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Previous: ENERGY CONVERSION DEVICES INC, S-3, EX-23.2, 2000-08-01 |
Next: VANGUARD EXPLORER FUND INC, 497, 2000-08-01 |
<PAGE>
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20543
Form 13F
Form 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: June 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:
<TABLE>
<S> <C> <C>
/s/ Tina L. Mitchell Pasadena, California 7-28-2000
--------------------------- ------------------------------- ---------
[Signature] [City, State] [Date]
</TABLE>
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 reported in this report.)
<PAGE>
[ ] 13F NOTICE. (Check here if no holdings reported are in this report, and
all holdings are reported by other reporting manager(s).)
[ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for
this reporting manager are reported in this report and a portion are
reported by other reporting manager(s).)
List of Other Managers Reporting for this Manager:
[If there are no entries in this list, omit this section.]
Form 13F File Number Name
28-____________________ ______________________
[Repeat as necessary]
<PAGE>
Form 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 3
---------------------
Form 13F Information Table Entry Total: 258
---------------------
Form 13F Information Table Value Total: $ 16,742,523
---------------------
(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.]
<TABLE>
<CAPTION>
No. Form 13F File Number Name
<S> <C> <C>
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
</TABLE>
<PAGE>
<TABLE>
<CAPTION>
Roger Engemann Associates, Inc.
INVESTMENT DISCRETION
SHARES OR (C)
NAME OF ISSUER AND FAIR MARKET PRINCIPAL (A) (B) SHARED- MANAGERS
TITLE OF CLASS CUSIP NO. VALUE (000) AMOUNT SOLE SHARED OTHER
-------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C>
99 CENTS ONLY STORES 65440K106 17,508 439,116 X 1,2,3
ACLARA BIOSCIENCES INC 00461P106 4,686 92,000 X 1,2,3
ADVANCED ENERGY INDUSTRIES 007973100 22,886 388,301 X 1,2,3
ADVANCED FIBRE COMMUNICATIONS 00754A105 4,690 103,501 X 1,2,3
AFFILIATED MANAGERS GROUP INC 008252108 5,133 116,000 X 1,2,3
AFFYMETRIX INC 00826T108 7,518 45,528 X 1,2,3
AGILE SOFTWARE 00846X105 10,410 147,262 X 1,2,3
ALLEGIANCE TELECOM INC 01747T102 3,520 55,000 X 1,2,3
ALZA CORPORATION 022615108 27,316 462,000 X 1,2,3
AMERICA ONLINE INC DEL 02364J104 357,389 6,780,297 X 1,2,3
AMERICAN EXPRESS CO 025816109 218,421 4,190,729 X 1,2,3
AMERICAN GREETINGS CORP CL A 026375105 578 30,401 X 1,2,3
AMGEN INC 031162100 23,544 335,150 X 1,2,3
ANADARKO PETROLEUM 032511107 4,931 100,000 X 1,2,3
ANADIGICS INC 032515108 6,421 188,500 X 1,2,3
ANALOG DEVICES INC 032654105 9,500 125,000 X 1,2,3
APPLIED MATERIALS INC 038222105 108,078 1,192,590 X 1,2,3
APPLIED MICRO CIRCUITS CORP 03822W109 51,924 525,813 X 1,2,3
ARIBA INC. 04033V104 3,922 40,000 X 1,2,3
ARMSTRONG HOLDINGS INC 042384107 597 39,008 X 1,2,3
ARTHROCARE CORP 043136100 2,663 50,000 X 1,2,3
ASHLAND INC 044204105 656 18,717 X 1,2,3
ASPECT MEDICAL SYSTEMS, INC. 045235108 1,620 60,000 X 1,2,3
ASPSECURE.COM CORP 00207HGGT 1,788 550,000 X 1,2,3
AT&T CORP NEW LIBERTY GROUP CL A 001957208 81,316 3,353,250 X 1,2,3
AT&T WIRELESS GROUP 001957406 6,435 230,850 X 1,2,3
AUDIOVOX CORPORATION 050757103 759 34,400 X 1,2,3
AUTOMATIC DATA PROCESSING INC 053015103 621 11,600 X 1,2,3
AVIRON 053762100 4,477 145,000 X 1,2,3
BEA SYSTEMS INC 073325102 348,479 7,048,525 X 1,2,3
BED BATH & BEYOND INC 075896100 33,387 921,029 X 1,2,3
BELL ATLANTIC CORP 077853109 7,673 151,000 X 1,2,3
BELLSOUTH CORP 079860102 21,526 505,000 X 1,2,3
BLUESTONE SOFTWARE 09623P102 7,536 293,355 X 1,2,3
BMC SOFTWARE INC 055921100 128,934 3,534,379 X 1,2,3
BRISTOL-MYERS SQUIBB CO 110122108 48,913 839,700 X 1,2,3
BROADBASE SOFTWARE INC 11130R100 919 30,000 X 1,2,3
BROADCOM CORPORATION 111320107 31,965 146,000 X 1,2,3
BROCADE COMMUNICATIONS SYS INC 111621108 15,596 85,000 X 1,2,3
BURLINGTON RESOURCES INC 122014103 28,955 757,000 X 1,2,3
CALIPER TECHNOLOGIES CORP 130876105 3,266 71,000 X 1,2,3
CARNIVAL CORP CLASS A 143658102 56,135 2,878,730 X 1,2,3
PAGE TOTAL 1,722,591
<CAPTION>
VOTING AUTHORITY (SHARES)
NAME OF ISSUER AND (A) SOLE (B) SHARED (C) NONE
TITLE OF CLASS
-----------------------------------------------------------------------------
<S> <C> <C> <C>
99 CENTS ONLY STORES 439,116
ACLARA BIOSCIENCES INC 92,000
ADVANCED ENERGY INDUSTRIES 388,301
ADVANCED FIBRE COMMUNICATIONS 103,501
AFFILIATED MANAGERS GROUP INC 116,000
AFFYMETRIX INC 45,528
AGILE SOFTWARE 147,262
ALLEGIANCE TELECOM INC 55,000
ALZA CORPORATION 462,000
AMERICA ONLINE INC DEL 6,780,297
AMERICAN EXPRESS CO 4,190,729
AMERICAN GREETINGS CORP CL A 30,401
AMGEN INC 335,150
ANADARKO PETROLEUM 100,000
ANADIGICS INC 188,500
ANALOG DEVICES INC 125,000
APPLIED MATERIALS INC 1,192,590
APPLIED MICRO CIRCUITS CORP 525,813
ARIBA INC. 40,000
ARMSTRONG HOLDINGS INC 39,008
ARTHROCARE CORP 50,000
ASHLAND INC 18,717
ASPECT MEDICAL SYSTEMS, INC. 60,000
ASPSECURE.COM CORP 550,000
AT&T CORP NEW LIBERTY GROUP CL A 3,353,250
AT&T WIRELESS GROUP 230,850
AUDIOVOX CORPORATION 34,400
AUTOMATIC DATA PROCESSING INC 11,600
AVIRON 145,000
BEA SYSTEMS INC 7,048,525
BED BATH & BEYOND INC 921,029
BELL ATLANTIC CORP 151,000
BELLSOUTH CORP 505,000
BLUESTONE SOFTWARE 293,355
BMC SOFTWARE INC 3,534,379
BRISTOL-MYERS SQUIBB CO 839,700
BROADBASE SOFTWARE INC 30,000
BROADCOM CORPORATION 146,000
BROCADE COMMUNICATIONS SYS INC 85,000
BURLINGTON RESOURCES INC 757,000
CALIPER TECHNOLOGIES CORP 71,000
CARNIVAL CORP CLASS A 2,878,730
</TABLE>
Page 2
<PAGE>
Roger Engemann Associates, Inc.
<TABLE>
<CAPTION>
INVESTMENT DISCRETION
SHARES OR (C)
NAME OF ISSUER AND FAIR MARKET PRINCIPAL (A) (B) SHARED- MANAGERS
TITLE OF CLASS CUSIP NO. VALUE (000) AMOUNT SOLE SHARED OTHER
-------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C>
C-BRIDGE INTERNET SOLUTIONS 12500B105 2,606 150,000 X 1,2,3
C-COR.NET CORP 125010108 756 28,000 X 1,2,3
CELESTICA INC 15101Q108 29,229 589,000 X 1,2,3
CHARLES RIVER LABS INTL INC 159864107 4,438 200,000 X 1,2,3
CHEESECAKE FACTORY INC 163072101 14,010 509,467 X 1,2,3
CHILDRENS PL RETAIL STORES 168905107 5,084 248,000 X 1,2,3
CIENA CORP 171779101 17,502 105,000 X 1,2,3
CISCO SYSTEMS INC 17275R102 919,618 14,468,504 X 1,2,3
CITIGROUP INC 172967101 404,892 6,720,191 X 1,2,3
CLEAR CHANNEL COMMUNICATIONS 184502102 223,928 2,985,703 X 1,2,3
COASTAL CORP 190441105 103,122 1,694,000 X 1,2,3
COMMERCE ONE INC DEL 200693109 12,961 285,541 X 1,2,3
COMVERSE TECHNOLOGY INC 205862402 3,720 40,000 X 1,2,3
CONAGRA INC 205887102 616 32,302 X 1,2,3
CONEXANT SYSTEMS INC 207142100 52,812 1,086,219 X 1,2,3
COOPER INDUSTRIES INCORPORATED 216669101 642 19,711 X 1,2,3
COOPER TIRE & RUBBER CO 216831107 595 53,476 X 1,2,3
COPPER MTN NETWORKS INC 217510106 4,406 50,000 X 1,2,3
COR THERAPEUTICS 217753102 10,810 126,710 X 1,2,3
CORPORATE EXECUTIVE BOARD 21988R102 18,762 313,376 X 1,2,3
COST PLUS INC 221485105 20,908 728,750 X 1,2,3
COSTCO WHSL CORP (NEW) 22160K105 157,380 4,769,104 X 1,2,3
COULTER PHARMACEUTICAL INC COM 222116105 1,230 60,000 X 1,2,3
CROWN CORK & SEAL INC 228255105 633 42,171 X 1,2,3
CYMER INC 232572107 13,062 273,555 X 1,2,3
DANA CORPORATION 235811106 499 23,565 X 1,2,3
DELL COMPUTER CORP 247025109 133,902 2,715,377 X 1,2,3
DIAMOND TECH PARTNERS 252762109 4,488 51,000 X 1,2,3
DISNEY WALT CO 254687106 6,057 156,050 X 1,2,3
DOBSON COMMUNICATIONS CORP 256069105 5,467 284,000 X 1,2,3
DONNELLEY RR & SONS CO 257867101 642 28,452 X 1,2,3
DOUBLECLICK INC 258609304 2350 61,743 X 1,2,3
DURA PHARMACEUTICAL INC 26632S109 2,875 200,000 X 1,2,3
DYNEGY INC (NEW) CLASS A 26816Q101 3,416 50,000 X 1,2,3
E.PIPHANY INC 26881V100 2,144 20,000 X 1,2,3
EBAY INC 278642103 2,259 41,600 X 1,2,3
EDISON SCHOOLS INC 281033100 696 30,000 X 1,2,3
ELECTRONIC DATA SYS CORP (NEW) 285661104 217,734 5,278,407 X 1,2,3
EMC CORPORATION MASS 268648102 796,338 10,350,120 X 1,2,3
EMISPHERE TECH 291345106 1,278 30,000 X 1,2,3
ENERGY EXPL TECHNOLOGIES 29267E106 11,292 351,500 X 1,2,3
ENRON CORP 293561106 57,134 885,800 X 1,2,3
PAGE TOTAL 3,272,293
<CAPTION>
VOTING AUTHORITY (SHARES)
NAME OF ISSUER AND (A) SOLE (B) SHARED (C) NONE
TITLE OF CLASS
-----------------------------------------------------------------------------
<S> <C> <C> <C>
C-BRIDGE INTERNET SOLUTIONS 150,000
C-COR.NET CORP 28,000
CELESTICA INC 589,000
CHARLES RIVER LABS INTL INC 200,000
CHEESECAKE FACTORY INC 509,467
CHILDRENS PL RETAIL STORES 248,000
CIENA CORP 105,000
CISCO SYSTEMS INC 14,468,504
CITIGROUP INC 6,720,191
CLEAR CHANNEL COMMUNICATIONS 2,985,703
COASTAL CORP 1,694,000
COMMERCE ONE INC DEL 285,541
COMVERSE TECHNOLOGY INC 40,000
CONAGRA INC 32,302
CONEXANT SYSTEMS INC 1,086,219
COOPER INDUSTRIES INCORPORATED 19,711
COOPER TIRE & RUBBER CO 53,476
COPPER MTN NETWORKS INC 50,000
COR THERAPEUTICS 126,710
CORPORATE EXECUTIVE BOARD 313,376
COST PLUS INC 728,750
COSTCO WHSL CORP (NEW) 4,769,104
COULTER PHARMACEUTICAL INC COM 60,000
CROWN CORK & SEAL INC 42,171
CYMER INC 273,555
DANA CORPORATION 23,565
DELL COMPUTER CORP 2,715,377
DIAMOND TECH PARTNERS 51,000
DISNEY WALT CO 156,050
DOBSON COMMUNICATIONS CORP 284,000
DONNELLEY RR & SONS CO 28,452
DOUBLECLICK INC 61,743
DURA PHARMACEUTICAL INC 200,000
DYNEGY INC (NEW) CLASS A 50,000
E.PIPHANY INC 20,000
EBAY INC 41,600
EDISON SCHOOLS INC 30,000
ELECTRONIC DATA SYS CORP (NEW) 5,278,407
EMC CORPORATION MASS 10,350,120
EMISPHERE TECH 30,000
ENERGY EXPL TECHNOLOGIES 351,500
ENRON CORP 885,800
</TABLE>
Page 3
<PAGE>
<TABLE>
<CAPTION>
Roger Engemann Associates, Inc.
INVESTMENT DISCRETION
SHARES OR (C)
NAME OF ISSUER AND FAIR MARKET PRINCIPAL (A) (B) SHARED- MANAGERS
TITLE OF CLASS CUSIP NO. VALUE (000) AMOUNT SOLE SHARED OTHER
-------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C>
ENZON INC 293904108 1,063 25,000 X 1,2,3
EXFO ELECTRO-OPTICAL INC 302043104 3,291 75,000 X 1,2,3
EXODUS COMMUNICATIONS 302088109 41,470 900,300 X 1,2,3
EXPEDITORS INTL WASH INC 302130109 7,731 162,763 X 1,2,3
EXTENSITY INC 302255104 4,983 145,500 X 1,2,3
EXTREME NETWORKS INC 30226D106 8,968 85,000 X 1,2,3
EXULT INC 302284104 3,000 300,000 X 1,2,3
EXXON MOBIL CORP (NEW) 30231G102 52,725 671,650 X 1,2,3
FASTENAL COMPANY 311900104 6,861 135,514 X 1,2,3
FEDERAL AGRIC MORT CL C 313148306 3,920 289,000 X 1,2,3
FEDERAL HOME LN MTG CORP 313400301 20,281 500,768 X 1,2,3
FLEXTRONICS INTL LTD ORD Y2573F102 66,457 967,487 X 1,2,3
FORD MOTOR COMPANY 345370100 574 13,356 X 1,2,3
FORTUNE BRANDS INC 349631101 625 27,092 X 1,2,3
GABELLI ASSET MANAGEMENT INC 36239Y102 13,022 520,879 X 1,2,3
GENENTECH INC NEW 368710406 178,519 1,037,899 X 1,2,3
GENERAL ELECTRIC CO 369604103 244,129 4,748,666 X 1,2,3
GENUINE PARTS CO 372460105 572 28,609 X 1,2,3
GENUITY INC 37248E103 29,424 3,213,500 X 1,2,3
GLOBAL CROSSING LTD G3921A100 25,347 963,300 X 1,2,3
GOLDMAN SACHS GROUP INC 38141G104 9,488 100,000 X 1,2,3
GOODRICH B F CO 382388106 639 18,761 X 1,2,3
GUIDANT CORP 401698105 157,065 3,173,032 X 1,2,3
HALLIBURTON CO 406216101 31,689 671,550 X 1,2,3
HEALTH MANAGEMENT ASSOC. INC. CL 421933102 947 72,513 X 1,2,3
HISPANIC BROADCASTING CORP 43357B104 3,279 99,000 X 1,2,3
HOME DEPOT INC 437076102 369,356 7,395,988 X 1,2,3
HOMEGROCER.COM INC 43740K100 30 5,000 X 1,2,3
I2 TECHNOLOGIES INC 465754109 59,490 570,560 X 1,2,3
I3 MOBILE INC 465713105 882 48,000 X 1,2,3
IDEC PHARMACEUTICALS CORP 449370105 12,932 110,241 X 1,2,3
INHALE THERAPEUTIC SYSTEMS 457191104 13,187 129,955 X 1,2,3
INKTOMI CORP 457277101 3,548 30,000 X 1,2,3
INTEL CORP 458140100 785,272 5,873,831 X 1,2,3
INTERNATIONAL BUSINESS MACHINE 459200101 199,713 1,822,867 X 1,2,3
INTERPUBLIC GROUP COS INC 460690100 152,638 3,549,713 X 1,2,3
INTERSIL HOLDING CO RP 46069S109 277 5,122 X 1,2,3
INTERWOVEN INC. 46114T102 8,042 73,114 X 1,2,3
ITXC CORP 45069F109 850 24,000 X 1,2,3
JABIL CIRCUIT INC 466313103 40,439 814,900 X 1,2,3
JDS UNIPHASE CORP 46612J101 261,543 2,181,892 X 1,2,3
JOHNSON & JOHNSON 478160104 34,176 335,450 X 1,2,3
PAGE TOTAL 2,858,444
<CAPTION>
VOTING AUTHORITY (SHARES)
NAME OF ISSUER AND (A) SOLE (B) SHARED (C) NONE
TITLE OF CLASS
-----------------------------------------------------------------------------
<S> <C> <C> <C>
ENZON INC 25,000
EXFO ELECTRO-OPTICAL INC 75,000
EXODUS COMMUNICATIONS 900,300
EXPEDITORS INTL WASH INC 162,763
EXTENSITY INC 145,500
EXTREME NETWORKS INC 85,000
EXULT INC 300,000
EXXON MOBIL CORP (NEW) 671,650
FASTENAL COMPANY 135,514
FEDERAL AGRIC MORT CL C 289,000
FEDERAL HOME LN MTG CORP 500,768
FLEXTRONICS INTL LTD ORD 967,487
FORD MOTOR COMPANY 13,356
FORTUNE BRANDS INC 27,092
GABELLI ASSET MANAGEMENT INC 520,879
GENENTECH INC NEW 1,037,899
GENERAL ELECTRIC CO 4,748,666
GENUINE PARTS CO 28,609
GENUITY INC 3,213,500
GLOBAL CROSSING LTD 963,300
GOLDMAN SACHS GROUP INC 100,000
GOODRICH B F CO 18,761
GUIDANT CORP 3,173,032
HALLIBURTON CO 671,550
HEALTH MANAGEMENT ASSOC. INC. CL 72,513
HISPANIC BROADCASTING CORP 99,000
HOME DEPOT INC 7,395,988
HOMEGROCER.COM INC 5,000
I2 TECHNOLOGIES INC 570,560
I3 MOBILE INC 48,000
IDEC PHARMACEUTICALS CORP 110,241
INHALE THERAPEUTIC SYSTEMS 129,955
INKTOMI CORP 30,000
INTEL CORP 5,873,831
INTERNATIONAL BUSINESS MACHINE 1,822,867
INTERPUBLIC GROUP COS INC 3,549,713
INTERSIL HOLDING CO RP 5,122
INTERWOVEN INC. 73,114
ITXC CORP 24,000
JABIL CIRCUIT INC 814,900
JDS UNIPHASE CORP 2,181,892
JOHNSON & JOHNSON 335,450
</TABLE>
Page 4
<PAGE>
<TABLE>
<CAPTION>
Roger Engemann Associates, Inc.
INVESTMENT DISCRETION
SHARES OR (C)
NAME OF ISSUER AND FAIR MARKET PRINCIPAL (A) (B) SHARED- MANAGERS
TITLE OF CLASS CUSIP NO. VALUE (000) AMOUNT SOLE SHARED OTHER
-------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C>
JUNIPER NETWORKS INC 48203R104 10,917 75,000 X 1,2,3
KANSAS CITY SOUTHN INDS 485170104 50,227 566,323 X 1,2,3
KEYNOTE SYSTEMS 493308100 18,174 257,572 X 1,2,3
KLA TENCOR CORP 482480100 41,773 713,300 X 1,2,3
KOHLS CORP 500255104 18,413 331,020 X 1,2,3
LEHMAN BROTHERS HOLDINGS INC 524908100 7,612 80,500 X 1,2,3
LIVEPERSON INC 538146101 6,950 800,000 X 1,2,3
LONDON PAC GROUP LTD ADR 542073101 9,382 721,696 X 1,2,3
LOUISIANA PACIFIC CORP 546347105 538 49,456 X 1,2,3
LUCENT TECHNOLOGIES INC 549463107 342,917 5,787,633 X 1,2,3
LUMINANT WORLDWIDE CORP 550260103 1,788 200,000 X 1,2,3
MANUFACTURERS SVCS LTD 565005105 2,056 100,000 X 1,2,3
MATRIXONE INC. 57685P304 936 23,050 X 1,2,3
MATTSON TECHNOLOGY INC 577223100 1,625 50,000 X 1,2,3
MAXIM INTEGRATED PRODUCTS 57772K101 166,601 2,452,184 X 1,2,3
MBNA CORP 55262L100 543 20,024 X 1,2,3
MCLEODUSA INC CL A 582266102 4,965 240,000 X 1,2,3
MEADE INSTRUMENTS 583062104 11,595 461,591 X 1,2,3
MEDTRONIC INC 585055106 442,401 8,881,775 X 1,2,3
MERCK & CO INC 589331107 285,016 3,719,870 X 1,2,3
MERRILL LYNCH & CO INC 590188108 113,818 989,724 X 1,2,3
METAWAVE COMMUNICATIONS CORP. 591409107 4,003 150,000 X 1,2,3
METRIS COMPANIES INC 591598107 24,001 955,466 X 1,2,3
MICREL INC 594793101 31,893 734,183 X 1,2,3
MICROSOFT CORP 594918104 334,929 4,186,617 X 1,2,3
MILACRON INC 598709103 679 46,805 X 1,2,3
MINIMED INC 60365K108 12,292 104,179 X 1,2,3
MIPS TECHNOLOGIES INC 604567107 10,558 248,433 X 1,2,3
MMC NETWORKS 55308N102 4,542 85,000 X 1,2,3
MORGAN STANLEY D. WITTER & CO 617446448 41,274 495,782 X 1,2,3
MOTOROLA INC 620076109 11,212 385,800 X 1,2,3
MYRIAD GENETICS INC 62855J104 2,962 20,000 X 1,2,3
NABORS INDUSTRIES INC 629568106 4,156 100,000 X 1,2,3
NATL SERVICE IND 637657107 588 30,146 X 1,2,3
NCO GROUP INC 628858102 6,173 267,019 X 1,2,3
NETSILICON INC 64115X105 8,564 261,500 X 1,2,3
NETWORK APPLIANCE INC 64120L104 12,075 150,000 X 1,2,3
NETWORK PLUS 64122D506 4,041 284,763 X 1,2,3
NEXT LEVEL COMMUNICATION 65333U104 8,575 100,000 X 1,2,3
NOKIA CORP SPONSORED ADR 654902204 124,649 2,496,109 X 1,2,3
NORTEL NETWORKS CORP (NEW) 656568102 85,637 1,254,750 X 1,2,3
NOVELLUS SYSTEMS 670008101 11,313 200,000 X 1,2,3
PAGE TOTAL 2,282,363
<CAPTION>
VOTING AUTHORITY (SHARES)
NAME OF ISSUER AND (A) SOLE (B) SHARED (C) NONE
TITLE OF CLASS
-----------------------------------------------------------------------------
<S> <C> <C> <C>
JUNIPER NETWORKS INC 75,000
KANSAS CITY SOUTHN INDS 566,323
KEYNOTE SYSTEMS 257,572
KLA TENCOR CORP 713,300
KOHLS CORP 331,020
LEHMAN BROTHERS HOLDINGS INC 80,500
LIVEPERSON INC 800,000
LONDON PAC GROUP LTD ADR 721,696
LOUISIANA PACIFIC CORP 49,456
LUCENT TECHNOLOGIES INC 5,787,633
LUMINANT WORLDWIDE CORP 200,000
MANUFACTURERS SVCS LTD 100,000
MATRIXONE INC. 23,050
MATTSON TECHNOLOGY INC 50,000
MAXIM INTEGRATED PRODUCTS 2,452,184
MBNA CORP 20,024
MCLEODUSA INC CL A 240,000
MEADE INSTRUMENTS 461,591
MEDTRONIC INC 8,881,775
MERCK & CO INC 3,719,870
MERRILL LYNCH & CO INC 989,724
METAWAVE COMMUNICATIONS CORP. 150,000
METRIS COMPANIES INC 955,466
MICREL INC 734,183
MICROSOFT CORP 4,186,617
MILACRON INC 46,805
MINIMED INC 104,179
MIPS TECHNOLOGIES INC 248,433
MMC NETWORKS 85,000
MORGAN STANLEY D. WITTER & CO 495,782
MOTOROLA INC 385,800
MYRIAD GENETICS INC 20,000
NABORS INDUSTRIES INC 100,000
NATL SERVICE IND 30,146
NCO GROUP INC 267,019
NETSILICON INC 261,500
NETWORK APPLIANCE INC 150,000
NETWORK PLUS 284,763
NEXT LEVEL COMMUNICATION 100,000
NOKIA CORP SPONSORED ADR 2,496,109
NORTEL NETWORKS CORP (NEW) 1,254,750
NOVELLUS SYSTEMS 200,000
</TABLE>
Page 5
<PAGE>
<TABLE>
<CAPTION>
Roger Engemann Associates, Inc.
INVESTMENT DISCRETION
SHARES OR (C)
NAME OF ISSUER AND FAIR MARKET PRINCIPAL (A) (B) SHARED- MANAGERS
TITLE OF CLASS CUSIP NO. VALUE (000) AMOUNT SOLE SHARED OTHER
-------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C>
NYFIX INC 670712108 21,259 506,900 X 1,2,3
OMNICARE INC 681904108 3,785 417,730 X 1,2,3
ORACLE CORP 68389X105 345,402 4,108,990 X 1,2,3
PACCAR INC 693718108 546 13,752 X 1,2,3
PAPA JOHNS INTL INC 698813102 1,593 65,000 X 1,2,3
PC-TEL INC 69325Q105 912 24,000 X 1,2,3
PEREGRINE SYSTEMS 71366Q101 25,732 741,784 X 1,2,3
PFIZER INC 717081103 1,197,982 24,957,948 X 1,2,3
PHARMACIA CORP (NEW) 71713U102 122,830 2,376,282 X 1,2,3
PHARMACYCLICS INC 716933106 3,050 50,000 X 1,2,3
PINNACLE HOLDINGS INC 72346N101 11,434 211,737 X 1,2,3
PMC-SIERRA INC 69344F106 7,996 45,000 X 1,2,3
PRECISE SOFTWARE SOLUTIONS LTD M41450103 3,600 150,000 X 1,2,3
PREDICTIVE SYSTEMS 74036W102 4,313 120,000 X 1,2,3
PRI AUTOMATION 69357H106 21,906 335,000 X 1,2,3
PRIMUS KNOWLEDGE SOLUTIONS 74163Q100 6,030 134,000 X 1,2,3
PURCHASEPRO COM 746144104 7,791 190,024 X 1,2,3
QUANTUM EFFECT DEVICES INC 74764T107 4,221 74,049 X 1,2,3
QUICKLOGIC CORPORATION 74837P108 6,720 302,000 X 1,2,3
QWEST COMM INTL INC 749121109 72,047 1,450,000 X 1,2,3
RAYTHEON CO CL B 755111408 587 30,496 X 1,2,3
RENT WAY INC 76009U104 1,478 50,000 X 1,2,3
RESEARCH IN MOTION 760975102 4,978 110,000 X 1,2,3
RITE AID CORP 767754104 665 101,320 X 1,2,3
RUDOLPH TECH 781270103 16,176 417,448 X 1,2,3
RUSSELL CORP 782352108 682 34,109 X 1,2,3
SAFEWAY INC NEW 786514208 31,632 702,135 X 1,2,3
SANMINA CORP 800907107 44,259 517,650 X 1,2,3
SAPIENT CORP 803062108 38,135 356,600 X 1,2,3
SBA COMMUNICATIONS 78388J106 5,090 98,000 X 1,2,3
SBC COMMUNICATIONS INC 78387G103 50,992 1,179,000 X 1,2,3
SCHLUMBERGER LIMITED 806857108 47,144 631,750 X 1,2,3
SCHOLASTIC CORP 807066105 2,017 33,000 X 1,2,3
SCHWAB CHARLES CORP 808513105 29,979 891,578 X 1,2,3
SDL INC 784076101 114,883 422,270 X 1,2,3
SIEBEL SYSTEMS 826170102 68,786 420,550 X 1,2,3
SILICON STORAGE 827057100 7,418 84,000 X 1,2,3
SMART & FINAL INC 831683107 3,078 400,331 X 1,2,3
SNAP - ON INC 833034101 697 26,184 X 1,2,3
SOFTWARE TECHNOLOGIES 834040107 12,275 400,000 X 1,2,3
SOLECTRON CORP 834182107 85,365 2,038,821 X 1,2,3
SPANISH BROADCASTING CL A 846425882 1,542 75,000 X 1,2,3
PAGE TOTAL 2,437,007
<CAPTION>
VOTING AUTHORITY (SHARES)
NAME OF ISSUER AND (A) SOLE (B) SHARED (C) NONE
TITLE OF CLASS
-----------------------------------------------------------------------------
<S> <C> <C> <C>
NYFIX INC 506,900
OMNICARE INC 417,730
ORACLE CORP 4,108,990
PACCAR INC 13,752
PAPA JOHNS INTL INC 65,000
PC-TEL INC 24,000
PEREGRINE SYSTEMS 741,784
PFIZER INC 24,957,948
PHARMACIA CORP (NEW) 2,376,282
PHARMACYCLICS INC 50,000
PINNACLE HOLDINGS INC 211,737
PMC-SIERRA INC 45,000
PRECISE SOFTWARE SOLUTIONS LTD 150,000
PREDICTIVE SYSTEMS 120,000
PRI AUTOMATION 335,000
PRIMUS KNOWLEDGE SOLUTIONS 134,000
PURCHASEPRO COM 190,024
QUANTUM EFFECT DEVICES INC 74,049
QUICKLOGIC CORPORATION 302,000
QWEST COMM INTL INC 1,450,000
RAYTHEON CO CL B 30,496
RENT WAY INC 50,000
RESEARCH IN MOTION 110,000
RITE AID CORP 101,320
RUDOLPH TECH 417,448
RUSSELL CORP 34,109
SAFEWAY INC NEW 702,135
SANMINA CORP 517,650
SAPIENT CORP 356,600
SBA COMMUNICATIONS 98,000
SBC COMMUNICATIONS INC 1,179,000
SCHLUMBERGER LIMITED 631,750
SCHOLASTIC CORP 33,000
SCHWAB CHARLES CORP 891,578
SDL INC 422,270
SIEBEL SYSTEMS 420,550
SILICON STORAGE 84,000
SMART & FINAL INC 400,331
SNAP - ON INC 26,184
SOFTWARE TECHNOLOGIES 400,000
SOLECTRON CORP 2,038,821
SPANISH BROADCASTING CL A 75,000
</TABLE>
Page 6
<PAGE>
<TABLE>
<CAPTION>
Roger Engemann Associates, Inc.
INVESTMENT DISCRETION
SHARES OR (C)
NAME OF ISSUER AND FAIR MARKET PRINCIPAL (A) (B) SHARED- MANAGERS
TITLE OF CLASS CUSIP NO. VALUE (000) AMOUNT SOLE SHARED OTHER
-------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C>
SPRING IND INC CLASS A 851783100 508 15,791 X 1,2,3
SPRINT CORP PCS COM STK SER 1 852061506 40,002 672,300 X 1,2,3
STANFORD MICRODEVICES, INC. 854399102 1,629 37,500 X 1,2,3
STANLEY WORKS 854616109 607 25,576 X 1,2,3
STAPLES, INC. 855030102 72,146 4,693,972 X 1,2,3
STARBUCKS CORPORATION 855244109 6,874 180,000 X 1,2,3
STORAGE NETWORKS INC 86211E103 9,025 100,000 X 1,2,3
SUN MICROSYSTEMS INC 866810104 487,663 5,362,473 X 1,2,3
SYCAMORE NETWORKS INC 871206108 15,662 141,900 X 1,2,3
TANOX INC 87588Q109 3,738 79,000 X 1,2,3
TARGET CORP 87612E106 96,157 1,657,881 X 1,2,3
TELIGENT INC CLASS A 87959Y103 2,953 125,000 X 1,2,3
TELLABS INC 879664100 245,938 3,593,490 X 1,2,3
TERADYNE INC 880770102 40,076 545,250 X 1,2,3
TERAYON COMMUNICATIONS SY 880775101 8,350 130,000 X 1,2,3
TEXAS INSTRUMENTS INC 882508104 741,531 10,795,328 X 1,2,3
THOMAS & BETTS CORP 884315102 464 24,261 X 1,2,3
TIFFANY & CO NEW 886547108 3562 52,792 X 1,2,3
TIME WARNER INC 887315109 78,579 1,033,938 X 1,2,3
TRINTECH GROUP PLC - SPON ADR 896682101 788 40,000 X 1,2,3
TRIQUINT SEMICONDUCTOR 89674K103 15,461 161,571 X 1,2,3
TYCO INTL LTD (NEW) 902124106 280,773 5,927,222 X 1,2,3
ULTICOM INC 903844108 4,803 200,000 X 1,2,3
UNITED PARCEL SERVICE INC CL B 911312106 30,534 517,530 X 1,2,3
UNITED TECHNOLOGIES CORP 913017109 49,539 841,426 X 1,2,3
UNIVERSAL ACCESS INC 913363107 20,234 825,864 X 1,2,3
UNIVERSAL COMPRESSION HLDS 913431102 6,700 200,000 X 1,2,3
UNIVISION COMMUNICATION INC 914906102 10,868 105,000 X 1,2,3
UNOCAL CORP 915289102 72,577 2,191,000 X 1,2,3
V F CORP 918204108 638 26,802 X 1,2,3
VERISIGN INC 92343E102 5,295 30,000 X 1,2,3
VERITAS SOFTWARE CORP 923436109 191,358 1,693,131 X 1,2,3
VIACOM INC CL B 925524308 190,637 2,795,676 X 1,2,3
VIASYSTEMS GROUP INC. 92553H100 1,805 111,500 X 1,2,3
VICINITY CORP 925653107 834 42,500 X 1,2,3
VITESSE SEMICONDUCTOR CORP 928497106 11,022 149,835 X 1,2,3
WAL MART STORES INC 931142103 267,011 4,633,996 X 1,2,3
WALGREEN CO 931422109 105,025 3,262,663 X 1,2,3
WEATHERFORD INTL INC 947074100 1,991 50,000 X 1,2,3
WEBSENSE INC. 947684106 5,025 200,000 X 1,2,3
WELLS FARGO & CO (NEW) 949746101 32,607 841,482 X 1,2,3
WHOLE FOODS MARKET INC 966837106 16,150 390,937 X 1,2,3
PAGE TOTAL 3,177,139
<CAPTION>
VOTING AUTHORITY (SHARES)
NAME OF ISSUER AND (A) SOLE (B) SHARED (C) NONE
TITLE OF CLASS
-----------------------------------------------------------------------------
<S> <C> <C> <C>
SPRING IND INC CLASS A 15,791
SPRINT CORP PCS COM STK SER 1 672,300
STANFORD MICRODEVICES, INC. 37,500
STANLEY WORKS 25,576
STAPLES, INC. 4,693,972
STARBUCKS CORPORATION 180,000
STORAGE NETWORKS INC 100,000
SUN MICROSYSTEMS INC 5,362,473
SYCAMORE NETWORKS INC 141,900
TANOX INC 79,000
TARGET CORP 1,657,881
TELIGENT INC CLASS A 125,000
TELLABS INC 3,593,490
TERADYNE INC 545,250
TERAYON COMMUNICATIONS SY 130,000
TEXAS INSTRUMENTS INC 10,795,328
THOMAS & BETTS CORP 24,261
TIFFANY & CO NEW 52,792
TIME WARNER INC 1,033,938
TRINTECH GROUP PLC - SPON ADR 40,000
TRIQUINT SEMICONDUCTOR 161,571
TYCO INTL LTD (NEW) 5,927,222
ULTICOM INC 200,000
UNITED PARCEL SERVICE INC CL B 517,530
UNITED TECHNOLOGIES CORP 841,426
UNIVERSAL ACCESS INC 825,864
UNIVERSAL COMPRESSION HLDS 200,000
UNIVISION COMMUNICATION INC 105,000
UNOCAL CORP 2,191,000
V F CORP 26,802
VERISIGN INC 30,000
VERITAS SOFTWARE CORP 1,693,131
VIACOM INC CL B 2,795,676
VIASYSTEMS GROUP INC. 111,500
VICINITY CORP 42,500
VITESSE SEMICONDUCTOR CORP 149,835
WAL MART STORES INC 4,633,996
WALGREEN CO 3,262,663
WEATHERFORD INTL INC 50,000
WEBSENSE INC. 200,000
WELLS FARGO & CO (NEW) 841,482
WHOLE FOODS MARKET INC 390,937
</TABLE>
Page 7
<PAGE>
<TABLE>
<CAPTION>
Roger Engemann Associates, Inc.
INVESTMENT DISCRETION
SHARES OR (C)
NAME OF ISSUER AND FAIR MARKET PRINCIPAL (A) (B) SHARED- MANAGERS
TITLE OF CLASS CUSIP NO. VALUE (000) AMOUNT SOLE SHARED OTHER
-------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C>
WILLIAMS SONOMA INC 969904101 7,688 237,000 X 1,2,3
WINSTAR COMMUNICATIONS INC 975515107 11,539 340,581 X 1,2,3
WOMEN.COM NETWORKS 978149102 940 455,930 X 1,2,3
WORLDCOM INC 98157D106 698,046 15,217,930 X 1,2,3
XILINX INC 983919101 179,784 2,177,550 X 1,2,3
YAHOO INC 984332106 94,689 764,357 X 1,2,3
PAGE TOTAL 992,688
TOTAL 16,742,523
<CAPTION>
VOTING AUTHORITY (SHARES)
NAME OF ISSUER AND (A) SOLE (B) SHARED (C) NONE
TITLE OF CLASS
-----------------------------------------------------------------------------
<S> <C> <C> <C>
WILLIAMS SONOMA INC 237,000
WINSTAR COMMUNICATIONS INC 340,581
WOMEN.COM NETWORKS 455,930
WORLDCOM INC 15,217,930
XILINX INC 2,177,550
YAHOO INC 764,357
</TABLE>
Page 8
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