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, 1999
Check here if Amendment [ ]; Amendment Number:
This Amendment (Check only one.): [ ] is a restatement.
[ ] adds new holding entries.
Institutional Investment Manager Filing this Report:
Name: Guardian Insurance & Annuity Co., Inc.
Address: 7 Hanover Square
New York, NY 10004
13F File Number: 028-04885
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: Frank L. Pepe
Title: Vice President/Treasurer
Phone: 212-598-8445
Signature, Place, and Date of Signing:
Frank L. Pepe New York, NY November 2, 1999
Report Type (Check only one.):
[ x ] 13F HOLDINGS REPORT.
[ ] 13F NOTICE.
[ ] 13F COMBINATION REPORT.
List of Other Managers Reporting for this Manager:
I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934.
<PAGE>
FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 0
Form 13F Information Table Entry Total: 168
Form 13F Information Table Value Total: $157,465,392
List of Other Included Managers:
No. 13F File Number Name
<PAGE>
<TABLE>
THE GUARDIAN SMALL CAP STOCK FUND
FORM 13F INFORMATION TABLE
<C> <C> <C> <C> <C> <C><C> <C> <C> <C> <C> <C>
NAME OF ISSUER TITLE OF CUSIP MKT VAL SHRS/PR INV DISCRETION VOTING AUTHORITY (SHARES)
CLASS NUMBER SOLSHRDOTHRMGR A-SOLE B-SHRD C-NONE
FLEXTRONICS INTERNATIONAL ORD Y2573F102 605,150 10,400 X 01 10,400 0 0
AFC CABLE SYSTEMS, INC. COM 000950105 2,035,750 47,900 X 01 47,900 0 0
ABERCROMBIE AND FITCH CO. CL A 002896207 722,125 21,200 X 01 21,200 0 0
ABITIBI CONSOLIDATED, INC. COM 003924107 406,506 33,700 X 01 33,700 0 0
ADELPHIA COMMUNICATIONS CORP. CL A 006848105 2,999,438 51,000 X 01 51,000 0 0
ADVANCED MICRO DEVICES, INC. COM 007903107 790,625 46,000 X 01 46,000 0 0
ALLIANT TECHSYSTEMS, INC. COM 018804104 776,300 11,200 X 01 11,200 0 0
ALPHARMA, INC. CL A 020813101 836,906 23,700 X 01 23,700 0 0
AMERICAN MATERIAL CAN GROUP, INCOM 027714104 790,625 50,000 X 01 50,000 0 0
AMES DEPT. STORES, INC. COM 030789507 1,785,000 56,000 X 01 56,000 0 0
ANDRX CORP. COM 034551101 351,188 6,000 X 01 6,000 0 0
ANN TAYLOR STORES CORP. COM 036115103 817,500 20,000 X 01 20,000 0 0
APPLIED MICRO CIRCUITS CORP. COM 03822W109 1,436,400 25,200 X 01 25,200 0 0
AT HOME CORP. COM SER A 045919107 759,798 18,336 X 01 18,336 0 0
AVIS RENT A CAR, INC. COM 053790101 807,863 38,700 X 01 38,700 0 0
BJS WHOLESALE CLUB, INC. COM 05548J106 2,840,956 96,100 X 01 96,100 0 0
BJ SERVICES CO. COM 055482103 2,001,006 62,900 X 01 62,900 0 0
BARRETT RESOURCES CORP. COM 068480201 557,756 15,100 X 01 15,100 0 0
BIOMATRIX, INC. COM 09060P102 419,581 18,700 X 01 18,700 0 0
BORG WARNER AUTOMOTIVE, INC. COM 099724106 352,600 8,200 X 01 8,200 0 0
BOWATER, INC. COM 102183100 561,750 10,700 X 01 10,700 0 0
CMG INFORMATION SERVICES, INC. COM 125750109 1,086,500 10,600 X 01 10,600 0 0
CNET, INC. COM 125945105 347,200 6,200 X 01 6,200 0 0
CALPINE CORP. COM 131347106 2,381,750 28,000 X 01 28,000 0 0
CELESTICA, INC. SUB VTG SH15101Q108 617,188 12,500 X 01 12,500 0 0
CENTRAL HUDSON GAS & ELECTRIC CCOM 153609102 354,375 9,000 X 01 9,000 0 0
CHURCH & DWIGHT, INC. COM 171340102 935,000 37,400 X 01 37,400 0 0
CITADEL COMMUNICATIONS CORP. COM 172853202 2,143,050 62,800 X 01 62,800 0 0
COAST FEDERAL LITIGATION TRUST RT 19034Q110 11,138 10,800 X 01 10,800 0 0
COMMSCOPE, INC. COM 203372107 1,430,000 44,000 X 01 44,000 0 0
COOPER CAMERON CORP. COM 216640102 430,350 11,400 X 01 11,400 0 0
COORS (ADOLPH) CO. CL B 217016104 1,694,113 31,300 X 01 31,300 0 0
COX COMMUNICATIONS, INC. CL A 224044107 1,554,687 37,238 X 01 37,238 0 0
COX RADIO, INC. CL A 224051102 1,029,350 17,300 X 01 17,300 0 0
CRITICAL PATH, INC. COM 22674V100 693,913 17,200 X 01 17,200 0 0
CROSSMANN COMMUNITYS, INC. COM 22764E109 946,125 58,000 X 01 58,000 0 0
CULLEN FROST BANKERS, INC. COM 229899109 707,500 28,300 X 01 28,300 0 0
DII GROUP, INC. COM 232949107 548,925 15,600 X 01 15,600 0 0
D.R.HORTON, INC. COM 23331A109 944,438 73,000 X 01 73,000 0 0
DAIN RAUSCHER CORP. COM 233856103 1,176,000 24,000 X 01 24,000 0 0
DONALDSON LUFKIN & JENRETTE COM 257661504 329,725 21,800 X 01 21,800 0 0
DYCOM INDS., INC. COM 267475101 1,012,500 24,000 X 01 24,000 0 0
E TEK DYNAMICS, INC. COM 269240107 1,041,600 19,200 X 01 19,200 0 0
ETOWN CORP. COM 269242103 942,875 19,000 X 01 19,000 0 0
EARTHGRAINS CO. COM 270319106 787,650 35,600 X 01 35,600 0 0
ELCOR CHEMICAL CORP. COM 284443108 472,500 18,900 X 01 18,900 0 0
ENTERCOM COMMUNICATIONS CORP. CL A 293639100 453,600 12,600 X 01 12,600 0 0
ENZON, INC. COM 293904108 469,700 15,400 X 01 15,400 0 0
EQUITABLE RESOURCES, INC. COM 294549100 593,656 15,700 X 01 15,700 0 0
ETHAN ALLEN INTERIORS, INC. COM 297602104 1,913,522 60,150 X 01 60,150 0 0
EXAR CORP. COM 300645108 497,919 13,300 X 01 13,300 0 0
EXODUS COMMUNICATIONS, INC. COM 302088109 1,585,375 22,000 X 01 22,000 0 0
FAIRCHILD SEMICONDUCTOR INT'L. CL A 303726103 366,600 15,600 X 01 15,600 0 0
FOOTSTAR, INC. COM 344912100 444,150 12,600 X 01 12,600 0 0
FOREST OIL CORP. COM 346091606 458,981 26,900 X 01 26,900 0 0
FULTON FINANCIAL CORP. COM 360271100 423,750 22,600 X 01 22,600 0 0
GST TELECOMMUNICATIONS, INC. COM 361942105 217,969 31,000 X 01 31,000 0 0
GALLAGHER (ARTHUR J.) & CO. COM 363576109 1,038,375 19,500 X 01 19,500 0 0
GILEAD SCIENCES, INC. COM 375558103 346,613 5,400 X 01 5,400 0 0
GOLD BANCCORP, INC. COM 379907108 311,063 31,500 X 01 31,500 0 0
GO2NET COM 383486107 343,175 5,300 X 01 5,300 0 0
GRAND UNION CO. COM 386532402 2,083,944 152,600 X 01 152,600 0 0
HCC INS HOLDINGS, INC. COM 404132102 524,550 31,200 X 01 31,200 0 0
HAMBRECHT & QUIST GROUP, INC. COM 406545103 1,712,813 35,000 X 01 35,000 0 0
HARMONIC, INC. COM 413160102 431,681 3,300 X 01 3,300 0 0
HELIX TECHNOLOGY CORP. COM 423319102 468,825 14,100 X 01 14,100 0 0
HENRY JACK & ASSOCIATES, INC. COM 426281101 945,600 25,600 X 01 25,600 0 0
HERTZ CORP. CL A 428040109 664,400 15,100 X 01 15,100 0 0
HOME PROPERTYS, INC. COM 437306103 427,000 16,000 X 01 16,000 0 0
ICG COMMUNICATIONS, INC. COM 449246107 306,581 19,700 X 01 19,700 0 0
IDEC PHARMACEUTICALS CORP. COM 449370105 376,125 4,000 X 01 4,000 0 0
INKTOMI CORP. COM 457277101 900,234 7,500 X 01 7,500 0 0
INNOTRAC CORP. COM 45767M109 802,588 44,900 X 01 44,900 0 0
INSIGHT COMMUNICATIONS, INC. CL A 45768V108 981,838 34,300 X 01 34,300 0 0
INTERGRATED ELECTRICAL SERVICESCOM 45811E103 569,250 36,000 X 01 36,000 0 0
THE INTERCEPT GROUP, INC. COM 45845L107 1,202,500 65,000 X 01 65,000 0 0
INTERMEDIA COMMUNICATIONS, INC.COM 458801107 317,550 14,600 X 01 14,600 0 0
INTUIT COM 461202103 823,969 9,400 X 01 9,400 0 0
JLG INDS., INC. COM 466210101 1,382,063 91,000 X 01 91,000 0 0
JONES INTERCABLE, INC. CL A 480206200 1,848,938 34,200 X 01 34,200 0 0
JONES PHARMA, INC. COM 480236108 942,906 28,600 X 01 28,600 0 0
JUNIPER NETWORKS, INC. COM 48203R104 766,653 4,000 X 01 4,000 0 0
KLA TENCOR CORP COM 482480100 1,066,000 16,400 X 01 16,400 0 0
KEMET CORP. COM 488360108 457,153 14,300 X 01 14,300 0 0
KING PHARMACEUTICALS, INC. COM 495582108 1,120,000 32,000 X 01 32,000 0 0
KNIGHT TRIMARK GROUP CL A 499067106 672,488 22,700 X 01 22,700 0 0
L 3 COMMUNICATIONS HLDG. CORP. COM 502424104 762,550 20,200 X 01 20,200 0 0
LAFARGE CORP COM 505862102 1,863,250 58,000 X 01 58,000 0 0
LAM RESH CORP. COM 512807108 414,800 6,800 X 01 6,800 0 0
LOUIS DREYFUS NATURAL GAS CORP.COM 546011107 677,425 31,600 X 01 31,600 0 0
LYCOS, INC. COM 550818108 1,072,675 21,400 X 01 21,400 0 0
M & T BANK CORP. COM 55261F104 1,698,300 3,700 X 01 3,700 0 0
M.D.C. HOLDINGS, INC. COM 552676108 825,563 51,000 X 01 51,000 0 0
MACDERMID, INC. COM 554273102 562,031 16,500 X 01 16,500 0 0
MACROMEDIA, INC. COM 556100105 1,430,625 35,000 X 01 35,000 0 0
MADDEN (STEVEN) LTD COM 556269108 408,825 31,600 X 01 31,600 0 0
MARKEL CORP. COM 570535104 1,274,438 7,000 X 01 7,000 0 0
MARTIN MARIETTA MATERIALS, INC.COM 573284106 850,669 21,300 X 01 21,300 0 0
MECH FINANCIAL, INC. COM 583492103 495,000 15,000 X 01 15,000 0 0
METROMEDIA FIBER NETWORK, INC. CL A 591689104 748,475 30,550 X 01 30,550 0 0
MIAMI COMPUTER SUPPLY CORP. COM 593261100 358,750 20,000 X 01 20,000 0 0
MIDCOAST ENERGY RESOURCES, INC.COM 59563W104 312,050 15,800 X 01 15,800 0 0
MIIX GROUP, INC. COM 59862V104 553,856 32,700 X 01 32,700 0 0
MILLENNIUM PHARMACEUTICALS COM 599902103 448,500 6,900 X 01 6,900 0 0
MINDSPRING ENTERPRISES, INC. COM 602683104 498,375 18,000 X 01 18,000 0 0
MISSION WEST PROPERTYS, INC. COM 605203108 794,813 94,200 X 01 94,200 0 0
MOHAWK INDS., INC. COM 608190104 578,188 29,000 X 01 29,000 0 0
MUSICMAKER COM., INC. COM 62757C108 208,313 20,200 X 01 20,200 0 0
MYERS IND., INC. COM 628464109 1,059,675 59,700 X 01 59,700 0 0
NATIONAL COMM. BANCORP COM 635449101 790,875 36,000 X 01 36,000 0 0
NATIONAL COMPUTER SYSTEMS, INC.COM 635519101 1,211,663 31,600 X 01 31,600 0 0
NATIONAL FUEL GAS CO. COM 636180101 594,563 12,600 X 01 12,600 0 0
NATIONAL R. V. HOLDINGS, INC. COM 637277104 939,113 47,550 X 01 47,550 0 0
NETWORK APPLIANCE, INC. COM 64120L104 1,790,625 25,000 X 01 25,000 0 0
NEWFIELD EXPL. CO. COM 651290108 642,281 19,500 X 01 19,500 0 0
NEWPORT NEWS SHIPBUILDING, INC.COM 652228107 487,919 15,100 X 01 15,100 0 0
NORTH FORK BANCORPORATION, INC.COM 659424105 1,466,400 75,200 X 01 75,200 0 0
FLOWERS.COM, INC. CL A 68243Q106 218,006 15,100 X 01 15,100 0 0
OPTICAL COATING LAB, INC. COM 683829105 395,869 4,300 X 01 4,300 0 0
OPTIMAL ROBOTICS CORP. CL A 68388R208 1,170,000 65,000 X 01 65,000 0 0
OTTER TAIL POWER CO. COM 689648103 233,750 5,500 X 01 5,500 0 0
PEOPLES HERITAGE FINANCIAL GROUCOM 711147108 2,163,711 130,148 X 01 130,148 0 0
PEPSI BOTTLING GROUP, INC. COM 713409100 853,125 50,000 X 01 50,000 0 0
PERVASIVE SOFTWARE, INC. COM 715710109 748,650 21,700 X 01 21,700 0 0
PLEXUS CORP. COM 729132100 1,120,875 36,600 X 01 36,600 0 0
PRIMUS TELECOMM GROUP, INC. COM 741929103 1,260,000 60,000 X 01 60,000 0 0
PRISON REALTY CORP. COM 74264N105 483,750 45,000 X 01 45,000 0 0
PROFIT RECOVERY GROUP INT'L., ICOM 743168106 1,137,938 25,500 X 01 25,500 0 0
PROVIDENTFINL GROUP, INC. COM 743866105 369,281 10,100 X 01 10,100 0 0
QLOGIC CORP. COM 747277101 1,298,513 18,600 X 01 18,600 0 0
REAL NETWORKS, INC. COM 75605L104 836,500 8,000 X 01 8,000 0 0
RECKSON ASSOCS. REALTY CORP. COM 75621K106 524,475 25,200 X 01 25,200 0 0
RED HAT, INC. COM 756577102 336,000 3,500 X 01 3,500 0 0
REINSURANCE GROUP OF AMERICA, ICOM 759351109 411,128 16,005 X 01 16,005 0 0
ROSS STORES, INC. COM 778296103 724,500 36,000 X 01 36,000 0 0
RUBY TUESDAY, INC. COM 781182100 733,200 37,600 X 01 37,600 0 0
SDL, INC. COM 784076101 1,060,744 13,900 X 01 13,900 0 0
SALEM COMMUNICATIONS CORP. CL A 794093104 400,350 15,700 X 01 15,700 0 0
SCIENTIFIC ATLANTA, INC. COM 808655104 451,019 9,100 X 01 9,100 0 0
SEMTECH CORP. COM 816850101 413,863 11,300 X 01 11,300 0 0
SEPRACOR, INC. COM 817315104 513,400 6,800 X 01 6,800 0 0
SHAW INDS., INC. COM 820286102 1,031,875 65,000 X 01 65,000 0 0
SHOPKO STORES, INC. COM 824911101 913,500 31,500 X 01 31,500 0 0
SOUTHDOWN, INC. COM 841297104 1,653,150 30,900 X 01 30,900 0 0
SPARTECH CORP. COM 847220209 876,444 29,900 X 01 29,900 0 0
STATE AUTO FINANCIAL CORP. COM 855707105 471,500 46,000 X 01 46,000 0 0
STONE ENERGY CORP. COM 861642106 798,738 15,700 X 01 15,700 0 0
TNP ENTERPRISES, INC. COM 872594106 1,207,063 31,000 X 01 31,000 0 0
TEREX CORP. COM 880779103 875,700 27,800 X 01 27,800 0 0
THOR INDS., INC. COM 885160101 1,861,500 73,000 X 01 73,000 0 0
TOOTSIE ROLL INDS., INC. COM 890516107 345,845 10,520 X 01 10,520 0 0
TRANSWITCH CORP. COM 894065101 393,300 6,900 X 01 6,900 0 0
U S CONCRETE, INC. COM 90333L102 446,875 55,000 X 01 55,000 0 0
UNITED PAYORS & UNITED PROVIDERCOM 911319101 1,046,044 59,350 X 01 59,350 0 0
U S TRUST CORP. COM 91288L105 2,129,938 26,500 X 01 26,500 0 0
USWEB CORP. COM 917327108 1,197,506 34,900 X 01 34,900 0 0
VALASSIS COMMUNICATIONS, INC. COM 918866104 4,178,456 95,100 X 01 95,100 0 0
VALLEY NATIONAL BANCORP COM 919794107 1,462,650 58,800 X 01 58,800 0 0
VERISIGN, INC. COM 92343E102 1,533,600 14,400 X 01 14,400 0 0
VERITAS DGC, INC. COM 92343P107 1,155,000 60,000 X 01 60,000 0 0
WADDELL & REED FINANCIAL, INC. CL A 930059100 887,500 40,000 X 01 40,000 0 0
WINSTAR COMMUNICATIONS, INC. COM 975515107 343,750 8,800 X 01 8,800 0 0
XILINX, INC. COM 983919101 2,359,125 36,000 X 01 36,000 0 0
XIRCOM, INC. COM 983922105 2,851,525 66,800 X 01 66,800 0 0
YAHOO, INC. COM 984332106 1,093,335 6,091 X 01 6,091 0 0
YOUNG & RUBICAM, INC. COM 987425105 902,000 20,500 X 01 20,500 0 0
ZALE CORP. COM 988858106 2,693,369 70,300 X 01 70,300 0 0
ZIONS BANCORP. COM 989701107 1,543,500 28,000 X 01 28,000 0 0
157,465,392
168 ITEMS
</TABLE>
