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Previous: ECC INTERNATIONAL CORP, DEFA14A, 1999-10-29 |
Next: FIDELITY UNION STREET TRUST, NSAR-B, 1999-10-29 |
<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: September 30, 1999
-----------------------
Check Here if Amendment / /; Amendment Number:
---------
This Amendment (Check only one.): / / is a restatement.
/ / adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: 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 10-28-99
- ------------------------------- ----------------- -------------
[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: 239
--------------------
Form 13F Information Table Value Total: $ 12,992,205.00
--------------------
(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>
9-30-99 Roger Engemann Associates, Inc.
<TABLE>
<CAPTION>
VOTING
AUTHORITY
INVESTMENT DISCRETION (SHARES)
SHARES OR (C)
NAME OF ISSUER AND FAIR MARKET PRINCIPAL (A) (B) SHARED- MANAGERS (A) SOLE
TITLE OF CLASS CUSIP NO. VALUE (000) AMOUNT SOLE SHARED OTHER
- -----------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C> <C>
ABACUS DIRECT CORP 002553105 14,847 121,825 X 1,2,3 121,825
ADVANCED ENERGY INDUSTRIES 007973100 4,724 153,000 X 1,2,3 153,000
ADVANCED FIBRE COMMUNICATIONS 00754A105 3,130 140,691 X 1,2,3 140,691
AGILE SOFTWARE 00846X105 5,120 80,000 X 1,2,3 80,000
ALLEGHENY TELEDYNE INC 017415100 1,076 63,748 X 1,2,3 63,748
ALLIED SIGNAL INC 019512102 47,914 799,400 X 1,2,3 799,400
AMERICA ONLINE INC DEL 02364J104 350,349 3,367,765 X 1,2,3 3,367,765
AMERICAN EXPRESS CO 025816109 195,436 1,448,642 X 1,2,3 1,448,642
AMERICAN GREETINGS CORP CL A 026375105 1,116 43,323 X 1,2,3 43,323
AMERICAN INTL GROUP INC 026874107 43,865 504,548 X 1,2,3 504,548
ANALOG DEVICES INC 032654105 5,894 115,000 X 1,2,3 115,000
APPLIED MATERIALS INC 038222105 7,769 100,000 X 1,2,3 100,000
APPLIED MICRO CIRCUITS CORP 03822W109 15,582 273,376 X 1,2,3 273,376
ARIBA INC 04033V104 5,058 35,000 X 1,2,3 35,000
ARMSTRONG WORLD INDS INC 042476101 1,042 23,178 X 1,2,3 23,178
ASHLAND INC 044204105 1,074 31,942 X 1,2,3 31,942
AT&T CORP 001957109 70,681 1,624,853 X 1,2,3 1,624,853
AT&T CORP NEW LIBERTY MEDIA 001957208 92,453 2,477,800 X 1,2,3 2,477,800
AUTOMATIC DATA PROCESSING INC 053015103 15,306 343,000 X 1,2,3 343,000
AVON PRODS INC 054303102 70,579 2,844,778 X 1,2,3 2,844,778
B M C SOFTWARE INC 055921100 386,240 5,397,432 X 1,2,3 5,397,432
BAKER HUGHES INC 057224107 4,205 145,000 X 1,2,3 145,000
BANCO SANTANDER SA 05964H105 141 13,700 X 1,2,3 13,700
BEA SYSTEMS INC 073325102 13,877 393,018 X 1,2,3 393,018
BEBE STORES INC 075571109 3,204 132,791 X 1,2,3 132,791
BED BATH & BEYOND INC 075896100 5,723 163,809 X 1,2,3 163,809
BIOGEN INC 090597105 3,310 42,000 X 1,2,3 42,000
BLUESTONE SOFTWARE 09623P102 1,850 80,000 X 1,2,3 80,000
BRISTOL-MYERS SQUIBB CO 110122108 58,529 867,100 X 1,2,3 867,100
BROADBASE SOFTWARE INC 11130R100 518 32,500 X 1,2,3 32,500
CABLE & WIRELESS COMMS ADR 12682P104 271 5,200 X 1,2,3 5,200
CALPINE CORPORATION 131347106 2,552 30,000 X 1,2,3 30,000
CAPITAL ONE FINL CORP 14040H105 21,099 541,000 X 1,2,3 541,000
CARDINAL HEALTH INC 14149Y108 33,057 606,550 X 1,2,3 606,550
CARNIVAL CORP CLASS A 143658102 209,648 4,819,498 X 1,2,3 4,819,498
CBS CORP 12490K107 47,036 1,017,000 X 1,2,3 1,017,000
CENDANT CORP 151313103 125,836 7,089,332 X 1,2,3 7,089,332
CHAMPIONSHIP AUTO RACING 158711101 5,242 201,607 X 1,2,3 201,607
CHEESECAKE FACTORY INC 163072101 7,490 269,914 X 1,2,3 269,914
CHILDRENS PL RETAIL STORES 168905107 3,944 148,149 X 1,2,3 148,149
PAGE TOTAL 1,886,787
</TABLE>
2
<PAGE>
9-30-99 Roger Engemann Associates, Inc.
<TABLE>
<CAPTION>
VOTING
AUTHORITY
INVESTMENT DISCRETION (SHARES)
SHARES OR (C)
NAME OF ISSUER AND FAIR MARKET PRINCIPAL (A) (B) SHARED- MANAGERS (A) SOLE
TITLE OF CLASS CUSIP NO. VALUE (000) AMOUNT SOLE SHARED OTHER
- -----------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C> <C>
CIRCUIT CITY STORES 172737108 14,766 350,000 X 1,2,3 350,000
CISCO SYSTEMS INC 17275R102 615,732 8,980,925 X 1,2,3 8,980,925
CITIGROUP INC 172967101 388,022 8,818,689 X 1,2,3 8,818,689
CITRIX SYSTEMS INC 177376100 22,236 359,000 X 1,2,3 359,000
CITY NATL CORP 178566105 671 20,000 X 1,2,3 20,000
CLEAR CHANNEL COMMUNICATIONS 184502102 59,076 739,600 X 1,2,3 739,600
COCA-COLA COMPANY 191216100 2,369 49,279 X 1,2,3 49,279
COLGATE PALMOLIVE CO 194162103 20,779 454,180 X 1,2,3 454,180
COMMERCE ONE INC DEL 200693109 5,574 57,035 X 1,2,3 57,035
COMPUTER ASSOCIATES INTL INC 204912109 25,489 417,000 X 1,2,3 417,000
COMPUWARE CORP 205638109 19,374 743,354 X 1,2,3 743,354
CONAGRA INC 205887102 1,123 49,773 X 1,2,3 49,773
CONCENTRIC NETWORK CORP 20589R107 2,736 134,696 X 1,2,3 134,696
CONCORD EFS INC 206197105 773 37,500 X 1,2,3 37,500
CONEXANT SYSTEMS INC 207142100 10,202 140,412 X 1,2,3 140,412
COOPER INDUSTRIES INCORPORATED 216669101 1,083 23,176 X 1,2,3 23,176
CORPORATE EXECUTIVE BOARD 21988R102 5,068 124,361 X 1,2,3 124,361
COST PLUS INC 221485105 16,248 335,002 X 1,2,3 335,002
COSTCO WHSL CORP (NEW) 22160K105 51,142 710,300 X 1,2,3 710,300
COULTER PHARMACEUTICAL INC CO M 222116105 1,422 102,000 X 1,2,3 102,000
COUNTRYWIDE CREDIT INDS INC 222372104 54,418 1,687,386 X 1,2,3 1,687,386
COVAD COMMUNICATIONS GROUP INC 222814204 1,526 35,000 X 1,2,3 35,000
CROWN CORK & SEAL INC 228255105 1,068 44,032 X 1,2,3 44,032
CUMULUS MEDIA INC CL A 231082108 4,923 150,652 X 1,2,3 150,652
CYBERSOURCE 23251J106 4,375 79,000 X 1,2,3 79,000
CYMER INC 232572107 4,903 141,336 X 1,2,3 141,336
DANA CORPORATION 235811106 1,088 29,314 X 1,2,3 29,314
DATACRAFT ASIA SGD0.10 236111AAT 281 63,850 X 1,2,3 63,850
DAYTON-HUDSON CORPORATION 239753106 153,671 2,558,620 X 1,2,3 2,558,620
DELL COMPUTER CORP 247025109 134,977 3,228,343 X 1,2,3 3,228,343
DISNEY WALT CO 254687106 27,359 1,057,331 X 1,2,3 1,057,331
DU PONT E I DE NEMOURS & CO 263534109 15,912 263,000 X 1,2,3 263,000
E.PIPHANY INC 26881V100 2,925 60,000 X 1,2,3 60,000
EARTHLINK 270322100 590 13,737 X 1,2,3 13,737
EASTMAN KODAK COMPANY 277461109 1,416 18,765 X 1,2,3 18,765
EDWARDS J D & CO 281667105 14,234 686,972 X 1,2,3 686,972
EGAIN COMMS 28225C103 1,850 100,000 X 1,2,3 100,000
ELAN CORP PLC ADR 284131208 370 11,036 X 1,2,3 11,036
ELECTRONIC DATA SYS CORP (NEW) 285661104 73,121 1,381,270 X 1,2,3 1,381,270
EMC CORPORATION MASS 268648102 418,789 5,865,395 X 1,2,3 5,865,395
PAGE TOTAL 2,181,681
</TABLE>
3
<PAGE>
9-30-99 Roger Engemann Associates, Inc.
<TABLE>
<CAPTION>
VOTING
AUTHORITY
INVESTMENT DISCRETION (SHARES)
SHARES OR (C)
NAME OF ISSUER AND FAIR MARKET PRINCIPAL (A) (B) SHARED- MANAGERS (A) SOLE
TITLE OF CLASS CUSIP NO. VALUE (000) AMOUNT SOLE SHARED OTHER
- -----------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C> <C>
ERICSSON L M TEL CO 294821400 403 12,900 X 1,2,3 12,900
ETOYS INC 297862104 2,463 37,000 X 1,2,3 37,000
EXODUS COMMUNICATIONS 302088109 1,441 20,000 X 1,2,3 20,000
EXPEDITORS INTL WASH INC 302130109 5,417 168,751 X 1,2,3 168,751
FASTENAL COMPANY 311900104 5,885 124,872 X 1,2,3 124,872
FEDERAL AGRIC MORT CL C 313148306 4,765 239,000 X 1,2,3 239,000
FEDERAL HOME LN MTG CORP 313400301 120,297 2,313,403 X 1,2,3 2,313,403
FIRST SECURITY CORP 336294103 3,567 150,000 X 1,2,3 150,000
FLEETWOOD ENTERPRISES INC 339099103 1,040 51,509 X 1,2,3 51,509
FLEXTRONICS INTL LTD ORD Y2573F102 27,056 464,964 X 1,2,3 464,964
FORD MOTOR COMPANY 345370100 1,213 24,179 X 1,2,3 24,179
FOREST LABS INC CL A 345838106 1,474 35,000 X 1,2,3 35,000
FOSTER WHEELER CORP 350244109 1,169 96,922 X 1,2,3 96,922
FOUNDRY NETWORKS 35063R100 1,890 15,000 X 1,2,3 15,000
FUNDTECH LTD M47095100 1,116 50,000 X 1,2,3 50,000
GABELLI ASSET MANAGEMENT INC 36239Y102 6,636 429,795 X 1,2,3 429,795
GAM INTERNATIONAL 364590109 255 10,368 X 1,2,3 10,368
GENERAL ELECTRIC CO 369604103 369,832 3,119,366 X 1,2,3 3,119,366
GENERAL MOTORS CORPORATION 370442105 1,274 20,248 X 1,2,3 20,248
GILLETTE COMPANY 375766102 34,191 1,007,465 X 1,2,3 1,007,465
GOLDEN STATE BANCORP INC 381197102 3,229 180,000 X 1,2,3 180,000
GOLDMAN SACHS GROUP 38141G104 50,773 832,350 X 1,2,3 832,350
GOODRICH B F CO 382388106 1,086 37,438 X 1,2,3 37,438
GUIDANT CORP 401698105 6,535 121,870 X 1,2,3 121,870
HARLEY DAVIDSON INC 412822108 1,502 30,000 X 1,2,3 30,000
HARRIS CORP DEL 413875105 956 34,617 X 1,2,3 34,617
HEALTH MANAGEMENT ASSOC. INC 421933102 568 73,278 X 1,2,3 73,278
HERCULES INC 427056106 988 34,517 X 1,2,3 34,517
HILTON GROUP PLC ADR 43283M109 122 17,700 X 1,2,3 17,700
HISPANIC BROADCASTING CORP 43357B104 3,768 49,500 X 1,2,3 49,500
HOME DEPOT INC 437076102 490,338 7,144,654 X 1,2,3 7,144,654
I2 TECHNOLOGIES INC 465754109 9,412 242,500 X 1,2,3 242,500
IDEC PHARMACEUTCALS CORP 449370105 1,505 16,000 X 1,2,3 16,000
INHALE THERAPEUTIC SYSTEMS 457191104 2,969 97,734 X 1,2,3 97,734
INKTOMI CORP 457277101 3,049 25,400 X 1,2,3 25,400
INSIGHT COMMUNICATIONS CL A 45768V108 3,292 115,000 X 1,2,3 115,000
INTEL CORP 458140100 647,034 8,707,222 X 1,2,3 8,707,222
INTERNAP NETWORK 45885A102 1,785 40,000 X 1,2,3 40,000
INTERNATIONAL BUSINESS MACHINE 459200101 117,194 965,550 X 1,2,3 965,550
INTERPUBLIC GROUP COS INC 460690100 173,318 4,214,944 X 1,2,3 4,214,944
PAGE TOTAL 2,110,807
</TABLE>
4
<PAGE>
9-30-99 Roger Engemann Associates, Inc.
<TABLE>
<CAPTION>
VOTING
AUTHORITY
INVESTMENT DISCRETION (SHARES)
SHARES OR (C)
NAME OF ISSUER AND FAIR MARKET PRINCIPAL (A) (B) SHARED- MANAGERS (A) SOLE
TITLE OF CLASS CUSIP NO. VALUE (000) AMOUNT SOLE SHARED OTHER
- -----------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C> <C>
ITXC CORP 45069F109 3,818 120,000 X 1,2,3 120,000
JABIL CIRCUIT INC 466313103 9,405 190,000 X 1,2,3 190,000
JDS UNIPHASE 46612J101 24,470 215,000 X 1,2,3 215,000
JUNIPER NETWORKS 48203R104 3,203 17,500 X 1,2,3 17,500
KANSAS CITY SOUTHN IND 485170104 103,377 2,223,644 X 1,2,3 2,223,644
KEYNOTE SYSTEMS 493308100 3,588 143,500 X 1,2,3 143,500
KLA TENCOR CORP 482480100 4,550 70,000 X 1,2,3 70,000
KOHLS CORP 500255104 72,811 1,101,119 X 1,2,3 1,101,119
LEGATO SYSTEMS 524651106 12,270 281,483 X 1,2,3 281,483
LEHMAN BROTHERS HOLDINGS INC 524908100 2,043 35,000 X 1,2,3 35,000
LILLY ELI & COMPANY 532457108 29,692 462,576 X 1,2,3 462,576
LINENS AND THINGS 535679104 3,736 110,695 X 1,2,3 110,695
LITHIA MOTORS INC CL A 536797103 4,014 175,000 X 1,2,3 175,000
LONDON PAC GROUP LTD ADR 542073101 1,706 78,000 X 1,2,3 78,000
LOWES CO INC 548661107 6,965 142,880 X 1,2,3 142,880
LSI LOGIC CORP 502161102 3,900 75,000 X 1,2,3 75,000
LUCENT TECHNOLOGIES INC 549463107 524,678 8,088,144 X 1,2,3 8,088,144
LUXOTTICA GROUP S P A ADR 55068R202 196 10,300 X 1,2,3 10,300
MANDALAY RESORT GROUP 562567107 1,975 100,000 X 1,2,3 100,000
MARSHALL & ILSLEY CP 571834100 2,283 40,000 X 1,2,3 40,000
MAXIM INTEGRATED PRODUCTS 57772K101 6,940 110,000 X 1,2,3 110,000
MBNA CORP 55262L100 45,738 2,004,953 X 1,2,3 2,004,953
MCDONALDS CORP 580135101 26,525 613,292 X 1,2,3 613,292
MCI WORLDCOM INC 55268B106 863,795 12,017,182 X 1,2,3 12,017,182
MCLEODUSA INC CL A 582266102 3,405 80,000 X 1,2,3 80,000
MEADE INSTRUMENTS 583062104 3,008 125,000 X 1,2,3 125,000
MEDTRONIC INC 585055106 353,713 9,952,544 X 1,2,3 9,952,544
MELLON BANK CORP 585509102 34,519 1,026,600 X 1,2,3 1,026,600
MERCK & CO INC 589331107 262,227 4,046,093 X 1,2,3 4,046,093
MERRILL LYNCH & CO INC 590188108 53,348 792,521 X 1,2,3 792,521
METRIS COMPANIES INC 591598107 13,100 444,987 X 1,2,3 444,987
MICREL INC 594793101 16,040 369,851 X 1,2,3 369,851
MICRON TECHNOLOGY INC 595112103 4,988 75,000 X 1,2,3 75,000
MICROSOFT CORP 594918104 690,511 7,624,897 X 1,2,3 7,624,897
MILACRON INC 598709103 1,307 73,619 X 1,2,3 73,619
MINNESOTA MINING & MFG CO 604059105 15,274 159,000 X 1,2,3 159,000
MIPS TECHNOLOGIES INC 604567107 12,029 378,158 X 1,2,3 378,158
MONSANTO COMPANY 611662107 18,716 524,450 X 1,2,3 524,450
MORGAN J P & CO INC 616880100 2,856 25,000 X 1,2,3 25,000
MORGAN STANLEY D. WITTER & CO 617446448 69,354 777,616 X 1,2,3 777,616
PAGE TOTAL 3,316,073
</TABLE>
5
<PAGE>
9-30-99 Roger Engemann Associates, Inc.
<TABLE>
<CAPTION>
VOTING
AUTHORITY
INVESTMENT DISCRETION (SHARES)
SHARES OR (C)
NAME OF ISSUER AND FAIR MARKET PRINCIPAL (A) (B) SHARED- MANAGERS (A) SOLE
TITLE OF CLASS CUSIP NO. VALUE (000) AMOUNT SOLE SHARED OTHER
- -----------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C> <C>
MYPOINTS COM 62855T102 1,425 100,000 X 1,2,3 100,000
NATL SERVICE IND 637657107 1,193 37,877 X 1,2,3 37,877
NCO GROUP INC 628858102 8,313 176,869 X 1,2,3 176,869
NETRO CORP 64114R109 5,817 212,463 X 1,2,3 212,463
NETSILICON INC 64115X105 3,506 275,000 X 1,2,3 275,000
NETWORK PLUS 64122D506 4,899 354,738 X 1,2,3 354,738
NETZERO INC 64122R109 8,780 337,685 X 1,2,3 337,685
99 CENTS ONLY STORES 65440K106 7,889 218,400 X 1,2,3 218,400
NOKIA CORP SPONSORED ADR 654902204 915 10,190 X 1,2,3 10,190
OMNICARE INC 681904108 545 56,599 X 1,2,3 56,599
ORACLE CORP 68389X105 30,507 670,493 X 1,2,3 670,493
ORTEL CORP 68749W102 3,875 250,000 X 1,2,3 250,000
PACCAR INC 693718108 1,296 25,477 X 1,2,3 25,477
PACKETEER INC 695210104 1,192 35,000 X 1,2,3 35,000
PEREGRINE SYSTEMS 71366Q101 15,169 372,242 X 1,2,3 372,242
PFIZER INC 717081103 445,496 12,409,373 X 1,2,3 12,409,373
PHARMACYCLICS INC 716933106 2,044 50,000 X 1,2,3 50,000
PINNACLE HOLDINGS INC 72346N101 3,919 150,000 X 1,2,3 150,000
PINNACLE OIL INT 723473104 4,753 339,500 X 1,2,3 339,500
PMC SIERRA INC 69344F106 4,533 49,000 X 1,2,3 49,000
PPG INDUSTRIES 693506107 1,307 21,775 X 1,2,3 21,775
PRICE T ROWE & ASSOC 741477103 2,558 93,243 X 1,2,3 93,243
PROCTER & GAMBLE COMPANY 742718109 3,647 38,900 X 1,2,3 38,900
QUALCOMM INC 747525103 7,568 40,000 X 1,2,3 40,000
RADWARE M81873107 1,375 50,000 X 1,2,3 50,000
RESTORATION HARDWARE INC 760981100 1,425 190,000 X 1,2,3 190,000
REX STORES CORP 761624105 1,674 54,000 X 1,2,3 54,000
RHYTHMS NETCONNECTIONS 762430205 1,380 40,000 X 1,2,3 40,000
SAFEWAY INC 786514208 7,042 185,000 X 1,2,3 185,000
SALEM COMMUNICATIONS CORP 794093104 3,521 138,070 X 1,2,3 138,070
SANMINA CORP 800907107 20,876 269,800 X 1,2,3 269,800
SANTA FE INTL CORP ORD G7805C108 1,434 66,500 X 1,2,3 66,500
SAPIENT CORP 803062108 10,396 110,305 X 1,2,3 110,305
SCHERING PLOUGH CORP 806605101 27,160 622,580 X 1,2,3 622,580
SDL INC 784076101 5,800 76,000 X 1,2,3 76,000
SIEBEL SYSTEMS 826170102 14,524 218,000 X 1,2,3 218,000
SMART & FINAL INC 831683107 4,003 400,331 X 1,2,3 400,331
SOLECTRON CORP 834182107 24,057 335,000 X 1,2,3 335,000
SONIC AUTOMOTIVE INC 83545G102 2,477 190,509 X 1,2,3 190,509
SPRING IND INC CLASS A 851783100 1,060 31,230 X 1,2,3 31,230
PAGE TOTAL 699,350
</TABLE>
6
<PAGE>
9-30-99 Roger Engemann Associates, Inc.
<TABLE>
<CAPTION>
VOTING
AUTHORITY
INVESTMENT DISCRETION (SHARES)
SHARES OR (C)
NAME OF ISSUER AND FAIR MARKET PRINCIPAL (A) (B) SHARED- MANAGERS (A) SOLE
TITLE OF CLASS CUSIP NO. VALUE (000) AMOUNT SOLE SHARED OTHER
- -----------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C> <C>
SPRINT CORP PCS COM STK SER 1 852061506 6,338 85,000 X 1,2,3 85,000
STANLEY WORKS 854616109 1,066 42,339 X 1,2,3 42,339
STAPLES, INC 855030102 167,283 7,670,020 X 1,2,3 7,670,020
STARBUCKS CORPORATION 855244109 752 30,331 X 1,2,3 30,331
STATE STREET CORP 857477103 49,659 768,361 X 1,2,3 768,361
SUN MICROSYSTEMS INC 866810104 209,461 2,252,266 X 1,2,3 2,252,266
SUNOCO INC 86764P109 1,151 42,052 X 1,2,3 42,052
TELECOM ITALIA SPA ADR 87927W106 345 4,000 X 1,2,3 4,000
TELLABS INC 879664100 377,068 6,622,205 X 1,2,3 6,622,205
TERADYNE INC 880770102 2,115 60,000 X 1,2,3 60,000
TERAYON COMMUNICATIONS SY 880775101 3,177 65,000 X 1,2,3 65,000
TEXAS INSTRUMENTS INC 882508104 670,427 8,151,085 X 1,2,3 8,151,085
TIBC SOFTWARE 88632Q103 662 22,000 X 1,2,3 22,000
TIFFANY & CO 886547108 1419 23,674 X 1,2,3 23,674
TIME WARNER INC 887315109 37,044 609,780 X 1,2,3 609,780
TIMKEN CO 887389104 1,121 69,537 X 1,2,3 69,537
TRINTECH GROUP PLC - SPON ADR 896682101 1,313 100,000 X 1,2,3 100,000
TRIQUINT SEMICONDUCTOR 89674K103 3,705 64,778 X 1,2,3 64,778
TYCO INTL LTD (NEW) 902124106 280,316 2,714,928 X 1,2,3 2,714,928
UBID INCORPORATED 903469104 2,057 78,000 X 1,2,3 78,000
UNITED RENTALS 911363109 305 14,043 X 1,2,3 14,043
UNITED TECHNOLOGIES CORP 913017109 6,200 104,526 X 1,2,3 104,526
UNIVISION COMMUNICATION, INC 914906102 8,544 105,000 X 1,2,3 105,000
USX - U S STEEL GROUP 90337T101 1,294 50,271 X 1,2,3 50,271
VERIO INC 923433106 2,635 85,000 X 1,2,3 85,000
VERITAS SOFTWARE CORP 923436109 3,797 50,000 X 1,2,3 50,000
VISX INC DELAWARE 92844S105 2,768 35,000 X 1,2,3 35,000
VITESSE SEMICONDUCTOR CORP 928497106 19,783 231,727 X 1,2,3 231,727
VODAFONE AIRTOUCH PLC 92857T107 647 2,720 X 1,2,3 2,720
WAL MART STORES INC 931142103 232,224 4,882,760 X 1,2,3 4,882,760
WALGREEN CO 931422109 115,035 4,928,665 X 1,2,3 4,928,665
WARNER LAMBERT CO 934488107 291,571 4,393,117 X 1,2,3 4,393,117
WELLS FARGO & CO (NEW) 949746101 212,367 5,360,098 X 1,2,3 5,360,098
WHITTMAN HART INC 966834103 14,874 383,554 X 1,2,3 383,554
WHOLE FOODS MARKET INC 966837106 9,959 304,361 X 1,2,3 304,361
WINSTAR COMMUNICATIONS INC 975515107 9,171 234,784 X 1,2,3 234,784
XILINX INC 983919101 10,813 165,000 X 1,2,3 165,000
YAHOO INC 984332106 38,287 213,150 X 1,2,3 213,150
YESMAIL.COM INC 98583Q101 754 71,000 X 1,2,3 71,000
PAGE TOTAL 2,797,507
TOTAL 12,992,205
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