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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: ECT INVESTMENTS, INC.
Address: P.O. BOX 1792
HOUSTON, TX 77251
13F File Number: 28-05377
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: GARY J. HICKERSON
Title: MANAGING DIRECTOR
Phone: 713-853-7617
Signature, Place, and Date of Signing:
/s/ GARY J. HICKERSON HOUSTON, TEXAS November 14, 2000
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[Signature] [City, State] [Date]
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).)
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FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 0
Form 13F Information Table Entry Total: 74
Form 13F Information Table Value Total: $209494
(thousands)
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FORM 13F INFORMATION TABLE
<TABLE>
<CAPTION>
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8
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VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT RN CALL DISCRETION MANAGERS SOLE SHARED NONE
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<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
ABRAXAS PETE CORP COM 003830106 2548 657691 SH SOLE 01 657691 0 0
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ALTERA CORP COM 021441100 477 10000 SH SOLE 01 10000 0 0
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AMERICAN ELEC PWR INC COM 025537101 328 8400 SH SOLE 01 8400 0 0
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APACHE CORP ACES C DP 1/50 037411600 2578 50000 SH SOLE 01 50000 0 0
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ART TECHNOLOGY GROUP INC COM 04289L107 2179 23000 SH SOLE 01 23000 0 0
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ASHLAND INC COM 044204105 1415 42000 SH CALL SOLE 01 42000 0 0
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BEA SYS INC COM 073325102 1090 14000 SH SOLE 01 14000 0 0
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BINDVIEW DEV CORP COM 090327107 340 45000 SH SOLE 01 45000 0 0
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BLUE MARTINI SOFTWARE INC COM 095698106 914 27000 SH SOLE 01 27000 0 0
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CHESAPEAKE ENERGY CORP COM 165167107 2450 340900 SH SOLE 01 340900 0 0
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COASTAL CORP COM 190441105 4744 64000 SH SOLE 01 64000 0 0
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COMCAST CORP ZONES CV2% PCS 200300507 3172 47000 SH SOLE 01 47000 0 0
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COMMERCE ONE INC, DEL COM 200693109 1570 20000 SH SOLE 01 20000 0 0
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CONEXANT SYSTEMS INC SB NT CV 4.25%06 207142AB6 13400 7000 PRN SOLE 01 7000 0 0
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CONOCO INC CLB 208251405 3232 120000 SH SOLE 01 120000 0 0
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CTS CORP COM 126501105 1012 20000 SH SOLE 01 20000 0 0
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DEVON ENERGY CORP NEW SRDBCV ZR0144A20 25179MAC7 2403 5000 PRN SOLE 01 5000 0 0
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DIAMOND OFFSHORE DRILLING INC DEB ZR0 CV144A20 25271CAB8 11041 22000 PRN SOLE 01 22000 0 0
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DIGITAL IS INC DEL SUB NT CV 6%05 25385NAA9 1740 3000 PRN SOLE 01 3000 0 0
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E PIPHANY INC COM 26881V100 847 11000 SH SOLE 01 11000 0 0
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EDISON INTL INC COM 281020107 193 10000 SH SOLE 01 10000 0 0
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ELASTIC NETWORKS COM 284159100 557 40000 SH SOLE 01 40000 0 0
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ENCAL ENERGY LTD COM 29250D107 693 110000 SH SOLE 01 110000 0 0
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ENTERGY CORP, NEW COM 29364G103 1061 28500 SH SOLE 01 28500 0 0
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FPL GROUP INC COM 302571104 2228 33900 SH SOLE 01 33900 0 0
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GLOBALSTAR TELECOMMUNICTNS LTD COM G3930H104 431 50000 SH PUT SOLE 01 50000 0 0
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HALLIBURTON CO COM 406216101 3342 68300 SH SOLE 01 68300 0 0
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INPUT/OUTPUT INC COM 457652105 481 50000 SH SOLE 01 50000 0 0
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I2 TECHNOLOGIES SUB NT CV5.25%06 465754AF6 7756 3000 PRN SOLE 01 3000 0 0
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MAVERICK TUBE CORP COM 577914104 343 12768 SH SOLE 01 12768 0 0
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</TABLE>
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<TABLE>
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
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MCLEODUSA INC CL A 582266102 858 60000 SH SOLE 01 60000 0 0
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MERCURY INTERACTIVE CORP COM 589405109 2978 19000 SH SOLE 01 19000 0 0
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METROMEDIA FIBER NETWORK INC CL 591689104 1021 42000 SH SOLE 01 42000 0 0
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MICROSOFT CORP COM 594918104 2406 39900 SH SOLE 01 39900 0 0
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MONTANA POWER CO COM 612085100 667 20000 SH SOLE 01 20000 0 0
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NETIQ CORP COM 64115P102 1970 30000 SH SOLE 01 30000 0 0
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NOBLE AFFILIATES INC, COM 654894104 2988 80500 SH SOLE 01 80500 0 0
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NOBLE DRILLING CORP COM 655042109 396 7900 SH SOLE 01 7900 0 0
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NORDIC AMERICAN TANKER COM G65773106 1362 63000 SH SOLE 01 63000 0 0
SHIPPING
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NUEVO FING I TECONS SER A 670511203 1196 46000 SH SOLE 01 46000 0 0
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OCEAN ENERGY INC TEX COM 67481E106 1610 104300 SH SOLE 01 104300 0 0
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PG&E CORP COM 69331C108 604 25000 SH SOLE 01 25000 0 0
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PPL CORP COM 69351T106 730 17500 SH SOLE 01 17500 0 0
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PUBLIC SVC ENTERPRISE GROUP COM 744573106 670 15000 SH SOLE 01 15000 0 0
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QUEST SOFTWARE INC COM 74834T103 950 15300 SH SOLE 01 15300 0 0
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QWEST COMMUNICATIONS INTL INC COM 749121109 1547 32200 SH SOLE 01 32200 0 0
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RATIONAL SOFTWARE CORP SUB NT CONV 5% 07 75409PAC7 10375 5000 PRN SOLE 01 5000 0 0
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RELIANT ENERGY INC COM 75952J108 1627 35000 SH SOLE 01 35000 0 0
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SDL INC COM 784076101 1855 6000 SH SOLE 01 6000 0 0
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SANMINA CORP SUB NTCV 4.25%04 800907AB3 24200 11000 PRN SOLE 01 11000 0 0
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SANTA FE INTL CORP ORD G7805C108 3717 82500 SH SOLE 01 82500 0 0
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SEACOR SMIT INC COM 811904101 1235 26500 SH SOLE 01 26500 0 0
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SIEBEL SYS INC COM 826170102 1335 12000 SH SOLE 01 12000 0 0
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SMITH INTL INC COM 832110100 734 9000 SH SOLE 01 9000 0 0
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SOFTWARE TECHNOLOGIES INC COM 834040107 922 40300 SH SOLE 01 40300 0 0
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SOLECTRON CORP SR LYON ZERO 20 834182AK3 6756 10000 PRN SOLE 01 10000 0 0
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SONICWALL INC COM 835470105 1211 42500 SH SOLE 01 42500 0 0
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SOUTHERN CO COM 842587107 486 15000 SH SOLE 01 15000 0 0
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SUNOCO INC COM 86764P109 4041 150000 SH CALL SOLE 01 150000 0 0
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SUNOCO INC COM 86764P109 1888 70100 SH SOLE 01 70100 0 0
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TEEKAY SHIPPING MARSHALL ISLND COM Y8564W103 2196 46800 SH SOLE 01 46800 0 0
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TELECOM HLDRS TR DEPOSITORY RCPT 87927P200 4306 65000 SH SOLE 01 65000 0 0
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TERAYON COMMUNICATION SYS SB NT CV 144A 07 880775AA9 4095 6000 PRN SOLE 01 6000 0 0
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</TABLE>
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<TABLE>
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
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TIBCO SOFTWARE INC COM 88632Q103 2279 27000 SH SOLE 01 27000 0 0
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TIDEWATER INC COM 886423102 4873 107100 SH SOLE 01 107100 0 0
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TOSCO CORP COM 891490302 1559 50000 SH CALL SOLE 01 50000 0 0
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TOSCO CORP COM 891490302 8217 263500 SH SOLE 01 263500 0 0
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TYCOM LTD COM G9144B106 2609 68000 SH SOLE 01 68000 0 0
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ULTRAMAR DIAMOND SHAMROCK CORP COM 904000106 5534 218100 SH SOLE 01 218100 0 0
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USX MARATHON GROUP COM 902905827 2607 91900 SH SOLE 01 91900 0 0
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VALERO ENERGY CORP NEW COM 91913Y100 8789 249800 SH SOLE 01 249800 0 0
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VALERO ENERGY CORP NEW COM 91913Y100 1759 50000 SH CALL SOLE 01 50000 0 0
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WATCHGUARD TECHNOLOGIES INC COM 941105108 2160 36000 SH SOLE 01 36000 0 0
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WEBMETHODS INC COM 94768C108 1611 14000 SH SOLE 01 14000 0 0
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REPORT SUMMARY 74 DATA RECORDS 209494
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</TABLE>
