 689 17,300 X 2 17,300
Waters Corp Common 941848103 721 8,100 X 1 8,100
Wells Fargo Company Common 949746101 221 4,800 X 4,800
Xerox Corp Common 984121103 542 36,000 X 2 36,000
Amdocs Ltd Common G02602103 175 2,800 X 1 2,800
Check Point Software Common M22465104 252 1,600 X 1 1,600
</TABLE>
140 65,776
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