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Previous: ELDER BEERMAN STORES CORP, DEF 14A, 1999-04-26 |
Next: DYNAMIC MATERIALS CORP, DEF 14A, 1999-04-26 |
<PAGE>
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: Roger Engemann & Associates, Inc.
-----------------------------------------
Address: 600 North Rosemead Blvd.
-----------------------------------------
Pasadena, CA 91107
-----------------------------------------
-----------------------------------------
Form 13F File Number: 28- 1208
-----------
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: Tina L. Mitchell
---------------------------------------
Title: Vice President, Compliance
---------------------------------------
Phone: 626 351-6451
---------------------------------------
Signature, Place, and Date of Signing:
/s/ Tina L. Mitchell Pasadena, CA 4/26/99
- ------------------------ ---------------------- -------------
[Signature] [City, State] [Date]
Securities with respect to which Roger Engemann & Associates, Inc. exercises
investment discretion, as reported herein, are hereby also reported herein with
respect to direct and indirect parent organizations of Roger Engemann &
Associates, Inc. namely Pasadena Capital Corporation 600 North Rosemead Blvd.,
Pasadena, California 91107, it's parent company Phoenix Investment Partners
Ltd., 56 Prospect Street, Hartford, Connecticut, and its majority shareholder,
Phoenix Home Life Mutual Insurance Company, One American Row, Hartford,
Connecticut. Such securities have not been included in the report filed by
Pasadena Capital Corporation, Phoenix Home Life Mutual Insurance Company for
itself, Phoenix Investment Partners Ltd., and certain other subsidiaries of
Phoenix Investment Partners Ltd.
Report Type (Check only one):
[X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager
are reported in this report.)
<PAGE>
[ ] 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).)
List of Other Managers Reporting for this Manager:
[If there are no entries in this list, omit this section.]
Form 13F File Number Name
28-
------------ -------------------------------
[Repeat as necessary.]
<PAGE>
Form 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 3
----------------
Form 13F Information Table Entry Total: 214
----------------
Form 13F Information Table Value Total: $ 7,429,121
----------------
(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- 3118 Pasadena Capital Corporation
---- ----------- -----------------------------
[Repeat as necessary.]
2 28-47829 Phoenix Investment Partners LTD
3 28- Phoenix Home Life Mutual Insurance
Company
<PAGE>
03-31-99
Roger Engemann Associates, Inc.
<TABLE>
<CAPTION>
INVESTMENT DISCRETION
SHARES OR (C)
NAME OF ISSUER AND FAIR MARKET PRINCIPAL (A) (B) SHARED-
TITLE OF CLASS CUSIP NO. VALUE (000) AMOUNT SOLE SHARED OTHER
- ----------------------------------- ------------------------- ---------- ----------------------
<S> <C> <C> <C> <C>
ABACUS DIRECT CORP 002553105 10,796 131,657 X
ADVANCED ENERGY INDUSTRIES 007973100 3,605 153,000 X
AEROQUIP VICKERS INC 007869100 1,284 22,400 X
AIRTOUCH COMMUNICATIONS INC 00949T100 4,831 50,000 X
ALCATEL 013904305 230 10,100 X
ALLEGHENY TELEDYNE INC 017415100 1,269 67,000 X
ALLIED IRISH BANKS-SPONS ADR 019228402 238 2,300 X
ALZA CORPORATION 022615108 771 20,160 X
AMERICA ONLINE INC 02364J104 185,512 1,266,381 X
AMERICAN EXPRESS CO 025816109 116,593 990,429 X
AMERICAN INTL GROUP INC 026874107 90,682 751,733 X
AMERITRAD HOLDING A 03072H109 2,347 38,000 X
AMVESCAP PLC 03235E100 435 8,500 X
APPLIED MICRO CIRCUITS CORP 03822W109 6,083 142,283 X
ARMSTRONG WORLD INDS INC 042476101 1,057 23,400 X
ASCEND COMMUNICATIONS INC 043491109 7,113 85,000 X
ASHLAND INC 044204105 1,187 29,000 X
ASPECT DEVELOPMENT INC 045234101 7,585 326,221 X
AT HOME CORP 045919107 16,538 105,000 X
AUTOBYTEL.COM 05275N106 209 5,000 X
AXA UAP SPONSORED ADRS 054536107 318 4,800 X
B M C SOFTWARE INC 055921100 148,874 4,017,099 X
BED BATH & BEYOND INC 075896100 5,463 149,673 X
BEMIS INC 081437105 1,118 36,000 X
BIOGEN INC 090597105 2,286 20,000 X
BOTTOMLINE TECHNOLOGY 101388106 1,187 18,600 X
BRIGGS & STRATTON CORP 109043109 1,248 25,300 X
BROADCAST .COM INC 111310108 4,668 39,500 X
BROWNING-FERRIS INDS INC 115885105 1,280 33,200 X
CABLE & WIRELESS ADR 126830207 218 5,900 X
CABLE & WIRELESS COMMS ADR 12682P104 294 5,200 X
CARDINAL HEALTH INC 14149Y108 2,475 37,500 X
CARNIVAL CORP CLASS A 143658102 140,675 2,896,936 X
CENDANT CORP 151313103 63,716 4,022,483 X
CENTURY TELEPHONE ENTERPRISES 156686107 3,161 45,000 X
CERUS CORPORATION 157085101 223 10,000 X
CHAMPIONSHIP AUTO RACING 158711101 204 7,000 X
CHARTER ONE FINANCIAL 160903100 2,597 90,000 X
CHEESECAKE FACTORY INC 163072101 11,863 499,515 X
PAGE TOTAL 850,233
<CAPTION>
VOTING AUTHORITY (SHARES)
NAME OF ISSUER AND MANAGERS (A) SOLE (B) SHARED (C) NONE
TITLE OF CLASS
- ----------------------------------- --------------------------------------------
<S> <C> <C>
ABACUS DIRECT CORP 1,2,3 131,657
ADVANCED ENERGY INDUSTRIES 1,2,3 153,000
AEROQUIP VICKERS INC 1,2,3 22,400
AIRTOUCH COMMUNICATIONS INC 1,2,3 50,000
ALCATEL 1,2,3 10,100
ALLEGHENY TELEDYNE INC 1,2,3 67,000
ALLIED IRISH BANKS-SPONS ADR 1,2,3 2,300
ALZA CORPORATION 1,2,3 20,160
AMERICA ONLINE INC 1,2,3 1,265,781
AMERICAN EXPRESS CO 1,2,3 990,429
AMERICAN INTL GROUP INC 1,2,3 751,733
AMERITRAD HOLDING A 1,2,3 38,000
AMVESCAP PLC 1,2,3 8,500
APPLIED MICRO CIRCUITS CORP 1,2,3 142,283
ARMSTRONG WORLD INDS INC 1,2,3 23,400
ASCEND COMMUNICATIONS INC 1,2,3 85,000
ASHLAND INC 1,2,3 29,000
ASPECT DEVELOPMENT INC 1,2,3 326,221
AT HOME CORP 1,2,3 105,000
AUTOBYTEL.COM 1,2,3 5,000
AXA UAP SPONSORED ADRS 1,2,3 4,800
B M C SOFTWARE INC 1,2,3 4,017,099
BED BATH & BEYOND INC 1,2,3 149,673
BEMIS INC 1,2,3 36,000
BIOGEN INC 1,2,3 20,000
BOTTOMLINE TECHNOLOGY 1,2,3 18,600
BRIGGS & STRATTON CORP 1,2,3 25,300
BROADCAST .COM INC 1,2,3 39,500
BROWNING-FERRIS INDS INC 1,2,3 33,200
CABLE & WIRELESS ADR 1,2,3 5,900
CABLE & WIRELESS COMMS ADR 1,2,3 5,200
CARDINAL HEALTH INC 1,2,3 37,500
CARNIVAL CORP CLASS A 1,2,3 2,896,936
CENDANT CORP 1,2,3 4,022,483
CENTURY TELEPHONE ENTERPRISES 1,2,3 45,000
CERUS CORPORATION 1,2,3 10,000
CHAMPIONSHIP AUTO RACING 1,2,3 7,000
CHARTER ONE FINANCIAL 1,2,3 90,000
CHEESECAKE FACTORY INC 1,2,3 499,515
</TABLE>
2
<PAGE>
<TABLE>
<CAPTION>
INVESTMENT DISCRETION
SHARES OR (C)
NAME OF ISSUER AND FAIR MARKET PRINCIPAL (A) (B) SHARED-
TITLE OF CLASS CUSIP NO. VALUE (000) AMOUNT SOLE SHARED OTHER
- ----------------------------------- ------------------------- ---------- ----------------------
<S> <C> <C> <C> <C>
CINAR CORP ADR 171905300 3,220 140,000 X
CISCO SYSTEMS INC 17275R102 307,099 2,803,025 X
CITIGROUP INC 172967101 212,870 3,332,864 X
CKE RESTAURANTS INC 12561E105 10,926 553,192 X
CLAIRES STORES 179584107 16,312 541,570 X
CLEAR CHANNEL COMMUNICATIONS 184502102 12,742 190,000 X
COCA-COLA COMPANY 191216100 91,926 1,497,656 X
COM21 INC 205937105 1,628 62,000 X
COMPAQ COMPUTER CORP 204493100 102,166 3,223,926 X
COMPUWARE CORP 205638109 89,249 3,737,409 X
CONCENTRIC NETWORK CORP 20589R107 3,289 44,000 X
CONEXANT SYSTEMS INC 207142100 3,766 136,000 X
CONSOLIDATED STORES CORP 210149100 3,789 125,000 X
COOPER INDUSTRIES INCORPORATED 216669101 1,223 28,700 X
CORPORATE EXECUTIVE BOARD 21988R102 7,382 279,936 X
COST PLUS INC 221485105 10,299 350,680 X
COULTER PHARMACEUTICAL INC COM 222116105 2,219 102,000 X
COUNTRYWIDE CREDIT INDS INC 222372104 3,863 103,000 X
CRITICAL PATH 22674V100 308 4,000 X
CSG SYSTEMS INTL INC 126349109 552 14,000 X
CURATIVE HEALTH SERVICE INC 231264102 5,837 507,540 X
CYMER INC 232572107 2,882 145,000 X
DAIMLERCHRYSLER AG ORD SHR D1668R123 322 3,758 X
DANA CORPORATION 235811106 1,292 34,000 X
DATACRAFT ASIA SGD0.10 236111AAT 403 172,250 X
DAYTON-HUDSON CORPORATION 239753106 146,958 2,205,576 X
DEERE & CO 244199105 1,321 34,200 X
DEL MONTE FOODS CO 24522P103 1,319 100,000 X
DELL COMPUTER CORP 247025109 4,088 100,000 X
DIAGEO PLC SPONSORED ADR (NEW) 25243Q205 233 5,100 X
DISNEY WALT CO 254687106 120,203 3,862,559 X
DONALDSON LUFKIN & JENRETTE 257661108 4,534 65,000 X
DRIL-QUIP INC 262037104 1,282 58,100 X
EARTHLINK NETWORK INC 270322100 3,098 51,626 X
EASTMAN CHEMICAL CO 277432100 1,165 27,700 X
EATON CORPORATION 278058102 1,373 19,200 X
ELAN CORP PLC ADR 284131208 676 9,688 X
ELECTRONIC DATA SYS CORP (NEW) 285661104 4,366 89,680 X
EMC CORPORATION MASS 268648102 222,877 1,744,631 X
ERICSSON L M TEL CO 294821400 464 19,500 X
PAGE TOTAL 1,409,521
<CAPTION>
VOTING AUTHORITY (SHARES)
NAME OF ISSUER AND MANAGERS (A) SOLE (B) SHARED (C) NONE
TITLE OF CLASS
- ----------------------------------- --------------------------------------------
<S> <C> <C>
CINAR CORP ADR 1,2,3 140,000
CISCO SYSTEMS INC 1,2,3 2,803,025
CITIGROUP INC 1,2,3 3,332,864
CKE RESTAURANTS INC 1,2,3 553,192
CLAIRES STORES 1,2,3 541,570
CLEAR CHANNEL COMMUNICATIONS 1,2,3 190,000
COCA-COLA COMPANY 1,2,3 1,497,656
COM21 INC 1,2,3 62,000
COMPAQ COMPUTER CORP 1,2,3 3,223,926
COMPUWARE CORP 1,2,3 3,737,409
CONCENTRIC NETWORK CORP 1,2,3 44,000
CONEXANT SYSTEMS INC 1,2,3 136,000
CONSOLIDATED STORES CORP 1,2,3 125,000
COOPER INDUSTRIES INCORPORATED 1,2,3 28,700
CORPORATE EXECUTIVE BOARD 1,2,3 279,936
COST PLUS INC 1,2,3 350,680
COULTER PHARMACEUTICAL INC COM 1,2,3 102,000
COUNTRYWIDE CREDIT INDS INC 1,2,3 103,000
CRITICAL PATH 1,2,3 4,000
CSG SYSTEMS INTL INC 1,2,3 14,000
CURATIVE HEALTH SERVICE INC 1,2,3 507,540
CYMER INC 1,2,3 145,000
DAIMLERCHRYSLER AG ORD SHR 1,2,3 3,758
DANA CORPORATION 1,2,3 34,000
DATACRAFT ASIA SGD0.10 1,2,3 172,250
DAYTON-HUDSON CORPORATION 1,2,3 2,205,576
DEERE & CO 1,2,3 34,200
DEL MONTE FOODS CO 1,2,3 100,000
DELL COMPUTER CORP 1,2,3 100,000
DIAGEO PLC SPONSORED ADR (NEW) 1,2,3 5,100
DISNEY WALT CO 1,2,3 3,862,559
DONALDSON LUFKIN & JENRETTE 1,2,3 65,000
DRIL-QUIP INC 1,2,3 58,100
EARTHLINK NETWORK INC 1,2,3 51,626
EASTMAN CHEMICAL CO 1,2,3 27,700
EATON CORPORATION 1,2,3 19,200
ELAN CORP PLC ADR 1,2,3 9,688
ELECTRONIC DATA SYS CORP (NEW) 1,2,3 89,680
EMC CORPORATION MASS 1,2,3 1,744,631
ERICSSON L M TEL CO 1,2,3 19,500
</TABLE>
3
<PAGE>
<TABLE>
<CAPTION>
INVESTMENT DISCRETION
SHARES OR (C)
NAME OF ISSUER AND FAIR MARKET PRINCIPAL (A) (B) SHARED-
TITLE OF CLASS CUSIP NO. VALUE (000) AMOUNT SOLE SHARED OTHER
- ----------------------------------- ------------------------- ---------- ----------------------
<S> <C> <C> <C> <C>
EXPEDITORS INTL WASH INC 302130109 3,510 65,000 X
FASTENAL COMPANY 311900104 6,333 180,619 X
FEDERAL AGRIC MORT CL C 313148306 4,368 83,000 X
FEDERAL HOME LN MTG CORP 313400301 157,900 2,756,634 X
FIRST TENN NATL CORP 337162101 1,465 40,000 X
FLASHNET COMMS 338527104 2,056 50,000 X
FLEXTRONICS INTL LTD ORD Y2573F102 6,572 128,872 X
FORD MOTOR COMPANY 345370100 1,243 21,900 X
FORE SYSTEMS INC 345449102 7,895 417,490 X
FOREST LABS INC CL A 345838106 1,973 35,000 X
FRONTIER CORP 35906P105 1,816 35,000 X
GABELLI ASSET MANAGEMENT INC 36239Y102 8,170 525,000 X
GENERAL ELECTRIC CO 369604103 170,185 1,538,461 X
GILLETTE COMPANY 375766102 154,877 2,605,598 X
GLOBAL CROSSING LTD G3921A100 2,775 60,000 X
GOLDEN STATE BANCORP INC 381197102 4,005 180,000 X
GOODYEAR TIRE & RUBBER COMPANY 382550101 1,235 24,800 X
GUIDANT CORP 401698105 15,508 256,330 X
HARLEY DAVIDSON INC 412822108 6,670 116,000 X
HEALTH MANAGEMENT ASSOC. INC 421933102 2,660 218,215 X
HEALTHCARE FINANCIAL CORP 42219W108 2,351 90,000 X
HENRY SCHEIN INC 806407102 6,030 238,825 X
HERCULES INC 427056106 1,199 47,500 X
HOME DEPOT INC 437076102 256,643 4,122,777 X
INFINITY BROADCASTING 45662S102 3,219 125,000 X
INFOSPACE.COM INCORPORATED 45678T102 2,216 25,000 X
INHALE THERAPEUTIC SYSTEMS 457191104 3,693 136,138 X
INKTOMI CORP 457277101 1,784 20,800 X
INTEL CORP 458140100 282,448 2,375,311 X
INTERNATIONAL SPEEDWAY CL A 460335201 7,260 137,630 X
INTERPUBLIC GROUP COS INC 460690100 96,213 1,235,560 X
ISS GROUP INC 450306105 3,975 50,000 X
JABIL CIRCUIT INC 466313103 4,860 120,000 X
JEFFERIES GROUP INC 472318104 3,083 65,000 X
JOHNSON & JOHNSON 478160104 738 7,896 X
K MART CORPORATION 482584109 2,522 150,000 X
KANSAS CITY SOUTHN IND 485170104 84,488 1,482,254 X
KOHLS CORP 500255104 51,207 722,547 X
KONINKLIJKE NV SPNSRD ADR NEW 500467303 226 5,900 X
LEGATO SYSTEMS 524651106 9,612 186,198 X
PAGE TOTAL 1,384,983
<CAPTION>
VOTING AUTHORITY (SHARES)
NAME OF ISSUER AND MANAGERS (A) SOLE (B) SHARED (C) NONE
TITLE OF CLASS
- ----------------------------------- --------------------------------------------
<S> <C> <C>
EXPEDITORS INTL WASH INC 1,2,3 65,000
FASTENAL COMPANY 1,2,3 180,619
FEDERAL AGRIC MORT CL C 1,2,3 83,000
FEDERAL HOME LN MTG CORP 1,2,3 2,756,634
FIRST TENN NATL CORP 1,2,3 40,000
FLASHNET COMMS 1,2,3 50,000
FLEXTRONICS INTL LTD ORD 1,2,3 128,872
FORD MOTOR COMPANY 1,2,3 21,900
FORE SYSTEMS INC 1,2,3 417,490
FOREST LABS INC CL A 1,2,3 35,000
FRONTIER CORP 1,2,3 35,000
GABELLI ASSET MANAGEMENT INC 1,2,3 525,000
GENERAL ELECTRIC CO 1,2,3 1,538,461
GILLETTE COMPANY 1,2,3 2,605,598
GLOBAL CROSSING LTD 1,2,3 60,000
GOLDEN STATE BANCORP INC 1,2,3 180,000
GOODYEAR TIRE & RUBBER COMPANY 1,2,3 24,800
GUIDANT CORP 1,2,3 256,330
HARLEY DAVIDSON INC 1,2,3 116,000
HEALTH MANAGEMENT ASSOC. INC 1,2,3 218,215
HEALTHCARE FINANCIAL CORP 1,2,3 90,000
HENRY SCHEIN INC 1,2,3 238,825
HERCULES INC 1,2,3 47,500
HOME DEPOT INC 1,2,3 4,122,777
INFINITY BROADCASTING 1,2,3 125,000
INFOSPACE.COM INCORPORATED 1,2,3 25,000
INHALE THERAPEUTIC SYSTEMS 1,2,3 136,138
INKTOMI CORP 1,2,3 20,800
INTEL CORP 1,2,3 2,448,231
INTERNATIONAL SPEEDWAY CL A 1,2,3 137,630
INTERPUBLIC GROUP COS INC 1,2,3 1,235,560
ISS GROUP INC 1,2,3 50,000
JABIL CIRCUIT INC 1,2,3 120,000
JEFFERIES GROUP INC 1,2,3 65,000
JOHNSON & JOHNSON 1,2,3 7,896
K MART CORPORATION 1,2,3 150,000
KANSAS CITY SOUTHN IND 1,2,3 1,482,254
KOHLS CORP 1,2,3 722,547
KONINKLIJKE NV SPNSRD ADR NEW 1,2,3 5,900
LEGATO SYSTEMS 1,2,3 186,198
</TABLE>
4
<PAGE>
<TABLE>
<CAPTION>
INVESTMENT DISCRETION
SHARES OR (C)
NAME OF ISSUER AND FAIR MARKET PRINCIPAL (A) (B) SHARED-
TITLE OF CLASS CUSIP NO. VALUE (000) AMOUNT SOLE SHARED OTHER
- ----------------------------------- ------------------------- ---------- ----------------------
<S> <C> <C> <C> <C>
LEHMAN BROTHERS HOLDINGS INC 524908100 3,286 55,000 X
LEVEL ONE COMMUNICATIONS INC 527295109 3,161 65,000 X
LILLY ELI & COMPANY 532457108 114,006 1,343,296 X
LITHIA MOTORS INC CL A 536797103 3,254 205,000 X
LOWES CO INC 548661107 8,336 137,780 X
LUCENT TECHNOLOGIES INC 549463107 213,022 1,973,521 X
LUXOTTICA GROUP S P A ADR 55068R202 322 25,000 X
MARSHALL & ILSLEY CP 571834100 2,218 40,000 X
MASTECH CORP 57632N105 2,145 165,008 X
MAXIMUS INC 577933104 4,136 142,000 X
MAXTOR CORP (NEW) 577729205 10,138 1,435,963 X
MBNA CORP 55262L100 14,030 587,639 X
MCDONALDS CORP 580135101 149,757 3,305,161 X
MCI WORLDCOM INC 55268B106 517,224 5,840,358 X
MCLEODUSA INC CL A 582266102 840 20,000 X
MEADE INSTRUMENTS 583062104 1,328 125,000 X
MEDTRONIC INC 585055106 200,873 2,795,338 X
MERCK & CO INC 589331107 255,474 3,188,242 X
MERRILL LYNCH & CO INC 590188108 76,880 868,900 X
METRIS COMPANY INC 591598107 11,300 279,849 X
METRO NETWORKS INC 591918107 7,619 138,534 X
MICREL INC 594793101 9,339 186,551 X
MICRON TECHNOLOGY INC 595112103 7,951 165,000 X
MICROSOFT CORP 594918104 357,755 3,991,470 X
MILACRON INC 598709103 1,080 68,600 X
MIRAGE RESORTS INC 60462E104 4,038 190,000 X
MONSANTO COMPANY 611662107 18,457 401,780 X
MORGAN J P & CO INC 616880100 3,084 25,000 X
MORGAN STANLEY D. WITTER & CO 617446448 6,355 63,592 X
MYLAN LABS INC 628530107 3,433 125,110 X
99 CENTS ONLY STORES 65440K106 10,580 249,282 X
NALCO CHEMICAL CO 629853102 1,211 45,600 X
NATL SERVICE IND 637657107 1,267 37,200 X
NCO GROUP INC 628858102 6,051 163,531 X
NETWORK APPLIANCE INC 64120L104 1,038 20,500 X
NEW ERA NETWORKS 644312100 3,388 50,000 X
NOKIA CORP SPONSORED ADR 654902204 1,042 6,690 X
OMNICARE INC 681904108 1,583 83,041 X
ONEMAIN.COM INC. 68267P109 381 10,500 X
ORACLE CORP 68389X105 73,315 2,779,187 X
PAGE TOTAL 2,110,697
<CAPTION>
VOTING AUTHORITY (SHARES)
NAME OF ISSUER AND MANAGERS (A) SOLE (B) SHARED (C) NONE
TITLE OF CLASS
- ----------------------------------- --------------------------------------------
<S> <C> <C>
LEHMAN BROTHERS HOLDINGS INC 1,2,3 55,000
LEVEL ONE COMMUNICATIONS INC 1,2,3 65,000
LILLY ELI & COMPANY 1,2,3 1,343,296
LITHIA MOTORS INC CL A 1,2,3 205,000
LOWES CO INC 1,2,3 137,780
LUCENT TECHNOLOGIES INC 1,2,3 1,973,521
LUXOTTICA GROUP S P A ADR 1,2,3 25,000
MARSHALL & ILSLEY CP 1,2,3 40,000
MASTECH CORP 1,2,3 165,008
MAXIMUS INC 1,2,3 142,000
MAXTOR CORP (NEW) 1,2,3 1,435,963
MBNA CORP 1,2,3 587,639
MCDONALDS CORP 1,2,3 3,305,161
MCI WORLDCOM INC 1,2,3 5,840,358
MCLEODUSA INC CL A 1,2,3 20,000
MEADE INSTRUMENTS 1,2,3 125,000
MEDTRONIC INC 1,2,3 2,795,338
MERCK & CO INC 1,2,3 3,188,242
MERRILL LYNCH & CO INC 1,2,3 868,900
METRIS COMPANY INC 1,2,3 279,849
METRO NETWORKS INC 1,2,3 138,534
MICREL INC 1,2,3 186,551
MICRON TECHNOLOGY INC 1,2,3 165,000
MICROSOFT CORP 1,2,3 3,991,470
MILACRON INC 1,2,3 68,600
MIRAGE RESORTS INC 1,2,3 190,000
MONSANTO COMPANY 1,2,3 401,780
MORGAN J P & CO INC 1,2,3 25,000
MORGAN STANLEY D. WITTER & CO 1,2,3 63,592
MYLAN LABS INC 1,2,3 125,110
99 CENTS ONLY STORES 1,2,3 249,282
NALCO CHEMICAL CO 1,2,3 45,600
NATL SERVICE IND 1,2,3 37,200
NCO GROUP INC 1,2,3 163,531
NETWORK APPLIANCE INC 1,2,3 20,500
NEW ERA NETWORKS 1,2,3 50,000
NOKIA CORP SPONSORED ADR 1,2,3 6,690
OMNICARE INC 1,2,3 83,041
ONEMAIN.COM INC. 1,2,3 10,500
ORACLE CORP 1,2,3 2,779,187
</TABLE>
5
<PAGE>
<TABLE>
<CAPTION>
INVESTMENT DISCRETION
SHARES OR (C)
NAME OF ISSUER AND FAIR MARKET PRINCIPAL (A) (B) SHARED-
TITLE OF CLASS CUSIP NO. VALUE (000) AMOUNT SOLE SHARED OTHER
- ----------------------------------- ------------------------- ---------- ----------------------
<S> <C> <C> <C> <C>
ORTEL CORP 68749W102 2,825 400,000 X
PACCAR INC 693718108 1,219 29,600 X
PAINE WEBBER GROUP INC 695629105 2,791 70,000 X
PAYCHEX INC 704326107 6,450 135,975 X
PEREGRINE SYSTEMS 71366Q101 7,632 226,954 X
PFIZER INC 717081103 343,123 2,472,959 X
PHELPS DODGE CORP 717265102 1,241 25,200 X
PINNACLE OIL INT 723473104 3,199 224,500 X
PPG INDUSTRIES 693506107 1,174 22,900 X
PRICE T ROWE & ASSOC 741477103 5,604 163,039 X
QWEST COMM INTL INC 749121109 10,454 145,000 X
REPUBLIC INDUSTRIES INC 760516104 3,341 270,000 X
RESTORATION HARDWARE INC 760981100 9,779 444,500 X
SANMINA CORP 800907107 5,100 80,000 X
SAPIENT CORP 803062108 3,712 52,000 X
SCHERING PLOUGH CORP 806605101 5,835 105,490 X
SEPRACOR INC 817315104 3,368 30,000 X
SMART & FINAL INC 831683107 3,281 350,000 X
SONIC AUTOMOTIVE INC 83545G102 8,637 557,228 X
STAPLES, INC. 855030102 147,708 4,493,702 X
STARBUCKS CORPORATION 855244109 799 28,478 X
STATE STREET CORP 857477103 75,625 919,457 X
SUN MICROSYSTEMS INC 866810104 75,401 602,964 X
SUNOCO INC 86764P109 2,413 66,900 X
TELECOM ITALIA SPA ADR 87927W106 418 4,000 X
TELLABS INC 879664100 220,184 2,252,522 X
TERADYNE INC 880770102 2,183 40,000 X
TERAYON COMMUNICATIONS SY 880775101 3,200 80,000 X
TEXAS INSTRUMENTS INC 882508104 302,393 3,046,782 X
TIFFANY & CO 886547108 530 7,095 X
TIME WARNER INC 887315109 11,268 158,560 X
TIMKEN CO 887389104 1,048 64,500 X
TRANSOCEAN OFFSHORE INC 893817106 1,441 50,000 X
UNILEVER N V NEW YORK SHRS 904784501 206 3,100 X
UNIPHASE CORPORATION 909149106 5,756 50,000 X
UNITED RENTALS 911363109 16,334 573,125 X
UNITED TECHNOLOGIES CORP 913017109 7,650 56,481 X
UNIVISION COMMUNICATION, INC. 914906102 5,250 105,000 X
USX - U S STEEL GROUP 90337T101 1,243 52,900 X
VALLEY MEDIA INC 91972C106 1,138 50,000 X
PAGE TOTAL 1,310,953
<CAPTION>
VOTING AUTHORITY (SHARES)
NAME OF ISSUER AND MANAGERS (A) SOLE (B) SHARED (C) NONE
TITLE OF CLASS
- ----------------------------------- --------------------------------------------
<S> <C> <C>
ORTEL CORP 1,2,3 400,000
PACCAR INC 1,2,3 29,600
PAINE WEBBER GROUP INC 1,2,3 70,000
PAYCHEX INC 1,2,3 135,975
PEREGRINE SYSTEMS 1,2,3 226,954
PFIZER INC 1,2,3 2,472,959
PHELPS DODGE CORP 1,2,3 25,200
PINNACLE OIL INT 1,2,3 224,500
PPG INDUSTRIES 1,2,3 22,900
PRICE T ROWE & ASSOC 1,2,3 163,039
QWEST COMM INTL INC 1,2,3 145,000
REPUBLIC INDUSTRIES INC 1,2,3 270,000
RESTORATION HARDWARE INC 1,2,3 444,500
SANMINA CORP 1,2,3 80,000
SAPIENT CORP 1,2,3 52,000
SCHERING PLOUGH CORP 1,2,3 105,490
SEPRACOR INC 1,2,3 30,000
SMART & FINAL INC 1,2,3 350,000
SONIC AUTOMOTIVE INC 1,2,3 557,228
STAPLES, INC. 1,2,3 4,493,702
STARBUCKS CORPORATION 1,2,3 28,478
STATE STREET CORP 1,2,3 918,457
SUN MICROSYSTEMS INC 1,2,3 602,964
SUNOCO INC 1,2,3 66,900
TELECOM ITALIA SPA ADR 1,2,3 4,000
TELLABS INC 1,2,3 2,252,522
TERADYNE INC 1,2,3 40,000
TERAYON COMMUNICATIONS SY 1,2,3 80,000
TEXAS INSTRUMENTS INC 1,2,3 3,046,782
TIFFANY & CO 1,2,3 7,095
TIME WARNER INC 1,2,3 158,560
TIMKEN CO 1,2,3 64,500
TRANSOCEAN OFFSHORE INC 1,2,3 50,000
UNILEVER N V NEW YORK SHRS 1,2,3 3,100
UNIPHASE CORPORATION 1,2,3 50,000
UNITED RENTALS 1,2,3 580,220
UNITED TECHNOLOGIES CORP 1,2,3 56,481
UNIVISION COMMUNICATION, INC. 1,2,3 105,000
USX - U S STEEL GROUP 1,2,3 52,900
VALLEY MEDIA INC 1,2,3 50,000
</TABLE>
6
<PAGE>
<TABLE>
<CAPTION>
INVESTMENT DISCRETION
SHARES OR (C)
NAME OF ISSUER AND FAIR MARKET PRINCIPAL (A) (B) SHARED-
TITLE OF CLASS CUSIP NO. VALUE (000) AMOUNT SOLE SHARED OTHER
- ----------------------------------- ------------------------- ---------- ----------------------
<S> <C> <C> <C> <C>
VERIO INC 923433106 7,841 170,000 X
VERITAS SOFTWARE CORP 923436109 2,019 25,000 X
VIGNETTE 926734104 1,091 14,500 X
VITESSE SEMICONDUCTOR CORP 928497106 7,008 138,420 X
VODAFONE GROUP ADR 92857T107 871 4,640 X
VOLVO AKTIEBOLAGET ADR B 928856400 227 8,800 X
WAL MART STORES INC 931142103 4,903 53,188 X
WALGREEN CO 931422109 70,703 2,502,760 X
WARNER LAMBERT CO 934488107 129,365 1,952,972 X
WELLS FARGO & CO (NEW) 949746101 103,632 2,955,837 X
WHIRLPOOL CORPORATION 963320106 1,370 25,200 X
WHITTMAN HART INC. 966834103 7,912 368,009 X
WHOLE FOODS MARKET INC 966837106 11,584 336,953 X
WINSTAR COMMUNICATIONS INC 975515107 7,718 212,374 X
XILINX INC 983919101 6,490 160,000 X
PAGE TOTAL 362,734
TOTAL 7,429,121
<CAPTION>
VOTING AUTHORITY (SHARES)
NAME OF ISSUER AND MANAGERS (A) SOLE (B) SHARED (C) NONE
TITLE OF CLASS
- ----------------------------------- --------------------------------------------
<S> <C> <C>
VERIO INC 1,2,3 170,000
VERITAS SOFTWARE CORP 1,2,3 25,000
VIGNETTE 1,2,3 14,500
VITESSE SEMICONDUCTOR CORP 1,2,3 138,420
VODAFONE GROUP ADR 1,2,3 4,640
VOLVO AKTIEBOLAGET ADR B 1,2,3 8,800
WAL MART STORES INC 1,2,3 53,188
WALGREEN CO 1,2,3 2,502,760
WARNER LAMBERT CO 1,2,3 1,952,972
WELLS FARGO & CO (NEW) 1,2,3 2,955,837
WHIRLPOOL CORPORATION 1,2,3 25,200
WHITTMAN HART INC. 1,2,3 368,009
WHOLE FOODS MARKET INC 1,2,3 336,953
WINSTAR COMMUNICATIONS INC 1,2,3 212,374
XILINX INC 1,2,3 160,000
</TABLE>
7
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