<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: June 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: Roger Engemann & Associates, Inc.
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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, Calif. 8-4-99
- ---------------------- ------------------------------------ -------------
(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, its 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: 225
---------------
Form 13F Information Table Value Total: $ 24,350,241
---------------
(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 28-3340 Phoenix Home Life Mutual Insurance
Company
<PAGE>
6-30-99 ROGER ENGEMANN ASSOCIATES, INC.
<TABLE>
<CAPTION>
INVESTMENT DISCRETION
SHARES OR (C)
NAME OF ISSUER AND FAIR MARKET PRINCIPAL (A) (B) SHARED- MANAGERS
TITLE OF CLASS CUSIP NO. VALUE (000) AMOUNT SOLE SHARED OTHER
- -----------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C>
ABACUS DIRECT CORP 002553105 11,887 129,913 X 1,2,3
ADVANCED ENERGY INDUSTRIES 007973100 6,206 153,000 X 1,2,3
ADVANCED FIBRE COMMUNICATIONS 00754A105 4,294 274,886 X 1,2,3
ALCATEL 013904305 287 10,100 X 1,2,3
ALLIED SIGNAL INC 019512102 17,098 271,400 X 1,2,3
ALZA CORPORATION 022615108 3,090 60,752 X 1,2,3
AMERICA ONLINE INC DEL 02364J104 584,645 5,309,163 X 1,2,3
AMERICAN EXPRESS CO 025816109 431,637 3,316,970 X 1,2,3
AMERICAN GREETINGS CORP CL A 026375105 1,456 48,336 X 1,2,3
AMERICAN INTL GROUP INC 026874107 360,713 3,078,017 X 1,2,3
AMERITRAD HOLDING A 03072H109 4,028 38,000 X 1,2,3
AMVESCAP PLC 03235E100 409 8,800 X 1,2,3
ANALOG DEVICES INC 032654105 4,517 90,000 X 1,2,3
APPLIED MATERIALS INC 038222105 7,388 100,000 X 1,2,3
APPLIED MICRO CIRCUITS CORP 03822W109 12,350 150,156 X 1,2,3
ARIBA INC. 04033V104 3,404 35,000 X 1,2,3
AT&T CORP 001957109 90,453 1,620,653 X 1,2,3
AT&T CORP NEW LIBERTY MEDIA 001957208 90,839 2,471,800 X 1,2,3
AUTOMATIC DATA PROCESSING INC 053015103 15,092 343,000 X 1,2,3
AVON PRODS INC 054303102 365,830 6,591,531 X 1,2,3
AXA UAP SPONSORED ADRS 054536107 309 4,953 X 1,2,3
B M C SOFTWARE INC 055921100 663,380 12,284,808 X 1,2,3
BAKER HUGHES INC 057224107 4,858 145,000 X 1,2,3
BEBE STORES INC 075571109 1,700 50,000 X 1,2,3
BED BATH & BEYOND INC 075896100 6,123 159,033 X 1,2,3
BEMIS INC 081437105 1,441 36,246 X 1,2,3
BIOGEN INC 090597105 2,830 44,000 X 1,2,3
BIOMATRIX INC 09060P102 1,730 80,000 X 1,2,3
BRISTOL-MYERS SQUIBB CO 110122108 49,975 709,500 X 1,2,3
BROADCAST .COM INC 111310108 4,207 31,500 X 1,2,3
BRUNSWICK CORP 117043109 1,605 57,584 X 1,2,3
CABLE & WIRELESS ADR 126830207 234 5,900 X 1,2,3
CABLE & WIRELESS COMMS ADR 12682P104 252 5,200 X 1,2,3
CAPITAL ONE FINL CORP 14040H105 89,713 1,611,000 X 1,2,3
CARDINAL HEALTH INC 14149Y108 41,072 640,500 X 1,2,3
CARNIVAL CORP CLASS A 143658102 470,599 9,703,080 X 1,2,3
CBS CORP 12490K107 44,303 1,017,000 X 1,2,3
CENDANT CORP 151313103 224,080 10,930,719 X 1,2,3
CHAMPIONSHIP AUTO RACING 158711101 7,063 235,898 X 1,2,3
CHANCELLOR MEDIA CORP 158915108 3,308 60,000 X 1,2,3
CHARTER ONE FINANCIAL 160903100 2,503 90,000 X 1,2,3
CHEESECAKE FACTORY INC 163072101 10,086 330,702 X 1,2,3
CISCO SYSTEMS INC 17275R102 1,178,587 18,286,839 X 1,2,3
CITIGROUP INC 172967101 832,146 17,518,867 X 1,2,3
PAGE TOTAL 5,657,727
<CAPTION>
VOTING AUTHORITY (SHARES)
NAME OF ISSUER AND (A) SOLE (B) SHARED (C) NONE
TITLE OF CLASS
- ---------------------------------------------------------------------------------------
<S> <C> <C> <C>
ABACUS DIRECT CORP 129,913
ADVANCED ENERGY INDUSTRIES 153,000
ADVANCED FIBRE COMMUNICATIONS 274,886
ALCATEL 10,100
ALLIED SIGNAL INC 271,400
ALZA CORPORATION 60,752
AMERICA ONLINE INC DEL 5,309,163
AMERICAN EXPRESS CO 3,316,970
AMERICAN GREETINGS CORP CL A 48,336
AMERICAN INTL GROUP INC 3,078,017
AMERITRAD HOLDING A 38,000
AMVESCAP PLC 8,800
ANALOG DEVICES INC 90,000
APPLIED MATERIALS INC 100,000
APPLIED MICRO CIRCUITS CORP 150,156
ARIBA INC. 35,000
AT&T CORP 1,620,653
AT&T CORP NEW LIBERTY MEDIA 2,471,800
AUTOMATIC DATA PROCESSING INC 343,000
AVON PRODS INC 6,591,531
AXA UAP SPONSORED ADRS 4,953
B M C SOFTWARE INC 12,284,808
BAKER HUGHES INC 145,000
BEBE STORES INC 50,000
BED BATH & BEYOND INC 159,033
BEMIS INC 36,246
BIOGEN INC 44,000
BIOMATRIX INC 80,000
BRISTOL-MYERS SQUIBB CO 709,500
BROADCAST .COM INC 31,500
BRUNSWICK CORP 57,584
CABLE & WIRELESS ADR 5,900
CABLE & WIRELESS COMMS ADR 5,200
CAPITAL ONE FINL CORP 1,611,000
CARDINAL HEALTH INC 640,500
CARNIVAL CORP CLASS A 9,703,080
CBS CORP 1,017,000
CENDANT CORP 10,930,719
CHAMPIONSHIP AUTO RACING 235,898
CHANCELLOR MEDIA CORP 60,000
CHARTER ONE FINANCIAL 90,000
CHEESECAKE FACTORY INC 330,702
CISCO SYSTEMS INC 18,286,839
CITIGROUP INC 17,518,867
</TABLE>
1
<PAGE>
6-30-99 ROGER ENGEMANN ASSOCIATES, INC.
<TABLE>
<CAPTION>
INVESTMENT DISCRETION
SHARES OR (C)
NAME OF ISSUER AND FAIR MARKET PRINCIPAL (A) (B) SHARED- MANAGERS
TITLE OF CLASS CUSIP NO. VALUE (000) AMOUNT SOLE SHARED OTHER
- -----------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C>
CITRIX SYSTEMS INC 177376100 4,520 80,000 X 1,2,3
CLAIRES STORES 179584107 12,726 496,509 X 1,2,3
CLEAR CHANNEL COMMUNICATIONS 184502102 50,986 739,600 X 1,2,3
COCA-COLA COMPANY 191216100 35,884 575,245 X 1,2,3
COLGATE PALMOLIVE CO 194162103 22,257 225,955 X 1,2,3
COMPUWARE CORP 205638109 31,200 980,752 X 1,2,3
CONAGRA INC 205887102 1,297 48,710 X 1,2,3
CONCENTRIC NETWORK CORP 20589R107 6,928 174,279 X 1,2,3
CONCORD EFS INC 206197105 1,058 25,000 X 1,2,3
CONEXANT SYSTEMS INC 207142100 7,897 136,000 X 1,2,3
CONSOLIDATED STORES CORP 210149100 3,375 125,000 X 1,2,3
COOPER INDUSTRIES INCORPORATED 216669101 1,304 25,078 X 1,2,3
CORPORATE EXECUTIVE BOARD 21988R102 5,377 151,207 X 1,2,3
COST PLUS INC 221485105 17,039 374,473 X 1,2,3
COSTCO COMPANIES INC 22160Q102 25,420 317,500 X 1,2,3
COULTER PHARMACEUTICAL INC CO M 222116105 2,301 102,000 X 1,2,3
COUNTRYWIDE CREDIT INDS INC 222372104 205,531 4,807,736 X 1,2,3
CYBERSOURCE 23251J106 2,950 200,000 X 1,2,3
CYMER INC 232572107 3,447 137,893 X 1,2,3
DAIMLERCHRYSLER AG ORD SHR D1668R123 334 3,758 X 1,2,3
DANA CORPORATION 235811106 1,271 27,592 X 1,2,3
DATACRAFT ASIA SGD0.10 236111AAT 751 172,250 X 1,2,3
DAYTON-HUDSON CORPORATION 239753106 462,051 7,108,470 X 1,2,3
DELL COMPUTER CORP 247025109 54,745 1,479,600 X 1,2,3
DISNEY WALT CO 254687106 402,300 13,057,462 X 1,2,3
DITECH COMMS CP 25500R102 3,000 150,000 X 1,2,3
DOLLAR GENERAL CORP 256669102 4,350 150,000 X 1,2,3
DONALDSON LUFKIN & JENRETTE 257661108 2,711 45,000 X 1,2,3
DONNELLEY RR & SONS CO 257867101 1,395 37,632 X 1,2,3
DU PONT (E.I.) DE NEMOURS 263534109 48,707 713,000 X 1,2,3
EASTMAN KODAK COMPANY 277461109 1,220 18,014 X 1,2,3
EARTHLINK NETWORK INC. 270322100 702 11,426 X 1,2,3
EATON CORPORATION 278058102 1,363 14,814 X 1,2,3
ELAN CORP PLC ADR 284131208 663 23,888 X 1,2,3
ELECTRONIC DATA SYS CORP (NEW) 285661104 28,704 507,470 X 1,2,3
EMC CORPORATION MASS 268648102 624,722 11,358,583 X 1,2,3
ERICSSON L M TEL CO 294821400 642 19,500 X 1,2,3
EXPEDITORS INTL WASH INC 302130109 4,448 163,220 X 1,2,3
FASTENAL COMPANY 311900104 9,864 188,109 X 1,2,3
FEDERAL AGRIC MORT CL C 313148306 5,696 83,000 X 1,2,3
FEDERAL HOME LN MTG CORP 313400301 278,310 4,798,448 X 1,2,3
FIRST SECURITY CORP 336294103 4,088 150,000 X 1,2,3
FIRST TENN NATL CORP 337162101 1,533 40,000 X 1,2,3
FLEETWOOD ENTERPRISES INC 339099103 1,292 48,864 X 1,2,3
PAGE TOTAL 2,386,359
<CAPTION>
VOTING AUTHORITY (SHARES)
NAME OF ISSUER AND (A) SOLE (B) SHARED (C) NONE
TITLE OF CLASS
- ---------------------------------------------------------------------------------------
<S> <C> <C> <C>
CITRIX SYSTEMS INC 80,000
CLAIRES STORES 496,509
CLEAR CHANNEL COMMUNICATIONS 739,600
COCA-COLA COMPANY 575,245
COLGATE PALMOLIVE CO 225,955
COMPUWARE CORP 980,752
CONAGRA INC 48,710
CONCENTRIC NETWORK CORP 174,279
CONCORD EFS INC 25,000
CONEXANT SYSTEMS INC 136,000
CONSOLIDATED STORES CORP 125,000
COOPER INDUSTRIES INCORPORATED 25,078
CORPORATE EXECUTIVE BOARD 151,207
COST PLUS INC 374,473
COSTCO COMPANIES INC 317,500
COULTER PHARMACEUTICAL INC CO 102,000
COUNTRYWIDE CREDIT INDS INC 4,807,736
CYBERSOURCE 200,000
CYMER INC 137,893
DAIMLERCHRYSLER AG ORD SHR 3,758
DANA CORPORATION 27,592
DATACRAFT ASIA SGD0.10 172,250
DAYTON-HUDSON CORPORATION 7,108,470
DELL COMPUTER CORP 1,479,600
DISNEY WALT CO 13,057,462
DITECH COMMS CP 150,000
DOLLAR GENERAL CORP 150,000
DONALDSON LUFKIN & JENRETTE 45,000
DONNELLEY RR & SONS CO 37,632
DU PONT (E.I.) DE NEMOURS 713,000
EASTMAN KODAK COMPANY 18,014
EARTHLINK NETWORK INC. 11,426
EATON CORPORATION 14,814
ELAN CORP PLC ADR 23,888
ELECTRONIC DATA SYS CORP (NEW) 507,470
EMC CORPORATION MASS 11,358,583
ERICSSON L M TEL CO 19,500
EXPEDITORS INTL WASH INC 163,220
FASTENAL COMPANY 188,109
FEDERAL AGRIC MORT CL C 83,000
FEDERAL HOME LN MTG CORP 4,798,448
FIRST SECURITY CORP 150,000
FIRST TENN NATL CORP 40,000
FLEETWOOD ENTERPRISES INC 48,864
</TABLE>
2
<PAGE>
6-30-99 ROGER ENGEMANN ASSOCIATES, INC.
<TABLE>
<CAPTION>
INVESTMENT DISCRETION
SHARES OR (C)
NAME OF ISSUER AND FAIR MARKET PRINCIPAL (A) (B) SHARED- MANAGERS
TITLE OF CLASS CUSIP NO. VALUE (000) AMOUNT SOLE SHARED OTHER
- -----------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C>
FLEXTRONICS INTL LTD ORD Y2573F102 7,948 143,215 X 1,2,3
FLUOR CORPORATION 343861100 1,461 36,080 X 1,2,3
FORD MOTOR COMPANY 345370100 1,311 23,236 X 1,2,3
FOREST LABS INC CL A 345838106 1,619 35,000 X 1,2,3
FRONTIER CORP 35906P105 2,052 35,000 X 1,2,3
FUNDTECH LTD M47095100 3,761 145,000 X 1,2,3
GABELLI ASSET MANAGEMENT INC 36239Y102 6,677 422,353 X 1,2,3
GAM INTERNATIONAL 364590109 821 31,105 X 1,2,3
GAP INC 364760108 27,958 555,000 X 1,2,3
GENERAL ELECTRIC CO 369604103 632,677 5,598,914 X 1,2,3
GENUINE PARTS CO 372460105 1,427 40,766 X 1,2,3
GILLETTE COMPANY 375766102 27,208 663,600 X 1,2,3
GLOBAL CROSSING LTD G3921A100 2,558 60,000 X 1,2,3
GOLDEN STATE BANCORP INC 381197102 4,050 180,000 X 1,2,3
GOLDMAN SACHS GROUP 38141G104 9,710 134,400 X 1,2,3
GOODRICH B F CO 382388106 1,484 34,924 X 1,2,3
GUIDANT CORP 401698105 6,170 119,950 X 1,2,3
HEALTH MANAGEMENT ASSOC. INC 421933102 5,092 452,633 X 1,2,3
HENRY SCHEIN INC 806407102 6,971 220,000 X 1,2,3
HOME DEPOT INC 437076102 894,728 13,884,671 X 1,2,3
ILLINOIS TOOL WORKS 452308109 15,042 184,000 X 1,2,3
INHALE THERAPEUTIC SYSTEMS 457191104 2,710 113,821 X 1,2,3
INKTOMI CORP 457277101 5,014 38,400 X 1,2,3
INTEL CORP 458140100 785,266 13,197,754 X 1,2,3
INTERNATIONAL BUSINESS MACHINE 459200101 124,284 961,580 X 1,2,3
INTERNATIONAL NETWORK SERVICES 460053101 808 20,000 X 1,2,3
INTERPUBLIC GROUP COS INC 460690100 369,555 4,265,899 X 1,2,3
INVESTMENT TECHNOLOGY GRP INC 46145F105 648 20,000 X 1,2,3
JABIL CIRCUIT INC 466313103 9,025 200,000 X 1,2,3
JEFFERIES GROUP INC 472319102 600 20,000 X 1,2,3
JOHNSON & JOHNSON 478160104 2,593 26,453 X 1,2,3
JUNIPER NETWORKS 48203R104 3,725 25,000 X 1,2,3
KANSAS CITY SOUTHN IND 485170104 307,615 4,820,800 X 1,2,3
KLA TENCOR CORP 482480100 4,541 70,000 X 1,2,3
KOHLS CORP 500255104 157,757 2,049,940 X 1,2,3
KONINKLIJKE NV SPNSRD ADR NEW 500467303 204 5,900 X 1,2,3
LEGATO SYSTEMS 524651106 8,409 145,609 X 1,2,3
LEHMAN BROTHERS HOLDINGS INC 524908100 6,834 110,000 X 1,2,3
LILLY ELI & COMPANY 532457108 35,591 496,877 X 1,2,3
LITHIA MOTORS INC CL A 536797103 4,203 205,000 X 1,2,3
LOWES CO INC 548661107 55,743 983,340 X 1,2,3
LSI LOGIC CORP 502161102 3,459 75,000 X 1,2,3
LUCENT TECHNOLOGIES INC 549463107 907,507 13,456,516 X 1,2,3
LUXOTTICA GROUP S P A ADR 55068R202 404 25,930 X 1,2,3
PAGE TOTAL 4,457,220
<CAPTION>
VOTING AUTHORITY (SHARES)
NAME OF ISSUER AND (A) SOLE (B) SHARED (C) NONE
TITLE OF CLASS
- ---------------------------------------------------------------------------------------
<S> <C> <C> <C>
FLEXTRONICS INTL LTD ORD 143,215
FLUOR CORPORATION 36,080
FORD MOTOR COMPANY 23,236
FOREST LABS INC CL A 35,000
FRONTIER CORP 35,000
FUNDTECH LTD 145,000
GABELLI ASSET MANAGEMENT INC 422,353
GAM INTERNATIONAL 31,105
GAP INC 555,000
GENERAL ELECTRIC CO 5,598,914
GENUINE PARTS CO 40,766
GILLETTE COMPANY 663,600
GLOBAL CROSSING LTD 60,000
GOLDEN STATE BANCORP INC 180,000
GOLDMAN SACHS GROUP 134,400
GOODRICH B F CO 34,924
GUIDANT CORP 119,950
HEALTH MANAGEMENT ASSOC. INC 452,633
HENRY SCHEIN INC 220,000
HOME DEPOT INC 13,884,671
ILLINOIS TOOL WORKS 184,000
INHALE THERAPEUTIC SYSTEMS 113,821
INKTOMI CORP 38,400
INTEL CORP 13,197,754
INTERNATIONAL BUSINESS MACHINE 961,580
INTERNATIONAL NETWORK SERVICES 20,000
INTERPUBLIC GROUP COS INC 4,265,899
INVESTMENT TECHNOLOGY GRP INC 20,000
JABIL CIRCUIT INC 200,000
JEFFERIES GROUP INC 20,000
JOHNSON & JOHNSON 26,453
JUNIPER NETWORKS 25,000
KANSAS CITY SOUTHN IND 4,820,800
KLA TENCOR CORP 70,000
KOHLS CORP 2,049,940
KONINKLIJKE NV SPNSRD ADR NEW 5,900
LEGATO SYSTEMS 145,609
LEHMAN BROTHERS HOLDINGS INC 110,000
LILLY ELI & COMPANY 496,877
LITHIA MOTORS INC CL A 205,000
LOWES CO INC 983,340
LSI LOGIC CORP 75,000
LUCENT TECHNOLOGIES INC 13,456,516
LUXOTTICA GROUP S P A ADR 25,930
</TABLE>
3
<PAGE>
6-30-99 ROGER ENGEMANN ASSOCIATES, INC.
<TABLE>
<CAPTION>
INVESTMENT DISCRETION
SHARES OR (C)
NAME OF ISSUER AND FAIR MARKET PRINCIPAL (A) (B) SHARED- MANAGERS
TITLE OF CLASS CUSIP NO. VALUE (000) AMOUNT SOLE SHARED OTHER
- -----------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C>
MAKER COMMUNICATIONS INC 560875106 868 28,000 X 1,2,3
MALLINCKRODT INC 561232109 1,538 42,288 X 1,2,3
MARSHALL & ILSLEY CP 571834100 5,794 90,000 X 1,2,3
MASTECH CORP 57632N105 2,794 150,000 X 1,2,3
MBNA CORP 55262L100 55,709 1,819,069 X 1,2,3
MCDONALDS CORP 580135101 25,726 625,472 X 1,2,3
MCI WORLDCOM INC 55268B106 1,707,202 19,828,126 X 1,2,3
MCLEODUSA INC CL A 582266102 2,200 40,000 X 1,2,3
MEADE INSTRUMENTS 583062104 2,156 125,000 X 1,2,3
MEDTRONIC INC 585055106 770,807 9,897,370 X 1,2,3
MELLON BANK CORP 585509102 37,124 1,020,600 X 1,2,3
MERCK & CO INC 589331107 753,835 10,232,586 X 1,2,3
MERRILL LYNCH & CO INC 590188108 202,855 2,546,344 X 1,2,3
METRIS COMPANY INC 591598107 21,306 522,857 X 1,2,3
MICREL INC 594793101 14,223 192,196 X 1,2,3
MICROSOFT CORP 594918104 1,300,161 14,415,796 X 1,2,3
MILACRON INC 598709103 1,163 62,888 X 1,2,3
MINNESOTA MINING & MFG CO 604059105 13,823 159,000 X 1,2,3
MIPS TECHNOLOGIES INC 604567107 14,591 304,360 X 1,2,3
MIRAGE RESORTS INC 60462E104 3,183 190,000 X 1,2,3
MONSANTO COMPANY 611662107 20,749 524,450 X 1,2,3
MORGAN J P & CO INC 616880100 3,513 25,000 X 1,2,3
MORGAN STANLEY D. WITTER & CO 617446448 130,599 1,274,138 X 1,2,3
MYLAN LABS INC 628530107 3,315 125,110 X 1,2,3
99 CENTS ONLY STORES 65440K106 13,518 270,676 X 1,2,3
NATL SERVICE IND 637657107 1,210 33,624 X 1,2,3
NCO GROUP INC 628858102 6,549 172,340 X 1,2,3
NETWORK APPLIANCE INC 64120L104 2,514 45,000 X 1,2,3
NETWORK PLUS 64122D506 4,175 200,000 X 1,2,3
NETWORK SOLUTIONS INC 64121Q102 4,981 62,953 X 1,2,3
NEW ERA NETWORKS 644312100 9,492 216,016 X 1,2,3
NOKIA CORP SPONSORED ADR 654902204 1,299 14,192 X 1,2,3
OMNICARE INC 681904108 1324 104,951 X 1,2,3
ORTEL CORP 68749W102 3,825 360,000 X 1,2,3
PACCAR INC 693718108 1,323 24,792 X 1,2,3
PACIFIC CENTURY FINL CORP 694058108 2,911 135,000 X 1,2,3
PAINE WEBBER GROUP INC 695629105 3,273 70,000 X 1,2,3
PEREGRINE SYSTEMS 71366Q101 7,987 310,889 X 1,2,3
PFIZER INC 717081103 973,248 8,916,613 X 1,2,3
PINNACLE OIL INT 723473104 4,774 339,500 X 1,2,3
PPG INDUSTRIES 693506107 1,415 23,950 X 1,2,3
PRICE T ROWE & ASSOC 741477103 3,643 94,939 X 1,2,3
PROCTER & GAMBLE COMPANY 742718109 49,864 558,700 X 1,2,3
PROGRESSIVE CORP OHIO 743315103 24,360 168,000 X 1,2,3
PAGE TOTAL 6,216,919
<CAPTION>
VOTING AUTHORITY (SHARES)
NAME OF ISSUER AND (A) SOLE (B) SHARED (C) NONE
TITLE OF CLASS
- ---------------------------------------------------------------------------------------
<S> <C> <C> <C>
MAKER COMMUNICATIONS INC 28,000
MALLINCKRODT INC 42,288
MARSHALL & ILSLEY CP 90,000
MASTECH CORP 150,000
MBNA CORP 1,819,069
MCDONALDS CORP 625,472
MCI WORLDCOM INC 19,828,126
MCLEODUSA INC CL A 40,000
MEADE INSTRUMENTS 125,000
MEDTRONIC INC 9,897,370
MELLON BANK CORP 1,020,600
MERCK & CO INC 10,232,586
MERRILL LYNCH & CO INC 2,546,344
METRIS COMPANY INC 522,857
MICREL INC 192,196
MICROSOFT CORP 14,415,796
MILACRON INC 62,888
MINNESOTA MINING & MFG CO 159,000
MIPS TECHNOLOGIES INC 304,360
MIRAGE RESORTS INC 190,000
MONSANTO COMPANY 524,450
MORGAN J P & CO INC 25,000
MORGAN STANLEY D. WITTER & CO 1,274,138
MYLAN LABS INC 125,110
99 CENTS ONLY STORES 270,676
NATL SERVICE IND 33,624
NCO GROUP INC 172,340
NETWORK APPLIANCE INC 45,000
NETWORK PLUS 200,000
NETWORK SOLUTIONS INC 62,953
NEW ERA NETWORKS 216,016
NOKIA CORP SPONSORED ADR 14,192
OMNICARE INC 104,951
ORTEL CORP 360,000
PACCAR INC 24,792
PACIFIC CENTURY FINL CORP 135,000
PAINE WEBBER GROUP INC 70,000
PEREGRINE SYSTEMS 310,889
PFIZER INC 8,916,613
PINNACLE OIL INT 339,500
PPG INDUSTRIES 23,950
PRICE T ROWE & ASSOC 94,939
PROCTER & GAMBLE COMPANY 558,700
PROGRESSIVE CORP OHIO 168,000
</TABLE>
4
<PAGE>
6-30-99 ROGER ENGEMANN ASSOCIATES, INC.
<TABLE>
<CAPTION>
INVESTMENT DISCRETION
SHARES OR (C)
NAME OF ISSUER AND FAIR MARKET PRINCIPAL (A) (B) SHARED- MANAGERS
TITLE OF CLASS CUSIP NO. VALUE (000) AMOUNT SOLE SHARED OTHER
- -----------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C>
QWEST COMM INTL INC 749121109 4,794 145,014 X 1,2,3
RESTORATION HARDWARE INC 760981100 5,276 394,500 X 1,2,3
SANMINA CORP 800907107 6,829 90,000 X 1,2,3
SANTA FE INTL CORP ORD G7805C108 1,530 66,500 X 1,2,3
SAPIENT CORP 803062108 9,546 168,571 X 1,2,3
SCHERING PLOUGH CORP 806605101 32,966 622,040 X 1,2,3
SEPRACOR INC 817315104 3,575 44,000 X 1,2,3
SLM HOLDING CORP 78442A109 2,062 45,000 X 1,2,3
SMART & FINAL INC 831683107 3,675 350,000 X 1,2,3
SONIC AUTOMOTIVE INC 83545G102 8,133 591,469 X 1,2,3
SOUTHWEST AIRLINES CO 844741108 22,535 724,000 X 1,2,3
SPRINT CORP PCS COM STK SER 1 852061506 4,845 85,000 X 1,2,3
STAPLES, INC. 855030102 501,636 16,213,199 X 1,2,3
STARBUCKS CORPORATION 855244109 952 25,338 X 1,2,3
STATE STREET CORP 857477103 259,916 3,044,222 X 1,2,3
SUN MICROSYSTEMS INC 866810104 309,213 4,489,807 X 1,2,3
SUNOCO INC 86764P109 1,235 40,918 X 1,2,3
SUPERVALU INC 868536103 1,530 59,578 X 1,2,3
TELECOM ITALIA SPA ADR 87927W106 421 4,000 X 1,2,3
TELLABS INC 879664100 944,090 13,974,092 X 1,2,3
TERAYON COMMUNICATIONS SY 880775101 3,632 65,000 X 1,2,3
TEXAS INSTRUMENTS INC 882508104 1,359,989 9,433,234 X 1,2,3
TIFFANY & CO NEW 886547108 955 9,900 X 1,2,3
TIME WARNER INC 887315109 51,078 694,940 X 1,2,3
TIMKEN CO 887389104 1,257 64,474 X 1,2,3
TRW INC 872649108 1,480 26,968 X 1,2,3
TYCO INTL LTD (NEW) 902124106 110,801 1,169,400 X 1,2,3
UNIPHASE CORPORATION 909149106 8,300 50,000 X 1,2,3
UNITED RENTALS 911363109 1,243 42,130 X 1,2,3
UNITED TECHNOLOGIES CORP 913017109 60,094 838,248 X 1,2,3
UNITED THERAPEUTICS CORP DEL 91307C102 125 10,500 X 1,2,3
UNIVISION COMMUNICATION, INC. 914906102 6,825 105,000 X 1,2,3
USX - U S STEEL GROUP 90337T101 1,197 44,342 X 1,2,3
VERIO INC 923433106 2,954 42,500 X 1,2,3
VERITAS SOFTWARE CORP 923436109 2,373 25,000 X 1,2,3
VIATEL INC 925529208 3,648 65,000 X 1,2,3
VITESSE SEMICONDUCTOR CORP 928497106 16,005 237,325 X 1,2,3
VODAFONE GROUP ADR 92857T107 1,052 5,340 X 1,2,3
VOLVO AKTIEBOLAGET ADR B 928856400 259 8,800 X 1,2,3
WAL MART STORES INC 931142103 356,414 7,386,829 X 1,2,3
WALGREEN CO 931422109 268,667 9,144,547 X 1,2,3
WARNER LAMBERT CO 934488107 673,116 9,734,144 X 1,2,3
WELLS FARGO & CO (NEW) 949746101 499,871 11,692,888 X 1,2,3
WHIRLPOOL CORPORATION 963320106 1,483 20,040 X 1,2,3
PAGE TOTAL 5,557,577
<CAPTION>
VOTING AUTHORITY (SHARES)
NAME OF ISSUER AND (A) SOLE (B) SHARED (C) NONE
TITLE OF CLASS
- ---------------------------------------------------------------------------------------
<S> <C> <C> <C>
QWEST COMM INTL INC 145,014
RESTORATION HARDWARE INC 394,500
SANMINA CORP 90,000
SANTA FE INTL CORP ORD 66,500
SAPIENT CORP 168,571
SCHERING PLOUGH CORP 622,040
SEPRACOR INC 44,000
SLM HOLDING CORP 45,000
SMART & FINAL INC 350,000
SONIC AUTOMOTIVE INC 591,469
SOUTHWEST AIRLINES CO 724,000
SPRINT CORP PCS COM STK SER 1 85,000
STAPLES, INC. 16,213,199
STARBUCKS CORPORATION 25,338
STATE STREET CORP 3,044,222
SUN MICROSYSTEMS INC 4,489,807
SUNOCO INC 40,918
SUPERVALU INC 59,578
TELECOM ITALIA SPA ADR 4,000
TELLABS INC 13,974,092
TERAYON COMMUNICATIONS SY 65,000
TEXAS INSTRUMENTS INC 9,433,234
TIFFANY & CO NEW 9,900
TIME WARNER INC 694,940
TIMKEN CO 64,474
TRW INC 26,968
TYCO INTL LTD (NEW) 1,169,400
UNIPHASE CORPORATION 50,000
UNITED RENTALS 42,130
UNITED TECHNOLOGIES CORP 838,248
UNITED THERAPEUTICS CORP DEL 10,500
UNIVISION COMMUNICATION, INC. 105,000
USX - U S STEEL GROUP 44,342
VERIO INC 42,500
VERITAS SOFTWARE CORP 25,000
VIATEL INC 65,000
VITESSE SEMICONDUCTOR CORP 237,325
VODAFONE GROUP ADR 5,340
VOLVO AKTIEBOLAGET ADR B 8,800
WAL MART STORES INC 7,386,829
WALGREEN CO 9,144,547
WARNER LAMBERT CO 9,734,144
WELLS FARGO & CO (NEW) 11,692,888
WHIRLPOOL CORPORATION 20,040
</TABLE>
5
<PAGE>
6-30-99 ROGER ENGEMANN ASSOCIATES, INC.
<TABLE>
<CAPTION>
INVESTMENT DISCRETION
SHARES OR (C)
NAME OF ISSUER AND FAIR MARKET PRINCIPAL (A) (B) SHARED- MANAGERS
TITLE OF CLASS CUSIP NO. VALUE (000) AMOUNT SOLE SHARED OTHER
- -----------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C>
WHITTMAN HART INC. 966834103 12,801 403,191 X 1,2,3
WHOLE FOODS MARKET INC 966837106 16,777 349,093 X 1,2,3
WINSTAR COMMUNICATIONS INC 975515107 10,757 220,663 X 1,2,3
XILINX INC 983919101 9,446 165,000 X 1,2,3
YAHOO INC 984332106 24,658 143,150 X 1,2,3
PAGE TOTAL 74,439
TOTAL 24,350,241
<CAPTION>
VOTING AUTHORITY (SHARES)
NAME OF ISSUER AND (A) SOLE (B) SHARED (C) NONE
TITLE OF CLASS
- ---------------------------------------------------------------------------------------
<S> <C> <C> <C>
WHITTMAN HART INC. 403,191
WHOLE FOODS MARKET INC 349,093
WINSTAR COMMUNICATIONS INC 220,663
XILINX INC 165,000
YAHOO INC 143,150
</TABLE>
6
