<PAGE>
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form13F
Form 13F COVER PAGE
Report for the Calender Year or Quarter Ended: June 30, 1999
-------------------
Check here if Amendment /X/; Amendment Number: 1
---
This Amendment (Check only one.): /X/ 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.
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Pasadena, CA 91107
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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
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Title: Vice President, Compliance
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Phone: 626 351-6451
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Signature, Place, and Date of Signing:
/s/ Tina L. Mitchell Pasadena, CA August 12, 1999
- --------------------------- ---------------------------- ---------------
[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 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 reportand 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
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Form 13F Information Table Entry Total: 225
-----------------
Form 13F Information Table Value Total: $ 13,204,036.00
-----------------
(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 if 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>
<TABLE>
<CAPTION>
INVESTMENT DISCRETION VOTING AUTHORITY (SHARES)
SHARES OR (C)
NAME OF ISSUER AND FAIR MARKET PRINCIPAL (A) (B) SHARED- MANAGERS (A) SOLE (B) SHARED (C) NONE
TITLE OF CLASS CUSIP NO. VALUE (000) AMOUNT SOLE SHARED OTHER
- ------------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C>
ABACUS DIRECT CORP 002553105 11,856 129,578 X 1,2,3 129,578
ADVANCED ENERGY INDUSTRIES 007973100 6,206 153,000 X 1,2,3 153,000
ADVANCED FIBRE COMMUNICATIONS 00754A105 4,279 273,922 X 1,2,3 273,922
ALCATEL 013904305 287 10,100 X 1,2,3 10,100
ALLIED SIGNAL INC 019512102 17,098 271,400 X 1,2,3 271,400
ALZA CORPORATION 022615108 3,050 59,938 X 1,2,3 59,938
AMERICA ONLINE INC DEL 02364J104 308,483 2,798,289 X 1,2,3 2,798,289
AMERICAN EXPRESS CO 025816109 185,309 1,424,140 X 1,2,3 1,424,140
AMERICAN GREETINGS CORP CL A 026375105 1,451 48,168 X 1,2,3 48,168
AMERICAN INTL GROUP INC 026874107 207,684 1,772,953 X 1,2,3 1,772,953
AMERITRAD HOLDING A 03072H109 4,028 38,000 X 1,2,3 38,000
AMVESCAP PLC 03235E100 400 8,600 X 1,2,3 8,600
ANALOG DEVICES INC 032654105 4,517 90,000 X 1,2,3 90,000
APPLIED MATERIALS INC 038222105 7,388 100,000 X 1,2,3 100,000
APPLIED MICRO CIRCUITS CORP 03822W109 12,299 149,531 X 1,2,3 149,531
ARIBA INC. 04033V104 3,404 35,000 X 1,2,3 35,000
AT&T CORP 001957109 90,453 1,620,653 X 1,2,3 1,620,653
AT&T CORP NEW LIBERTY MEDIA 001957208 90,839 2,471,800 X 1,2,3 2,471,800
AUTOMATIC DATA PROCESSING INC 053015103 15,092 343,000 X 1,2,3 343,000
AVON PRODS INC 054303102 157,405 2,836,118 X 1,2,3 2,836,118
AXA UAP SPONSORED ADRS 054536107 302 4,851 X 1,2,3 4,851
B M C SOFTWARE INC 055921100 282,816 5,237,335 X 1,2,3 5,237,335
BAKER HUGHES INC 057224107 4,858 145,000 X 1,2,3 145,000
BEBE STORES INC 075571109 1,700 50,000 X 1,2,3 50,000
BED BATH & BEYOND INC 075896100 6,093 158,264 X 1,2,3 158,264
BEMIS INC 081437105 1,436 36,123 X 1,2,3 36,123
BIOGEN INC 090597105 2,701 42,000 X 1,2,3 42,000
BIOMATRIX INC 09060P102 1,730 80,000 X 1,2,3 80,000
BRISTOL-MYERS SQUIBB CO 110122108 49,947 709,100 X 1,2,3 709,100
BROADCAST .COM INC 111310108 4,207 31,500 X 1,2,3 31,500
BRUNSWICK CORP 117043109 1,600 57,392 X 1,2,3 57,392
CABLE & WIRELESS ADR 126830207 234 5,900 X 1,2,3 5,900
CABLE & WIRELESS COMMS ADR 12682P104 252 5,200 X 1,2,3 5,200
CAPITAL ONE FINL CORP 14040H105 89,713 1,611,000 X 1,2,3 1,611,000
CARDINAL HEALTH INC 14149Y108 41,072 640,500 X 1,2,3 640,500
CARNIVAL CORP CLASS A 143658102 226,065 4,661,140 X 1,2,3 4,661,140
CBS CORP 12490K107 44,303 1,017,000 X 1,2,3 1,017,000
CENDANT CORP 151313103 134,324 6,552,374 X 1,2,3 6,552,374
CHAMPIONSHIP AUTO RACING 158711101 7,037 235,024 X 1,2,3 235,024
CHANCELLOR MEDIA CORP 158915108 3,308 60,000 X 1,2,3 60,000
CHARTER ONE FINANCIAL 160903100 2,503 90,000 X 1,2,3 90,000
CHEESECAKE FACTORY INC 163072101 10,053 329,620 X 1,2,3 329,620
CISCO SYSTEMS INC 17275R102 569,684 8,837,798 X 1,2,3 8,837,798
CITIGROUP INC 172967101 412,580 8,685,900 X 1,2,3 8,685,900
PAGE TOTAL 3,030,046
1
<PAGE>
<CAPTION>
INVESTMENT DISCRETION VOTING AUTHORITY (SHARES)
SHARES OR (C)
NAME OF ISSUER AND FAIR MARKET PRINCIPAL (A) (B) SHARED- MANAGERS (A) SOLE (B) SHARED (C) NONE
TITLE OF CLASS CUSIP NO. VALUE (000) AMOUNT SOLE SHARED OTHER
- ------------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C>
CITRIX SYSTEMS INC 177376100 4,520 80,000 X 1,2,3 80,000
CLAIRES STORES 179584107 12,686 494,986 X 1,2,3 494,986
CLEAR CHANNEL COMMUNICATIONS 184502102 50,986 739,600 X 1,2,3 739,600
COCA-COLA COMPANY 191216100 30,004 480,379 X 1,2,3 480,379
COLGATE PALMOLIVE CO 194162103 22,197 225,355 X 1,2,3 225,355
COMPUWARE CORP 205638109 31,141 978,894 X 1,2,3 978,894
CONAGRA INC 205887102 1,293 48,555 X 1,2,3 48,555
CONCENTRIC NETWORK CORP 20589R107 6,901 173,605 X 1,2,3 173,605
CONCORD EFS INC 206197105 1,058 25,000 X 1,2,3 25,000
CONEXANT SYSTEMS INC 207142100 7,897 136,000 X 1,2,3 136,000
CONSOLIDATED STORES CORP 210149100 3,375 125,000 X 1,2,3 125,000
COOPER INDUSTRIES INCORPORATED 216669101 1,299 24,989 X 1,2,3 24,989
CORPORATE EXECUTIVE BOARD 21988R102 5,359 150,702 X 1,2,3 150,702
COST PLUS INC 221485105 16,583 364,459 X 1,2,3 364,459
COSTCO COMPANIES INC 22160Q102 25,420 317,500 X 1,2,3 317,500
COULTER PHARMACEUTICAL INC CO M 22211610 2,301 102,000 X 1,2,3 102,000
COUNTRYWIDE CREDIT INDS INC 222372104 87,835 2,054,618 X 1,2,3 2,054,618
CYBERSOURCE 23251J106 2,950 200,000 X 1,2,3 200,000
CYMER INC 232572107 3,433 137,336 X 1,2,3 137,336
DAIMLERCHRYSLER AG ORD SHR D1668R123 334 3,758 X 1,2,3 3,758
DANA CORPORATION 235811106 1,267 27,496 X 1,2,3 27,496
DATACRAFT ASIA SGD0.10 236111AAT 751 172,250 X 1,2,3 172,250
DAYTON-HUDSON CORPORATION 239753106 207,738 3,195,973 X 1,2,3 3,195,973
DELL COMPUTER CORP 247025109 54,745 1,479,600 X 1,2,3 1,479,600
DISNEY WALT CO 254687106 173,295 5,624,642 X 1,2,3 5,624,642
DITECH COMMS CP 25500R102 3,000 150,000 X 1,2,3 150,000
DOLLAR GENERAL CORP 256669102 4,350 150,000 X 1,2,3 150,000
DONALDSON LUFKIN & JENRETTE 257661108 2,711 45,000 X 1,2,3 45,000
DONNELLEY RR & SONS CO 257867101 1,390 37,516 X 1,2,3 37,516
DU PONT (E.I.) DE NEMOURS 263534109 48,707 713,000 X 1,2,3 713,000
EASTMAN KODAK COMPANY 277461109 1,217 17,957 X 1,2,3 17,957
EARTHLINK NETWORK INC. 270322100 702 11,426 X 1,2,3 11,426
EATON CORPORATION 278058102 1,358 14,757 X 1,2,3 14,757
ELAN CORP PLC ADR 284131208 447 16,096 X 1,2,3 16,096
ELECTRONIC DATA SYS CORP (NEW) 285661104 28,704 507,470 X 1,2,3 507,470
EMC CORPORATION MASS 268648102 322,804 5,869,161 X 1,2,3 5,869,161
ERICSSON L M TEL CO 294821400 642 19,500 X 1,2,3 19,500
EXPEDITORS INTL WASH INC 302130109 4,424 162,336 X 1,2,3 162,336
FASTENAL COMPANY 311900104 9,833 187,509 X 1,2,3 187,509
FEDERAL AGRIC MORT CL C 313148306 5,696 83,000 X 1,2,3 83,000
FEDERAL HOME LN MTG CORP 313400301 150,197 2,589,604 X 1,2,3 2,589,604
FIRST SECURITY CORP 336294103 4,088 150,000 X 1,2,3 150,000
FIRST TENN NATL CORP 337162101 1,533 40,000 X 1,2,3 40,000
FLEETWOOD ENTERPRISES INC 339099103 1,288 48,732 X 1,2,3 48,732
PAGE TOTAL 1,348,459
2
<PAGE>
<CAPTION>
INVESTMENT DISCRETION VOTING AUTHORITY (SHARES)
SHARES OR (C)
NAME OF ISSUER AND FAIR MARKET PRINCIPAL (A) (B) SHARED- MANAGERS (A) SOLE (B) SHARED (C) NONE
TITLE OF CLASS CUSIP NO. VALUE (000) AMOUNT SOLE SHARED OTHER
- ------------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C>
FLEXTRONICS INTL LTD ORD Y2573F102 7,914 142,599 X 1,2,3 142,599
FLUOR CORPORATION 343861100 1,456 35,940 X 1,2,3 35,940
FORD MOTOR COMPANY 345370100 1,308 23,168 X 1,2,3 23,168
FOREST LABS INC CL A 345838106 1,619 35,000 X 1,2,3 35,000
FRONTIER CORP 35906P105 2,052 35,000 X 1,2,3 35,000
FUNDTECH LTD M47095100 3,761 145,000 X 1,2,3 145,000
GABELLI ASSET MANAGEMENT INC 36239Y102 6,649 420,576 X 1,2,3 420,576
GAM INTERNATIONAL 364590109 274 10,368 X 1,2,3 10,368
GAP INC 364760108 27,958 555,000 X 1,2,3 555,000
GENERAL ELECTRIC CO 369604103 350,140 3,098,588 X 1,2,3 3,098,588
GENUINE PARTS CO 372460105 1,422 40,633 X 1,2,3 40,633
GILLETTE COMPANY 375766102 24,278 592,142 X 1,2,3 592,142
GLOBAL CROSSING LTD G3921A100 2,558 60,000 X 1,2,3 60,000
GOLDEN STATE BANCORP INC 381197102 4,050 180,000 X 1,2,3 180,000
GOLDMAN SACHS GROUP 38141G104 9,710 134,400 X 1,2,3 134,400
GOODRICH B F CO 382388106 1,480 34,812 X 1,2,3 34,812
GUIDANT CORP 401698105 6,170 119,950 X 1,2,3 119,950
HEALTH MANAGEMENT ASSOC. INC 421933102 5,055 449,293 X 1,2,3 449,293
HENRY SCHEIN INC 806407102 6,971 220,000 X 1,2,3 220,000
HOME DEPOT INC 437076102 422,774 6,560,746 X 1,2,3 6,560,746
ILLINOIS TOOL WORKS 452308109 15,042 184,000 X 1,2,3 184,000
INHALE THERAPEUTIC SYSTEMS 457191104 2,695 113,187 X 1,2,3 113,187
INKTOMI CORP 457277101 5,014 38,400 X 1,2,3 38,400
INTEL CORP 458140100 411,688 6,919,121 X 1,2,3 6,919,121
INTERNATIONAL BUSINESS MACHINE 459200101 124,284 961,580 X 1,2,3 961,580
INTERNATIONAL NETWORK SERVICES 460053101 808 20,000 X 1,2,3 20,000
INTERPUBLIC GROUP COS INC 460690100 186,410 2,151,790 X 1,2,3 2,151,790
INVESTMENT TECHNOLOGY GRP INC 46145F105 648 20,000 X 1,2,3 20,000
JABIL CIRCUIT INC 466313103 9,025 200,000 X 1,2,3 200,000
JEFFERIES GROUP INC 472319102 600 20,000 X 1,2,3 20,000
JOHNSON & JOHNSON 478160104 881 8,986 X 1,2,3 8,986
JUNIPER NETWORKS 48203R104 3,725 25,000 X 1,2,3 25,000
KANSAS CITY SOUTHN IND 485170104 137,014 2,147,217 X 1,2,3 2,147,217
KLA TENCOR CORP 482480100 4,541 70,000 X 1,2,3 70,000
KOHLS CORP 500255104 80,618 1,046,508 X 1,2,3 1,046,508
KONINKLIJKE NV SPNSRD ADR NEW 500467303 204 5,900 X 1,2,3 5,900
LEGATO SYSTEMS 524651106 7,925 137,225 X 1,2,3 137,225
LEHMAN BROTHERS HOLDINGS INC 524908100 6,834 110,000 X 1,2,3 110,000
LILLY ELI & COMPANY 532457108 33,757 471,334 X 1,2,3 471,334
LITHIA MOTORS INC CL A 536797103 4,203 205,000 X 1,2,3 205,000
LOWES CO INC 548661107 55,743 983,340 X 1,2,3 983,340
LSI LOGIC CORP 502161102 3,459 75,000 X 1,2,3 75,000
LUCENT TECHNOLOGIES INC 549463107 477,923 7,086,642 X 1,2,3 7,086,642
LUXOTTICA GROUP S P A ADR 55068R202 394 25,310 X 1,2,3 25,310
PAGE TOTAL 2,461,034
3
<PAGE>
<CAPTION>
INVESTMENT DISCRETION VOTING AUTHORITY (SHARES)
SHARES OR (C)
NAME OF ISSUER AND FAIR MARKET PRINCIPAL (A) (B) SHARED- MANAGERS (A) SOLE (B) SHARED (C) NONE
TITLE OF CLASS CUSIP NO. VALUE (000) AMOUNT SOLE SHARED OTHER
- ------------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C>
MAKER COMMUNICATIONS INC 560875106 868 28,000 X 1,2,3 28,000
MALLINCKRODT INC 561232109 1,533 42,114 X 1,2,3 42,114
MARSHALL & ILSLEY CP 571834100 5,794 90,000 X 1,2,3 90,000
MASTECH CORP 57632N105 2,794 150,000 X 1,2,3 150,000
MBNA CORP 55262L100 50,676 1,654,723 X 1,2,3 1,654,723
MCDONALDS CORP 580135101 25,312 615,414 X 1,2,3 615,414
MCI WORLDCOM INC 55268B106 846,914 9,831,829 X 1,2,3 9,831,829
MCLEODUSA INC CL A 582266102 2,200 40,000 X 1,2,3 40,000
MEADE INSTRUMENTS 583062104 2,156 125,000 X 1,2,3 125,000
MEDTRONIC INC 585055106 371,960 4,776,072 X 1,2,3 4,776,072
MELLON BANK CORP 585509102 37,124 1,020,600 X 1,2,3 1,020,600
MERCK & CO INC 589331107 336,821 4,568,297 X 1,2,3 4,568,297
MERRILL LYNCH & CO INC 590188108 119,165 1,493,652 X 1,2,3 1,493,652
METRIS COMPANY INC 591598107 21,224 520,831 X 1,2,3 520,831
MICREL INC 594793101 14,189 191,741 X 1,2,3 191,741
MICROSOFT CORP 594918104 672,604 7,457,636 X 1,2,3 7,457,636
MILACRON INC 598709103 1,159 62,644 X 1,2,3 62,644
MINNESOTA MINING & MFG CO 604059105 13,823 159,000 X 1,2,3 159,000
MIPS TECHNOLOGIES INC 604567107 14,569 303,891 X 1,2,3 303,891
MIRAGE RESORTS INC 60462E104 3,183 190,000 X 1,2,3 190,000
MONSANTO COMPANY 611662107 20,749 524,450 X 1,2,3 524,450
MORGAN J P & CO INC 616880100 3,513 25,000 X 1,2,3 25,000
MORGAN STANLEY D. WITTER & CO 617446448 130,569 1,273,846 X 1,2,3 1,273,846
MYLAN LABS INC 628530107 3,315 125,110 X 1,2,3 125,110
99 CENTS ONLY STORES 65440K106 12,719 254,694 X 1,2,3 254,694
NATL SERVICE IND 637657107 1,206 33,512 X 1,2,3 33,512
NCO GROUP INC 628858102 6,522 171,632 X 1,2,3 171,632
NETWORK APPLIANCE INC 64120L104 2,514 45,000 X 1,2,3 45,000
NETWORK PLUS 64122D506 4,175 200,000 X 1,2,3 200,000
NETWORK SOLUTIONS INC 64121Q102 4,961 62,708 X 1,2,3 62,708
NEW ERA NETWORKS 644312100 9,459 215,274 X 1,2,3 215,274
NOKIA CORP SPONSORED ADR 654902204 1,178 12,864 X 1,2,3 12,864
OMNICARE INC 681904108 1308 103,610 X 1,2,3 103,610
ORTEL CORP 68749W102 3,825 360,000 X 1,2,3 360,000
PACCAR INC 693718108 1,318 24,696 X 1,2,3 24,696
PACIFIC CENTURY FINL CORP 694058108 2,911 135,000 X 1,2,3 135,000
PAINE WEBBER GROUP INC 695629105 3,273 70,000 X 1,2,3 70,000
PEREGRINE SYSTEMS 71366Q101 7,957 309,720 X 1,2,3 309,720
PFIZER INC 717081103 493,930 4,518,206 X 1,2,3 4,518,206
PINNACLE OIL INT 723473104 4,774 339,500 X 1,2,3 339,500
PPG INDUSTRIES 693506107 1,410 23,875 X 1,2,3 23,875
PRICE T ROWE & ASSOC 741477103 3,260 84,943 X 1,2,3 84,943
PROCTER & GAMBLE COMPANY 742718109 49,864 558,700 X 1,2,3 558,700
PROGRESSIVE CORP OHIO 743315103 24,360 168,000 X 1,2,3 168,000
PAGE TOTAL 3,343,138
4
<PAGE>
<CAPTION>
INVESTMENT DISCRETION VOTING AUTHORITY (SHARES)
SHARES OR (C)
NAME OF ISSUER AND FAIR MARKET PRINCIPAL (A) (B) SHARED- MANAGERS (A) SOLE (B) SHARED (C) NONE
TITLE OF CLASS CUSIP NO. VALUE (000) AMOUNT SOLE SHARED OTHER
- ------------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C>
QWEST COMM INTL INC 749121109 4,794 145,014 X 1,2,3 145,014
RESTORATION HARDWARE INC 760981100 5,276 394,500 X 1,2,3 394,500
SANMINA CORP 800907107 6,829 90,000 X 1,2,3 90,000
SANTA FE INTL CORP ORD G7805C108 1,530 66,500 X 1,2,3 66,500
SAPIENT CORP 803062108 9,530 168,288 X 1,2,3 168,288
SCHERING PLOUGH CORP 806605101 32,840 619,640 X 1,2,3 619,640
SEPRACOR INC 817315104 3,575 44,000 X 1,2,3 44,000
SLM HOLDING CORP 78442A109 2,062 45,000 X 1,2,3 45,000
SMART & FINAL INC 831683107 3,901 371,499 X 1,2,3 371,499
SONIC AUTOMOTIVE INC 83545G102 8,095 588,725 X 1,2,3 588,725
SOUTHWEST AIRLINES CO 844741108 22,535 724,000 X 1,2,3 724,000
SPRINT CORP PCS COM STK SER 1 852061506 4,845 85,000 X 1,2,3 85,000
STAPLES, INC. 855030102 243,111 7,857,489 X 1,2,3 7,857,489
STARBUCKS CORPORATION 855244109 952 25,338 X 1,2,3 25,338
STATE STREET CORP 857477103 103,444 1,211,712 X 1,2,3 1,211,712
SUN MICROSYSTEMS INC 866810104 154,825 2,247,752 X 1,2,3 2,247,752
SUNOCO INC 86764P109 1,232 40,809 X 1,2,3 40,809
SUPERVALU INC 868536103 1,526 59,389 X 1,2,3 59,389
TELECOM ITALIA SPA ADR 87927W106 421 4,000 X 1,2,3 4,000
TELLABS INC 879664100 439,495 6,505,248 X 1,2,3 6,505,248
TERAYON COMMUNICATIONS SY 880775101 3,632 65,000 X 1,2,3 65,000
TEXAS INSTRUMENTS INC 882508104 656,228 4,545,148 X 1,2,3 4,545,148
TIFFANY & CO NEW 886547108 955 9,900 X 1,2,3 9,900
TIME WARNER INC 887315109 51,078 694,940 X 1,2,3 694,940
TIMKEN CO 887389104 1,253 64,237 X 1,2,3 64,237
TRW INC 872649108 1,475 26,884 X 1,2,3 26,884
TYCO INTL LTD (NEW) 902124106 110,801 1,169,400 X 1,2,3 1,169,400
UNIPHASE CORPORATION 909149106 8,300 50,000 X 1,2,3 50,000
UNITED RENTALS 911363109 414 14,043 X 1,2,3 14,043
UNITED TECHNOLOGIES CORP 913017109 60,044 837,556 X 1,2,3 837,556
UNITED THERAPEUTICS CORP DEL 91307C102 125 10,500 X 1,2,3 10,500
UNIVISION COMMUNICATION, INC. 914906102 6,825 105,000 X 1,2,3 105,000
USX - U S STEEL GROUP 90337T101 1,193 44,171 X 1,2,3 44,171
VERIO INC 923433106 2,954 42,500 X 1,2,3 42,500
VERITAS SOFTWARE CORP 923436109 2,373 25,000 X 1,2,3 25,000
VIATEL INC 925529208 3,648 65,000 X 1,2,3 65,000
VITESSE SEMICONDUCTOR CORP 928497106 15,959 236,633 X 1,2,3 236,633
VODAFONE GROUP ADR 92857T107 823 4,180 X 1,2,3 4,180
VOLVO AKTIEBOLAGET ADR B 928856400 259 8,800 X 1,2,3 8,800
WAL MART STORES INC 931142103 232,715 4,823,106 X 1,2,3 4,823,106
WALGREEN CO 931422109 142,379 4,846,124 X 1,2,3 4,846,124
WARNER LAMBERT CO 934488107 299,025 4,321,789 X 1,2,3 4,321,789
WELLS FARGO & CO (NEW) 949746101 292,305 6,837,552 X 1,2,3 6,837,552
WHIRLPOOL CORPORATION 963320106 1,478 19,970 X 1,2,3 19,970
PAGE TOTAL 2,947,059
5
<PAGE>
<CAPTION>
INVESTMENT DISCRETION VOTING AUTHORITY (SHARES)
SHARES OR (C)
NAME OF ISSUER AND FAIR MARKET PRINCIPAL (A) (B) SHARED- MANAGERS (A) SOLE (B) SHARED (C) NONE
TITLE OF CLASS CUSIP NO. VALUE (000) AMOUNT SOLE SHARED OTHER
- ------------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C>
WHITTMAN HART INC. 966834103 12,745 401,421 X 1,2,3 401,421
WHOLE FOODS MARKET INC 966837106 16,730 348,099 X 1,2,3 348,099
WINSTAR COMMUNICATIONS INC 975515107 10,721 219,924 X 1,2,3 219,924
XILINX INC 983919101 9,446 165,000 X 1,2,3 165,000
YAHOO INC 984332106 24,658 143,150 X 1,2,3 143,150
PAGE TOTAL 74,300
TOTAL 13,204,036
</TABLE>
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