UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 13F
Form 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: March 31, 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: Rockefeller Financial Services, Inc.
Address: 30 Rockefeller Plaza
New York, New York 10112
Form 13F File Number: 28-2813
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: David A. Strawbridge
Title: Vice President & General Counsel
Phone: (212) 649-5804
Signature, Place, and Date of Signing:
/s/ David A. Strawbridge New York, New York May 14, 1999
[Signature] [City, State] [Date]
The schedules attached, headed Rockefeller Financial Services, Inc. /
Rockefeller & Co., Inc., include all of the information required to be reported
by Rockefeller & Co., Inc. a wholly owned subsidiary of Rockefeller Financial
Services, Inc. on Form 13F for the quarter ended March 31, 1999.
<PAGE>
The schedules attached, headed Rockefeller Financial Services, Inc. /
Rockefeller & Co., Inc. / The Rockefeller Trust Company, include all of the
information required to be reported by The Rockefeller Trust Company a wholly
owned subsidiary of Rockefeller & Co., Inc. which is the wholly owned subsidiary
of Rockefeller Financial Services, Inc. on Form 13F for the quarter ended March
31, 1999.
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).)
<PAGE>
Form 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 2
Form 13F Information Table Entry Total: 478
Form 13F Information Table Value Total: $2,624,801 (x 1,000)
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.
No. Form 13F File Number Name
1. 28-926 Rockefeller & Co., Inc.
2. 28-2772 The Rockefeller Trust Company
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FORM 13F(03-31-99) NAME OF REPORTING MANAGER
ROCKEFELLER FINANCIAL SERVICES/ROCKEFELLER & CO., INC.
Title of Value Shares or Investment Other Voting Authority Shares
Name of Issuer Class Cusip (x$1,000) Principal Discretion Managers A. Sole B. Shared C. None
3-Com Corp. - Restricted ............ COM 885535104 17 744 Shared-Defined 1 744 0 0
3DFX Interactive Inc. ............... COM 88553X103 690 55,231 Shared-Defined 1 55,066 0 165
Abbott Laboratories ................. COM 002824100 17,859 381,500 Shared-Defined 1 377,500 0 4,000
Adac Laboratories - New ............. COM 005313200 3,767 276,449 Shared-Defined 1 276,449 0 0
Adelphia Communications Corp. Class A COM 006848105 6 100 Shared-Defined 1 100 0 0
Advanced Micro Devices Inc. ......... COM 007903107 8 500 Shared-Defined 1 500 0 0
Aes Corp. ........................... COM 00130H105 20,525 551,000 Shared-Defined 1 547,800 0 3,200
Aetna Inc. .......................... COM 008117103 11,459 138,063 Shared-Defined 1 138,063 0 0
Aflac, Inc. ......................... COM 001055102 20,934 384,550 Shared-Defined 1 384,550 0 0
Air Touch Communications Inc. ....... COM 00949T100 13,327 137,920 Shared-Defined 1 137,920 0 0
Alkermes, Inc. (New) ................ COM 01642T108 1,473 54,061 Shared-Defined 1 54,061 0 0
Allegheny Teledyne Inc. ............. COM 017415100 348 18,400 Shared-Defined 1 18,400 0 0
Allied Irish Banks - Spons ADR ...... COM 019228402 518 5,000 Shared-Defined 1 0 0 5,000
Allmerica Financial Corp. ........... COM 019754100 99 1,800 Shared-Defined 1 1,800 0 0
Amazon.Com Inc ...................... COM 023135106 5 30 Shared-Defined 1 30 0 0
America Online Inc. ................. COM 02364J104 165 1,120 Shared-Defined 1 1,120 0 0
American Express Co. ................ COM 025816109 59 500 Shared-Defined 1 500 0 0
American International Group ........ COM 026874107 23,315 193,282 Shared-Defined 1 180,282 0 13,000
American Superconductor Corp. ....... COM 030111108 1,364 149,489 Shared-Defined 1 149,489 0 0
Ameritech Corp. ..................... COM 030954101 173 3,000 Shared-Defined 1 3,000 0 0
Amkor Technology, Inc. .............. COM 031652100 8,596 1,091,570 Shared-Defined 1 1,091,570 0 0
AMR Corporation ..................... COM 001765106 105 1,800 Shared-Defined 1 1,800 0 0
Apollo Group ........................ COM 037604105 2,166 72,500 Shared-Defined 1 72,500 0 0
Apple Computer Inc. ................. COM 037833100 730 20,302 Shared-Defined 1 20,302 0 0
Applied Materials ................... COM 038222105 9,910 160,640 Shared-Defined 1 160,640 0 0
Apt Satellite Hldgs - ADR ........... COM 00203R105 303 121,090 Shared-Defined 1 121,090 0 0
Aracruz Celulose - ADR .............. COM 038496204 4,757 328,040 Shared-Defined 1 328,040 0 0
Archer Daniels Midland Co............ COM 039483102 236 16,061 Shared-Defined 1 16,061 0 0
Ashland Inc. ........................ COM 044204105 266 6,500 Shared-Defined 1 6,500 0 0
ASM Lithography Hldgs NV ............ COM N07059111 360 8,000 Shared-Defined 1 8,000 0 0
AT & T Corp. ........................ COM 001957109 15,727 197,045 Shared-Defined 1 196,545 0 500
At Home Corporation - Series A ...... COM 045919107 79 500 Shared-Defined 1 500 0 0
Autozone Inc. ....................... COM 053332102 7,211 237,400 Shared-Defined 1 237,400 0 0
Axa-Uap - ADR ....................... COM 054536107 952 14,375 Shared-Defined 1 14,375 0 0
Aztec Energy Corp/Utah .............. COM 054805106 0 43 Shared-Defined 1 43 0 0
Ballard Power Systems Inc. .......... COM 05858H104 1,142 37,000 Shared-Defined 1 25,000 0 12,000
Banco Bilbao Vizcaya, S.A. ADR ...... COM 059458208 1,953 132,943 Shared-Defined 1 132,943 0 0
Banctec Inc. ........................ COM 059784108 4,093 332,421 Shared-Defined 1 332,421 0 0
Bank Of NY Inc ...................... COM 064057102 539 15,000 Shared-Defined 1 0 0 15,000
Bankamerica Corp. ................... COM 06605F102 15,746 222,951 Shared-Defined 1 220,551 0 2,400
Banta Corp. ......................... COM 066821109 261 13,725 Shared-Defined 1 13,725 0 0
BCE Inc. ............................ COM 05534B109 598 13,500 Shared-Defined 1 13,500 0 0
Bear Stearns Cos .................... COM 073902108 108 2,415 Shared-Defined 1 2,415 0 0
Belden, Inc. ........................ COM 077459105 353 20,700 Shared-Defined 1 20,700 0 0
Bell Atlantic Corp. ................. COM 077853109 8,734 168,978 Shared-Defined 1 168,978 0 0
Bellsouth Corp. ..................... COM 079860102 160 4,000 Shared-Defined 1 4,000 0 0
Ben & Jerrys Homemade Inc Cl A ...... COM 081465106 112 4,000 Shared-Defined 1 4,000 0 0
Billing Concepts Corp. .............. COM 090063108 7,803 657,060 Shared-Defined 1 657,060 0 0
Biochem Pharma Inc. ................. COM 09058T108 499 23,400 Shared-Defined 1 20,000 0 3,400
BISYS Group Inc. .................... COM 055472104 11,082 197,020 Shared-Defined 1 197,020 0 0
Bladex (Banco Latinoamericano De Exp) COM P16994132 3,332 128,170 Shared-Defined 1 126,970 0 1,200
Boeing Co. .......................... COM 097023105 547 16,100 Shared-Defined 1 16,100 0 0
Borders Group Inc. .................. COM 099709107 3,848 273,640 Shared-Defined 1 273,640 0 0
Borg-Warner Automotive .............. COM 099724106 760 15,900 Shared-Defined 1 15,900 0 0
Bowater Inc ......................... COM 102183100 2,112 53,300 Shared-Defined 1 53,300 0 0
BP Amoco Plc - ADR .................. COM 055622104 2,464 24,395 Shared-Defined 1 21,347 0 3,048
Bristol Myers Squibb Co. ............ COM 110122108 3,527 55,000 Shared-Defined 1 52,000 0 3,000
Broadcom Corp - Class A ............. COM 111320107 92 1,500 Shared-Defined 1 1,500 0 0
Broadway & Seymour Inc. ............. COM 111433108 968 242,080 Shared-Defined 1 242,080 0 0
Buffets Inc. ........................ COM 119882108 4,973 503,615 Shared-Defined 1 503,615 0 0
Burlington Resources Inc. ........... COM 122014103 170 4,267 Shared-Defined 1 4,267 0 0
Campbell Soup Co. ................... COM 134429109 90 2,200 Shared-Defined 1 2,200 0 0
Cardiothoracic Systems Inc. ......... COM 141907105 167 17,478 Shared-Defined 1 17,478 0 0
Catalytica Inc. ..................... COM 148885106 990 90,000 Shared-Defined 1 90,000 0 0
Caterpillar Inc. .................... COM 149123101 239 5,196 Shared-Defined 1 5,196 0 0
CBT Group Plc - ADR ................. COM 124853300 1,144 100,000 Shared-Defined 1 100,000 0 0
Celestial Seasonings Inc. ............ COM 151016102 1,622 75,000 Shared-Defined 1 75,000 0 0
Cell Genesys ......................... COM 150921104 5,654 1,145,000 Shared-Defined 1 1,145,000 0 0
Central Pacific Minerals ADR ......... COM 154762306 16,527 1,663,035 Shared-Defined 1 1,663,035 0 0
Centura Software Corp. ............... COM 15640W103 1 1,117 Shared-Defined 1 1,117 0 0
Chase Manhattan Corp. ................ COM 16161A108 68,808 845,566 Shared-Defined 1 845,566 0 0
Chevron Corp ......................... COM 166751107 32,970 371,495 Shared-Defined 1 368,895 0 2,600
Chiron Corp .......................... COM 170040109 1,602 73,036 Shared-Defined 1 73,036 0 0
Chrysalis Intl Corp. ................. COM 171188105 1 1,277 Shared-Defined 1 1,277 0 0
Chubb Corp. .......................... COM 171232101 305 5,200 Shared-Defined 1 5,200 0 0
Cinergy Corp. ......................... COM 172474108 147 5,350 Shared-Defined 1 5,350 0 0
Cisco Systems, Inc. ................... COM 17275R102 18,197 166,087 Shared-Defined 1 160,262 0 5,825
Citigroup Inc. ........................ COM 172967101 2,923 45,762 Shared-Defined 1 45,762 0 0
CKE Restaurants, Inc. ................. COM 12561E105 16,842 852,740 Shared-Defined 1 852,740 0 0
Clinichem Dev Inc. Cl A ............... COM 186906103 2 260 Shared-Defined 1 175 0 85
Cognex Corp. .......................... COM 192422103 1,066 44,984 Shared-Defined 1 41,984 0 3,000
Columbia/HCA Healthcare Corp. ......... COM 197677107 7,527 397,450 Shared-Defined 1 397,450 0 0
Com21 Inc. ............................ COM 205937105 33 1,250 Shared-Defined 1 1,250 0 0
Compaq Computer Corp. ................. COM 204493100 1,317 41,546 Shared-Defined 1 41,546 0 0
Costco Companies Inc. ................. COM 22160Q102 92 1,000 Shared-Defined 1 1,000 0 0
Cousins Properties Inc. ............... COM 222795106 2,894 100,000 Shared-Defined 1 100,000 0 0
Cox Communications Inc Cl-A ........... COM 224044107 8,292 109,648 Shared-Defined 1 109,648 0 0
Cummins Engine Inc. ................... COM 231021106 427 12,000 Shared-Defined 1 12,000 0 0
Cyprus Amax Minerals Company .......... COM 232809103 4,754 392,100 Shared-Defined 1 392,100 0 0
DaimlerChrysler AG .................... COM D1668R123 160 1,870 Shared-Defined 1 1,870 0 0
Dal-Tile International,Inc ............ COM 23426R108 3,884 428,590 Shared-Defined 1 428,590 0 0
DBT Online Inc. ....................... COM 233044106 5,179 208,200 Shared-Defined 1 208,200 0 0
Dexter Corp. .......................... COM 252165105 47 1,500 Shared-Defined 1 1,500 0 0
Dianon Systems, Inc. .................. COM 252826102 0 11 Shared-Defined 1 11 0 0
Dime Bancorp Inc. (New) ............... COM 25429Q102 2,283 98,450 Shared-Defined 1 98,450 0 0
Disney, Walt Co. ...................... COM 254687106 169 5,430 Shared-Defined 1 5,430 0 0
Donnelly Corp. ........................ COM 257870105 656 50,000 Shared-Defined 1 50,000 0 0
DoubleClick, Inc. - RestrictedRule 144 COM 258609304 16,557 90,941 Shared-Defined 1 90,469 0 472
Dover Corp. ........................... COM 260003108 1,710 52,000 Shared-Defined 1 52,000 0 0
Duke Power ............................ COM 264399106 6 104 Shared-Defined 1 104 0 0
Dun & Bradstreet Corp. ................ COM 26483B106 75 2,100 Shared-Defined 1 2,100 0 0
Dupont, E.I. de Nemours & Co. ......... COM 263534109 4,738 81,600 Shared-Defined 1 79,600 0 2,000
DVI, Inc. ............................. COM 233343102 5,809 390,500 Shared-Defined 1 390,500 0 0
Earthlink Network Inc. ................ COM 270322100 480 8,000 Shared-Defined 1 8,000 0 0
Echelon Intl.Corp ..................... COM 278747100 2 80 Shared-Defined 1 80 0 0
EchoStar Communications Corp. Cl A .... COM 278762109 12,270 150,320 Shared-Defined 1 150,320 0 0
Edwards A.G. Inc. ..................... COM 281760108 59 1,800 Shared-Defined 1 1,800 0 0
Elan Corp PLC - ADR ................... COM 284131208 2,069 29,660 Shared-Defined 1 22,560 0 7,100
Eltrax Systems Inc. ................... COM 290375104 4 1,000 Shared-Defined 1 1,000 0 0
Emerson Electric Co. .................. COM 291011104 339 6,400 Shared-Defined 1 5,000 0 1,400
Enron Corp. ........................... COM 293561106 2,763 43,000 Shared-Defined 1 43,000 0 0
Enron Oil & Gas Corp. ................. COM 293562104 1,480 89,000 Shared-Defined 1 89,000 0 0
Estee Lauder Companies - Cl A
(Loan/Pledge Agmt Dtd ................ COM 518439104 150 1,591 Shared-Defined 1 1,591 0 0
Exide Corp. ........................... COM 302051107 2,425 217,960 Shared-Defined 1 217,960 0 0
Exxon Corp. ........................... COM 302290101 55,989 793,461 Shared-Defined 1 790,461 0 3,000
Family Dollar Stores, Inc. ............ COM 307000109 15,048 654,270 Shared-Defined 1 654,270 0 0
Farm Family Holdings Inc. ............. COM 307901108 3 107 Shared-Defined 1 107 0 0
Federal National Mortgage Association . COM 313586109 4,709 68,000 Shared-Defined 1 60,000 0 8,000
Financial Federal Corp. ............... COM 317492106 29 1,502 Shared-Defined 1 1,502 0 0
Fleetwood ............................. COM 339099103 157 5,500 Shared-Defined 1 3,500 0 2,000
Florida Progress Corp. ................ COM 341109106 62 1,650 Shared-Defined 1 1,650 0 0
Franchise Mtge Acceptance Co. ......... COM 35181D108 68 9,400 Shared-Defined 1 9,400 0 0
Fuji Bank Step Up 9.87% Pfd
144 A 12/31/49 ........................ COM 359577AA1 597 675,000 Shared-Defined 1 675,000 0 0
Gap, Inc. ............................. COM 364760108 2,620 38,925 Shared-Defined 1 38,925 0 0
General Electric Co. .................. COM 369604103 48,900 442,038 Shared-Defined 1 439,638 0 2,400
General Growth Properties ............. COM 370021107 3,562 109,800 Shared-Defined 1 109,800 0 0
General Motors Corp - Class H ......... COM 370442832 782 15,500 Shared-Defined 1 15,500 0 0
General Motors Corp. .................. COM 370442105 609 7,000 Shared-Defined 1 7,000 0 0
Getty Images, Inc. .................... COM 374276103 2,100 100,000 Shared-Defined 1 100,000 0 0
Gilead Sciences Inc. .................. COM 375558103 1,820 39,998 Shared-Defined 1 39,998 0 0
Gillette Co. .......................... COM 375766102 238 4,000 Shared-Defined 1 4,000 0 0
Glaxo Wellcome PLC ADR ................ COM 37733W105 904 13,500 Shared-Defined 1 10,000 0 3,500
Global Crossing Ltd ................... COM G3921A100 8,524 184,300 Shared-Defined 1 184,300 0 0
Gulf Canada Resources Ltd Ord ......... COM 40218L305 581 216,100 Shared-Defined 1 216,100 0 0
Halliburton Co. ....................... COM 406216101 400 10,400 Shared-Defined 1 10,400 0 0
Hartford Financial Services Group, Inc. COM 416515104 9,312 163,900 Shared-Defined 1 163,900 0 0
Healthcare Services Group ............. COM 421906108 5,917 622,884 Shared-Defined 1 622,884 0 0
Healthsouth Corp. ..................... COM 421924101 327 31,478 Shared-Defined 1 31,478 0 0
Heinz (H.J.) Co. ...................... COM 423074103 9 200 Shared-Defined 1 200 0 0
Hershey Foods Corp. ................... COM 427866108 4,087 72,900 Shared-Defined 1 72,900 0 0
Hewlett Packard Co .................... COM 428236103 1,908 28,140 Shared-Defined 1 28,140 0 0
Home Depot Inc. ....................... COM 437076102 6,069 97,500 Shared-Defined 1 97,500 0 0
IDEC Pharmaceuticals Corp. ............ COM 449370105 1,179 22,941 Shared-Defined 1 22,941 0 0
Idexx Laboratories Inc. ............... COM 45168D104 2,432 101,596 Shared-Defined 1 101,596 0 0
Imco Recycling ........................ COM 449681105 26 2,000 Shared-Defined 1 2,000 0 0
Imperial Credit Inds. Inc. ............ COM 452729106 43 5,900 Shared-Defined 1 5,900 0 0
Incyte Pharmaceuticals Inc. ........... COM 45337C102 31 1,559 Shared-Defined 1 1,559 0 0
Information Resources Inc. ............ COM 456905108 3,314 514,820 Shared-Defined 1 514,820 0 0
Inktomi Corp.-Restricted Exp-09/25/99.. COM 457277101 638 7,436 Shared-Defined 1 5,874 0 1,562
Int'l Business Machines Corp. ......... COM 459200101 34,961 197,244 Shared-Defined 1 195,844 0 1,400
Integrated Systems Inc. ............... COM 45812M104 6,689 522,030 Shared-Defined 1 522,030 0 0
Intel Corp. ........................... COM 458140100 9,293 78,176 Shared-Defined 1 76,376 0 1,800
Interest Rate Guarantee Dec 1999 Calls COM 45999935 563 7,500,000, Shared-Defined 1 7,500,000,0 0 0
Interest Rate Guarantee Mar 2000 Calls COM 45999940 825 5,500,000, Shared-Defined 1 5,500,000,0 0 0
Iona Technologies Plc-ADR ............. COM 46206P109 7,886 259,612 Shared-Defined 1 259,612 0 0
Ionics Inc. ........................... COM 462218108 934 31,000 Shared-Defined 1 31,000 0 0
Iron Mountain Inc. .................... COM 46284P104 5,915 189,290 Shared-Defined 1 189,29 0 0
J.P. Morgan ........................... COM 616880100 9,025 73,150 Shared-Defined 1 72,150 0 1,000
Johnson & Johnson ..................... COM 478160104 6,089 65,126 Shared-Defined 1 64,220 0 906
Kerr-McGee Corp ....................... COM 492386107 1,411 42,988 Shared-Defined 1 42,988 0 0
Keycorp ............................... COM 493267108 5,456 180,000 Shared-Defined 1 180,000 0 0
KeySpan Energy Corp. .................. COM 49337K106 352 14,000 Shared-Defined 1 14,000 0 0
Kimberly-Clark Corp ................... COM 494368103 17,209 358,992 Shared-Defined 1 358,792 0 200
Komag Inc. ............................ COM 500453105 32 7,426 Shared-Defined 1 5,026 0 2,400
Koninklijke Philips Elect-N.V.NY shs .. COM 500472105 19,563 237,306 Shared-Defined 1 237,306 0 0
Kopin Corporation ..................... COM 500600101 351 25,401 Shared-Defined 1 25,401 0 0
Kronos Inc. ........................... COM 501052104 8,020 327,367 Shared-Defined 1 327,367 0 0
Learning Co Inc. ...................... COM 522008101 1,798 62,000 Shared-Defined 1 62,000 0 0
Leggett & Platt Inc. .................. COM 524660107 1,472 73,600 Shared-Defined 1 73,600 0 0
Lilly Eli & Co. ....................... COM 532457108 8,328 98,125 Shared-Defined 1 98,125 0 0
Liposome Corp - Affiliate Status ...... COM 536310105 403 30,000 Shared-Defined 1 30,000 0 0
Lucent Technologies ................... COM 549463107 579 5,362 Shared-Defined 1 362 0 5,000
Lycos Inc - Restricted Rule S3 ........ COM 550818108 6,355 73,845 Shared-Defined 1 73,370 0 475
Madge Networks, N.V ................... COM N5424G106 38 14,254 Shared-Defined 1 14,254 0 0
Mannesmann AG-Sponsored ADR ........... COM 563775303 94 750 Shared-Defined 1 750 0 0
MarketWatch.com, Inc. ................. COM 570619106 41 550 Shared-Defined 1 550 0 0
McDonalds Corp. ....................... COM 580135101 51 1,116 Shared-Defined 1 1,116 0 0
MCI Worldcom Inc. ..................... COM 55268B106 18,837 212,692 Shared-Defined 1 212,192 0 500
Medimmune, Inc. ....................... COM 584699102 355 6,000 Shared-Defined 1 6,000 0 0
Medpartners Inc. ...................... COM 58503X107 21 4,361 Shared-Defined 1 4,361 0 0
Mentor Graphics ....................... COM 587200106 11,450 848,118 Shared-Defined 1 848,118 0 0
Merck & Co. Inc. ...................... COM 589331107 693,650 8,657,098 Shared-Defined 1 467,756 0 8,189,342
Micrion Corp .......................... COM 59479P102 4 465 Shared-Defined 1 465 0 0
Microsemi Corp. ....................... COM 595137100 3,849 483,030 Shared-Defined 1 483,030 0 0
Microsoft Corp - Restricted Rule S3 ... COM 594918104 5,846 65,228 Shared-Defined 1 46,420 0 18,808
MidAmerican Energy Hldgs, Co. ......... COM 59562V107 2,459 87,808 Shared-Defined 1 87,808 0 0
Millennium Pharmaceuticals ............ COM 599902103 2,021 64,668 Shared-Defined 1 64,668 0 0
MindSpring Enterprises, Inc. .......... COM 602683104 387 4,500 Shared-Defined 1 500 0 4,000
Minnesota Mining & Mfg. Co. ........... COM 604059105 1,620 22,900 Shared-Defined 1 21,700 0 1,200
Mobil Corp. ........................... COM 607059102 8,122 92,294 Shared-Defined 1 90,294 0 2,000
Momentum Business ApplicationsInc ..... COM 60877P108 57 6,336 Shared-Defined 1 6,336 0 0
Montana Power Co. ..................... COM 612085100 603 8,200 Shared-Defined 1 8,200 0 0
Morgan Stanley Emerging Mkts Fund ..... COM 61744G107 57 6,000 Shared-Defined 1 6,000 0 0
Morton International .................. COM 619335102 471 12,700 Shared-Defined 1 12,700 0 0
National City Corp. ................... COM 635405103 133 2,000 Shared-Defined 1 2,000 0 0
Neomagic Corp. ........................ COM 640497103 50 5,000 Shared-Defined 1 5,000 0 0
Neopath Inc. .......................... COM 640517108 120 30,000 Shared-Defined 1 30,000 0 0
Network Appliance Inc. ................ COM 64120L104 9,179 181,306 Shared-Defined 1 181,306 0 0
Network Assoc. Inc - Dec 99 22 Puts ... COM 64099127 -113 -39,800 Shared-Defined 1 -39,800 0 0
Network Assoc. Inc - Dec 99 25 Puts ... COM 64099125 -97 -238 Shared-Defined 1 -238 0 0
Network Associates Inc. ............... COM 640938106 16,127 525,500 Shared-Defined 1 521,500 0 4,000
New Era Of Networks Inc. .............. COM 644312100 9,382 138,475 Shared-Defined 1 137,792 0 683
Newbridge Networks Corp. .............. COM 650901101 22,677 719,900 Shared-Defined 1 719,900 0 0
Nexstar Pharmaceuticals ............... COM 65333B106 235 13,800 Shared-Defined 1 0 0 13,800
Nextel Communications Inc Cl A ........ COM 65332V103 8,361 228,300 Shared-Defined 1 228,300 0 0
Nielsen Media Research Corp. .......... COM 653929307 8,425 341,255 Shared-Defined 1 341,255 0 0
Nokia - ADR A ......................... COM 654902204 27,557 176,930 Shared-Defined 1 176,930 0 0
Norfolk Southern Corp. ................ COM 655844108 1,864 70,678 Shared-Defined 1 70,678 0 0
Northern Telecom Ltd .................. COM 665815106 10,314 166,019 Shared-Defined 1 165,865 0 154
Novacare Inc. ......................... COM 669930109 16 9,000 Shared-Defined 1 9,000 0 0
NTL Incorporated ...................... COM 629407107 24,579 302,050 Shared-Defined 1 299,550 0 2,500
Object Design, Inc. ................... COM 674416102 5,338 1,041,530 Shared-Defined 1 1,041,530 0 0
Ocean Energy Inc. ..................... COM 674812201 9 1,385 Shared-Defined 1 1,385 0 0
On Assignment Inc. .................... COM 682159108 1,794 70,000 Shared-Defined 1 70,000 0 0
OnHealth Network Company .............. COM 68272W107 34 2,500 Shared-Defined 1 2,500 0 0
Open Market, Inc ...................... COM 68370M100 13 1,000 Shared-Defined 1 1,000 0 0
Opta Food Ingredients Inc. ............ COM 68381N105 0 69 Shared-Defined 1 69 0 0
Orion Capital Corp. ................... COM 686268103 1,250 40,000 Shared-Defined 1 40,000 0 0
Osmonics Inc. ......................... COM 688350107 8 1,000 Shared-Defined 1 1,000 0 0
Oxford Health Plans ................... COM 691471106 1,563 100,000 Shared-Defined 1 100,000 0 0
Pacific Gateway Exchange Inc. ......... COM 694327107 4,827 145,450 Shared-Defined 1 145,450 0 0
Pacificorp ............................ COM 695114108 76 4,400 Shared-Defined 1 4,400 0 0
Paxar Corp. ........................... COM 704227107 268 36,000 Shared-Defined 1 36,000 0 0
Peak Int'l Ltd ........................ COM G69586108 2,468 1,067,100 Shared-Defined 1 1,067,100 0 0
Peoples Heritage Fin'l Group .......... COM 711147108 17,396 966,466 Shared-Defined 1 961,466 0 5,000
Peoplesoft Inc. ....................... COM 712713106 4,544 310,700 Shared-Defined 1 310,700 0 0
Pepsico, Inc .......................... COM 713448108 10,123 258,316 Shared-Defined 1 257,816 0 500
Perkin Elmer Corp. .................... COM 714041100 673 6,935 Shared-Defined 1 6,935 0 0
Pfizer ................................ COM 717081103 1,290 9,300 Shared-Defined 1 9,300 0 0
Pharmacyclics Inc. .................... COM 716933106 743 45,016 Shared-Defined 1 45,016 0 0
Picturetel ............................ COM 720035302 34 4,815 Shared-Defined 1 4,815 0 0
Pioneer Hi Bred Int L Inc. ............ COM 723686101 677 18,000 Shared-Defined 1 18,000 0 0
PLATINUM technology Intl Inc. ......... COM 72764T101 9,484 371,911 Shared-Defined 1 371,911 0 0
Portugal Telecom S.A. - ADR ........... COM 737273102 657 15,000 Shared-Defined 1 15,000 0 0
Powertel, Inc. ........................ COM 73936C109 214 15,000 Shared-Defined 1 0 0 15,000
Preview Travel Inc. ................... COM 74137R101 48 2,500 Shared-Defined 1 2,500 0 0
Primus Telecommunications Group, Inc. . COM 741929103 3,945 389,629 Shared-Defined 1 389,629 0 0
Procter & Gamble Co. .................. COM 742718109 78 800 Shared-Defined 1 800 0 0
Psinet Inc. ........................... COM 74437C101 10,845 254,810 Shared-Defined 1 254,810 0 0
PurchaseSoft, Inc ..................... COM 746145101 34 40,000 Shared-Defined 1 40,000 0 0
PurchaseSoft, Inc (Restr) ............. COM 746992205 2,700 4,000,000 Shared-Defined 1 4,000,000 0 0
PurchaseSoft, Inc - Ser G Wts Ex
Prc-$1.84 Exp-05/1 .................... COM 746992353 0 47,744 Shared-Defined 1 47,744 0 0
PurchaseSoft, Inc - Ser I Wts Ex
Prc-$1.11 Exp-10/2 .................... COM 746992403 0 60,000 Shared-Defined 1 60,000 0 0
PurchaseSoft, Inc - Ser J Wts Ex
Prc-$1.52 Exp-10/2 .................... COM 746992452 0 30,000 Shared-Defined 1 30,000 0 0
PurchaseSoft, Inc - Ser M Wts Ex
Prc-$1.11 Exp-12/1 .................... COM 746992502 0 3,200 Shared-Defined 1 3,200 0 0
PurchaseSoft, Inc - Ser N Wts Ex
Prc-$1.52 Exp-12/1 .................... COM 746992551 0 1,600 Shared-Defined 1 1,600 0 0
PurchaseSoft,Inc - Ser C Wts Ex
Prc-$1.33 Exp-12/5/ ................... COM 746992304 0 61,066 Shared-Defined 1 61,066 0 0
Qualcomm Inc. ......................... COM 747525103 7,239 58,200 Shared-Defined 1 58,200 0 0
Quintiles Transnational Corp. ......... COM 748767100 589 15,600 Shared-Defined 1 5,600 0 10,000
Rambus Inc. ........................... COM 750917106 676 10,500 Shared-Defined 1 3,500 0 7,000
Range Resources Corp. ................. COM 75281A109 1,002 286,180 Shared-Defined 1 286,180 0 0
Rational Software Inc. ................ COM 75409P202 19 694 Shared-Defined 1 694 0 0
Raychem Corp. ......................... COM 754603108 122 5,400 Shared-Defined 1 5,400 0 0
Raytheon Company - Class B ............ COM 755111408 492 8,400 Shared-Defined 1 8,400 0 0
Real del Monte Mining Corp. Unsec
Conv Debs ............................. COM 760991AB5 250 500,000 Shared-Defined 1 500,000 0 0
Reliastar Financial Corp. ............. COM 75952U103 85 2,000 Shared-Defined 1 2,000 0 0
Repsol S.A. ADR ....................... COM 76026T205 103 2,000 Shared-Defined 1 2,000 0 0
Republic Services Inc. Cl A ........... COM 760759100 4,180 258,200 Shared-Defined 1 258,200 0 0
ReSound Corp - Restricted Rule S3 ..... COM 761194109 5,860 1,562,670 Shared-Defined 1 1,562,670 0 0
Rexall Sundown Inc. ................... COM 761648104 1,900 99,000 Shared-Defined 1 99,000 0 0
Roche Holdings Ltd-Sponsored ADR ...... COM 771195104 92 750 Shared-Defined 1 750 0 0
Royal Dutch Pete NY Reg Shs Par NG5 ... COM 780257804 699 13,440 Shared-Defined 1 7,200 0 6,240
Rural/Metro Corporation ............... COM 781748108 3,021 380,540 Shared-Defined 1 380,540 0 0
S&P 500 Depository Receipt ............ COM 78462F103 12,915 100,600 Shared-Defined 1 100,600 0 0
SBC Communications, Inc. .............. COM 78387G103 879 18,618 Shared-Defined 1 18,618 0 0
Schering-Plough Corp. ................. COM 806605101 884 16,000 Shared-Defined 1 16,000 0 0
Schlumberger Ltd. ..................... COM 806857108 90 1,500 Shared-Defined 1 1,500 0 0
Scholastic Corporation ................ COM 807066105 2,786 57,000 Shared-Defined 1 57,000 0 0
Scudder New Europe Fund Inc Common .... COM 810905109 34 1,800 Shared-Defined 1 1,800 0 0
Sears Roebuck & Co. ................... COM 812387108 45 1,000 Shared-Defined 1 1,000 0 0
Sepracor Inc. ......................... COM 817315104 561 5,000 Shared-Defined 1 5,000 0 0
Shaman Pharmaceuticals ................ COM 819319104 45 262,424 Shared-Defined 1 262,424 0 0
Shiva Corp-Restricted Rule S3 ......... COM 824851109 17 2,888 Shared-Defined 1 2,888 0 0
Smithkline Beecham PLC ADR Representing
Ord ADRS .............................. COM 832378301 429 6,000 Shared-Defined 1 0 0 6,000
Sonoco Products Co. .................. COM 835495102 384 16,686 Shared-Defined 1 16,686 0 0
Sotheby's Holdings Inc Class A ........ COM 835898107 285 8,795 Shared-Defined 1 8,795 0 0
Southern Pacific Petroleum ADR ........ COM 843581307 25,516 6,804,397 Shared-Defined 1 6,804,397 0 0
SportsLine USA, Inc. .................. COM 848934105 23 500 Shared-Defined 1 500 0 0
St. Jude Medical ...................... COM 790849103 73 3,000 Shared-Defined 1 3,000 0 0
Sterling Software Inc. ................ COM 859547101 6,608 278,218 Shared-Defined 1 278,218 0 0
Stewart Enterprises Inc. Cl A ......... COM 860370105 4,257 265,000 Shared-Defined 1 255,000 0 10,000
STMicroelectronics-N.V. NY Shs ........ COM 861012102 24,837 255,717 Shared-Defined 1 253,717 0 2,000
Stolt-Nielson S.A.-Spon ADR ........... COM 861565109 9 700 Shared-Defined 1 700 0 0
Strayer Education Inc. ................ COM 863236105 1,989 53,750 Shared-Defined 1 53,750 0 0
Structural Dynamics Research .......... COM 863555108 76 4,000 Shared-Defined 1 4,000 0 0
Sun Microsystems Inc. ................. COM 866810104 500 4,000 Shared-Defined 1 4,000 0 0
Sunbeam Corp. ......................... COM 867071102 17 3,000 Shared-Defined 1 3,000 0 0
Sunrise Assisted Living Inc. .......... COM 86768K106 2,734 60,000 Shared-Defined 1 60,000 0 0
Sykes Enterprises ..................... COM 871237103 14,065 435,260 Shared-Defined 1 435,260 0 0
Sylvan Learning Centers ............... COM 871399101 1,985 72,500 Shared-Defined 1 72,500 0 0
Symbol Technologies ................... COM 871508107 1,991 44,250 Shared-Defined 1 44,250 0 0
TDK Corp - ADR ........................ COM 872351408 32 400 Shared-Defined 1 400 0 0
Tele Danmark As - Spons ADR ........... COM 879242105 8,083 164,969 Shared-Defined 1 164,969 0 0
Telecomunicacoes de Sao Paulo SA - ADR COM 87952K100 722 35,000 Shared-Defined 1 35,000 0 0
Telefonica S.A. - ADR ................. COM 879382208 1,479 11,576 Shared-Defined 1 11,576 0 0
Telescan, Inc. ........................ COM 879516102 1,740 101,600 Shared-Defined 1 101,600 0 0
Terayon Communication Systems ......... COM 880775101 40 1,000 Shared-Defined 1 1,000 0 0
Texas Instruments Inc ................. COM 882508104 23,447 236,240 Shared-Defined 1 233,540 0 2,700
Texas Utilities Co. ................... COM 882848104 598 14,240 Shared-Defined 1 14,240 0 0
Thermedics, Inc. ...................... COM 883901100 124 17,550 Shared-Defined 1 17,550 0 0
Thermo Electron Corp .................. COM 883556102 1,950 143,800 Shared-Defined 1 143,800 0 0
Thermo Power Corp ..................... COM 883589103 3 335 Shared-Defined 1 335 0 0
Thermotrex Corp. ...................... COM 883666109 3 594 Shared-Defined 1 594 0 0
Time Warner Inc. ...................... COM 887315109 496 7,000 Shared-Defined 1 0 0 7,000
Trex Medical Corp. .................... COM 89531R101 3,724 595,830 Shared-Defined 1 595,830 0 0
Triangle Pharmaceuticals Inc. ......... COM 89589H104 605 56,575 Shared-Defined 1 56,575 0 0
Triquint Semiconductor, Inc. .......... COM 89674K103 14 736 Shared-Defined 1 736 0 0
U.S. Filter Corp. ..................... COM 911843209 2,079 67,894 Shared-Defined 1 67,894 0 0
Unilab Corp. - New .................... COM 904763109 11,102 3,482,514 Shared-Defined 1 3,482,514 0 0
Unilever NV - NY Shares ............... COM 904784501 1,707 25,700 Shared-Defined 1 25,700 0 0
Union Pacific Corp. ................... COM 907818108 107 2,000 Shared-Defined 1 2,000 0 0
United International Holdings,Inc ..... COM 910734102 15,362 353,150 Shared-Defined 1 353,150 0 0
United Pan-Europe Communications -
Spon ADR .............................. COM 911300200 4,004 104,680 Shared-Defined 1 104,680 0 0
United Technologies Corp. ............. COM 913017109 393 2,900 Shared-Defined 1 2,900 0 0
Univision Communications, Inc. ........ COM 914906102 17,425 348,500 Shared-Defined 1 348,500 0 0
Unocal Corp. .......................... COM 915289102 12,560 340,600 Shared-Defined 1 40,600 0 0
Unum Corp. ............................ COM 903192102 12,415 261,030 Shared-Defined 1 259,030 0 2,000
Vanguard Cellular Systems Inc ......... COM 922022108 4,816 176,330 Shared-Defined 1 176,330 0 0
Verdant Brands Inc. ................... COM 923366108 594 527,879 Shared-Defined 1 527,879 0 0
Visual Networks, Inc. ................. COM 928444108 6,811 182,236 Shared-Defined 1 180,849 0 1,387
Vivid Technologies, Inc. .............. COM 928538107 9 2,210 Shared-Defined 1 2,210 0 0
Warner Lambert ........................ COM 934488107 788 11,900 Shared-Defined 1 11,900 0 0
Wellpoint Health Networks Inc. ........ COM 94973H108 14,705 193,970 Shared-Defined 1 193,970 0 0
Wells Fargo Company ................... COM 949746101 5,593 159,500 Shared-Defined 1 155,700 0 3,800
Westpac Banking Sponsored ADR ......... COM 961214301 146 4,000 Shared-Defined 1 0 0 4,000
Whitman Corp. ......................... COM 96647K102 34 2,000 Shared-Defined 1 2,000 0 0
Whole Foods Market, Inc. .............. COM 966837106 2,602 75,700 Shared-Defined 1 75,700 0 0
Williams Co Inc. ...................... COM 969457100 711 18,000 Shared-Defined 1 18,000 0 0
Windmere-Durable Holdings, Inc ........ COM 973411101 2,950 421,480 Shared-Defined 1 421,480 0 0
Wisconsin Central Transport ........... COM 976592105 28 2,100 Shared-Defined 1 2,100 0 0
Worthington Industries Inc. ........... COM 981811102 1,265 107,700 Shared-Defined 1 107,700 0 0
Xerox Corp. ........................... COM 984121103 18,765 360,000 Shared-Defined 1 356,800 0 3,200
332 2,118,298
<PAGE>
FORM 13F(03-31-99) NAME OF REPORTING MANAGER
ROCKEFELLER FINANCIAL SERVICES/ROCKEFELLER & CO., INC./THE ROCKEFELLER TRUST COMPANY
Title of Value Shares or Investment Other Voting Authority Shares
Name of Issuer Class Cusip (x$1,000) Principal Discretion Managers A. Sole B. Shared C. None
3DFX Interactive Inc. ................. COM 88553X103 22 1,759 Shared-Defined 1-2 1,759 0 0
Abbott Laboratories ................... COM 002824100 14,101 301,230 Shared-Defined 1-2 277,230 0 24,000
Aes Corp. ............................. COM 00130H105 10,028 269,200 Shared-Defined 1-2 269,200 0 0
Aetna Inc. ............................ COM 008117103 5,553 66,900 Shared-Defined 1-2 57,300 0 9,600
Aflac, Inc. ........................... COM 001055102 10,686 196,300 Shared-Defined 1-2 196,300 0 0
Air Touch Communications Inc. ......... COM 00949T100 4,696 48,600 Shared-Defined 1-2 44,000 0 4,600
American Express Co. .................. COM 025816109 235 1,998 Shared-Defined 1-2 1,998 0 0
American Home Products Corp. .......... COM 026609107 2,885 44,208 Shared-Defined 1-2 44,208 0 0
American International Group .......... COM 026874107 21,247 176,137 Shared-Defined 1-2 163,637 0 12,500
American Superconductor Corp. ......... COM 030111108 15 1,605 Shared-Defined 1-2 1,605 0 0
Ameritech Corp. ....................... COM 030954101 311 5,400 Shared-Defined 1-2 0 0 5,400
Andrew Corp. .......................... COM 034425108 111 8,999 Shared-Defined 1-2 8,999 0 0
Applied Materials ..................... COM 038222105 3,551 57,570 Shared-Defined 1-2 42,070 0 15,500
AT & T Corp. .......................... COM 001957109 2,130 26,690 Shared-Defined 1-2 26,690 0 0
Atlantic Richfield .................... COM 048825103 227 3,100 Shared-Defined 1-2 3,100 0 0
Autozone Inc. ......................... COM 053332102 30 1,000 Shared-Defined 1-2 1,000 0 0
Avery Dennison Corp. .................. COM 053611109 69 1,200 Shared-Defined 1-2 1,200 0 0
Axa-Uap - ADR ......................... COM 054536107 133 2,000 Shared-Defined 1-2 2,000 0 0
Bank One Corp. ........................ COM 06423A103 266 4,830 Shared-Defined 1-2 4,830 0 0
Bankamerica Corp. ..................... COM 06605F102 5,643 79,900 Shared-Defined 1-2 79,900 0 0
Bell Atlantic Corp. ................... COM 077853109 2,424 46,900 Shared-Defined 1-2 33,000 0 13,900
Bellsouth Corp. ....................... COM 079860102 3,806 95,000 Shared-Defined 1-2 95,000 0 0
Berkshire Hathaway Inc - Cl B ......... COM 084670207 122 52 Shared-Defined 1-2 52 0 0
Bestfoods ............................. COM 08658U101 141 3,000 Shared-Defined 1-2 3,000 0 0
Bladex (Banco Latinoamericano De Exp) . COM P16994132 1,074 41,321 Shared-Defined 1-2 41,321 0 0
Boeing Co. ............................ COM 097023105 2,975 87,500 Shared-Defined 1-2 87,500 0 0
Borders Group Inc. .................... COM 099709107 5,598 398,060 Shared-Defined 1-2 398,060 0 0
Bowater Inc ........................... COM 102183100 915 23,100 Shared-Defined 1-2 23,100 0 0
BP Amoco Plc - ADR .................... COM 055622104 6,549 64,841 Shared-Defined 1-2 64,841 0 0
Bristol Myers Squibb Co. .............. COM 110122108 5,720 89,200 Shared-Defined 1-2 89,200 0 0
Burlington Resources Inc. ............. COM 122014103 73 1,830 Shared-Defined 1-2 1,830 0 0
Celeritek, Inc. ....................... COM 150926103 1 162 Shared-Defined 1-2 162 0 0
Chase Manhattan Corp. ................. COM 16161A108 4,280 52,598 Shared-Defined 1-2 52,598 0 0
Chevron Corp .......................... COM 166751107 15,806 178,098 Shared-Defined 1-2 150,098 0 28,000
Chubb Corp. ........................... COM 171232101 422 7,200 Shared-Defined 1-2 7,200 0 0
Cisco Systems, Inc. ................... COM 17275R102 9,639 87,974 Shared-Defined 1-2 79,724 0 8,250
Citigroup Inc. ........................ COM 172967101 64 1,000 Shared-Defined 1-2 1,000 0 0
CKE Restaurants, Inc. ................. COM 12561E105 4,912 248,720 Shared-Defined 1-2 248,720 0 0
Coca Cola Company ..................... COM 191216100 1,344 21,900 Shared-Defined 1-2 21,900 0 0
Cognex Corp. .......................... COM 192422103 71 3,000 Shared-Defined 1-2 3,000 0 0
Columbia/HCA Healthcare Corp. ......... COM 197677107 1,937 102,260 Shared-Defined 1-2 84,260 0 18,000
Cox Communications Inc Cl-A ........... COM 224044107 4,273 56,500 Shared-Defined 1-2 56,500 0 0
Cyprus Amax Minerals Company .......... COM 232809103 3,122 257,500 Shared-Defined 1-2 257,500 0 0
Dayton Hudson Corp. ................... COM 239753106 3,358 50,400 Shared-Defined 1-2 50,400 0 0
Disney, Walt Co. ..................... COM 254687106 1,002 32,205 Shared-Defined 1-2 32,205 0 0
DoubleClick, Inc. - RestrictedRule 144 COM 258609304 3,329 18,287 Shared-Defined 1-2 18,287 0 0
Duke Power ............................ COM 264399106 71 1,300 Shared-Defined 1-2 1,300 0 0
Dupont, E.I. de Nemours & Co. ......... COM 263534109 7,562 130,236 Shared-Defined 1-2 130,236 0 0
Ecolab Inc. ........................... COM 278865100 284 8,000 Shared-Defined 1-2 8,000 0 0
Elan Corp PLC - ADR ................... COM 284131208 140 2,004 Shared-Defined 1-2 2,004 0 0
Electronic Arts ....................... COM 285512109 99 2,080 Shared-Defined 1-2 2,080 0 0
Emerson Electric Co. .................. COM 291011104 1,424 26,900 Shared-Defined 1-2 26,900 0 0
Exxon Corp. ........................... COM 302290101 35,546 503,742 Shared-Defined 1-2 383,742 0 120,000
Family Dollar Stores, Inc. ............ COM 307000109 2,433 105,800 Shared-Defined 1-2 105,800 0 0
Federal National Mortgage Association . COM 313586109 533 7,700 Shared-Defined 1-2 7,700 0 0
Federal Realty Investment Tr .......... COM 313747206 55 2,600 Shared-Defined 1-2 2,600 0 0
Fleetwood ............................. COM 339099103 1,460 51,000 Shared-Defined 1-2 51,000 0 0
Gannett Inc. .......................... COM 364730101 723 11,480 Shared-Defined 1-2 11,480 0 0
Gap, Inc. ............................. COM 364760108 30 450 Shared-Defined 1-2 450 0 0
General Electric Co. .................. COM 369604103 44,613 403,278 Shared-Defined 1-2 291,978 0 111,300
General Growth Properties ............. COM 370021107 590 18,200 Shared-Defined 1-2 18,200 0 0
Global Crossing Ltd ................... COM G3921A100 416 9,000 Shared-Defined 1-2 9,000 0 0
Grainger W W Inc. ..................... COM 384802104 832 19,332 Shared-Defined 1-2 19,332 0 0
Gulf Canada Resources Ltd Ord ......... COM 40218L305 62 23,000 Shared-Defined 1-2 23,000 0 0
Hartford Financial Services Group, Inc. COM 416515104 733 12,900 Shared-Defined 1-2 12,900 0 0
Healthsouth Corp. ..................... COM 421924101 5 520 Shared-Defined 1-2 520 0 0
Hershey Foods Corp. ................... COM 427866108 7,972 142,200 Shared-Defined 1-2 136,700 0 5,500
Hewlett Packard Co .................... COM 428236103 5,757 84,900 Shared-Defined 1-2 84,900 0 0
Idexx Laboratories Inc. ............... COM 45168D104 36 1,500 Shared-Defined 1-2 1,500 0 0
Illinois Tool Works Inc. .............. COM 452308109 204 3,300 Shared-Defined 1-2 3,300 0 0
Incyte Pharmaceuticals Inc. ........... COM 45337C102 94 4,662 Shared-Defined 1-2 4,662 0 0
Int'l Business Machines Corp. ......... COM 459200101 17,919 101,096 Shared-Defined 1-2 96,846 0 4,250
Intel Corp. ........................... COM 458140100 10,639 89,500 Shared-Defined 1-2 89,500 0 0
Iona Technologies Plc-ADR ............. COM 46206P109 374 12,300 Shared-Defined 1-2 12,300 0 0
J.P. Morgan ........................... COM 616880100 6,749 54,700 Shared-Defined 1-2 50,200 0 4,500
Johnson & Johnson ..................... COM 478160104 3,434 36,728 Shared-Defined 1-2 36,728 0 0
Kerr-McGee Corp ....................... COM 492386107 28 848 Shared-Defined 1-2 848 0 0
KeySpan Energy Corp. .................. COM 49337K106 66 2,640 Shared-Defined 1-2 2,640 0 0
Kimberly-Clark Corp ................... COM 494368103 3,442 71,800 Shared-Defined 1-2 71,800 0 0
Komag Inc. ............................ COM 500453105 22 5,000 Shared-Defined 1-2 5,000 0 0
Koninklijke Philips Elect-N.V.NY shs .. COM 500472105 2,292 27,800 Shared-Defined 1-2 27,800 0 0
Landstar Systems Inc. ................. COM 515098101 177 5,332 Shared-Defined 1-2 5,332 0 0
Leap Wireless Intl Inc. ............... COM 521863100 7 550 Shared-Defined 1-2 550 0 0
Libbey Inc. ........................... COM 529898108 62 2,000 Shared-Defined 1-2 2,000 0 0
Lucent Technologies ................... COM 549463107 454 4,200 Shared-Defined 1-2 4,200 0 0
Lycos Inc - Restricted Rule S3 ........ COM 550818108 1,435 16,679 Shared-Defined 1-2 16,679 0 0
McDonalds Corp. ....................... COM 580135101 915 20,200 Shared-Defined 1-2 20,200 0 0
MCI Worldcom Inc. ..................... COM 55268B106 9,524 107,544 Shared-Defined 1-2 98,244 0 9,300
MediaOne Group Inc. ................... COM 58440J104 1,015 16,000 Shared-Defined 1-2 16,000 0 0
Mellon Bank Corp. ..................... COM 585509102 49 700 Shared-Defined 1-2 700 0 0
Merck & Co. Inc. ...................... COM 589331107 10,787 134,628 Shared-Defined 1-2 130,628 0 4,000
Millennium Pharmaceuticals ............ COM 599902103 186 5,946 Shared-Defined 1-2 5,946 0 0
Minnesota Mining & Mfg. Co. ........... COM 604059105 1,764 24,932 Shared-Defined 1-2 24,932 0 0
Mobil Corp. ........................... COM 607059102 7,234 82,200 Shared-Defined 1-2 82,200 0 0
Montana Power Co. ..................... COM 612085100 574 7,800 Shared-Defined 1-2 7,800 0 0
Motorola Inc. ......................... COM 620076109 88 1,200 Shared-Defined 1-2 1,200 0 0
Network Associates Inc. ............... COM 640938106 8,688 283,100 Shared-Defined 1-2 274,100 0 9,000
New Era Of Networks Inc. .............. COM 644312100 805 11,884 Shared-Defined 1-2 11,884 0 0
Newbridge Networks Corp. .............. COM 650901101 5,843 185,500 Shared-Defined 1-2 169,500 0 16,000
Nextel Communications Inc Cl A ........ COM 65332V103 403 11,000 Shared-Defined 1-2 11,000 0 0
Nokia - ADR A ......................... COM 654902204 11,930 76,600 Shared-Defined 1-2 69,100 0 7,500
Norfolk Southern Corp. ................ COM 655844108 1,691 64,100 Shared-Defined 1-2 44,100 0 20,000
Northern Telecom Ltd - Rule S3 ........ COM 665815106 1,109 17,843 Shared-Defined 1-2 17,843 0 0
NTL Incorporated ...................... COM 629407107 13,870 170,450 Shared-Defined 1-2 170,450 0 0
Paxar Corp. ........................... COM 704227107 45 6,000 Shared-Defined 1-2 6,000 0 0
Peoples Heritage Fin'l Group .......... COM 711147108 8,100 449,980 Shared-Defined 1-2 449,980 0 0
Pepsico, Inc .......................... COM 713448108 389 9,925 Shared-Defined 1-2 9,925 0 0
Perkin Elmer Corp. .................... COM 714041100 21 214 Shared-Defined 1-2 214 0 0
Pfizer ................................ COM 717081103 1,526 11,000 Shared-Defined 1-2 11,000 0 0
Pharmacyclics Inc. .................... COM 716933106 39 2,351 Shared-Defined 1-2 2,351 0 0
Procter & Gamble Co. .................. COM 742718109 2,507 25,600 Shared-Defined 1-2 25,600 0 0
Psinet Inc. ........................... COM 74437C101 5,759 135,310 Shared-Defined 1-2 123,110 0 12,200
Qualcomm Inc. ......................... COM 747525103 435 3,500 Shared-Defined 1-2 3,500 0 0
Republic Services Inc. Cl A ........... COM 760759100 728 45,000 Shared-Defined 1-2 45,000 0 0
Royal Dutch Pete NY Reg Shs Par NG5 ... COM 780257804 504 9,700 Shared-Defined 1-2 9,700 0 0
SBC Communications, Inc. .............. COM 78387G103 713 15,114 Shared-Defined 1-2 8,618 0 6,496
Schering-Plough Corp. ................. COM 806605101 265 4,800 Shared-Defined 1-2 4,800 0 0
Scudder New Europe Fund Inc Common .... COM 810905109 703 37,000 Shared-Defined 1-2 20,000 0 17,000
Sequent Computer Systems .............. COM 817338106 39 4,332 Shared-Defined 1-2 4,332 0 0
Shiva Corp-Restricted Rule S3 ......... COM 824851109 0 30 Shared-Defined 1-2 30 0 0
Sonoco Products Co. ................... COM 835495102 186 8,082 Shared-Defined 1-2 8,082 0 0
Southern Pacific Petroleum ADR ........ COM 843581307 413 110,000 Shared-Defined 1-2 110,000 0 0
Spieker Properties .................... COM 848497103 71 2,000 Shared-Defined 1-2 2,000 0 0
Stewart Enterprises Inc. Cl A ......... COM 860370105 2,490 155,000 Shared-Defined 1-2 155,000 0 0
STMicroelectronics-N.V. NY Shs ........ COM 861012102 11,611 119,550 Shared-Defined 1-2 109,550 0 10,000
TDK Corp - ADR ........................ COM 872351408 121 1,500 Shared-Defined 1-2 1,500 0 0
Tele Danmark As - Spons ADR ........... COM 879242105 715 14,600 Shared-Defined 1-2 14,600 0 0
Texas Instruments Inc ................. COM 882508104 18,520 186,600 Shared-Defined 1-2 177,600 0 9,000
Thermo Opportunity Fund Inc. .......... COM 883580102 22 3,332 Shared-Defined 1-2 3,332 0 0
Thermotrex Corp. ...................... COM 883666109 7 1,295 Shared-Defined 1-2 1,295 0 0
Triangle Pharmaceuticals Inc. ......... COM 89589H104 8 795 Shared-Defined 1-2 795 0 0
Triquint Semiconductor, Inc. .......... COM 89674K103 17 938 Shared-Defined 1-2 938 0 0
U.S. WEST, Inc. ....................... COM 91273H101 905 16,435 Shared-Defined 1-2 16,435 0 0
Unilever NV - NY Shares ............... COM 904784501 378 5,692 Shared-Defined 1-2 5,692 0 0
United International Holdings,Inc ..... COM 910734102 1,488 34,200 Shared-Defined 1-2 27,100 0 7,100
Univision Communications, Inc. ........ COM 914906102 9,230 184,600 Shared-Defined 1-2 184,600 0 0
Unocal Corp. .......................... COM 915289102 1,018 27,600 Shared-Defined 1-2 27,600 0 0
Unum Corp. ............................ COM 903192102 3,971 83,480 Shared-Defined 1-2 83,480 0 0
Visual Networks, Inc. ................. COM 928444108 1,539 41,183 Shared-Defined 1-2 41,183 0 0
Wal Mart Stores Inc. .................. COM 931142103 738 8,000 Shared-Defined 1-2 8,000 0 0
Walgreen Co. .......................... COM 931422109 452 15,984 Shared-Defined 1-2 15,984 0 0
Warner Lambert ........................ COM 934488107 676 10,200 Shared-Defined 1-2 10,200 0 0
Wellpoint Health Networks Inc. ........ COM 94973H108 7,205 95,030 Shared-Defined 1-2 87,230 0 7,800
Wells Fargo Company ................... COM 949746101 6,120 174,540 Shared-Defined 1-2 174,540 0 0
Worthington Industries Inc. ........... COM 981811102 4,923 419,000 Shared-Defined 1-2 419,000 0 0
Xerox Corp. ........................... COM 984121103 11,759 225,600 Shared-Defined 1-2 225,600 0 0
146 506,503
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