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Previous: ECOLAB INC, 424B3, 2000-10-26 |
Next: EQUIFAX INC, S-8, 2000-10-26 |
<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: September 30, 2000
-----------------------
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 10-24-2000
------------------------------- ----------------- -------------
[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>
9/30/00 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> <C> <C>
99 CENTS ONLY STORES 65440K106 22,649 451,267 X
ACTIVE POWER INC 00504W100 9,837 158,660 X
ADC TELECOMMUNICATIONS INC 000886101 8,793 327,000 X
ADVANCED ENERGY INDUSTRIES 007973100 13,099 396,946 X
ADVANCED FIBRE COMMUNICATIONS 00754A105 1,795 47,398 X
AFFILIATED MANAGERS GROUP INC 008252108 6,648 116,760 X
AFFYMETRIX INC 00826T108 3,640 72,979 X
AGILE SOFTWARE 00846X105 18,225 202,635 X
ALZA CORPORATION 022615108 39,963 462,000 X
AMERICA ONLINE INC DEL 02364J104 371,617 6,913,812 X
AMERICAN EXPRESS CO 025816109 344,291 5,667,339 X
AMERICAN GREETINGS CORP CL A 026375105 532 30,373 X
AMGEN INC 031162100 11,696 167,500 X
ANADARKO PETROLEUM 032511107 72,116 1,085,107 X
ANALOG DEVICES INC 032654105 98,852 1,197,341 X
APACHE CORP 037411105 4,139 70,000 X
APPLIED MATERIALS INC 038222105 111,912 1,886,898 X
APPLIED MICRO CIRCUITS CORP 03822W109 235,293 1,136,352 X
ARENA PHARMACEUTICALS, INC 040047102 8,629 200,670 X
ARIBA INC 04033V104 42,980 300,000 X
ARMSTRONG HOLDINGS INC 042384107 468 39,163 X
ARTHROCARE CORP 043136100 1,969 101,280 X
ASPECT MEDICAL SYSTEMS, INC 045235108 2,292 185,250 X
AT&T CORP NEW LIBERTY MEDIA GROUP CL A 001957208 42,318 2,351,000 X
AURORA BIOSCIENCES CORP 051920106 2,720 40,000 X
AUTOMATIC DATA PROCESSING INC 053015103 776 11,600 X
AVANEX CORP 05348W109 3,231 30,000 X
AVANTGO INC 05349M100 316 15,800 X
AVICI SYSTEMS INC 05367L109 7,039 74,000 X
AVIRON 053762100 9,695 166,260 X
BARRETT RESOURCES CORP DEL 068480201 4,645 122,850 X
BEA SYSTEMS INC 073325102 548,683 7,045,240 X
BED BATH & BEYOND INC 075896100 45,695 1,873,518 X
BEST BUY INC 086516101 11,672 183,450 X
BEVERLY ENTERPRISES INC NEW 087851309 1,930 325,000 X
BLUE MARTINI SOFTWARE INC 095698106 525 15,510 X
BLUESTONE SOFTWARE 09623P102 5,182 298,313 X
BRISTOL-MYERS SQUIBB CO 110122108 34,058 596,200 X
BROADCOM CORPORATION 111320107 33,150 136,000 X
BROCADE COMMUNICATIONS SYS INC 111621108 73,094 309,720 X
PAGE TOTAL 2,256,164
</TABLE>
<TABLE>
<CAPTION>
NAME OF ISSUER AND VOTING AUTHORITY (SHARES)
TITLE OF CLASS MANAGERS (A) SOLE (B) SHARED (C) NONE
-------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C>
99 CENTS ONLY STORES 1,2,3 451,267
ACTIVE POWER INC 1,2,3 158,660
ADC TELECOMMUNICATIONS INC 1,2,3 327,000
ADVANCED ENERGY INDUSTRIES 1,2,3 396,946
ADVANCED FIBRE COMMUNICATIONS 1,2,3 47,398
AFFILIATED MANAGERS GROUP INC 1,2,3 116,760
AFFYMETRIX INC 1,2,3 72,979
AGILE SOFTWARE 1,2,3 202,635
ALZA CORPORATION 1,2,3 462,000
AMERICA ONLINE INC DEL 1,2,3 6,913,812
AMERICAN EXPRESS CO 1,2,3 5,667,339
AMERICAN GREETINGS CORP CL A 1,2,3 30,373
AMGEN INC 1,2,3 167,500
ANADARKO PETROLEUM 1,2,3 1,085,107
ANALOG DEVICES INC 1,2,3 1,197,341
APACHE CORP 1,2,3 70,000
APPLIED MATERIALS INC 1,2,3 1,886,898
APPLIED MICRO CIRCUITS CORP 1,2,3 1,136,352
ARENA PHARMACEUTICALS, INC 1,2,3 200,670
ARIBA INC 1,2,3 300,000
ARMSTRONG HOLDINGS INC 1,2,3 39,163
ARTHROCARE CORP 1,2,3 101,280
ASPECT MEDICAL SYSTEMS, INC 1,2,3 185,250
AT&T CORP NEW LIBERTY MEDIA GROUP CL A 1,2,3 2,351,000
AURORA BIOSCIENCES CORP 1,2,3 40,000
AUTOMATIC DATA PROCESSING INC 1,2,3 11,600
AVANEX CORP 1,2,3 30,000
AVANTGO INC 1,2,3 15,800
AVICI SYSTEMS INC 1,2,3 74,000
AVIRON 1,2,3 166,260
BARRETT RESOURCES CORP DEL 1,2,3 122,850
BEA SYSTEMS INC 1,2,3 7,045,240
BED BATH & BEYOND INC 1,2,3 1,873,518
BEST BUY INC 1,2,3 183,450
BEVERLY ENTERPRISES INC NEW 1,2,3 325,000
BLUE MARTINI SOFTWARE INC 1,2,3 15,510
BLUESTONE SOFTWARE 1,2,3 298,313
BRISTOL-MYERS SQUIBB CO 1,2,3 596,200
BROADCOM CORPORATION 1,2,3 136,000
BROCADE COMMUNICATIONS SYS INC 1,2,3 309,720
</TABLE>
Page 2
<PAGE>
9/30/00 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> <C> <C>
BRUKER DALTONIC 116795105 12,575 283,385 X
BURLINGTON RESOURCES INC 122014103 31,916 867,000 X
CALIFORNIA PIZZA KITCHEN INC 13054D109 1,410 50,340 X
CALIPER TECHNOLOGIES CORP 130876105 9,067 156,500 X
CATERPILLAR INC DEL 149123101 551 16,319 X
C-BRIDGE INTERNET SOLUCTIONS 12500B105 2,837 151,280 X
CELESTICA INC 15101Q108 40,788 589,000 X
CHARLES RIVER LABS INTL INC 159864107 6,142 180,660 X
CHEESECAKE FACTORY INC 163072101 22,799 527,143 X
CHILDRENS PL RETAIL STORES 168905107 6,419 249,270 X
CIENA CORP 171779101 47,651 388,000 X
CIPHERGEN BIOSYSTEMS INC 17252Y104 5,136 160,500 X
CISCO SYSTEMS INC 17275R102 815,544 14,760,975 X
CITIGROUP INC 172967101 476,602 8,816,160 X
C-MAC INDUSTRIES INC 125920108 52,542 913,770 X
COASTAL CORP 190441105 125,331 1,690,800 X
COMMERCE ONE INC DEL 200693109 25,912 330,092 X
CONAGRA FOODS INC 205887102 589 29,365 X
CONEXANT SYSTEMS INC 207142100 4,865 116,190 X
CONSTELLATION ENERGY CORP 210371100 54,377 1,093,000 X
COOPER INDUSTRIES INCORPORATED 216669101 586 16,621 X
COOPER TIRE & RUBBER CO 216831107 498 49,491 X
COR THERAPEUTICS 217753102 23,008 369,250 X
CORPORATE EXECUTIVE BOARD 21988R102 24,620 611,669 X
CORVIS CORP DS 221009103 36,134 591,900 X
COSINE COMMUNICATIONS INC 221222102 5,685 102,320 X
COST PLUS INC 221485105 23,237 771,215 X
COULTER PHARMACEUTICAL INC COM 222116105 1,743 60,380 X
CROWN CORK & SEAL INC 228255105 427 39,992 X
CUMMINS ENGINE INC 231021106 541 18,068 X
CURON MEDICAL INC 231292103 1,725 150,000 X
CYMER INC 232572107 8,598 280,149 X
DANA CORPORATION 235811106 512 23,825 X
DELL COMPUTER CORP 247025109 172,134 5,586,938 X
DELTAGEN INC 24783R103 2,336 75,500 X
DIAMOND TECH PARTNERS 252762109 3,810 51,310 X
DISNEY WALT CO 254687106 6,013 157,200 X
DONNELLEY RR & SONS CO 257867101 578 23,527 X
DOUBLECLICK INC 258609304 2,167 67,603 X
DURA PHARMACEUTICAL INC 26632S109 4,422 125,000 X
DYNEGY INC (NEW) CLASS A 26816Q101 5,700 100,000 X
EPIPHANY INC 26881V100 4,359 56,560 X
EBAY INC 278642103 2,866 41,760 X
EDEN BIOSCIENCE CORP 279445100 347 10,530 X
PAGE TOTAL 2,075,099
</TABLE>
<TABLE>
<CAPTION>
NAME OF ISSUER AND VOTING AUTHORITY (SHARES)
TITLE OF CLASS MANAGERS (A) SOLE (B) SHARED (C) NONE
-------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C>
BRUKER DALTONIC 1,2,3 283,385
BURLINGTON RESOURCES INC 1,2,3 867,000
CALIFORNIA PIZZA KITCHEN INC 1,2,3 50,340
CALIPER TECHNOLOGIES CORP 1,2,3 156,500
CATERPILLAR INC DEL 1,2,3 16,319
C-BRIDGE INTERNET SOLUCTIONS 1,2,3 151,280
CELESTICA INC 1,2,3 589,000
CHARLES RIVER LABS INTL INC 1,2,3 180,660
CHEESECAKE FACTORY INC 1,2,3 527,143
CHILDRENS PL RETAIL STORES 1,2,3 249,270
CIENA CORP 1,2,3 388,000
CIPHERGEN BIOSYSTEMS INC 1,2,3 160,500
CISCO SYSTEMS INC 1,2,3 14,760,975
CITIGROUP INC 1,2,3 8,816,160
C-MAC INDUSTRIES INC 1,2,3 913,770
COASTAL CORP 1,2,3 1,690,800
COMMERCE ONE INC DEL 1,2,3 330,092
CONAGRA FOODS INC 1,2,3 29,365
CONEXANT SYSTEMS INC 1,2,3 116,190
CONSTELLATION ENERGY CORP 1,2,3 1,093,000
COOPER INDUSTRIES INCORPORATED 1,2,3 16,621
COOPER TIRE & RUBBER CO 1,2,3 49,491
COR THERAPEUTICS 1,2,3 369,250
CORPORATE EXECUTIVE BOARD 1,2,3 611,669
CORVIS CORP DS 1,2,3 591,900
COSINE COMMUNICATIONS INC 1,2,3 102,320
COST PLUS INC 1,2,3 771,215
COULTER PHARMACEUTICAL INC COM 1,2,3 60,380
CROWN CORK & SEAL INC 1,2,3 39,992
CUMMINS ENGINE INC 1,2,3 18,068
CURON MEDICAL INC 1,2,3 150,000
CYMER INC 1,2,3 280,149
DANA CORPORATION 1,2,3 23,825
DELL COMPUTER CORP 1,2,3 5,586,938
DELTAGEN INC 1,2,3 75,500
DIAMOND TECH PARTNERS 1,2,3 51,310
DISNEY WALT CO 1,2,3 157,200
DONNELLEY RR & SONS CO 1,2,3 23,527
DOUBLECLICK INC 1,2,3 67,603
DURA PHARMACEUTICAL INC 1,2,3 125,000
DYNEGY INC (NEW) CLASS A 1,2,3 100,000
EPIPHANY INC 1,2,3 56,560
EBAY INC 1,2,3 41,760
EDEN BIOSCIENCE CORP 1,2,3 10,530
</TABLE>
Page 3
<PAGE>
9/30/00 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> <C> <C>
EDISON SCHOOLS INC 281033100 4,960 156,230 X
ELANTEC SEMICONDUCTOR 284155108 4,981 50,000 X
ELASTIC NETWORKS INC 284159100 2,091 150,000 X
ELECTRONIC DATA SYS CORP (NEW) 285661104 123,542 2,976,920 X
EMC CORPORATION MASS 268648102 1,027,910 10,370,363 X
ENCAL ENERGY 29250D107 8,859 1,404,250 X
ENERGY EXPL TECHNOLOGIES 29267E106 7,441 354,350 X
ENRON CORP 293561106 168,916 1,927,824 X
ENZON INC 293904108 1,671 25,320 X
EXFO ELECTRO OPTICAL ENGR INC 302043104 5,769 132,440 X
EXODUS COMMUNICATIONS INC 302088109 59,428 1,203,600 X
EXPEDITORS INTL WASH INC 302130109 7,700 170,891 X
EXTENSITY INC 302255104 3,076 146,460 X
EXTREME NETWORKS INC 30226D106 13,740 120,000 X
FASTENAL COMPANY 311900104 8,164 141,659 X
FEDERAL AGRIC MORT CL C 313148306 6,628 376,070 X
FEDERAL HOME LN MTG CORP 313400301 18,159 335,905 X
FLEXTRONICS INTL LTD ORD Y2573F102 78,353 954,009 X
FORD MOTOR CO (NEW) 345370860 583 23,031 X
FOREST OIL CORP (CANADA) 346091606 1,962 121,200 X
FORTUNE BRANDS INC 349631101 647 24,412 X
GABELLI ASSET MANAGEMENT INC 36239Y102 16,149 538,309 X
GENENTECH INC NEW 368710406 196,244 1,056,834 X
GENERAL ELECTRIC CO 369604103 230,664 3,998,337 X
GENUINE PARTS CO 372460105 571 29,950 X
GLOBAL CROSSING LTD G3921A100 29,862 963,300 X
GLOBESPAN INC 379571102 9,150 75,000 X
GOLDMAN SACHS GROUP INC 38141G104 28,484 250,000 X
GUIDANT CORP 401698105 232,522 3,289,313 X
HALLIBURTON CO 406216101 32,864 671,550 X
HEALTH MANAGEMENT ASSOCIATION INC CL A 421933102 1,641 78,870 X
HOME DEPOT INC 437076102 250,349 4,718,222 X
HYDRIL COMPANY 448774109 1,706 75,000 X
I2 TECHNOLOGIES INC 465754109 106,730 570,560 X
IDEC PHARMACEUTICALS CORP 449370105 19,626 111,918 X
ILLUMINA INC 452327109 8,786 193,620 X
INHALE THERAPEUTIC SYSTEMS 457191104 15,211 269,837 X
INKTOMI CORP 457277101 3,420 30,000 X
INTEL CORP 458140100 177,552 4,268,084 X
INTERPUBLIC GROUP COS INC 460690100 68,583 2,013,595 X
INTERSIL HOLDING CORP 46069S109 22,444 450,000 X
INTERWOVEN INC 46114T102 16,989 150,262 X
IONA TECH 46206P109 2,520 36,260 X
ISTA PHARMACEUTICALS INC 45031X105 1,800 125,200 X
PAGE TOTAL 3,028,447
</TABLE>
<TABLE>
<CAPTION>
NAME OF ISSUER AND VOTING AUTHORITY (SHARES)
TITLE OF CLASS MANAGERS (A) SOLE (B) SHARED (C) NONE
-------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C>
EDISON SCHOOLS INC 1,2,3 156,230
ELANTEC SEMICONDUCTOR 1,2,3 50,000
ELASTIC NETWORKS INC 1,2,3 150,000
ELECTRONIC DATA SYS CORP (NEW) 1,2,3 2,976,920
EMC CORPORATION MASS 1,2,3 10,370,363
ENCAL ENERGY 1,2,3 1,404,250
ENERGY EXPL TECHNOLOGIES 1,2,3 354,350
ENRON CORP 1,2,3 1,927,824
ENZON INC 1,2,3 25,320
EXFO ELECTRO OPTICAL ENGR INC 1,2,3 132,440
EXODUS COMMUNICATIONS INC 1,2,3 1,203,600
EXPEDITORS INTL WASH INC 1,2,3 170,891
EXTENSITY INC 1,2,3 146,460
EXTREME NETWORKS INC 1,2,3 120,000
FASTENAL COMPANY 1,2,3 141,659
FEDERAL AGRIC MORT CL C 1,2,3 376,070
FEDERAL HOME LN MTG CORP 1,2,3 335,905
FLEXTRONICS INTL LTD ORD 1,2,3 954,009
FORD MOTOR CO (NEW) 1,2,3 23,031
FOREST OIL CORP (CANADA) 1,2,3 121,200
FORTUNE BRANDS INC 1,2,3 24,412
GABELLI ASSET MANAGEMENT INC 1,2,3 538,309
GENENTECH INC NEW 1,2,3 1,056,834
GENERAL ELECTRIC CO 1,2,3 3,998,337
GENUINE PARTS CO 1,2,3 29,950
GLOBAL CROSSING LTD 1,2,3 963,300
GLOBESPAN INC 1,2,3 75,000
GOLDMAN SACHS GROUP INC 1,2,3 250,000
GUIDANT CORP 1,2,3 3,289,313
HALLIBURTON CO 1,2,3 671,550
HEALTH MANAGEMENT ASSOCIATION INC CL A 1,2,3 78,870
HOME DEPOT INC 1,2,3 4,718,222
HYDRIL COMPANY 1,2,3 75,000
I2 TECHNOLOGIES INC 1,2,3 570,560
IDEC PHARMACEUTICALS CORP 1,2,3 111,918
ILLUMINA INC 1,2,3 193,620
INHALE THERAPEUTIC SYSTEMS 1,2,3 269,837
INKTOMI CORP 1,2,3 30,000
INTEL CORP 1,2,3 4,268,084
INTERPUBLIC GROUP COS INC 1,2,3 2,013,595
INTERSIL HOLDING CORP 1,2,3 450,000
INTERWOVEN INC 1,2,3 150,262
IONA TECH 1,2,3 36,260
ISTA PHARMACEUTICALS INC 1,2,3 125,200
</TABLE>
Page 4
<PAGE>
9/30/00 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> <C> <C>
JABIL CIRCUIT INC 466313103 44,259 779,900 X
JDS UNIPHASE CORP 46612J101 296,397 3,130,183 X
JOHNSON & JOHNSON 478160104 31,512 335,450 X
JUNIPER NETWORKS INC 48203R104 16,420 75,000 X
KEYNOTE SYSTEMS 493308100 6,979 260,907 X
KLA TENCOR CORP 482480100 200,668 4,871,759 X
KOHLS CORP 500255104 19,557 339,020 X
LARGE SCALE BIOLOGY CORP 517053104 660 20,140 X
LEHMAN BROTHERS HOLDINGS INC 524908100 11,894 80,500 X
LINEAR TECHNOLOGY CORP 535678106 62,083 958,814 X
LIVEPERSON INC 538146101 3,511 802,450 X
LONDON PAC GROUP LTD ADR 542073101 14,559 732,719 X
LOUIS DREYFUS NATURAL GAS CORP 546011107 5,979 150,876 X
LOUISIANA PACIFIC CORP 546347105 507 55,179 X
LUCENT TECHNOLOGIES INC 549463107 166,354 5,443,534 X
MANOR CARE INC 564055101 1,569 100,000 X
MAXIM INTEGRATED PRODUCTS 57772K101 201,346 2,503,058 X
MAY DEPT STORES CO 577778103 467 22,781 X
MBNA CORP 55262L100 762 19,794 X
MCDATA CORPORATION 580031102 18,495 150,500 X
MCLEODUSA INC CL A 582266102 3,435 240,000 X
MEADE INSTRUMENTS 583062104 6,539 323,890 X
MEDICINES CO 584688105 12,115 354,360 X
MEDTRONIC INC 585055106 471,516 9,100,868 X
MERCK & CO INC 589331107 290,001 3,895,762 X
MERRILL LYNCH & CO INC 590188108 104,536 1,583,874 X
METAWAVE COMMUNICATIONS CORP 591409107 2,411 131,650 X
METRIS COMPANIES INC 591598107 37,728 955,136 X
MICREL INC 594793101 43,610 650,892 X
MICRON TECHNOLOGY INC 595112103 19,366 421,000 X
MICROSOFT CORP 594918104 194,281 3,221,381 X
MINIMED INC 60365K108 18,183 203,460 X
MIPS TECHNOLOGIES INC 604567107 11,740 255,228 X
MMC NETWORKS 55308N102 9,608 75,950 X
MORGAN STANLEY D. WITTER & CO 617446448 44,421 485,812 X
MOTOROLA INC 620076109 11,726 415,071 X
MYRIAD GENETICS INC 62855J104 3,484 40,510 X
NABORS INDUSTRIES INC 629568106 5,240 100,000 X
NCO GROUP INC 628858102 2,171 182,878 X
NETSILICON INC 64115X105 5,505 262,910 X
NETWORK APPLIANCE INC 64120L104 19,106 150,000 X
NETWORK PLUS 64122D506 333 38,544 X
NOKIA CORP SPONSORED ADR 654902204 176,528 4,434,273 X
NORTEL NETWORKS CORP (NEW) 656568102 328,922 5,522,530 X
PAGE TOTAL 2,926,483
</TABLE>
<TABLE>
<CAPTION>
NAME OF ISSUER AND VOTING AUTHORITY (SHARES)
TITLE OF CLASS MANAGERS (A) SOLE (B) SHARED (C) NONE
-------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C>
JABIL CIRCUIT INC 1,2,3 779,900
JDS UNIPHASE CORP 1,2,3 3,130,183
JOHNSON & JOHNSON 1,2,3 335,450
JUNIPER NETWORKS INC 1,2,3 75,000
KEYNOTE SYSTEMS 1,2,3 260,907
KLA TENCOR CORP 1,2,3 4,871,759
KOHLS CORP 1,2,3 339,020
LARGE SCALE BIOLOGY CORP 1,2,3 20,140
LEHMAN BROTHERS HOLDINGS INC 1,2,3 80,500
LINEAR TECHNOLOGY CORP 1,2,3 958,814
LIVEPERSON INC 1,2,3 802,450
LONDON PAC GROUP LTD ADR 1,2,3 732,719
LOUIS DREYFUS NATURAL GAS CORP 1,2,3 150,876
LOUISIANA PACIFIC CORP 1,2,3 55,179
LUCENT TECHNOLOGIES INC 1,2,3 5,443,534
MANOR CARE INC 1,2,3 100,000
MAXIM INTEGRATED PRODUCTS 1,2,3 2,503,058
MAY DEPT STORES CO 1,2,3 22,781
MBNA CORP 1,2,3 19,794
MCDATA CORPORATION 1,2,3 150,500
MCLEODUSA INC CL A 1,2,3 240,000
MEADE INSTRUMENTS 1,2,3 323,890
MEDICINES CO 1,2,3 354,360
MEDTRONIC INC 1,2,3 9,100,868
MERCK & CO INC 1,2,3 3,895,762
MERRILL LYNCH & CO INC 1,2,3 1,583,874
METAWAVE COMMUNICATIONS CORP 1,2,3 131,650
METRIS COMPANIES INC 1,2,3 955,136
MICREL INC 1,2,3 650,892
MICRON TECHNOLOGY INC 1,2,3 421,000
MICROSOFT CORP 1,2,3 3,221,381
MINIMED INC 1,2,3 203,460
MIPS TECHNOLOGIES INC 1,2,3 255,228
MMC NETWORKS 1,2,3 75,950
MORGAN STANLEY D. WITTER & CO 1,2,3 485,812
MOTOROLA INC 1,2,3 415,071
MYRIAD GENETICS INC 1,2,3 40,510
NABORS INDUSTRIES INC 1,2,3 100,000
NCO GROUP INC 1,2,3 182,878
NETSILICON INC 1,2,3 262,910
NETWORK APPLIANCE INC 1,2,3 150,000
NETWORK PLUS 1,2,3 38,544
NOKIA CORP SPONSORED ADR 1,2,3 4,434,273
NORTEL NETWORKS CORP (NEW) 1,2,3 5,522,530
PAGE TOTAL
</TABLE>
Page 5
<PAGE>
9/30/00 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> <C> <C>
NYFIX INC 670712108 28,248 631,231 X
OMI CORP Y6476W104 2,094 250,000 X
OMNICARE INC 681904108 6,946 430,885 X
ONI SYSTEMS CORP 68273F103 14,759 171,000 X
OPNET TECHNOLOGIES INC 683757108 2,542 69,645 X
ORACLE CORP 68389X105 503,515 6,393,845 X
PACCAR INC 693718108 559 15,078 X
PAIN THERAPEUTICS, INC 69562K100 1,994 100,640 X
PAPA JOHNS INTL INC 698813102 1,650 65,850 X
PE CORP PE BIOSYSTEMS GRP 69332S102 8,155 70,000 X
PECO II INC 705221109 4,687 100,130 X
PEOPLESOFT INC 712713106 21,456 768,000 X
PEREGRINE SYSTEMS 71366Q101 13,559 715,887 X
PFIZER INC 717081103 983,869 21,892,955 X
PHARMACIA CORP (NEW) 71713U102 236,541 3,929,904 X
PHARMACYCLICS INC 716933106 2,494 50,260 X
PINNACLE HOLDINGS INC 72346N101 8,036 301,868 X
PMC-SIERRA INC 69344F106 153,036 710,970 X
PPG INDUSTRIES 693506107 539 13,571 X
PRECISE SOFTWARE SOLUTIONS LTD M41450103 6,512 151,010 X
PREDICTIVE SYSTEMS 74036W102 2,336 120,950 X
PRI AUTOMATION 69357H106 5,847 320,358 X
PRIMUS KNOWLEDGE SOLUTIONS 74163Q100 1,998 134,880 X
PROTON ENERGY SYS INC 74371K101 2,863 100,000 X
PURCHASEPRO COM 746144104 17,029 193,800 X
QUICKLOGIC CORPORATION 74837P108 5,025 304,550 X
QWEST COMM INTL INC 749121109 69,460 1,445,200 X
RAYTHEON CO CL B 755111408 653 22,957 X
REGENERATION TECHNOLOGIES, INC 75886N100 436 52,840 X
RENT WAY INC 76009U104 1,538 50,630 X
RESEARCH IN MOTION 760975102 16,325 165,630 X
RUDOLPH TECH 781270103 12,494 373,632 X
SANMINA CORP 800907107 48,657 519,700 X
SAPIENT CORP 803062108 15,730 386,591 X
SBA COMMUNICATIONS 78388J106 4,136 98,630 X
SBC COMMUNICATIONS INC 78387G103 35,700 714,000 X
SCHLUMBERGER LIMITED 806857108 52,001 631,750 X
SCHOLASTIC CORP 807066105 2,659 33,420 X
SCHWAB CHARLES CORP 808513105 29,861 841,149 X
SDL INC 784076101 136,201 441,680 X
SEQUENOM INC 817337108 4,213 100,000 X
SIEBEL SYSTEMS 826170102 110,433 992,100 X
SILICON STORAGE TECHNOLOGY INC 827057100 6,023 221,530 X
SILVERSTREAM SOFTWARE 827907106 3,239 107,491 X
PAGE TOTAL 2,586,048
</TABLE>
<TABLE>
<CAPTION>
NAME OF ISSUER AND VOTING AUTHORITY (SHARES)
TITLE OF CLASS MANAGERS (A) SOLE (B) SHARED (C) NONE
-------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C>
NYFIX INC 1,2,3 631,231
OMI CORP 1,2,3 250,000
OMNICARE INC 1,2,3 430,885
ONI SYSTEMS CORP 1,2,3 171,000
OPNET TECHNOLOGIES INC 1,2,3 69,645
ORACLE CORP 1,2,3 6,393,845
PACCAR INC 1,2,3 15,078
PAIN THERAPEUTICS, INC 1,2,3 100,640
PAPA JOHNS INTL INC 1,2,3 65,850
PE CORP PE BIOSYSTEMS GRP 1,2,3 70,000
PECO II INC 1,2,3 100,130
PEOPLESOFT INC 1,2,3 768,000
PEREGRINE SYSTEMS 1,2,3 715,887
PFIZER INC 1,2,3 21,892,955
PHARMACIA CORP (NEW) 1,2,3 3,929,904
PHARMACYCLICS INC 1,2,3 50,260
PINNACLE HOLDINGS INC 1,2,3 301,868
PMC-SIERRA INC 1,2,3 710,970
PPG INDUSTRIES 1,2,3 13,571
PRECISE SOFTWARE SOLUTIONS LTD 1,2,3 151,010
PREDICTIVE SYSTEMS 1,2,3 120,950
PRI AUTOMATION 1,2,3 320,358
PRIMUS KNOWLEDGE SOLUTIONS 1,2,3 134,880
PROTON ENERGY SYS INC 1,2,3 100,000
PURCHASEPRO COM 1,2,3 193,800
QUICKLOGIC CORPORATION 1,2,3 304,550
QWEST COMM INTL INC 1,2,3 1,445,200
RAYTHEON CO CL B 1,2,3 22,957
REGENERATION TECHNOLOGIES, INC 1,2,3 52,840
RENT WAY INC 1,2,3 50,630
RESEARCH IN MOTION 1,2,3 165,630
RUDOLPH TECH 1,2,3 373,632
SANMINA CORP 1,2,3 519,700
SAPIENT CORP 1,2,3 386,591
SBA COMMUNICATIONS 1,2,3 98,630
SBC COMMUNICATIONS INC 1,2,3 714,000
SCHLUMBERGER LIMITED 1,2,3 631,750
SCHOLASTIC CORP 1,2,3 33,420
SCHWAB CHARLES CORP 1,2,3 841,149
SDL INC 1,2,3 441,680
SEQUENOM INC 1,2,3 100,000
SIEBEL SYSTEMS 1,2,3 992,100
SILICON STORAGE TECHNOLOGY INC 1,2,3 221,530
SILVERSTREAM SOFTWARE 1,2,3 107,491
</TABLE>
Page 6
<PAGE>
9/30/00 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> <C> <C>
SIMPLE TECHNOLOGY INC 828820100 2,664 275,000 X
SMART & FINAL INC 831683107 2,836 401,551 X
SOFTWARE TECHNOLOGIES 834040107 6,911 301,900 X
SOLECTRON CORP 834182107 97,167 2,106,374 X
SOUTHERN ENERGY INC 842816100 42,513 1,355,000 X
SPECTRASITE HOLDINGS INC 84760T100 9,467 510,000 X
SPRING IND INC CLASS A 851783100 528 18,725 X
STANFORD MICRODEVICES, INC 854399102 2,019 37,740 X
STANLEY WORKS 854616109 531 23,004 X
STARBUCKS CORPORATION 855244109 7,213 180,050 X
STILWELL FINL INC 860831106 50,245 1,155,051 X
STORAGE NETWORKS INC 86211E103 9,231 90,330 X
SUN MICROSYSTEMS INC 866810104 635,692 5,444,897 X
SYCAMORE NETWORKS INC 871206108 15,179 140,550 X
SYNQUEST INC 87160X100 3,303 251,670 X
TANOX INC 87588Q109 433 12,770 X
TELIGENT INC CLASS A 87959Y103 270 20,750 X
TELLABS INC 879664100 167,376 3,505,257 X
TERAYON COMMUNICATIONS SY 880775101 4,412 130,000 X
TEXAS INSTRUMENTS INC 882508104 333,865 7,074,917 X
THOMAS & BETTS CORP 884315102 547 31,361 X
TICKETMASTER ONLINE CITY SEARCH 88633P203 2,456 145,000 X
TIFFANY & CO NEW 886547108 4454 115,447 X
TIME WARNER INC 887315109 75,600 966,131 X
TRINTECH GROUP PLC - SPON ADR 896682101 3,910 194,355 X
TRIQUINT SEMICONDUCTOR 89674K103 12,077 331,410 X
TRITON NETWORK SYSTEMS INC 896775103 1,657 126,260 X
TURNSTONE SYSTEMS INC 900423104 4,638 100,000 X
TYCO INTL LTD (NEW) 902124106 486,120 9,370,090 X
TYCOM LTD G9144B106 89,226 2,324,812 X
ULTICOM INC 903844108 9,454 200,610 X
UNITED PARCEL SERVICE INC CL B 911312106 16,700 296,239 X
UNITED TECHNOLOGIES CORP 913017109 23,505 339,426 X
UNIVERSAL ACCESS INC 913363107 8,068 686,615 X
UNIVERSAL COMPRESSION HLDS 913431102 3,114 100,640 X
UNIVISION COMMUNICATION INC 914906102 47,017 1,258,151 X
UNOCAL CORP 915289102 59,393 1,676,000 X
V F CORP 918204108 602 24,402 X
VARIAGENICS INC 922196100 1,183 52,850 X
VASCULAR SOLUTIONS INC 92231M109 1,133 60,400 X
VASTERA INC 92239N109 3,960 180,000 X
VERISIGN INC 92343E102 44,766 221,000 X
VERITAS SOFTWARE CORP 923436109 389,818 2,745,200 X
VIACOM INC CL B 925524308 219,494 3,752,040 X
PAGE TOTAL 2,900,747
</TABLE>
<TABLE>
<CAPTION>
NAME OF ISSUER AND VOTING AUTHORITY (SHARES)
TITLE OF CLASS MANAGERS (A) SOLE (B) SHARED (C) NONE
-------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C>
SIMPLE TECHNOLOGY INC 1,2,3 275,000
SMART & FINAL INC 1,2,3 401,551
SOFTWARE TECHNOLOGIES 1,2,3 301,900
SOLECTRON CORP 1,2,3 2,106,374
SOUTHERN ENERGY INC 1,2,3 1,355,000
SPECTRASITE HOLDINGS INC 1,2,3 510,000
SPRING IND INC CLASS A 1,2,3 18,725
STANFORD MICRODEVICES, INC 1,2,3 37,740
STANLEY WORKS 1,2,3 23,004
STARBUCKS CORPORATION 1,2,3 180,050
STILWELL FINL INC 1,2,3 1,155,051
STORAGE NETWORKS INC 1,2,3 90,330
SUN MICROSYSTEMS INC 1,2,3 5,444,897
SYCAMORE NETWORKS INC 1,2,3 140,550
SYNQUEST INC 1,2,3 251,670
TANOX INC 1,2,3 12,770
TELIGENT INC CLASS A 1,2,3 20,750
TELLABS INC 1,2,3 3,505,257
TERAYON COMMUNICATIONS SY 1,2,3 130,000
TEXAS INSTRUMENTS INC 1,2,3 7,074,917
THOMAS & BETTS CORP 1,2,3 31,361
TICKETMASTER ONLINE CITY SEARCH 1,2,3 145,000
TIFFANY & CO NEW 1,2,3 115,447
TIME WARNER INC 1,2,3 966,131
TRINTECH GROUP PLC - SPON ADR 1,2,3 194,355
TRIQUINT SEMICONDUCTOR 1,2,3 331,410
TRITON NETWORK SYSTEMS INC 1,2,3 126,260
TURNSTONE SYSTEMS INC 1,2,3 100,000
TYCO INTL LTD (NEW) 1,2,3 9,370,090
TYCOM LTD 1,2,3 2,324,812
ULTICOM INC 1,2,3 200,610
UNITED PARCEL SERVICE INC CL B 1,2,3 296,239
UNITED TECHNOLOGIES CORP 1,2,3 339,426
UNIVERSAL ACCESS INC 1,2,3 686,615
UNIVERSAL COMPRESSION HLDS 1,2,3 100,640
UNIVISION COMMUNICATION INC 1,2,3 1,258,151
UNOCAL CORP 1,2,3 1,676,000
V F CORP 1,2,3 24,402
VARIAGENICS INC 1,2,3 52,850
VASCULAR SOLUTIONS INC 1,2,3 60,400
VASTERA INC 1,2,3 180,000
VERISIGN INC 1,2,3 221,000
VERITAS SOFTWARE CORP 1,2,3 2,745,200
VIACOM INC CL B 1,2,3 3,752,040
</TABLE>
Page 7
<PAGE>
9/30/00 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> <C> <C>
VIASOURCE COMMUNICATIONS, INC 92553W107 598 100,160 X
VINA TECHNOLOGIES, INC 92719D100 6,237 447,500 X
VITESSE SEMICONDUCTOR CORP 928497106 6,781 76,252 X
VYYO INC 918458100 7,504 250,140 X
WAL MART STORES INC 931142103 212,793 4,421,218 X
WALGREEN CO 931422109 32,086 845,708 X
WEATHERFORD INTL INC 947074100 2,150 50,000 X
WELLS FARGO & CO (NEW) 949746101 38,639 841,085 X
WESTVACO CORPORATION 961548104 568 21,282 X
WEYERHAEUSER COMPANY 962166104 536 13,270 X
WHOLE FOODS MARKET INC 966837106 21,613 402,553 X
WILLIAMS SONOMA INC 969904101 8,290 238,570 X
WINSTAR COMMUNICATIONS INC 975515107 5,887 379,823 X
WOMEN.COM NETWORKS 978149102 1,247 455,930 X
WORLDCOM INC 98157D106 368,238 12,121,072 X
XEROX CORP 984121103 442 29,368 X
XILINX INC 983919101 248,150 2,897,931 X
PAGE TOTAL 961,759
TOTAL 16,734,747
</TABLE>
<TABLE>
<CAPTION>
NAME OF ISSUER AND VOTING AUTHORITY (SHARES)
TITLE OF CLASS MANAGERS (A) SOLE (B) SHARED (C) NONE
-------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C>
VIASOURCE COMMUNICATIONS, INC 1,2,3 100,160
VINA TECHNOLOGIES, INC 1,2,3 447,500
VITESSE SEMICONDUCTOR CORP 1,2,3 76,252
VYYO INC 1,2,3 250,140
WAL MART STORES INC 1,2,3 4,421,218
WALGREEN CO 1,2,3 845,708
WEATHERFORD INTL INC 1,2,3 50,000
WELLS FARGO & CO (NEW) 1,2,3 841,085
WESTVACO CORPORATION 1,2,3 21,282
WEYERHAEUSER COMPANY 1,2,3 13,270
WHOLE FOODS MARKET INC 1,2,3 402,553
WILLIAMS SONOMA INC 1,2,3 238,570
WINSTAR COMMUNICATIONS INC 1,2,3 379,823
WOMEN.COM NETWORKS 1,2,3 455,930
WORLDCOM INC 1,2,3 12,121,072
XEROX CORP 1,2,3 29,368
XILINX INC 1,2,3 2,897,931
</TABLE>
Page 8
<PAGE>
Form 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 3
--------------------
Form 13F Information Table Entry Total: 277
--------------------
Form 13F Information Table Value Total: $ 16,734,747
--------------------
(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
------ ----------------- ----------------------------------
Phoenix Home Life Mutual Insurance
3 28-3340 Company
------ ----------------- ----------------------------------
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