<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: December 31, 1999
-----------------------
Check Here if Amendment / /; Amendment Number:
---------
This Amendment (Check only one.): / / is a restatement.
/ / adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: Roger Engemann & Associates, Inc.
---------------------------------
Address: 600 North Rosemead Blvd.
---------------------------------
Pasadena, CA 91107
---------------------------------
---------------------------------
Form 13F File Number: 28-1208
---------------------
The institutional investment manager filing this report and the person by
whom it is signed hereby represent that the person signing the report is
authorized to submit it, that all information contained herein is true,
correct and complete, and that it is understood that all required items,
statements, schedules, lists, and tables, are considered integral parts of
this form.
Person Signing this Report on Behalf of Reporting Manager:
Name: Tina L. Mitchell
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Title: Vice President, Compliance
-------------------------------
Phone: 626 351-6451
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Signature, Place, and Date of Signing:
/s/ Tina L. Mitchell Pasadena, California 1-26-2000
- ------------------------------- --------------------- -------------
[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-
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[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: 206
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Form 13F Information Table Value Total: $ 16,714,612
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(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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<PAGE>
<TABLE>
<CAPTION>
INVESTMENT DISCRETION VOTING AUTHORITY (SHARES)
SHARES OR (C)
NAME OF ISSUER AND FAIR MARKET PRINCIPAL (A) (B) SHARED-
TITLE OF CLASS CUSIP NO. VALUE(000) AMOUNT SOLE SHARED OTHER MANAGERS (A)SOLE (B)SHARED (C)NONE
- ---------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
99 CENTS ONLY STORES 65440K106 8,603 224,912 X 1,2,3 224,912
ADVANCED ENERGY INDUSTRIES 007973100 8,852 179,730 X 1,2,3 179,730
ADVANCED FIBRE COMMUNICATIONS 00754A105 6,538 146,290 X 1,2,3 146,290
AGILE SOFTWARE 00846X105 18,353 84,486 X 1,2,3 84,486
ALLEGHENY TECHNOLOGIES INC 01741R102 754 33,619 X 1,2,3 33,619
AMERICA ONLINE INC DEL 02364J104 494,692 6,540,08X X 1,2,3 6,540,086
AMERICAN EXPRESS CO 025816109 245,301 1,475,497 X 1,2,3 1,475,497
AMERICAN GREETINGS CORP CL A 026375105 1,017 43,054 X 1,2,3 43,054
AMERICAN INTL GROUP INC 026874107 54,410 503,191 X 1,2,3 503,191
ANALOG DEVICES INC 032654105 7,440 80,000 X 1,2,3 80,000
APPLIED MATERIALS INC 038222105 28,378 224,000 X 1,2,3 224,000
APPLIED MICRO CIRCUITS CORP 03822W109 46,599 366,199 X 1,2,3 366,199
ARIBA INC 04033V104 8,869 50,000 X 1,2,3 50,000
ARMSTRONG WORLD INDS INC 042476101 844 25,300 X 1,2,3 25,300
ARTHROCARE CORP 043136100 2,135 35,000 X 1,2,3 35,000
ASHLAND INC 044204105 1,023 31,068 X 1,2,3 31,068
AT&T CORP 001957109 28,498 560,853 X 1,2,3 560,853
AT&T CORP NEW 001957208 143,986 2,537,200 X 1,2,3 2,537,200
AUTOMATIC DATA PROCESSING INC 053015103 18,479 343,000 X 1,2,3 343,000
AVON PRODS INC 054303102 1,043 31,606 X 1,2,3 31,606
BEA SYSTEMS INC 073325102 90,015 1,287,032 X 1,2,3 1,287,032
BEBE STORES INC 075571109 3,719 137,758 X 1,2,3 137,758
BED BATH & BEYOND INC 075896100 5,981 172,115 X 1,2,3 172,115
BELL ATLANTIC CORP 077853109 9,296 151,000 X 1,2,3 151,000
BELLSOUTH CORP 079860102 23,640 505,000 X 1,2,3 505,000
BEST BUY INC 086516101 39,462 786,300 X 1,2,3 786,300
BIOGEN INC 090597105 3,549 42,000 X 1,2,3 42,000
BMC SOFTWARE INC 055921100 439,265 5,494,937 X 1,2,3 5,494,937
BRISTOL-MYERS SQUIBB CO 110122108 39,225 611,100 X 1,2,3 611,100
BROCADE COMMUNICATIONS DT 111621108 8,850 50,000 X 1,2,3 50,000
CALIPER TECHNOLOGIES CORP 130876105 6,675 100,000 X 1,2,3 100,000
CALPINE CORPORATION 131347106 3,840 60,000 X 1,2,3 60,000
CAPITAL ONE FINL CORP 14040H105 26,069 541,000 X X 1,2,3 541,000
CARNIVAL CORP CLASS A 143658102 234,357 4,901,839 X 1,2,3 4,901,839
C-BRIDGE INTERNET SOLUTIONS 12500B105 7,051 145,000 X X 1,2,3 145,000
CBS CORP 12490K107 35,613 557,000 X X 1,2,3 557,000
C-COR.NET CORP 125010108 2,682 35,000 X 1,2,3 35,000
PAGE TOTAL 2,105,103
</TABLE>
2
<PAGE>
<TABLE>
<CAPTION>
INVESTMENT DISCRETION VOTING AUTHORITY (SHARES)
SHARES OR (C)
NAME OF ISSUER AND FAIR MARKET PRINCIPAL (A) (B) SHARED-
TITLE OF CLASS CUSIP NO. VALUE(000) AMOUNT SOLE SHARED OTHER MANAGERS (A)SOLE (B)SHARED (C)NONE
- ---------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
CENDANT CORP 151313103 211,315 7,956,125 X 1,2,3 7,956,125
CHAMPIONSHIP AUTO RACING 158711101 2,727 118,603 X 1,2,3 118,603
CHARLES RIVER ASSOCIATES TT 159852102 1,005 30,000 X 1,2,3 30,000
CHEESECAKE FACTORY INC 163072101 9,898 282,799 X 1,2,3 282,799
CHILDRENS PL RETAIL STORES 168905107 4,741 288,409 X 1,2,3 288,409
CIENA CORP 171779101 6,038 105,000 X 1,2,3 105,000
CIRCUIT CITY STORES 172737108 50,118 1,112,190 X 1,2,3 1,112,190
CISCO SYSTEMS INC 17275R102 945,718 8,828,586 X 1,2,3 8,828,586
CITIGROUP INC 172967101 595,193 10,701,052 X 1,2,3 10,701,052
CITRIX SYSTEMS INC 177376100 41,697 339,000 X 1,2,3 339,000
CITY NATL CORP 178566105 1,318 40,000 X 1,2,3 40,000
CLEAR CHANNEL COMMUNICATIONS 184502102 66,014 739,650 X 1,2,3 739,650
COMMERCE ONE INC DEL 200693109 31,249 159,029 X 1,2,3 159,029
COMPUWARE CORP 205638109 27,746 744,860 X 1,2,3 744,860
CONAGRA INC 205887102 1,022 45,303 X 1,2,3 45,303
CONCENTRIC NETWORK CORP 20589R107 4,362 141,530 X 1,2,3 141,530
CONCORD EFS INC 206197105 966 37,500 X 1,2,3 37,500
CONEXANT SYSTEMS INC 207142100 24,502 369,112 X 1,2,3 369,112
COOPER INDUSTRIES INCORPORATED 216669101 982 24,296 X 1,2,3 24,296
CORPORATE EXECUTIVE BOARD 21988R102 7,274 130,204 X 1,2,3 130,204
COST PLUS INC 221485105 18,522 519,989 X 1,2,3 519,989
COSTCO WHSL CORP (NEW) 22160K105 250,617 2,746,493 X 1,2,3 2,746,493
COULTER PHARMACEUTICAL INC COM 222116105 1,815 80,000 X 1,2,3 80,000
COUNTRYWIDE CREDIT INDS INC 222372104 18,946 750,330 X 1,2,3 750,330
CROWN CORK & SEAL INC 228255105 1,047 46,775 X 1,2,3 46,775
CUMULUS MEDIA INC CL A 231082108 7,914 155,943 X 1,2,3 155,943
CYBERSOURCE 23251J106 6,676 129,000 X 1,2,3 129,000
CYMER INC 232572107 6,779 147,380 X 1,2,3 147,380
DANA CORPORATION 235811106 914 30,541 X 1,2,3 30,541
DAYTON-HUDSON CORPORATION 239753106 297,426 4,049,919 X 1,2,3 4,049,919
DELL COMPUTER CORP 247025109 255,573 5,011,227 X 1,2,3 5,011,227
DIGITAL RIVER, INC 25388B104 2,165 65,000 X 1,2,3 65,000
DONNELLEY RR & SONS CO 257867101 916 36,914 X 1,2,3 36,914
DOUBLECLICK INC 258609304 28,781 113,730 X 1,2,3 113,730
E TRADE GROUP INC 269246104 9,144 350,000 X 1,2,3 350,000
E.PIPHANY INC 26881V100 10,487 47,000 X 1,2,3 47,000
ECOLLEGE.COM 27887E100 328 30,000 X 1,2,3 30,000
PAGE TOTAL 2,951,935
</TABLE>
3
<PAGE>
<TABLE>
<CAPTION>
INVESTMENT DISCRETION VOTING AUTHORITY (SHARES)
SHARES OR (C)
NAME OF ISSUER AND FAIR MARKET PRINCIPAL (A) (B) SHARED-
TITLE OF CLASS CUSIP NO. VALUE(000) AMOUNT SOLE SHARED OTHER MANAGERS (A)SOLE (B)SHARED (C)NONE
- ---------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
EDISON SCHOOLS INC 281033100 1,181 75,000 X 1,2,3 75,000
EDWARDS J D & CO 281667105 13,988 468,149 X 1,2,3 468,149
ELECTRONIC DATA SYS
CORP (NEW) 285661104 92,628 1,383,800 X 1,2,3 1,383,800
EMC CORPORATION MASS 268648102 646,304 5,915,825 X 1,2,3 5,915,825
EXODUS COMMUNICATIONS 302088109 7,105 80,000 X 1,2,3 80,000
EXXON MOBIL CORP 30231G102 119 1,477 X 1,2,3 1,477
EXPEDITORS INTL WASH INC 302130109 7,836 178,857 X 1,2,3 178,857
FASTENAL COMPANY 311900104 4,965 110,482 X 1,2,3 110,482
FEDERAL AGRIC MORT CL C 313148306 4,825 239,000 X 1,2,3 239,000
FEDERAL HOME LN MTG CORP 313400301 159,945 3,398,743 X 1,2,3 3,398,743
FIRST SECURITY CORP 336294103 3,830 150,000 X 1,2,3 150,000
FLEETWOOD ENTERPRISES INC 339099103 1,036 50,250 X 1,2,3 50,250
FLEXTRONICS INTL LTD ORD Y2573F102 33,774 734,212 X 1,2,3 734,212
FORD MOTOR COMPANY 345370100 1,025 19,185 X 1,2,3 19,185
FORTUNE BRANDS INC 349631101 1,024 30,978 X 1,2,3 30,978
FOSTER WHEELER CORP 350244109 836 94,158 X 1,2,3 94,158
FOUNDRY NETWORKS 35063R100 3,017 10,000 X 1,2,3 10,000
GABELLI ASSET MANAGEMENT INC 36239Y102 7,321 450,496 X 1,2,3 450,496
GENENTECH INC NEW 368710406 80,871 601,270 X 1,2,3 601,270
GENERAL ELECTRIC CO 369604103 430,841 2,784,113 X 1,2,3 2,784,113
GENERAL MOTORS CORPORATION 370442105 1,014 13,946 X 1,2,3 13,946
GILLETTE COMPANY 375766102 3,913 95,001 X 1,2,3 95,001
GLOBAL CROSSING LTD G3921A100 5,500 110,000 X 1,2,3 110,000
GOLDMAN SACHS GROUP 38141G104 87,018 923,880 X 1,2,3 923,880
GOODRICH B F CO 382388106 1,095 39,813 X 1,2,3 39,813
GUIDANT CORP 401698105 5,780 122,970 X 1,2,3 122,970
HEALTH MANAGEMENT ASSOC 421933102 1,237 92,497 X 1,2,3 92,497
HISPANIC BROADCASTING CORP 43357B104 4,565 49,500 X 1,2,3 49,500
HNC SOFTWARE 40425P107 8,460 80,000 X 1,2,3 80,000
HOME DEPOT INC 437076102 713,442 10,387,919 X 1,2,3 10,387,919
HONEYWELL INTERNATIONAL INC 438516106 32,559 564,400 X 1,2,3 564,400
I2 TECHNOLOGIES INC 465754109 52,553 269,500 X 1,2,3 269,500
IDEC PHARMACEUTICALS CORP 449370105 3,144 32,000 X 1,2,3 32,000
ILLUMINET HOLDINGS INC 452334105 4,675 85,000 X 1,2,3 85,000
INHALE THERAPEUTIC SYSTEMS 457191104 4,466 104,934 X 1,2,3 104,934
INKTOMI CORP 457277101 2,663 30,000 X 1,2,3 30,000
INSIGHT COMMUNICATIONS CL A 45768V108 1,703 57,500 X 1,2,3 57,500
PAGE TOTAL 2,436,258
</TABLE>
4
<PAGE>
<TABLE>
<CAPTION>
INVESTMENT DISCRETION VOTING AUTHORITY (SHARES)
SHARES OR (C)
NAME OF ISSUER AND FAIR MARKET PRINCIPAL (A) (B) SHARED-
TITLE OF CLASS CUSIP NO. VALUE(000) AMOUNT SOLE SHARED OTHER MANAGERS (A)SOLE (B)SHARED (C)NONE
- ---------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
INTEL CORP 458140100 642,198 7,802,191 X 1,2,3 7,802,191
INTERNATIONAL BUSINESS MACHINE 459200101 316,989 2,936,441 X 1,2,3 2,936,441
INTERPUBLIC GROUP COS INC 460690100 224,554 3,892,423 X 1,2,3 3,892,423
INTERWOVEN INC 46114T102 7,906 65,000 X 1,2,3 65,000
INVESTMENT TECHNOLOGY GRP INC 46145F105 2,156 75,000 X 1,2,3 75,000
ITXC CORP 45069F109 4,035 120,000 X 1,2,3 120,000
JABIL CIRCUIT INC 466313103 11,315 155,000 X 1,2,3 155,000
JDS UNIPHASE CORP 46612J101 94,529 586,000 X 1,2,3 586,000
JUNIPER NETWORKS 48203R104 4,250 12,500 X 1,2,3 12,500
KANSAS CITY SOUTHN IND 485170104 13,549 181,578 X 1,2,3 181,578
KEYNOTE SYSTEMS 493308100 10,583 143,500 X 1,2,3 143,500
KLA TENCOR CORP 482480100 22,832 205,000 X 1,2,3 205,000
KOHLS CORP 500255104 80,304 1,112,441 X 1,2,3 1,112,441
LEGATO SYSTEMS 524651106 32,731 475,666 X 1,2,3 475,666
LEHMAN BROTHERS HOLDINGS INC 524908100 4,023 47,500 X 1,2,3 47,500
LINEAR TECHNOLOGY CORP 535678106 11,879 166,000 X 1,2,3 166,000
LINENS N THINGS INC 535679104 3,376 113,990 X 1,2,3 113,990
LITHIA MOTORS INC CL A 536797103 1,788 100,000 X 1,2,3 100,000
LONDON PAC GROUP LTD ADR 542073101 2,808 78,000 X 1,2,3 78,000
LOUISIANA PACIFIC CORP 546347105 1,036 72,677 X 1,2,3 72,677
LOWES CO INC 548661107 8,632 144,470 X 1,2,3 144,470
LUCENT TECHNOLOGIES INC 549463107 616,450 8,228,116 X 1,2,3 8,228,116
MACAFFEE.COM 579062100 6,314 140,320 X 1,2,3 140,320
MANDALAY RESORT GROUP 562567107 1,610 80,000 X 1,2,3 80,000
MARSHALL & ILSLEY CP 571834100 2,513 40,000 X 1,2,3 40,000
MAXIM INTEGRATED PRODUCTS 57772K101 23,688 502,000 X 1,2,3 502,000
MBNA CORP 55262L100 32,358 1,187,453 X 1,2,3 1,187,453
MCI WORLDCOM INC 55268B106 922,969 17,394,817 X 1,2,3 17,394,817
MCLEODUSA INC CL A 582266102 4,710 80,000 X 1,2,3 80,000
MEADE INSTRUMENTS 583062104 3,563 125,000 X 1,2,3 125,000
MEDTRONIC INC 585055106 373,726 10,255,927 X 1,2,3 10,255,927
MERCK & CO INC 589331107 278,058 4,139,617 X 1,2,3 4,139,617
MERRILL LYNCH & CO INC 590188108 114,702 1,374,828 X 1,2,3 1,374,828
METRIS COMPANIES INC 591598107 16,483 461,829 X 1,2,3 461,829
MICREL INC 594793101 21,642 380,084 X 1,2,3 380,084
MICROSOFT CORP 594918104 901,764 7,723,891 X 1,2,3 7,723,891
MINIMED INC 60365K108 2,198 30,000 X 1,2,3 30,000
PAGE TOTAL 4,824,221
</TABLE>
5
<PAGE>
<TABLE>
<CAPTION>
INVESTMENT DISCRETION VOTING AUTHORITY (SHARES)
SHARES OR (C)
NAME OF ISSUER AND FAIR MARKET PRINCIPAL (A) (B) SHARED-
TITLE OF CLASS CUSIP NO. VALUE(000) AMOUNT SOLE SHARED OTHER MANAGERS (A)SOLE (B)SHARED (C)NONE
- ---------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
MIPS TECHNOLOGIES INC 604567107 18,210 350,197 X 1,2,3 350,197
MORGAN J P & CO INC 616880100 3,166 25,000 X 1,2,3 25,000
MORGAN STANLEY D. WITTER & CO 617446448 93,581 655,556 X 1,2,3 655,556
MYLAN LABS INC 628530107 2,521 100,060 X 1,2,3 100,060
MYPOINTS COM 62855T102 7,400 100,000 X 1,2,3 100,000
NATL SERVICE IND 637657107 1,000 33,892 X 1,2,3 33,892
NCO GROUP INC 628858102 5,552 184,274 X 1,2,3 184,274
NETRO CORP 94114R109 569 19,789 X 1,2,3 19,789
NETSILICON INC 64115X105 5,216 260,000 X 1,2,3 260,000
NETWORK PLUS 64122D506 4,579 218,045 X 1,2,3 218,045
NETZERO INC 64122R109 3,786 140,550 X 1,2,3 140,550
NEW ERA NETWORKS 644312100 6,668 140,000 X 1,2,3 140,000
NEWS CORP LTD ADR NEW 652487703 29,143 761,900 X 1,2,3 761,900
NEXT LEVEL COMMUNICATION 65333U104 7,488 100,000 X 1,2,3 100,000
NEXTCARD INC 65332K107 1,444 50,000 X 1,2,3 50,000
NOKIA CORP SPONSORED ADR 654902204 30,220 159,050 X 1,2,3 159,050
NOVELLUS SYSTEMS 670008101 18,502 151,000 X 1,2,3 151,000
NYFIX INC 670712108 2,838 100,000 X 1,2,3 100,000
OMNICARE 681904108 817 68,053 X 1,2,3 68,053
ORACLE CORP 68389X105 75,137 670,508 X 1,2,3 670,508
ORTEL CORP 68749W102 27,600 230,000 X 1,2,3 230,000
PACCAR INC 693718108 983 22,180 X 1,2,3 22,180
PAPA JOHNS INTL INC 698813102 4,850 186,136 X 1,2,3 186,136
PEREGRINE SYSTEMS 71366Q101 51,214 619,799 X 1,2,3 619,799
PFIZER INC 717081103 441,124 13,598,141 X 1,2,3 13,598,141
PHARMACYCLICS INC 716933106 2,063 50,000 X 1,2,3 50,000
PINNACLE HOLDINGS INC 72346N101 6,356 150,000 X 1,2,3 150,000
PINNACLE OIL INT 723473104 8,875 351,500 X 1,2,3 351,500
PREDICTIVE SYSTEMS 74036W102 4,913 75,000 X 1,2,3 75,000
PRI AUTOMATION 69357H106 3,021 45,000 X 1,2,3 45,000
PROGENICS PHARMACEUTICALS 743187106 3,666 75,000 X 1,2,3 75,000
PURCHASEPRO COM 746144104 6,875 50,000 X 1,2,3 50,000
QUALCOMM INC 747525103 28,200 160,000 X 1,2,3 160,000
QWEST COMM INTL INC 749121109 11,653 271,000 X 1,2,3 271,000
RESEARCH IN MOTION 760975102 10,005 150,000 X 1,2,3 150,000
RESTORATION HARDWARE INC 760981100 511 75,000 X 1,2,3 75,000
RETEK INC 76128Q109 9,030 120,000 X 1,2,3 120,000
PAGE TOTAL 938,776
</TABLE>
6
<PAGE>
<TABLE>
<CAPTION>
INVESTMENT DISCRETION VOTING AUTHORITY (SHARES)
SHARES OR (C)
NAME OF ISSUER AND FAIR MARKET PRINCIPAL (A) (B) SHARED-
TITLE OF CLASS CUSIP NO. VALUE(000) AMOUNT SOLE SHARED OTHER MANAGERS (A)SOLE (B)SHARED (C)NONE
- ---------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
RITE AID CORP 767754104 903 80,755 X 1,2,3 80,755
RUDOLPH TECH 781270103 8,040 240,000 X 1,2,3 240,000
SALEM COMMUNICATIONS CORP 794093104 3,225 142,502 X 1,2,3 142,502
SANMINA CORP 800907107 15,970 159,900 X 1,2,3 159,900
SAPIENT CORP 803062108 27,618 195,955 X 1,2,3 195,955
SCHERING PLOUGH CORP 806605101 26,332 624,150 X 1,2,3 624,150
SCHOLASTIC CORP 807066105 6,295 101,215 X 1,2,3 101,215
SDL INC 784076101 16,568 76,000 X 1,2,3 76,000
SEARS ROEBUCK & COMPANY INC 812387108 1,007 33,090 X 1,2,3 33,090
SERVICE CORP INTL 817565104 865 124,756 X 1,2,3 124,756
SIEBEL SYSTEMS 826170102 36,624 436,000 X 1,2,3 436,000
SMART & FINAL INC 831683107 2,902 400,331 X 1,2,3 400,331
SNAP - ON INC 833034101 929 34,980 X 1,2,3 34,980
SOLECTRON CORP 834182107 15,937 167,550 X 1,2,3 167,550
SPANISH BROADCASTING CL A 846425882 3,019 75,000 X 1,2,3 75,000
SPRING IND INC CLASS A 851783100 1,029 25,768 X 1,2,3 25,768
SPRINT CORP PCS COM STK SER 1 852061506 8,713 85,000 X 1,2,3 85,000
STANLEY WORKS 854616109 1,029 34,159 X 1,2,3 34,159
STAPLES, INC 855030102 147,996 7,132,317 X 1,2,3 7,132,317
STARBUCKS 855244109 28 1,152 X 1,2,3 1,152
SUN MICROSYSTEMS INC 866810104 368,774 4,762,061 X 1,2,3 4,762,061
TELECORP PCS INC 879299105 380 10,000 X 1,2,3 10,000
TELLABS INC 879664100 434,529 6,769,424 X 1,2,3 6,769,424
TERADYNE INC 880770102 17,561 266,070 X 1,2,3 266,070
TERAYON COMMUNICATIONS SY 880775101 4,083 65,000 X 1,2,3 65,000
TEXAS INSTRUMENTS INC 882508104 793,517 8,204,269 X 1,2,3 8,204,269
TIBCO SOFTWARE INC 88632Q103 3,366 22,000 X 1,2,3 22,000
TICKETMASTER ONLINE CITYSEARCH 88633P203 4,036 105,000 X 1,2,3 105,000
TIFFANY 886547108 2,687 30,101 X 1,2,3 30,101
TIME WARNER INC 887315109 44,246 610,810 X 1,2,3 610,810
TRINTECH GROUP PLC - SPON ADR 896682101 990 20,000 X 1,2,3 20,000
TRIQUINT SEMICONDUCTOR 89674K103 7,450 66,960 X 1,2,3 66,960
T ROWE PRICE 741477103 2,002 54,207 X 1,2,3 54,207
TSI INTERNATIONAL SOFTWARE LTD 872879101 2,831 50,000 X 1,2,3 50,000
TYCO INTL LTD (NEW) 902124106 150,010 3,850,357 X 1,2,3 3,850,357
UBID INCORPORATED 903469104 2,067 78,000 X 1,2,3 78,000
UNITED PARCEL SERVICE INC 911312106 8,246 119,500 X 1,2,3 119,500
PAGE TOTAL 2,171,804
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<PAGE>
<TABLE>
<CAPTION>
INVESTMENT DISCRETION VOTING AUTHORITY (SHARES)
SHARES OR (C)
NAME OF ISSUER AND FAIR MARKET PRINCIPAL (A) (B) SHARED-
TITLE OF CLASS CUSIP NO. VALUE(000) AMOUNT SOLE SHARED OTHER MANAGERS (A)SOLE (B)SHARED (C)NONE
- ---------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
UNITED RENTALS 911363109 220 12,860 X 1,2,3 12,860
UNITED TECHNOLOGIES CORP 913017109 35,437 545,186 X 1,2,3 545,186
UNIVISION COMMUNICATION INC 914906102 10,730 105,000 X 1,2,3 105,000
VERIO INC 923433106 3,926 85,000 X 1,2,3 85,000
VERITAS SOFTWARE CORP 923436109 36,640 256,000 X 1,2,3 256,000
VIROPHARMA INC 928241108 555 15,000 X 1,2,3 15,000
VITESSE SEMICONDUCTOR CORP 928497106 8,938 170,446 X 1,2,3 170,446
VOICESTREAM WIRELESS CORP 928615103 19,212 135,000 X 1,2,3 135,000
WAL MART STORES INC 931142103 246,743 3,569,256 X 1,2,3 3,569,256
WALGREEN CO 931422109 146,232 4,999,372 X 1,2,3 4,999,372
WARNER LAMBERT CO 934488107 368,293 4,494,665 X 1,2,3 4,494,665
WELLS FARGO & CO (NEW) 949746101 219,898 5,437,638 X 1,2,3 5,437,638
WHITTMAN HART INC 966834103 21,462 400,191 X 1,2,3 400,191
WHOLE FOODS MARKET INC 966837106 11,624 250,671 X 1,2,3 250,671
WINSTAR COMMUNICATIONS INC 975515107 18,142 242,312 X 1,2,3 242,312
WIT CAPITAL INC DS 97737K309 3,400 200,000 X 1,2,3 200,000
WOMEN.COM NETWORKS 978149102 6,782 475,930 X 1,2,3 475,930
XILINX INC 983919101 32,374 712,000 X 1,2,3 712,000
XPEDIOR INC 98413B100 2,875 100,000 X 1,2,3 100,000
YAHOO INC 984332106 92,227 213,150 X 1,2,3 213,150
ZAPME 98912E100 805 93,300 X 1,2,3 93,300
PAGE TOTAL 1,286,515
TOTAL 16,714,612
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