<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: March 31, 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.
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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 Mitchell Pasadena, Calif 4-27-2000
- ------------------------------- ----------------- -------------
[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>
Form 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 3
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Form 13F Information Table Entry Total: 281
--------------------
Form 13F Information Table Value Total: $ 17,960,169
--------------------
(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>
<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> <C> <C> <C> <C>
99 CENTS ONLY STORES 65440K106 14,623 372,561 X 1,2,3 372,561
ACLARA BIOSCIENCES INC 00461P106 1,972 50,000 X 1,2,3 50,000
ADVANCED ENERGY INDUSTRIES 007973100 15,861 311,001 X 1,2,3 311,001
ADVANCED FIBRE COMMUNICATIONS 00754A105 8,925 142,386 X 1,2,3 142,386
AFFYMETRIX INC 00826T108 6,839 46,070 X 1,2,3 46,070
AGILE SOFTWARE 00846X105 10,292 164,675 X 1,2,3 164,675
ALAMOSA PCS 011593100 755 20,000 X 1,2,3 20,000
ALLEGHENY TECHNOLOGIES INC 01741R102 746 37,182 X 1,2,3 37,182
ALLEGIANCE TELECOM INC 01747T102 3,023 37,500 X 1,2,3 37,500
ALTEON WEBSYSTEMS 02145A109 20,500 250,000 X 1,2,3 250,000
AMAZON COM INC 023135106 4,979 74,320 X 1,2,3 74,320
AMERICA ONLINE INC DEL 02364J104 457,691 6,793,687 X 1,2,3 6,793,687
AMERICAN EXPRESS CO 025816109 201,632 1,353,781 X 1,2,3 1,353,781
AMERICAN GREETINGS CORP CL A 026375105 755 41,354 X 1,2,3 41,354
AMGEN INC 031162100 20,573 335,176 X 1,2,3 335,176
ANADIGICS INC 032515108 4,059 61,500 X 1,2,3 61,500
ANALOG DEVICES INC 032654105 10,063 125,000 X 1,2,3 125,000
APPLIED MATERIALS INC 038222105 49,151 521,500 X 1,2,3 521,500
APPLIED MICRO CIRCUITS CORP 03822W109 108,720 724,509 X 1,2,3 724,509
APROPOS TECH 038334108 2,405 65,000 X 1,2,3 65,000
ARIBA INC. 04033V104 10,481 50,000 X 1,2,3 50,000
ARMSTRONG WORLD INDS INC 042476101 695 38,858 X 1,2,3 38,858
ARTHROCARE CORP 043136100 1,288 14,000 X 1,2,3 14,000
ASHLAND INC 044204105 681 20,368 X 1,2,3 20,368
ASPSECURE.COM CORP 00207HGGT 1,788 550,000 X 1,2,3 550,000
AT&T CORP NEW LIBERTY GROUP CLA 001957208 124,500 2,099,133 X 1,2,3 2,099,133
AUDIOVOX CORPORATION 050757103 3,490 80,000 X 1,2,3 80,000
AVANEX CORP DS 05348W109 1,518 10,000 X 1,2,3 10,000
BEA SYSTEMS INC 073325102 250,541 3,414,296 X 1,2,3 3,414,296
BEBE STORES INC 075571109 511 40,500 X 1,2,3 40,500
BED BATH & BEYOND INC 075896100 23,096 586,497 X 1,2,3 586,497
BELL ATLANTIC CORP 077853109 9,230 151,000 X 1,2,3 151,000
BELLSOUTH CORP 079860102 23,672 505,000 X 1,2,3 505,000
BIOGEN INC 090597105 39,078 559,257 X 1,2,3 559,257
BLUESTONE SOFTWARE 09623P102 4,089 121,159 X 1,2,3 121,159
BMC SOFTWARE INC 055921100 170,863 3,460,172 X 1,2,3 3,460,172
BREEZECOM LTD M20385106 3,738 100,000 X 1,2,3 100,000
BRISTOL-MYERS SQUIBB CO 110122108 48,726 840,100 X 1,2,3 840,100
BROADBASE SOFTWARE INC 11130R100 431 5,400 X 1,2,3 5,400
BROCADE COMMUNICATIONS DT 111621108 17,931 100,000 X 1,2,3 100,000
CALIPER TECHNOLOGIES CORP 130876105 4,853 60,000 X 1,2,3 60,000
CARNIVAL CORP CLASS A 143658102 69,062 2,783,617 X 1,2,3 2,783,617
C-BRIDGE INTERNET SOLUTIONS 12500B105 5,130 90,000 X 1,2,3 90,000
PAGE TOTAL 1,758,956
Page 2
<PAGE>
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> <C> <C> <C> <C>
CBS CORP 12490K107 31,761 560,900 X 1,2,3 560,900
C-COR.NET CORP 125010108 1,372 28,000 X 1,2,3 28,000
CELESTICA INC 15101Q108 33,482 631,000 X 1,2,3 631,000
CENDANT CORP 151313103 28 1531 X 1,2,3 1531
CENTRA SOFTWARE INC 15234X103 840 40,000 X 1,2,3 40,000
CHARLES RIVER ASSOCIATES T 159852102 583 30,000 X 1,2,3 30,000
CHEESECAKE FACTORY INC 163072101 12,623 303,212 X 1,2,3 303,212
CHILDRENS PL RETAIL STORES 168905107 3,534 248,000 X 1,2,3 248,000
CIENA CORP 171779101 13,243 105,000 X 1,2,3 105,000
CISCO SYSTEMS INC 17275R102 1,321,900 17,098,700 X 1,2,3 7,098,700
CITIGROUP INC 172967101 538,427 9,026,430 X 1,2,3 9,026,430
CITRIX SYSTEMS INC 177376100 42,069 635,000 X 1,2,3 635,000
CLEAR CHANNEL COMMUNICATIONS 184502102 212,026 3,070,172 X 1,2,3 3,070,172
COMMERCE ONE INC DEL 200693109 27,703 185,618 X 1,2,3 185,618
COMPUWARE CORP 205638109 103,154 4,898,081 X 1,2,3 4,898,081
COMVERSE TECHNOLOGY INC 205862402 7,560 40,000 X 1,2,3 40,000
CONAGRA INC 205887102 754 41,603 X 1,2,3 41,603
CONEXANT SYSTEMS INC 207142100 88,628 1,248,281 X 1,2,3 1,248,281
COOPER INDUSTRIES INCORPORATE 216669101 707 20,196 X 1,2,3 20,196
COR THERAPEUTICS 217753102 7,262 110,157 X 1,2,3 110,157
CORPORATE EXECUTIVE BOARD 21988R102 15,014 295,847 X 1,2,3 295,847
COST PLUS INC 221485105 23,497 694,964 X 1,2,3 694,964
COSTCO WHSL CORP (NEW) 22160K105 269,877 5,134,637 X 1,2,3 5,134,637
COULTER PHARMACEUTICAL INC COM 222116105 1,830 60,000 X 1,2,3 60,000
CROWN CORK & SEAL INC 228255105 705 44,075 X 1,2,3 44,075
CUMULUS MEDIA INC CL A 231082108 2,409 167,616 X 1,2,3 167,616
CYBERSOURCE 23251J106 1,118 30,000 X 1,2,3 30,000
CYMER INC 232572107 8,074 161,486 X 1,2,3 161,486
DANA CORPORATION 235811106 783 27,786 X 1,2,3 27,786
DELL COMPUTER CORP 247025109 142,665 2,644,877 X 1,2,3 2,644,877
DIAMOND TECH PARTNERS 252762109 6,707 102,000 X 1,2,3 102,000
DOBSON COMMUNICATIONS CORP 256069105 5,290 230,000 X 1,2,3 230,000
DONNELLEY RR & SONS CO 257867101 679 32,414 X 1,2,3 32,414
DOUBLECLICK INC 258609304 20,161 215,331 X 1,2,3 215,331
E TRADE GROUP INC. 269246104 10,544 350,000 X 1,2,3 350,000
E.PIPHANY INC 26881V100 5,944 44,500 X 1,2,3 44,500
EDISON SCHOOLS INC 281033100 589 30,000 X 1,2,3 30,000
EDWARDS J D & CO 281667105 13,676 420,000 X 1,2,3 420,000
ELECTRONIC DATA SYS CORP (NEW) 285661104 263,207 4,100,433 X 1,2,3 4,100,433
EMACHINES INC 29076P102 3,000 500,000 X 1,2,3 500,000
EMC CORPORATION MASS 268648102 736,976 5,869,042 X 1,2,3 5,869,042
EMISPHERE TECH 291345106 1,556 30,000 X 1,2,3 30,000
E-TEK DYNAMICS INC 269240107 15,663 66,580 X 1,2,3 66,580
PAGE TOTAL 3,997,620
Page 3
<PAGE>
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> <C> <C> <C> <C>
ETINUUM INC 297664104 1,663 175,000 X 1,2,3 175,000
EXODUS COMMUNICATIONS 302088109 37,043 263,650 X 1,2,3 263,650
EXPEDITORS INTL WASH INC 302130109 7,940 199,738 X 1,2,3 199,738
EXTENSITY INC 302255104 2,611 54,397 X 1,2,3 54,397
EXXON MOBIL CORP (NEW) 30231G102 65,552 841,058 X 1,2,3 841,058
FASTENAL COMPANY 311900104 6,061 126,597 X 1,2,3 126,597
FEDERAL AGRIC MORT CL C 313148306 3,705 239,000 X 1,2,3 239,000
FEDERAL HOME LN MTG CORP 313400301 64,197 1,452,752 X 1,2,3 1,452,752
FLEETWOOD ENTERPRISES INC 339099103 613 41,550 X 1,2,3 41,550
FLEXTRONICS INTL LTD ORD Y2573F102 66,181 939,539 X 1,2,3 939,539
FORD MOTOR COMPANY 345370100 706 15,363 X 1,2,3 15,363
FOSTER WHEELER CORP 350244109 700 103,768 X 1,2,3 103,768
GABELLI ASSET MANAGEMENT INC 36239Y102 8,477 494,850 X 1,2,3 494,850
GAP INC 364760108 3,188 64,000 X 1,2,3 64,000
GENE LOGIC INC COM 368689105 4,282 101,787 X 1,2,3 101,787
GENENTECH INC NEW 368710406 146,592 964,424 X 1,2,3 964,424
GENERAL ELECTRIC CO 369604103 245,797 1,582,926 X 1,2,3 1,582,926
GENUINE PARTS CO 372460105 713 29,860 X 1,2,3 29,860
GLOBAL CROSSING LTD G3921A100 25,107 613,300 X 1,2,3 613,300
GOLDMAN SACHS GROUP INC 38141G104 93,609 890,450 X 1,2,3 890,450
GOODRICH B F CO 382388106 697 24,313 X 1,2,3 24,313
GOODYEAR TIRE & RUBBER COMPANY 382550101 662 28,398 X 1,2,3 28,398
GUIDANT CORP 401698105 11,223 190,820 X 1,2,3 190,820
HALLIBURTON CO (HOLDING CO) 406216101 20,892 508,000 X 1,2,3 508,000
HEALTH MANAGEMENT ASSOC. INC 421933102 1,961 137,524 X 1,2,3 137,524
HISPANIC BROADCASTING CORP 43357B104 5,606 49,500 X 1,2,3 49,500
HNC SOFTWARE 40425P107 2,522 35,000 X 1,2,3 35,000
HOME DEPOT INC 437076102 551,657 8,552,824 X 1,2,3 8,552,824
HOMEGROCER.COM INC 43740K100 1,297 125,000 X 1,2,3 125,000
I2 TECHNOLOGIES INC 465754109 73,954 605,560 X 1,2,3 605,560
IDEC PHARMACEUTICALS CORP 449370105 3,144 32,000 X 1,2,3 32,000
IMMUNEX CORP (NEW) 452528102 6,526 102,870 X 1,2,3 102,870
IN FOCUS SYSTEMS INC 452919103 3,581 100,000 X 1,2,3 100,000
INHALE THERAPEUTIC SYSTEMS 457191104 8,975 120,470 X 1,2,3 120,470
INKTOMI CORP 457277101 5,850 30,000 X 1,2,3 30,000
INTEL CORP 458140100 790,601 5,992,126 X 1,2,3 5,992,126
INTERGRATED INFORMATION SYSTEM 45817B103 6,539 300,000 X 1,2,3 300,000
INTERMUNE PHARM 45885B100 399 20,000 X 1,2,3 20,000
INTERNATIONAL BUSINESS MACHINE 459200101 284,120 2,407,798 X 1,2,3 2,407,798
INTERNATIONAL RECTIFIER 460254105 7,625 200,000 X 1,2,3 200,000
INTERPUBLIC GROUP COS INC 460690100 189,112 4,002,370 X 1,2,3 4,002,370
INTERSIL HOLDING CORP 46069S109 15,348 296,945 X 1,2,3 296,945
INTERWOVEN INC. 46114T102 7,715 70,288 X 1,2,3 70,288
PAGE TOTAL 2,784,743
Page 4
<PAGE>
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> <C> <C> <C> <C>
INVESTMENT TECHNOLOGY GRP INC 46145F105 2,644 75,000 X 1,2,3 75,000
ITXC CORP 45069F109 1,130 24,000 X 1,2,3 24,000
JABIL CIRCUIT INC 466313103 13,408 310,000 X 1,2,3 310,000
JDS UNIPHASE CORP 46612J101 210,981 1,750,010 X 1,2,3 1,750,010
JUNIPER NETWORKS INC 48203R104 9,884 37,500 X 1,2,3 37,500
KANSAS CITY SOUTHN IND 485170104 49,902 580,660 X 1,2,3 580,660
KEYNOTE SYSTEMS 493308100 15,198 148,631 X 1,2,3 148,631
KLA TENCOR CORP 482480100 44,594 529,300 X 1,2,3 529,300
KOHLS CORP 500255104 36,147 352,656 X 1,2,3 352,656
LANTE CORP 516540101 911 30,000 X 1,2,3 30,000
LEGATO SYSTEMS 524651106 5,171 115,867 X 1,2,3 115,867
LEHMAN BROTHERS HOLDINGS INC 524908100 7,809 80,500 X 1,2,3 80,500
LONDON PAC GROUP LTD ADR 542073101 21,486 924,112 X 1,2,3 924,112
LOUISIANA PACIFIC CORP 546347105 756 54,477 X 1,2,3 54,477
LUCENT TECHNOLOGIES INC 549463107 346,809 5,678,875 X 1,2,3 5,678,875
LUMINANT WORLDWIDE CORP 550260103 3,325 200,000 X 1,2,3 200,000
MACAFFEE.COM 579062100 1,179 22,808 X 1,2,3 22,808
MARCHFIRST INC 566244109 10,892 305,262 X 1,2,3 305,262
MATRIXONE INC. 57685P304 3,114 77,974 X 1,2,3 77,974
MATTSON TECHNOLOGY INC 577223100 2,131 50,000 X 1,2,3 50,000
MAXIM INTEGRATED PRODUCTS 57772K101 172,468 2,427,071 X 1,2,3 2,427,071
MAXIM PHARMACEUTICALS INC 57772M107 939 20,000 X 1,2,3 20,000
MBNA CORP 55262L100 521 20,426 X 1,2,3 20,426
MCI WORLDCOM INC 55268B106 698,268 15,410,911 X 1,2,3 5,410,911
MCLEODUSA INC CL A 582266102 6,785 80,000 X 1,2,3 80,000
MEADE INSTRUMENTS 583062104 8,625 125,000 X 1,2,3 125,000
MEDTRONIC INC 585055106 447,849 8,706,249 X 1,2,3 8,706,249
MERCK & CO INC 589331107 214,380 3,451,069 X 1,2,3 3,451,069
MERRILL LYNCH & CO INC 590188108 153,717 1,463,975 X 1,2,3 1,463,975
METALINK M69897102 1,401 36,500 X 1,2,3 36,500
METRIS COMPANIES INC 591598107 23,293 599,105 X 1,2,3 599,105
MICREL INC 594793101 36,733 382,633 X 1,2,3 382,633
MICROSOFT CORP 594918104 578,611 5,445,747 X 1,2,3 5,445,747
MILACRON INC 598709103 676 46,850 X 1,2,3 46,850
MINIMED INC 60365K108 20,424 157,712 X 1,2,3 157,712
MIPS TECHNOLOGIES INC 604567107 16,786 301,805 X 1,2,3 301,805
MORGAN STANLEY D. WITTER & CO 617446448 59,163 725,394 X 1,2,3 725,394
MYLAN LABS INC 628530107 2,753 100,110 X 1,2,3 100,110
MYPOINTS COM 62855T102 1,609 60,000 X 1,2,3 60,000
NATL SERVICE IND 637657107 634 30,092 X 1,2,3 30,092
NCO GROUP INC 628858102 6,491 203,221 X 1,2,3 203,221
NET.GENESIS CORP 64107E107 1,119 25,000 X 1,2,3 25,000
NETSILICON INC 64115X105 5,623 260,000 X 1,2,3 260,000
PAGE TOTAL 3,246,339
Page 5
<PAGE>
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> <C> <C> <C> <C>
NETWORK APPLIANCE INC 64120L104 12,413 150,000 X 1,2,3 150,000
NETWORK PLUS 64122D506 9,257 228,565 X 1,2,3 228,565
NETWORK SOLUTIONS INC 64121Q102 7,685 50,000 X 1,2,3 50,000
NEW ERA NETWORKS 644312100 7,261 185,000 X 1,2,3 185,000
NEXT LEVEL COMMUNICATION 65333U104 10,875 100,000 X 1,2,3 100,000
NEXTCARD INC 65332K107 3,421 223,579 X 1,2,3 223,579
NEXTEL PARTNERS 65333F107 1,059 36,500 X 1,2,3 36,500
NIKU CORPORATION 654113109 218 4,600 X 1,2,3 4,600
NOKIA CORP SPONSORED ADR 654902204 88,176 405,875 X 1,2,3 405,875
NORTEL NETWORKS CORP 656569100 42,246 334,950 X 1,2,3 334,950
NORTHPOINT COMMS HLDGS INC 666610100 1,730 75,000 X 1,2,3 75,000
NYFIX INC 670712108 6,549 130,000 X 1,2,3 130,000
OMNICARE INC 681904108 4,209 348,974 X 1,2,3 348,974
ORACLE CORP 68389X105 323,528 4,144,607 X 1,2,3 4,144,607
ORTEL CORP 68749W102 19,332 103,000 X 1,2,3 103,000
PACCAR INC 693718108 739 14,780 X 1,2,3 14,780
PAPA JOHNS INTL INC 698813102 2,145 65,000 X 1,2,3 65,000
PE CORP CELERA GENOMICS GROUP 69332S201 421 4,600 X 1,2,3 4,600
PEREGRINE SYSTEMS 71366Q101 90,291 1,346,423 X 1,2,3 1,346,423
PETS.COM 71676K109 390 91,000 X 1,2,3 91,000
PFIZER INC 717081103 457,756 12,520,681 X 1,2,3 2,520,681
PHARMACIA CORP 71713U102 1,896 36,810 X 1,2,3 36,810
PHARMACIA & UPJOHN INC 716941109 99,076 1,666,541 X 1,2,3 1,666,541
PHARMACYCLICS INC 716933106 2,784 50,000 X 1,2,3 50,000
PINNACLE HOLDINGS INC 72346N101 13,590 246,054 X 1,2,3 246,054
PINNACLE OIL INT 723473104 12,610 351,500 X 1,2,3 351,500
PRECISION OPTICS INC 740294103 2,275 100,000 X 1,2,3 100,000
PREDICTIVE SYSTEMS 74036W102 5,695 125,000 X 1,2,3 125,000
PRI AUTOMATION 69357H106 2,751 45,000 X 1,2,3 45,000
PRICELINE.COM INC 741503106 3,875 50,000 X 1,2,3 50,000
PRIME RESPONSE INC 74158B100 1,650 108,200 X 1,2,3 108,200
PROGENICS PHARMACEUTICALS 743187106 5,250 75,000 X 1,2,3 75,000
PURCHASEPRO COM 746144104 8,338 115,000 X 1,2,3 115,000
QUALCOMM INC 747525103 40,314 270,000 X 1,2,3 270,000
QUANTUM EFFECT DEVICES INC 74764T107 5,721 71,854 X 1,2,3 71,854
QWEST COMM INTL INC 749121109 69,373 1,445,278 X 1,2,3 1,445,278
RADVISION LTD M81869105 2,619 50,000 X 1,2,3 50,000
RESEARCH IN MOTION 760975102 11,715 110,000 X 1,2,3 110,000
RETEK INC 76128Q109 2,471 60,000 X 1,2,3 60,000
ROBOTIC VISION SYS INC 771074101 764 47,725 X 1,2,3 47,725
RUDOLPH TECH 781270103 16,980 377,336 X 1,2,3 377,336
SAFEWAY INC (NEW) 786514208 7,550 166,850 X 1,2,3 166,850
SANMINA CORP 800907107 35,160 520,400 X 1,2,3 520,400
PAGE TOTAL 1,442,158
Page 6
<PAGE>
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> <C> <C> <C> <C>
SAPIENT CORP 803062108 30,065 358,469 X 1,2,3 358,469
SBA COMMUNICATIONS 78388J106 3,520 80,000 X 1,2,3 80,000
SBC COMMUNICATIONS INC 78387G103 30,127 715,275 X 1,2,3 715,275
SCHLUMBERGER LIMITED 806857108 38,709 506,000 X 1,2,3 506,000
SCHOLASTIC CORP 807066105 3,209 59,478 X 1,2,3 59,478
SCHWAB CHARLES CORP 808513105 9,091 160,020 X 1,2,3 160,020
SCIENT CORP 80864H109 13,803 152,200 X 1,2,3 152,200
SDL INC 784076101 101,299 475,862 X 1,2,3 475,862
SEARS ROEBUCK & COMPANY INC 812387108 703 22,780 X 1,2,3 22,780
SELECTICA INC 816288104 2,206 25,000 X 1,2,3 25,000
SEQUENOM INC 817337108 2,363 60,000 X 1,2,3 60,000
SERVICE CORP INTL 817565104 286 95,334 X 1,2,3 95,334
SICOR INC 825846108 2,594 250,000 X 1,2,3 250,000
SIEBEL SYSTEMS 826170102 50,064 419,156 X 1,2,3 419,156
SILICON STORAGE 827057100 14,775 200,000 X 1,2,3 200,000
SILVERSTREAM SOFTWARE 827907106 2,881 39,000 X 1,2,3 39,000
SMART & FINAL INC 831683107 2,977 400,331 X 1,2,3 400,331
SNAP - ON INC 833034101 687 26,222 X 1,2,3 26,222
SOLECTRON CORP 834182107 91,845 2,289,821 X 1,2,3 2,289,821
SPANISH BROADCASTING CL A 846425882 1,759 75,000 X 1,2,3 75,000
SPECTRASITE HOLDINGS INC 84760T100 8,494 300,000 X 1,2,3 300,000
SPRING IND INC CLASS A 851783100 696 18,316 X 1,2,3 18,316
SPRINT CORP PCS COM STK SER 1 852061506 44,271 675,900 X 1,2,3 675,900
ST ASSEMBLY TEST SERVICES LTD 85227G102 6,790 140,000 X 1,2,3 140,000
STAPLES, INC. 855030102 91,402 4,570,113 X 1,2,3 4,570,113
SUN MICROSYSTEMS INC 866810104 463,621 4,947,929 X 1,2,3 4,947,929
SYCAMORE NETWORKS INC 871206108 12,900 100,000 X 1,2,3 100,000
TARGET CORP 87612E106 157,341 2,104,895 X 1,2,3 2,104,895
TELLABS INC 879664100 422,554 6,709,338 X 1,2,3 6,709,338
TERADYNE INC 880770102 42,661 520,250 X 1,2,3 520,250
TERAYON COMMUNICATIONS SY 880775101 13,325 65,000 X 1,2,3 65,000
TEXAS INSTRUMENTS INC 882508104 1,187,778 7,423,615 X 1,2,3 7,423,615
THOMAS & BETTS CORP 884315102 765 27,074 X 1,2,3 27,074
TIBCO SOFTWARE INC 88632Q103 5,379 66,000 X 1,2,3 66,000
TIFFANY & CO NEW 886547108 3,715 44,464 X 1,2,3 44,464
TIME WARNER INC 887315109 101,636 1,016,358 X 1,2,3 1,016,358
TRINTECH GROUP PLC 896682101 1,560 40,000 X 1,2,3 40,000
TRIQUINT SEMICONDUCTOR 89674K103 9,711 132,116 X 1,2,3 132,116
TYCO INTL LTD (NEW) 902124106 265,346 5,305,868 X 1,2,3 5,305,868
UNITED PARCEL SERVICE INC 911312106 34,062 540,722 X 1,2,3 540,722
UNITED TECHNOLOGIES CORP 913017109 53,175 841,546 X 1,2,3 841,546
UNIVERSAL ACCESS INC 913363107 21,005 627,000 X 1,2,3 627,000
UNIVISION COMMUNICATION INC 914906102 11,865 105,000 X 1,2,3 105,000
PAGE TOTAL 3,363,015
Page 7
<PAGE>
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> <C> <C> <C> <C>
UT STARCOM 918076100 1,171 15,000 X 1,2,3 15,000
VERIO INC 923433106 3,830 85,000 X 1,2,3 85,000
VERITAS SOFTWARE CORP 923436109 164,319 1,254,346 X 1,2,3 1,254,346
VERSATA INC. 925298101 7,223 120,000 X 1,2,3 120,000
VIACOM INC CL B 925524308 3,218 61,000 X 1,2,3 61,000
VIASAT INC 92552V100 3,240 45,000 X 1,2,3 45,000
VIASYSTEMS GROUP INC. 92553H100 6,704 432,500 X 1,2,3 432,500
VICINITY CORP 925653107 3,475 100,000 X 1,2,3 100,000
VIROPHARMA INC. 928241108 920 15,000 X 1,2,3 15,000
VITESSE SEMICONDUCTOR CORP 928497106 16,237 168,697 X 1,2,3 168,697
VOICESTREAM WIRELESS CORP 928615103 17,428 135,300 X 1,2,3 135,300
WAL MART STORES INC 931142103 256,164 4,575,166 X 1,2,3 4,575,166
WALGREEN CO 931422109 82,061 3,186,832 X 1,2,3 3,186,832
WARNER LAMBERT CO 934488107 450,604 4,614,948 X 1,2,3 4,614,948
WEBMETHODS INC 94768C108 724 3,000 X 1,2,3 3,000
WEBSENSE INC. 947684106 9,613 200,000 X 1,2,3 200,000
WELLS FARGO & CO (NEW) 949746101 34,676 850,951 X 1,2,3 850,951
WHOLE FOODS MARKET INC 966837106 11,439 276,031 X 1,2,3 276,031
WINSTAR COMMUNICATIONS INC 975515107 21,264 354,401 X 1,2,3 354,401
WOMEN.COM NETWORKS 978149102 3,761 455,930 X 1,2,3 455,930
XEROX CORP 984121103 696 26,806 X 1,2,3 26,806
XILINX INC 983919101 181,368 2,190,100 X 1,2,3 2,190,100
YAHOO INC 984332106 87,203 508,845 X 1,2,3 508,845
PAGE TOTAL 1,367,338
TOTAL 17,960,169
</TABLE>
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