UNITED STATES
SECURITIES AND EXCHANGE COMMISION
WASHINGTON, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: September 30, 1999
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: Rothschild/ Pell Rudman & Co.,Inc.
Address: 300 East Lombard Street
Suite 1100
Baltimore, MD 21202
13F File Number: 28-80
The institutional investment manager filing this report and the
person by whom it is signed hereby represents 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: Sharon Onesko
Title: Operations Manager
Phone: 410-539-4660
Signature, Place, and Date of Signing:
Sharon Onesko Baltimore, Maryland October 12, 1999
Report Type (Check only one.):
[ X ] 13F HOLDINGS REPORT
[ ] 13F NOTICE
[ ] 13F COMBINATION REPORT
List other Managers Reporting for this Manager:
I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE
ACT OF 1934
<PAGE>
ROTHSCHILD/ PELL RUDMAN TRUST CO., N.A.
FORM 13F SUMMARY PAGE
AS OF DATE: 09/30/99
REPORT SUMMARY:
NUMBER OF OTHER INCLUDED MANAGERS: 0
FORM 13F INFORMATION TABLE ENTRY TOTAL: 234
FORM 13F INFORMATION TABLE VALUE TOTAL: $754,851,000
LIST OF OTHER INCLUDED MANAGERS:
NO. 13F FILE NUMBER NAME
<PAGE>
<TABLE> <C> <C>
ROTHSCHILD/PELL RUDMAN TRUST CO., N.A.
FORM 13F INFORMATION TABLE
AS OF DATE: 09/30/99
VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE
- ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- --------
ADELPHIA COMMUNICATIONS CORPCL COM 006848105 665 11300 SH SOLE 11300 0 0
AFFILIATED COMPUTER SVCS INCCL COM 008190100 890 21917 SH SOLE 21917 0 0
AFLAC INC COM 001055102 1035 24719 SH SOLE 24719 0 0
ALKERMES INC PFD CON EX 3.25 PREFERRED STOCKS 01642T405 3074 54900 SH SOLE 54900 0 0
ALTERA CORP COM 021441100 2421 55810 SH SOLE 55810 0 0
ALZA CORP 0.000% 07/14/14 CONVERTIBLE BOND 022615AC2 278 500000 PRN SOLE 500000 0 0
ALZA CORP 5.000% 05/01/06 CONVERTIBLE BOND 022615AD0 7106 5879000 PRN SOLE 5879000 0 0
AMBAC FINL GROUP INC COM COM 023139108 729 15385 SH SOLE 15385 0 0
AMERICAN HOME PRODS CORP COM 026609107 4055 97700 SH SOLE 97700 0 0
AMERICAN INTL GROUP INC COM 026874107 5806 66788 SH SOLE 66788 0 0
AMERICAN TOWER CORP CL A COM 029912201 664 33853 SH SOLE 33853 0 0
AMFM INC COM 001693100 1892 31152 SH SOLE 31152 0 0
AMGEN INC COM 031162100 6265 76875 SH SOLE 76875 0 0
AMSOUTH BANCORPORATION COM 032165102 3164 134992 SH SOLE 134992 0 0
ANADARKO PETE CORP COM COM 032511107 430 14075 SH SOLE 14075 0 0
APACHE CORP COM 037411105 470 10875 SH SOLE 10875 0 0
APOLLO GROUP INC CL A COM 037604105 600 28400 SH SOLE 28400 0 0
APTARGROUP INC COM 038336103 589 22000 SH SOLE 22000 0 0
ARBOR SOFTWARE CV DB 4.500% 03 CONVERTIBLE BOND 038918AC2 3484 4700000 PRN SOLE 4700000 0 0
ASPECT TELECOMM CV 144A 0% 8/1 CONVERTIBLE BOND 045237AB0 750 3000000 PRN SOLE 3000000 0 0
ASSOCIATED ESTATES RLTY CORPCO COM 045604105 219 23850 SH SOLE 23850 0 0
ATHENA NEUROSCI ELAN CV DEB 4 CONVERTIBLE BOND 046854AB1 281 250000 PRN SOLE 250000 0 0
AT&T CORP COM 001957109 8062 185328 SH SOLE 185328 0 0
AUTOMATIC DATA PROCESSING COM 053015103 10111 226575 SH SOLE 226575 0 0
BECTON DICKINSON & CO COM 075887109 368 13128 SH SOLE 13128 0 0
BED BATH & BEYOND INC COM 075896100 1502 42995 SH SOLE 42995 0 0
BELCO OIL & GAS 6.5% CONV PFD CONVERTIBLE PREF 077410207 1990 118800 SH SOLE 118800 0 0
BELL ATLANTIC CORP COM 077853109 229 3396 SH SOLE 3396 0 0
BERKSHIRE HATHAWAY INC DEL CL COM 084670207 4540 2446 SH SOLE 2446 0 0
BISYS GROUP INC COM 055472104 613 13073 SH SOLE 13073 0 0
BJS WHSL CLUB INC COM COM 05548J106 1007 34075 SH SOLE 34075 0 0
BLYTH INDS INC COM COM 09643P108 538 19171 SH SOLE 19171 0 0
BP AMOCO P L C ADR SPONSORED COM 055622104 7530 135912 SH SOLE 135912 0 0
BRIGHT HORIZONS FAMILY SOLUTCO COM 109195107 1766 113000 SH SOLE 113000 0 0
BRISTOL MYERS SQUIBB CO COM 110122108 989 14650 SH SOLE 14650 0 0
CAMBREX CORP COM COM 132011107 762 28827 SH SOLE 28827 0 0
CAPITAL ONE FINL CORP COM COM 14040H105 1103 28275 SH SOLE 28275 0 0
CAREMATRIX CORP 6 1/4% CV. DEB CONVERTIBLE BOND 141706AC5 265 500000 PRN SOLE 500000 0 0
CARNIVAL CORP CL A COM 143658102 8281 190371 SH SOLE 190371 0 0
CBS CORPORATION COM 12490K107 3606 77975 SH SOLE 77975 0 0
CENTOCOR CV DEBS 144A 4.750% 0 CONVERTIBLE BOND 152342AC5 229 175000 PRN SOLE 175000 0 0
CENTOCOR CV DEBS 4.750% 02/15/ CONVERTIBLE BOND 152342AE1 4061 3100000 PRN SOLE 3100000 0 0
CENTOCOR INC COM COM 152342101 2337 39900 SH SOLE 39900 0 0
CERIDIAN CORP COM 15677T106 906 36423 SH SOLE 36423 0 0
CETUS CORP EURO CV DB 5.250% 0 CONVERTIBLE BOND 157199AA8 0 65000 PRN SOLE 65000 0 0
CHEVRON CORP COM 166751107 447 5040 SH SOLE 5040 0 0
CHIEFTAIN INTL FDG CORP PFD CV CONVERTIBLE PREF 168672202 4768 178250 SH SOLE 178250 0 0
CINTAS CORP COM 172908105 3105 53700 SH SOLE 53700 0 0
CISCO SYS INC COM 17275R102 90691 1322755 SH SOLE 1322755 0 0
CISCO SYS INC PUTS $52.5SP EXP OPTION - PUT 17275R8MX 119 1000 SH PUT SOLE 1000 0 0
CITRIX SYS INC COM COM 177376100 1033 16675 SH SOLE 16675 0 0
CLARIFY INC COM COM 180492100 503 10000 SH SOLE 10000 0 0
CLEAR CHANNEL COMMUNICATIONS COM 184502102 3806 47650 SH SOLE 47650 0 0
CLOSURE MED CORP COM COM 189093107 3374 248750 SH SOLE 248750 0 0
COCA COLA CO COM 191216100 4835 100200 SH SOLE 100200 0 0
COLGATE PALMOLIVE CO COM 194162103 2002 43750 SH SOLE 43750 0 0
COMCAST CORP CL A SPL COM 200300200 3812 95600 SH SOLE 95600 0 0
COMPUTER SCIENCES CORP COM COM 205363104 4791 68132 SH SOLE 68132 0 0
COMVERSE TECHNOLOGY INC COM PA COM 205862402 1141 12100 SH SOLE 12100 0 0
CONCORD EFS INC COM COM 206197105 1324 64186 SH SOLE 64186 0 0
CONEXANT SYS INC COM COM 207142100 454 6250 SH SOLE 6250 0 0
CONSOLIDATED GRAPHICS INC COM 209341106 859 20380 SH SOLE 20380 0 0
CONVERTIBLE GROWTH CONVERTIBLE PREF CTF004448 6564 31358 SH SOLE 31358 0 0
CORNING INC COM 219350105 790 11518 SH SOLE 11518 0 0
COX COMMUNICATIONS INC NEW CL COM 224044107 1826 43739 SH SOLE 43739 0 0
CROWN CASTLE INTL CORP COM COM 228227104 821 43872 SH SOLE 43872 0 0
CYTYC CORP COM COM 232946103 5107 132000 SH SOLE 132000 0 0
DANAHER CORP SHS BEN INT COM 235851102 998 18950 SH SOLE 18950 0 0
DAYTON HUDSON CORP COM 239753106 4341 72275 SH SOLE 72275 0 0
DEVON ENERGY CORP NEW COM 25179M103 727 17542 SH SOLE 17542 0 0
DEVRY INC COM 251893103 8465 423262 SH SOLE 423262 0 0
DIONEX CORP COM COM 254546104 947 22152 SH SOLE 22152 0 0
DOLLAR GEN CORP COM 256669102 1329 43043 SH SOLE 43043 0 0
DOLLAR GENERAL STRYPES 8.500% CONVERTIBLE PREF 256678103 389 9000 SH SOLE 9000 0 0
DOLLAR TREE STORES INC COM COM 256747106 1024 25650 SH SOLE 25650 0 0
DONALDSON INC COM 257651109 7704 332230 SH SOLE 332230 0 0
DOUBLECLICK INC COM COM 258609304 560 4700 SH SOLE 4700 0 0
E M C CORP MASS COM 268648102 16027 224550 SH SOLE 224550 0 0
ELAN CORP 144A LYON 0.000% 12/ CONVERTIBLE BOND 284129AA1 280 500000 PRN SOLE 500000 0 0
ELAN CORP PLC CALLS OPT. $25SP OPTION - CALL 2841319JE 83 100 SH CALL SOLE 100 0 0
ELAN PLC ADR COM 284131208 2232 66500 SH SOLE 66500 0 0
EMC CORP 144A 3.250% 03/15/02 CONVERTIBLE BOND 268648AC6 4676 788000 PRN SOLE 788000 0 0
EMC CORP CNV 3.250% 03/15/02 CONVERTIBLE BOND 26865YAA2 1860 295000 PRN SOLE 295000 0 0
EMERSON ELEC CO COM 291011104 3802 60175 SH SOLE 60175 0 0
ENRON CORP COM 293561106 6828 166272 SH SOLE 166272 0 0
ENTERCOM COMMUNICATIONS CORPCL COM 293639100 912 25325 SH SOLE 25325 0 0
EXODUS COMMUNICATIONS INC COM COM 302088109 1292 17924 SH SOLE 17924 0 0
EXXON CORP COM 302290101 2068 27205 SH SOLE 27205 0 0
FANNIE MAE COM 313586109 6288 100300 SH SOLE 100300 0 0
FELCOR LODGING TR INC PFD CONV CONVERTIBLE PREF 31430F200 1916 114825 SH SOLE 114825 0 0
FIRST AMERN CORP TENN COM COM 318900107 451 10363 SH SOLE 10363 0 0
FIRSTAR CORPORATION COM 33763V109 6056 236321 SH SOLE 236321 0 0
FISERV INC COM 337738108 1493 45924 SH SOLE 45924 0 0
FOODMAKER INC NEW COM NEW COM 344839204 953 38224 SH SOLE 38224 0 0
FREDDIE MAC COM 313400301 2019 38825 SH SOLE 38825 0 0
GENERAL DYNAMICS CORP COM COM 369550108 5337 85475 SH SOLE 85475 0 0
GENERAL ELEC CO COM 369604103 2045 17252 SH SOLE 17252 0 0
GENZYME CORP COM 372917104 886 19664 SH SOLE 19664 0 0
GILLETTE COMPANY COM 375766102 10697 315211 SH SOLE 315211 0 0
GLOBAL TELESYSTEMS GROUP INCCD COM 37936U104 262 13295 SH SOLE 13295 0 0
GOLDMAN SACHS GROUP INC COM 38141G104 5551 91000 SH SOLE 91000 0 0
GRAINGER W W INC COM 384802104 11427 237761 SH SOLE 237761 0 0
GTE CORP COM 362320103 292 3800 SH SOLE 3800 0 0
HAIN FOOD GROUP INC COM COM 405219106 1238 50000 SH SOLE 50000 0 0
HARLEY DAVIDSON INC COM 412822108 772 15417 SH SOLE 15417 0 0
HEALTH CARE PROP EURO CONV 6.0 CONVERTIBLE BOND VV3030796 1483 1705000 PRN SOLE 1705000 0 0
HEWLETT PACKARD CO COM 428236103 7739 85275 SH SOLE 85275 0 0
HISPANIC BROADCASTING CO COM 43357B104 1406 18470 SH SOLE 18470 0 0
HOME DEPOT INC COM 437076102 13781 200811 SH SOLE 200811 0 0
HOME DEPOT, INC. CVT SUB DE 3. CONVERTIBLE BOND 437076AE2 1716 580000 PRN SOLE 580000 0 0
HONEYWELL INC COM COM 438506107 267 2400 SH SOLE 2400 0 0
HUBBELL INC CL B COM 443510201 879 27583 SH SOLE 27583 0 0
I B M COM 459200101 3694 30532 SH SOLE 30532 0 0
IGEN INTL SER B CVPFD RESTR 7. CONVERTIBLE BOND BLANK BLA 484 250000 PRN SOLE 250000 0 0
ILLINOIS TOOL WKS INC COM 452308109 3695 49550 SH SOLE 49550 0 0
IMAX CORP COM 45245E109 500 25000 SH SOLE 25000 0 0
IMAX CORP CONV NON-144A 5.750% CONVERTIBLE BOND U45090AA2 755 500000 PRN SOLE 500000 0 0
INKTOMI CORP COM COM 457277101 411 3425 SH SOLE 3425 0 0
INTEL CORP COM 458140100 7580 102000 SH SOLE 102000 0 0
INTERIM SERVICES CV DB 4.500% CONVERTIBLE BOND 45868PAA8 685 900000 PRN SOLE 900000 0 0
INTERPUBLIC GROUP COS INC COM 460690100 4217 102550 SH SOLE 102550 0 0
JDN RLTY CORP COM COM 465917102 3966 193455 SH SOLE 193455 0 0
JDS UNIPHASE COM COM 46612J101 1758 15449 SH SOLE 15449 0 0
JOHNSON & JOHNSON COM 478160104 34664 377293 SH SOLE 377293 0 0
JONES APPAREL GROUP INC COM COM 480074103 873 30359 SH SOLE 30359 0 0
K N ENERGY INC COM COM 482620101 3867 172350 SH SOLE 172350 0 0
KERR MCGEE CORP 7.500% 05/15/1 CONVERTIBLE BOND 492386AL1 10 10000 PRN SOLE 10000 0 0
KIMBERLY CLARK CORP COM 494368103 2715 51464 SH SOLE 51464 0 0
KINDER MORGAN EGY PTNS L P UT COM 494550106 7066 163150 SH SOLE 163150 0 0
LASON INC COM COM 51808R107 1003 22520 SH SOLE 22520 0 0
LERNOUT&HAUSPIE L&H CAP TR I 1 CONVERTIBLE PREF 501608202 2635 85000 SH SOLE 85000 0 0
LEXMARK INTL GROUP INC CL A COM 529771107 2879 35764 SH SOLE 35764 0 0
LIBERTY MEDIA CL A COM 001957208 8386 224750 SH SOLE 224750 0 0
LIEBERT CORP. CV. (EMR) 8.000% CONVERTIBLE BOND 531735AA6 24 5000 PRN SOLE 5000 0 0
LINCARE HLDGS INC COM 532791100 854 32051 SH SOLE 32051 0 0
LINEAR TECHNOLOGY CORP COM 535678106 2136 36337 SH SOLE 36337 0 0
LUCENT TECHNOLOGIES INC COM COM 549463107 249 3833 SH SOLE 3833 0 0
L-3 COMMUNICATIONS HLDGS INCCO COM 502424104 719 19050 SH SOLE 19050 0 0
MASCO CORP COM COM 574599106 4775 154025 SH SOLE 154025 0 0
MAXIM INTEGRATED PRODS INC COM 57772K101 2432 38544 SH SOLE 38544 0 0
MAY DEPT STORES CO COM 577778103 372 10200 SH SOLE 10200 0 0
MBIA INC COM 55262C100 2638 56581 SH SOLE 56581 0 0
MBNA CORP COM 55262L100 1826 80037 SH SOLE 80037 0 0
MCI WORLDCOM COM 55268B106 6560 91273 SH SOLE 91273 0 0
MEAD CORP COM 582834107 274 7960 SH SOLE 7960 0 0
MEDIAONE GROUP INC PFD SER D 4 CONVERTIBLE PREF 58440J203 1222 9050 SH SOLE 9050 0 0
MEDIMMUNE INC COM COM 584699102 1495 15000 SH SOLE 15000 0 0
MEDQUIST INC COM 584949101 939 28091 SH SOLE 28091 0 0
MEDTRONIC INC COM 585055106 14315 402522 SH SOLE 402522 0 0
MENS WEARHOUSE INC COM COM 587118100 717 33335 SH SOLE 33335 0 0
MERCANTILE BANKSHARES CORP COM 587405101 1812 58581 SH SOLE 58581 0 0
MERCK & CO INC COM 589331107 324 5000 SH SOLE 5000 0 0
MERCURY INTERACTIVE CORP COM 589405109 4293 66500 SH SOLE 66500 0 0
MICROCHIP TECHNOLOGY INC COM 595017104 1602 31187 SH SOLE 31187 0 0
MICROSOFT CORP COM 594918104 561 6200 SH SOLE 6200 0 0
MINIMED INC COM 60365K108 2928 29804 SH SOLE 29804 0 0
MINNESOTA MNG & MFG CO COM 604059105 2277 23700 SH SOLE 23700 0 0
MMC NETWORKS INC COM COM 55308N102 299 9575 SH SOLE 9575 0 0
MOBIL CORP COM 607059102 881 8744 SH SOLE 8744 0 0
MOLEX INC COM 608554101 891 24503 SH SOLE 24503 0 0
MOLEX INC CL A COM 608554200 2974 91871 SH SOLE 91871 0 0
MOTOROLA INC COM 620076109 4462 50700 SH SOLE 50700 0 0
NATIONAL CITY CORP COM 635405103 1139 42666 SH SOLE 42666 0 0
NATIONAL DATA CORP COM 635621105 546 21005 SH SOLE 21005 0 0
NAVIGANT CONSULTING INC COM COM 63935N107 1307 28181 SH SOLE 28181 0 0
NEWELL FINL TR 144A 5.250% 12/ CONVERTIBLE PREF 651195208 201 5000 SH SOLE 5000 0 0
NEWELL FINL TR REG'D 5.250% 12 CONVERTIBLE PREF 651195307 3080 76525 SH SOLE 76525 0 0
NEWELL RUBBERMAID INC. COM 651229106 6582 230447 SH SOLE 230447 0 0
NORTHERN TR CORP COM 665859104 6934 83038 SH SOLE 83038 0 0
NOVA CORP GA COM COM 669784100 703 28120 SH SOLE 28120 0 0
NTL INC COM 629407107 2153 28000 SH SOLE 28000 0 0
OMNICOM GROUP COM 681919106 11233 141847 SH SOLE 141847 0 0
OUTDOOR SYS INC COM 690057104 1699 47519 SH SOLE 47519 0 0
PACIFICARE HLTH SYS INC DEL CO COM 695112102 403 9319 SH SOLE 9319 0 0
PANJA INC COM COM 698493103 4244 328000 SH SOLE 328000 0 0
PAPA JOHNS INTL INC COM COM 698813102 915 22176 SH SOLE 22176 0 0
PARK PL ENTMT CORP COM COM 700690100 198 15875 SH SOLE 15875 0 0
PATTERSON DENTAL CO COM 703412106 1320 26640 SH SOLE 26640 0 0
PAYCHEX INC COM 704326107 1574 46138 SH SOLE 46138 0 0
PENTAIR INC COM 709631105 1046 26068 SH SOLE 26068 0 0
PITNEY BOWES INC COM 724479100 17869 293227 SH SOLE 293227 0 0
PITTWAY CORP DEL CL A COM 725790208 12985 412229 SH SOLE 412229 0 0
PLANTRONICS INC NEW COM 727493108 1484 29829 SH SOLE 29829 0 0
PMC-SIERRA CALL OPTIONS $85 SP OPTION - CALL 69344F9JQ 100 100 SH CALL SOLE 100 0 0
PMC-SIERRA INC COM COM 69344F106 4625 50000 SH SOLE 50000 0 0
PROCTER & GAMBLE COMPANY COM 742718109 3246 34625 SH SOLE 34625 0 0
PROVANT INC COM COM 743724106 2008 124500 SH SOLE 124500 0 0
QUALCOMM INC COM COM 747525103 4110 21725 SH SOLE 21725 0 0
R.F - CONVRT GROWTH & INCOME CONVERTIBLE PREF RF0004448 1604 6245 SH SOLE 6245 0 0
ROYAL DUTCH PETROLEUM CO NEW 1 COM 780257804 986 16700 SH SOLE 16700 0 0
SAFEWAY INC COM NEW COM 786514208 4875 128085 SH SOLE 128085 0 0
SANMINA CORP COM COM 800907107 1350 17449 SH SOLE 17449 0 0
SCHERING PLOUGH CORP COM 806605101 2240 51350 SH SOLE 51350 0 0
SERVICEMASTER COMPANY COM 81760N109 12787 796076 SH SOLE 796076 0 0
SFX ENTMT INC CL A COM 784178105 785 25629 SH SOLE 25629 0 0
SOFTKEY INTL CV DB 5.500% 11/0 CONVERTIBLE BOND 83402NAA7 3167 3295000 PRN SOLE 3295000 0 0
SOLECTRON CORP COM 834182107 2480 34535 SH SOLE 34535 0 0
STORAGE USA INC COM COM 861907103 649 23600 SH SOLE 23600 0 0
SUN MICROSYSTEMS INC COM 866810104 1451 15600 SH SOLE 15600 0 0
SYBRON INTL COM 87114F106 7901 294009 SH SOLE 294009 0 0
SYSCO CORP COM 871829107 6364 181496 SH SOLE 181496 0 0
S&P 500 PUT OPTS SP107.50 12/1 OPTION - PUT 7839359XH 80 750 SH PUT SOLE 750 0 0
TCF FINL CORP COM 872275102 936 32773 SH SOLE 32773 0 0
TELESOFT CORP COM COM 879924108 64 15000 SH SOLE 15000 0 0
THERMO ECOTEK CV DB 144A 4.875 CONVERTIBLE BOND 88355RAB2 0 750000 PRN SOLE 750000 0 0
THERMO ELECT 144-A CONV 4.250% CONVERTIBLE BOND 883556AF9 21 25000 PRN SOLE 25000 0 0
THERMO ELECTRON CO COM 883556102 704 52375 SH SOLE 52375 0 0
THERMO FIBERTEK EUROCV 144A 4. CONVERTIBLE BOND 88355WAA3 651 800000 PRN SOLE 800000 0 0
THERMO INSTR SYS INC COM 883559106 520 48671 SH SOLE 48671 0 0
TJX COS INC NEW COM 872540109 1529 54503 SH SOLE 54503 0 0
TRANSACTION SYS ARCHITECTS CL COM 893416107 514 19063 SH SOLE 19063 0 0
TRIBUNE CO "TLC" "DECS" CONVERTIBLE PREF 896047206 584 25000 SH SOLE 25000 0 0
TV GUIDE INC CL A COM 87307Q109 780 19929 SH SOLE 19929 0 0
U S FOODSERVICE COM COM 90331R101 840 46658 SH SOLE 46658 0 0
UNITED DOMINION RLTY TR INC CO COM 910197102 445 39769 SH SOLE 39769 0 0
UNITED STATIONERS INC COM COM 913004107 585 27440 SH SOLE 27440 0 0
UNITED STS CELLULAR CORP COM 911684108 1432 21060 SH SOLE 21060 0 0
UNITED TECHNOLOGIES CORP COM 913017109 4024 67850 SH SOLE 67850 0 0
UNIVISION COMMUNICATIONS INCCL COM 914906102 2149 26413 SH SOLE 26413 0 0
UNOCAL CORP 6.250% 09/01/26 CONVERTIBLE PREF 91528T207 4987 91500 SH SOLE 91500 0 0
USA NETWORKS INC. COM 902984103 802 20700 SH SOLE 20700 0 0
V I TECHNOLOGIES INC COM COM 917920100 202 42500 SH SOLE 42500 0 0
VALUEVISION INTL INC CL A COM 92047K107 1797 69100 SH SOLE 69100 0 0
VERIO INC COM COM 923433106 446 14375 SH SOLE 14375 0 0
VERITAS SOFTWARE CO COM COM 923436109 1383 18215 SH SOLE 18215 0 0
VITESSE SEMICONDUCTOR CORP COM COM 928497106 1528 17900 SH SOLE 17900 0 0
VODAFONE AIRTOUCH PLC ADR COM 92857T107 13324 280200 SH SOLE 280200 0 0
WALGREEN COMPANY COM 931422109 3550 139900 SH SOLE 139900 0 0
WARNER LAMBERT CO COM 934488107 6431 96895 SH SOLE 96895 0 0
WESTPOINT STEVENS INC COM COM 961238102 753 31886 SH SOLE 31886 0 0
WORLD ACCESS CVDB 144A 4.500% CONVERTIBLE BOND 98141AAA9 325 500000 PRN SOLE 500000 0 0
XILINX INC COM 983919101 2404 36687 SH SOLE 36687 0 0
XOMED SURGICAL PRODS INC COM COM 98412V107 5444 95500 SH SOLE 95500 0 0
YOUNG & RUBICAM INC COM 987425105 1248 28360 SH SOLE 28360 0 0
LINE COUNT: 234
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