THIS DOCUMENT IS A COPY OF THE FORM 13F FILED ON MAY 14, 1999 PURSUANT TO A
RULE 201 TEMPORARY HARDSHIP EXEMPTION.
FILE NO.: 28-652
INFORMATION REQUIRED OF INSTITUTIONAL INVESTMENT MANAGERS
PURSUANT TO SECTION 13(f) OF THE SECURITIES EXCHANGE ACT
OF 1934 AND RULES THEREUNDER
Securities and Exchange Commission
Washington, D.C. 20549
Report for the Quarter Ended March 31, 1999
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(Please read instructions before preparing form)
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If amended report check here: /__/
Name of Institutional Investment Manager: Schroder & Co. Inc.
Business Address:
Street: 787 Seventh Avenue City: New York State: New York Zip: 10019-6016
Name, Phone No. and Title of Person Duly Authorized to Submit This Report:
Patrick J. Borruso, Secretary (212) 492-6000
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ATTENTION--Intentional misstatements or omissions of facts constitute Federal
Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff (a).
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The institutional investment manager submitting this Form and its
attachments and the person by whom it is signed represent hereby that all
information contained therein is true, correct, and complete. It is understood
that all required items, statements and schedules are considered integral parts
of this Form and that the submission of any amendment represents that all
unamended items, statements and schedules remain true, correct and complete as
previously submitted.
Pursuant to the requirements of the Securities Exchange Act of 1934, the
undersigned institutional investment manager has caused this report to be signed
on its behalf in the City of New York and State of New York as of the 14th day
of May, 1999.
Schroder & Co. Inc.
(Name of Institutional Investment Manager)
By: /s/ Patrick J. Borruso
Name and 13F file numbers of ALL Institutional Investment Managers with respect
to which this schedule is filed (other than the one filing this report). (List
in alphabetical order.)
13F File Numbers will be assigned to Institutional Investment Managers
after they file their first report.
Name: 13F File No.
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Page 1 of 393 Pages
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FORM 13F INFORMATION TABLE
COL-
UMN COLUMN
COLUMN 1 2 COLUMN 3 COLUMN 4 COLUMN 5 6 COLUMN 7 COLUMN 8
- ------------------------ ---- --------- --------- ---------------------- -------- -------- ----------------------------------
INVEST- VOTING AUTHORITY
TITLE MENT ---------------------------------
NAME OF ISSUER OF VALUE SHRS OR SH/ PUT/ DISCRE- OTHER
CLASS CUSIP (X$1000) PRN AMT PRN CALL TION MANAGERS SOLE SHARED NONE
- ------------------------ ----- --------- --------- ---------- --- ----- -------- -------- ---------- --------- ----------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
DAIMLERCHRYSLER AG ORD COM D1668R123 438 5,106 SH SHAR X 5,106
GLOBALSTAR TELECOMMUNICA COM G3930H104 374 27,016 SH SHAR X 27,016
LORAL SPACE & COMMUNICAT COM G56462107 643 44,600 SH SHAR X 44,600
PARTNERRE LTD. COM COM G6852T105 352 8,700 SH SHAR X 8,700
XL CAPITAL LTD COM G98255105 520 8,573 SH SHAR X 8,573
STOLT COMEX SEAWAY SA CO COM L8873E103 153 15,918 SH SHAR X 918 15,000
GILAT SATELLITE NETWORKS COM M51474100 216 3,600 SH SHAR X 3,600
AES CORP DEBT 00130HAN5 1,576 1,625,000 SH SHAR X 1,625,000
AT&T CORP COM COM 001957109 7,837 98,198 SH SHAR X 98,198
AT&T CORP COM 001957208 6,409 121,871 SH SHAR X 768 121,103
AASTROM BIOSCIENCES INC COM 00253U107 42 17,500 SH SHAR X 17,500
ABBOTT LABS COM COM 002824100 1,958 41,836 SH SHAR X 41,836
ADOBE SYS INC COM COM 00724F101 1,027 18,100 SH SHAR X 18,100
AGOURON PHARMACEUTICALS COM 008488108 203 3,600 SH SHAR X 3,600
AIRBORNE FGHT CORP COM COM 009266107 248 8,019 SH SHAR X 8,019
AIRTOUCH COMMUNICATIONS COM 00949T100 2,485 25,727 SH SHAR X 25,727
ALLIED SIGNAL INC COM COM 019512102 1,857 37,766 SH SHAR X 37,766
ALTERNATIVE LIVING SVCS DEBT 02145KAB3 3,982 4,401,000 SH SHAR X 4,401,000
ALTERNATIVE LIVING SVCS DEBT 02145KAC1 2,803 2,500,000 SH SHAR X 2,500,000
ALZA CORP COM COM 022615108 1,375 35,955 SH SHAR X 35,955
ALZA CORP DEBT 022615AD0 1,200 1,035,000 SH SHAR X 1,000,000 35,000
AMERADA HESS CORP COM COM 023551104 783 15,400 SH SHAR X 15,400
AMERICA ONLINE INC DEL C COM 02364J104 10,960 74,562 SH SHAR X 74,562
AMERICA ONLINE INC DEL C OPT 02364J 2,058 14,000 SH SHAR X 14,000
AMERICAN BANKERS INS GRO OPT 024456 1,008 19,400 SH SHAR X 19,400
AMERICAN EXPRESS CO COM COM 025816109 5,345 45,395 SH SHAR X 45,395
AMERICAN GEN CORP COM COM 026351106 297 4,219 SH SHAR X 4,219
AMERICAN HOME PRODS CORP COM 026609107 6,278 96,219 SH SHAR X 96,219
AMERICAN INTL GROUP INC COM 026874107 30,172 250,136 SH SHAR X 250,136
AMERICAN MEDIA INC COM 02744L100 106 18,600 SH SHAR X 18,600
AMERICAN MOBILE SATELLIT COM 02755R103 75 10,000 SH SHAR X 10,000
AMERICAN RETIREMENT CORP DEBT 028913AA9 2,829 3,450,000 SH SHAR X 3,225,000 225,000
AMERICAN STORES CO NEW C COM 030096101 1,514 45,880 SH SHAR X 45,400 480
AMERITECH CORP NEW COM COM 030954101 1,656 28,740 SH SHAR X 600 28,140
AMGEN INC COM COM 031162100 2,835 37,872 SH SHAR X 432 37,440
AMNEX INC COM 031674203 10 40,000 SH SHAR X 40,000
AMP INC COM COM 031897101 3,210 60,000 SH SHAR X 59,800 200
ANALOG DEVICES INC COM COM 032654105 200 6,731 SH SHAR X 6,731
ANALOGY INC COM COM 032659104 93 26,738 SH SHAR X 26,738
APPLIED MATLS INC COM COM 038222105 320 5,200 SH SHAR X 5,200
ARCHER DANIELS MIDLAND C COM 039483102 192 13,125 SH SHAR X 13,125
ASCEND COMMUNICATIONS IN COM 043491109 2,647 31,630 SH SHAR X 27,600 4,030
ASIA PACIFIC RES LTD COM COM 044902104 43 24,000 SH SHAR X 24,000
ASSISTED LIVING CONCEPTS DEBT 04543LAD1 1,355 2,534,000 SH SHAR X 2,484,000 50,000
ASSISTED LIVING CONCEPTS DEBT 04543LAE9 3,756 7,570,000 SH SHAR X 7,570,000
ATLANTIC RICHFIELD CO CO COM 048825103 1,462 19,994 SH SHAR X 19,994
AUTOMATIC DATA PROCESSIN COM 053015103 570 13,800 SH SHAR X 13,800
AVERY DENNISON CORP COM COM 053611109 1,541 26,800 SH SHAR X 26,800
AVIRON DEBT 053762AA8 214 250,000 SH SHAR X 250,000
AVIRON DEBT 053762AC4 2,688 3,135,000 SH SHAR X 3,135,000
BP AMOCO PLC COM 055622104 1,634 16,187 SH SHAR X 16,187
BANK NEW YORK INC COM COM 064057102 1,768 49,200 SH SHAR X 49,200
BANK ONE CORP COM COM 06423A103 796 14,458 SH SHAR X 14,458
BANKAMERICA CORP NEW COM COM 06605F102 1,986 28,130 SH SHAR X 28,130
BANKBOSTON CORP COM COM 06605R106 389 8,982 SH SHAR X 8,982
BARRICK GOLD CORP COM COM 067901108 949 55,660 SH SHAR X 55,660
BAXTER INTL INC COM COM 071813109 1,506 22,823 SH SHAR X 22,823
BAYARD DRILLING TECHNOLO COM 072700107 142 22,800 SH SHAR X 22,800
BECTON DICKINSON & CO CO COM 075887109 989 25,825 SH SHAR X 25,825
BELL ATLANTIC CORP COM COM 077853109 1,286 24,892 SH SHAR X 24,892
BELLSOUTH CORP COM COM 079860102 1,170 29,228 SH SHAR X 29,228
BERINGER WINE ESTATES HL COM 084102102 579 15,936 SH SHAR X 736 15,200
BERKSHIRE HATHAWAY INC D COM 084670207 2,266 964 SH SHAR X 964
BESTFOODS COM COM 08658U101 4,716 100,360 SH SHAR X 100,360
BOEING CO COM COM 097023105 1,762 51,832 SH SHAR X 51,832
BOSTON SCIENTIFIC CORP C COM 101137107 901 22,200 SH SHAR X 22,200
BRASS EAGLE INC COM COM 10553F106 180 10,000 SH SHAR X 10,000
BRISTOL MYERS SQUIBB CO COM 110122108 4,405 68,708 SH SHAR X 68,708
BROWN FORMAN CORP COM 115637100 324 6,000 SH SHAR X 6,000
BROWN TOM INC COM 115660201 151 12,492 SH SHAR X 142 12,350
BURLINGTON NORTHN SANTA COM 12189T104 1,287 39,156 SH SHAR X 39,156
BURLINGTON RES INC COM COM 122014103 1,137 28,478 SH SHAR X 28,478
CCA COS INC COM COM 124863101 14 12,000 SH SHAR X 12,000
CBS CORP COM COM 12490K107 1,492 36,573 SH SHAR X 36,573
CIGNA HIGH INCOME SHS COM 12551D109 158 21,500 SH SHAR X 21,500
CMGI INC COM COM 125750109 585 3,200 SH SHAR X 2,000 1,200
CMGI INC COM OPT 125750 366 2,000 SH SHAR X 2,000
CNF TRANSN INC COM COM 12612W104 271 7,190 SH SHAR X 7,190
CSX CORP COM COM 126408103 256 6,580 SH SHAR X 6,580
CVS CORP COM COM 126650100 950 20,000 SH SHAR X 20,000
CAMPBELL SOUP CO COM COM 134429109 215 5,300 SH SHAR X 5,300
CANANDAIGUA BRANDS INC C COM 137219200 326 6,485 SH SHAR X 3,735 2,750
CANDIES INC COM COM 137409108 33 10,000 SH SHAR X 10,000
CARIBINER INTL INC COM COM 141888107 187 20,500 SH SHAR X 20,500
CARNIVAL CORP COM COM 143658102 1,068 22,000 SH SHAR X 22,000
CARRIZO OIL & GAS INC CO COM 144577103 155 138,263 SH SHAR X 136,063 2,200
CENTENNIAL HEALTHCARE CO COM 150937100 532 60,000 SH SHAR X 60,000
CENTERTRUST RETAIL PPTYS DEBT 152038AA3 1,933 2,085,000 SH SHAR X 2,085,000
CENTURA BKS INC COM COM 15640T100 1,806 31,043 SH SHAR X 31,043
CENTURY COMMUNICATIONS C COM 156503104 1,198 25,800 SH SHAR X 25,800
CENTURY TEL ENTERPRISES COM 156686107 1,886 26,849 SH SHAR X 26,849
CHANCELLOR MEDIA CORP COM 158915108 1,001 21.250 SH SHAR X 21,250
CHASE MANHATTAN CORP NEW COM 16161A108 2,444 30,042 SH SHAR X 30,042
CHESAPEAKE ENERGY CORP C COM 165167107 27 20,000 SH SHAR X 20,000
CHEVRON CORP COM COM 166751107 1,580 17,805 SH SHAR X 17,805
CHRYSALIS INTL CORP COM COM 171188105 11 19,320 SH SHAR X 19,320
CHUBB CORP COM COM 171232101 2,231 38,100 SH SHAR X 38,100
CINERGY CORP COM COM 172474108 308 11,232 SH SHAR X 11,232
CISCO SYS INC COM COM 17275R102 3,609 32,946 SH SHAR X 32,946
CINTAS CORP COM COM 172908105 7,781 119,035 SH SHAR X 119,035
CITIGROUP INC COM COM 172967101 5,740 89,874 SH SHAR X 89,874
CLEAR CHANNEL COMMUNICAT COM 184502102 392 5,850 SH SHAR X 5,850
COAST FED LITIGATION CON COM 19034Q110 1,057 178,100 SH SHAR X 178,000 100
COCA COLA CO COM COM 191216100 5,635 91,816 SH SHAR X 91,816
COFLEXIP COM 192384105 433 12,579 SH SHAR X 12,579
COLGATE PALMOLIVE CO COM COM 194162103 4,162 45,246 SH SHAR X 45,246
COMCAST CORP COM 200300200 392 6,232 SH SHAR X 32 6,200
COMFORCE CORP COM COM 20038K109 66 17,400 SH SHAR X 17,400
COMPAQ COMPUTER CORP COM COM 204493100 509 16,080 SH SHAR X 16,080
COMPUTER ASSOC INTL INC COM 204912109 356 10,025 SH SHAR X 10,025
COMPUTER SCIENCES CORP C COM 205363104 1,227 22,250 SH SHAR X 22,250
COMSAT CORP COM 20564D107 353 12,200 SH SHAR X 12,200
CONSOLIDATED EDISON INC COM 209115104 252 5,568 SH SHAR X 5,568
COSTCO COS INC COM COM 22160Q102 581 6,351 SH SHAR X 2,500 3,851
COSTCO COS INC COM OPT 22160Q 228 2,500 SH SHAR X 2,500
CROWN CORK & SEAL INC CO COM 228255105 782 27,400 SH SHAR X 27,400
DAYTON HUDSON CORP COM COM 239753106 666 10,000 SH SHAR X 10,000
DEERE & CO COM COM 244199105 361 9,350 SH SHAR X 9,350
DELL COMPUTER CORP COM COM 247025109 1,932 47,280 SH SHAR X 20,000 27,280
DELL COMPUTER CORP COM OPT 247025 858 21,000 SH SHAR X 20,000 1,000
DELTA $ PINE LD CO COM COM 247357106 1,395 45,382 SH SHAR X 45,382
DEXTER CORP COM COM 252165105 1,265 40,175 SH SHAR X 40,175
DILLARDS INC COM 254067101 304 12,000 SH SHAR X 12,000
DISNEY WALT CO COM COM 254687106 6,536 210,003 SH SHAR X 210,003
DOW JONES & CO INC COM COM 260561105 252 5,350 SH SHAR X 5,350
DU PONT E I DE NEMOURS & COM 263534109 2,809 48,390 SH SHAR X 48,390
DUFF & PHELPS CR RATING COM 26432F109 1,167 22,300 SH SHAR X 22,300
DUFF & PHELPS UTILS INCO COM 264324104 377 35,160 SH SHAR X 35,160
DUFF & PHELPS UTILS TAX COM 264325101 324 19,300 SH SHAR X 19,300
DUKE ENERGY CORP COM COM 264399106 966 17,632 SH SHAR X 17,632
DUN & BRADSTREET CORP DE COM 26483B106 561 15,752 SH SHAR X 15,752
E4L INC COM COM 268452109 83 10,000 SH SHAR X 10,000
E M C CORP MASS COM COM 268648102 574 4,500 SH SHAR X 4,500
EAGLE HARDWARE & GARDEN COM 26959B101 736 19,286 SH SHAR X 19,286
EASTERN ENTERPRISES COM COM 27637F100 258 7,100 SH SHAR X 7,100
EASTMAN KODAK CO COM COM 277461109 1,352 21,177 SH SHAR X 21,177
ECOSCIENCE CORP COM 279218200 48 18,606 SH SHAR X 18,606
ELECTRONIC ARTS COM COM 285512109 441 9,300 SH SHAR X 9,300
EMERSON ELEC CO COM COM 291011104 902 17,043 SH SHAR X 17,043
ENRON CORP COM COM 293561106 3,063 47,688 SH SHAR X 47,688
EQUITY RESIDENTIAL PPTYS COM 29476L107 224 5,450 SH SHAR X 5,450
ERICSSON L M TEL CO COM 294821400 679 28,550 SH SHAR X 28,550
EVANS & SUTHERLAND COMPU COM 299096107 283 23,653 SH SHAR X 6,453 17,200
EXCITE INC COM COM 300904109 385 2,750 SH SHAR X 2,750
EXCITE INC COM OPT 300904 700 5,000 SH SHAR X 5,000
EXXON CORP COM COM 302290101 5,951 84,347 SH SHAR X 84,347
FPL GROUP INC COM COM 302571104 813 15,274 SH SHAR X 15,274
FDX CORP COM COM 31304N107 2,633 28,315 SH SHAR X 28,315
FEDERAL HOME LN MTG CORP COM 313400301 366 6,403 SH SHAR X 6,403
FANNIE MAE COM COM 313586109 1,788 25,824 SH SHAR X 25,824
FERROFLUIDICS CORP COM 315414201 46 16,377 SH SHAR X 16,377
FINANCIAL FED CORP COM COM 317492106 1,523 80,178 SH SHAR X 80,178
FIRST AUSTRALIA PRIME IN COM 318653102 438 71,638 SH SHAR X 71,638
FIRST TENN NATL CORP COM COM 337162101 329 9,000 SH SHAR X 9,000
FIRST UN CORP COM COM 337358105 2,482 46,452 SH SHAR X 46,452
FLEET FINL GROUP INC NEW COM 338915101 1,979 52,616 SH SHAR X 52,616
FLEET FINL GROUP INC NEW 338915119 490 14,000 SH SHAR X 14,000
FORD MTR CO DEL COM COM 345370100 715 12,630 SH SHAR X 12,630
FORE SYS INC COM COM 345449102 355 18,800 SH SHAR X 18,800
G&L RLTY CORP COM COM 361271109 567 46,300 SH SHAR X 46,300
GATX CORP COM COM 361448103 317 9,654 SH SHAR X 9,654
GC COS INC COM COM 36155Q109 256 8,160 SH SHAR X 8,160
GTE CORP COM COM 362320103 2,997 49,545 SH SHAR X 49,545
GANNETT INC COM COM 364730101 2,869 45,550 SH SHAR X 45,550
GAP INC COM COM 364760108 2,339 34,750 SH SHAR X 34,750
GARTNER GROUP INC NEW COM 366651107 279 12,400 SH SHAR X 12,400
GEHL CO COM COM 368483103 308 20,938 SH SHAR X 20,938
GENERAL ELEC CO COM COM 369604103 7,742 69,992 SH SHAR X 69,992
GENERAL MLS INC COM COM 370334104 2,992 39,600 SH SHAR X 39,600
GENERAL MTRS CORP COM COM 370442105 483 5,554 SH SHAR X 5,554
GENERAL MTRS CORP COM 370442832 444 8,816 SH SHAR X 8,816
GENERAL NUTRITION COS IN COM 37047F103 179 12,845 SH SHAR X 1,345 11,500
GEOCITIES COM COM 37247V106 482 4,400 SH SHAR X 4,400
GENZYME CORP DEBT 372917AF1 230 160,000 SH SHAR X 160,000
GILLETTE CO COM COM 375766102 1,190 20,032 SH SHAR X 20,032
GLAXO WELLCOME PLC COM 37733W105 2,431 36,331 SH SHAR X 36,331
GOLDEN ST BANCORP INC 381197136 184 38,177 SH SHAR X 38,177
GRACE W R & CO DEL NEW C COM 38388F108 383 31,600 SH SHAR X 31,200 400
GRANITE CONSTR INC COM COM 387328107 362 15,490 SH SHAR X 15,490
GRUPO TRIBASA S A DE C V COM 40049F105 15 10,000 SH SHAR X 10,000
GRUPO TELEVISA S A DE CV COM 40049J206 329 10,500 SH SHAR X 10,500
HAHN AUTOMOTIVE WAREHOUS COM 405191107 816 466,604 SH SHAR X 460,604 6,000
HALLIBURTON CO COM COM 406216101 332 8,646 SH SHAR X 8,646
HARCOURT GEN INC COM COM 41163G101 5,469 123,425 SH SHAR X 123,425
HARTFORD FINL SVCS GROUP COM 416515104 2,125 37,410 SH SHAR X 37,410
HAWK CORP COM 420089104 108 13,500 SH SHAR X 13,500
HEINZ H J CO COM COM 423074103 1,037 21,910 SH SHAR X 1,000 20,910
HERSHEY FOODS CORP COM COM 427866108 285 5,100 SH SHAR X 5,100
HEWLETT PACKARD CO COM COM 428236103 3,117 45,970 SH SHAR X 45,970
HILTON HOTELS CORP COM COM 432848109 1,816 129,150 SH SHAR X 129,150
HOME DEPOT INC COM COM 437076102 3,273 52,592 SH SHAR X 52,592
HOUSEHOLD INTL INC COM COM 441815107 219 4,806 SH SHAR X 4,806
HURRICANE HYDROCARBONS L COM 44779E106 9 15,000 SH SHAR X 15,000
ICOS CORP COM COM 449295104 253 7,500 SH SHAR X 7,500
ICOS CORP COM OPT 449295 337 10,000 SH SHAR X 10,000
IMS HEALTH INC COM COM 449934108 1,076 32,504 SH SHAR X 32,504
IRT PPTY CO COM COM 450058102 105 11,962 SH SHAR X 11,962
IXC COMMUNICATIONS INC C COM 450713102 366 7,979 SH SHAR X 6,479 1,500
ILLINOIS TOOL WKS INC CO COM 452308109 6,732 108,810 SH SHAR X 108,810
IMPATH INC COM COM 45255G101 1,181 48,215 SH SHAR X 5,065 43,150
INFINITY BROADCASTING CO COM 45662S102 847 32,900 SH SHAR X 32,900
INTEL CORP COM COM 458140100 27,555 231,803 SH SHAR X 2,510 229,293
INTEL CORP COM OPT 458140 297 2,500 SH SHAR X 2,500
INTERNATIONAL BUSINESS M COM 459200101 7,508 42,359 SH SHAR X 42,359
INTERNATIONAL FLAVORS & COM 459506101 255 6,800 SH SHAR X 6,800
INTERNATIONAL PAPER CO C COM 460146103 257 6,097 SH SHAR X 6,097
INTERNATIONAL SPECIALTY COM 460337108 90 12,000 SH SHAR X 12,000
INTERPUBLIC GROUP COS IN COM 460690100 3,913 50,254 SH SHAR X 50,254
IVAX CORP DEBT 465823AA0 989 1,055,000 SH SHAR X 155,000 900,000
JACOR COMMUNICATIONS INC COM 469858401 928 12,220 SH SHAR X 150 12,070
JEFFERSON PILOT CORP COM COM 475070108 1,651 24,375 SH SHAR X 24,375
JOHNSON & JOHNSON COM COM 478160104 11,459 122,562 SH SHAR X 122,562
K N ENERGY INC COM COM 482620101 1,000 50,200 SH SHAR X 50,200
KANSAS CITY SOUTHN INDS COM 485170104 220 3,875 SH SHAR X 3,875
KELLOGG CO COM COM 487836108 1,075 31,800 SH SHAR X 31,800
KELLY SVCS INC COM 488152208 481 17,350 SH SHAR X 17,350
KEYSPAN ENERGY COM COM 49337K106 631 25,116 SH SHAR X 25,116
KIMBERLY CLARK CORP COM COM 494368103 7,264 151,537 SH SHAR X 151,537
LTC PPTYS INC DEBT 502175AE2 830 1,000,000 SH SHAR X 1,000,000
LAM RESH CORP DEBT 512807AB4 863 1,000,000 SH SHAR X 1,000,000
LEAR CORP COM COM 521865105 1,009 23,653 SH SHAR X 23,653
LEARNING CO INC COM COM 522008101 574 19,800 SH SHAR X 19,800
LEHMAN BROTHERS HLDGS IN COM 524908100 882 14,774 SH SHAR X 5,002 9,772
LEHMAN BROTHERS HLDGS IN OPT 524908 298 5,000 SH SHAR X 5,000
LEVEL ONE COMMUNICATIONS COM 527295109 1,806 37,155 SH SHAR X 37,155
LILLY ELI & CO COM COM 532457108 3,865 45,548 SH SHAR X 45,548
LINCOLN NATL CORP IND CO COM 534187109 305 3,090 SH SHAR X 3,090
LOEWS CORP COM COM 540424108 337 4,526 SH SHAR X 4,526
LOWES COS INC COM COM 548661107 586 9,700 SH SHAR X 9,600 100
LUCENT TECHNOLOGIES INC COM 549463107 3,040 28,152 SH SHAR X 28,152
LYCOS INC COM COM 550818108 464 5,400 SH SHAR X 2,700 2,700
LYCOS INC COM OPT 550818 232 2,700 SH SHAR X 2,700
LYONDELL CHEMICAL CO COM COM 552078107 246 17,995 SH SHAR X 17,995
MCI WORLDCOM INC COM COM 55268B106 1,603 18,101 SH SHAR X 161 17,940
MFS GOVT MKTS INCOME TR COM 552939100 63 10,000 SH SHAR X 10,000
MAGNA INTL INC COM 559222401 633 10,920 SH SHAR X 10,920
MALAN RLTY INVS INC DEBT 561063AA6 300 320,000 SH SHAR X 320,000
MANUFACTURED HOME CMNTYS COM 564682102 304 12,700 SH SHAR X 12,700
MASCO CORP COM COM 574599106 248 8,800 SH SHAR X 8,800
MATTEL INC COM COM 577081102 218 8,764 SH SHAR X 8,764
MATTEL INC COM OPT 577081 234 9,400 SH SHAR X 9,400
MAY DEPT STORES CO COM 577778103 517 13,224 SH SHAR X 13,224
MCDONALDS CORP COM COM 580135101 2,606 57,524 SH SHAR X 57,524
MCKESSON HBOC INC COM COM 58155Q103 336 5,100 SH SHAR X 5,100
MED/WASTE INC COM COM 583921101 130 43,647 SH SHAR X 43,647
MEDIAONE GROUP INC COM COM 58440J104 1,915 30,191 SH SHAR X 7,600 22,591
MEDTRONIC INC COM COM 585055106 431 6,000 SH SHAR X 5,000 1,000
MEDTRONIC INC COM OPT 585055 359 5,000 SH SHAR X 5,000
MELLON BK CORP COM COM 585509102 4,066 57,779 SH SHAR X 57,779
MERCK & CO INC COM COM 589331107 18,112 226,048 SH SHAR X 10 226,038
MEREDITH CORP COM COM 589433101 3,391 107,885 SH SHAR X 107,885
MERRILL LYNCH & CO INC C COM 590188108 1,077 12,175 SH SHAR X 3 12,172
MESABI TR COM 590672101 60 20,000 SH SHAR X 20,000
METALCLAD CORP COM COM 591142104 4 20,800 SH SHAR X 10,700 10,100
MEYER FRED INC DEL NEW C COM 592907109 1,754 29,800 SH SHAR X 29,800
MICROSOFT CORP COM COM 594918104 2,279 25,430 SH SHAR X 25,430
MICRON TECHNOLOGY INC CO COM 595112103 667 13,850 SH SHAR X 13,850
MINERALS TECHNOLOGIES IN COM 603158106 211 4,400 SH SHAR X 4,400
MINNESOTA MNG & MFG CO C COM 604059105 556 7,872 SH SHAR X 7,872
MIRAGE RESORTS INC COM COM 60462E104 255 12,040 SH SHAR X 12,040
MISSISSIPPI CHEM CORP COM 605288208 130 13,900 SH SHAR X 13,900
MOBIL CORP COM COM 607059102 6,260 71,142 SH SHAR X 13,200 57,942
MOBILE AMER CORP FLA COM 607235504 295 107,307 SH SHAR X 107,307
MONSANTO CO COM COM 611662107 3,393 73,866 SH SHAR X 7,000 66,866
MORGAN J P & CO INC COM COM 616880100 1,589 12,884 SH SHAR X 12,884
MORGAN STANLEY DEAN WITT COM 617446448 1,230 12,314 SH SHAR X 3 12,311
MORRISON KNUDSEN CORP NE COM 61844A109 109 11,000 SH SHAR X 11,000
MORRISON KNUDSEN CORP NE 61844A117 207 51,823 SH SHAR X 51,823
MOTOROLA INC COM COM 620076109 984 13,441 SH SHAR X 13,441
MURPHY OIL CORP COM COM 626717102 356 8,590 SH SHAR X 8,590
NAVISTAR INTL CORP NEW C OPT 63934E 200 5,000 SH SHAR X 5,000
NEW AMER HIGH INCOME FD COM 641876107 99 22,500 SH SHAR X 22,500
NEW PLAN EXCEL RLTY TR I COM 648053106 209 10,920 SH SHAR X 10,920
NEW YORK TIMES CO COM 650111107 269 9,440 SH SHAR X 9,440
NEWMONT MNG CORP COM COM 651639106 234 13,414 SH SHAR X 13,414
NEWS CORP LTD COM 652487703 2,342 79,399 SH SHAR X 79,399
NEWS CORP LTD COM 652487802 15,354 558,361 SH SHAR X 558,361
NOEL GROUP INC COM COM 655260107 61 61,800 SH SHAR X 61,800
NORFOLK SOUTHN CORP COM COM 655844108 371 14,100 SH SHAR X 14,100
NORTHERN TR CORP COM COM 665859104 1,198 13,500 SH SHAR X 13,500
NUVEEN N Y QUALITY INCOM COM 670986108 176 10,800 SH SHAR X 10,800
OFFICEMAX INC COM COM 67622M108 90 10,500 SH SHAR X 10,500
OFFICE DEPOT INC DEBT 676220AA4 229 232,000 SH SHAR X 232,000
PPG INDS INC COM COM 693506107 247 4,825 SH SHAR X 4,825
PANAVISION INC COM 69830E209 175 19,598 SH SHAR X 19,598
PARADIGM GEOPHYSICAL LTD COM 69900J104 115 23,060 SH SHAR X 23,060
PARK PL ENTMT CORP COM COM 700690100 955 126,350 SH SHAR X 126,350
PARKER HANNIFIN CORP COM COM 701094104 635 18,562 SH SHAR X 18,562
PEPSICO INC COM COM 713448108 7,015 179,024 SH SHAR X 179,024
PERKIN ELMER CORP COM COM 714041100 1,329 13,700 SH SHAR X 13,700
PHARMACIA & UPJOHN INC C COM 716941109 2,238 35,895 SH SHAR X 35,895
PFIZER INC COM COM 717081103 9,780 70,487 SH SHAR X 70,487
PHILADELPHIA SUBN CORP COM 718009608 440 19,432 SH SHAR X 19,432
PHILIP MORRIS COS INC CO COM 718154107 3,700 105,150 SH SHAR X 105,150
PHILIP MORRIS COS INC CO OPT 718154 263 7,500 SH SHAR X 7,500
PIONEER COS INC COM COM 723643102 69 16,421 SH SHAR X 16,421
PIONEER HI BRED INTL INC COM 723686101 15,386 408,950 SH SHAR X 6,200 402,750
PITNEY BOWES INC COM COM 724479100 650 10,200 SH SHAR X 10,200
PLAYERS INTL INC COM COM 727903106 167 26,800 SH SHAR X 26,800
POGO PRODUCING CO COM COM 730448107 1,645 126,600 SH SHAR X 126,600
POGO PRODUCING CO DEBT 730448AE7 544 715,000 SH SHAR X 715,000
PRECISION SYS INC COM COM 740329107 18 24,040 SH SHAR X 24,040
PRIMUS TELECOMMUNICATION COM 741929103 507 50,120 SH SHAR X 50,120
PROCTER & GAMBLE CO COM COM 742718109 3,021 30,852 SH SHAR X 30,852
PROGRESSIVE CORP OHIO CO COM 743315103 2,773 19,330 SH SHAR X 19,330
PROTECTIVE LIFE CORP COM COM 743674103 1,568 41,400 SH SHAR X 41,400
QUAKER OATS CO COM COM 747402105 224 3,600 SH SHAR X 3,600
QUALCOMM INC COM COM 747525103 541 4,350 SH SHAR X 4,350
QUALITY DINING INC COM COM 74756P105 30 10,650 SH SHAR X 1,350 9,300
QUICKTURN DESIGN SYS INC COM 74838E102 757 53,600 SH SHAR X 53,600
R & B FALCON CORP COM 74912E101 208 24,200 SH SHAR X 24,200
R J R NABISCO HLDGS CORP OPT 74960K 1,202 42,000 SH SHAR X 42,000
RAINBOW TECHNOLOGIES INC COM 750862104 176 17,671 SH SHAR X 10,671 7,000
RALSTON PURINA CO COM 751277302 337 12,650 SH SHAR X 12,650
RAYTHEON CO COM 755111309 307 5,326 SH SHAR X 5,326
RAYTHEON CO COM 755111408 1,904 32,480 SH SHAR X 32,480
REGIONS FINL CORP COM COM 758940100 308 8,900 SH SHAR X 8,900
RELIANT ENERGY INC COM COM 75952J108 234 8,999 SH SHAR X 8,999
RELIASTAR FINL CORP COM COM 75952U103 236 5,538 SH SHAR X 5,538
RENT-WAY INC DEBT 76009UAB0 449 250,000 SH SHAR X 250,000
REUTERS GROUP PLC COM 76132M102 2,096 24,135 SH SHAR X 24,135
REYNOLDS METALS CO COM COM 761763101 376 7,800 SH SHAR X 7,800
REYNOLDS METALS CO COM OPT 761763 541 11,200 SH SHAR X 11,200
ROBBINS & MYERS INC DEBT 770196AA1 231 252,000 SH SHAR X 252,000
ROYAL DUTCH PETE CO COM 780257804 10,579 203,450 SH SHAR X 55,000 148,450
SBC COMMUNICATIONS INC C COM 78387G103 1,878 39,804 SH SHAR X 39,804
SLM HLDG CORP COM COM 78442A109 542 13,000 SH SHAR X 13,000
SPDR TR COM 78462F103 468 3,648 SH SHAR X 3,648
SABRE GROUP HLDGS INC COM 785905100 878 19,350 SH SHAR X 19,350
SARA LEE CORP COM COM 803111103 367 14,838 SH SHAR X 14,838
SCHERING PLOUGH CORP COM COM 806605101 6,894 124,781 SH SHAR X 124,781
SCHLUMBERGER LTD COM COM 806857108 3,572 59,355 SH SHAR X 59,355
SCHWAB CHARLES CORP NEW COM 808513105 557 5,803 SH SHAR X 3 5,800
SCIENTIFIC ATLANTA INC C COM 808655104 1,136 41,700 SH SHAR X 41,700
SEAGRAM LTD COM COM 811850106 2,160 43,200 SH SHAR X 43,200
SERVICE CORP INTL COM COM 817565104 290 20,400 SH SHAR X 20,400
SERVICEMASTER CO COM COM 81760N109 295 14,543 SH SHAR X 14,543
SMITHKLINE BEECHAM P L C COM 832378301 4,123 57,675 SH SHAR X 57,675
SOUTHERN PAC PETE N L COM 843581307 77 20,668 SH SHAR X 10,668 10,000
SOUTHWEST GAS CORP COM COM 844895102 374 13,600 SH SHAR X 13,600
SPRINT CORP COM COM 852061100 531 5,415 SH SHAR X 5,415
STAPLES INC COM COM 855030102 577 17,558 SH SHAR X 17,558
STARBUCKS CORP COM COM 855244109 782 27,886 SH SHAR X 27,886
STARWOOD HOTELS & RESORT COM 85590A203 206 7,225 SH SHAR X 7,225
STIMSONITE CORP COM COM 860832104 80 10,000 SH SHAR X 10,000
STONE CONTAINER CORP DEBT 861589AE9 506 622,000 SH SHAR X 622,000
SUMMIT BANCORP COM COM 866005101 300 7,701 SH SHAR X 7,701
SUN MICROSYSTEMS INC COM COM 866810104 2,544 20,345 SH SHAR X 2,000 18,345
SUNBEAM CORP DEL NEW DEBT 867071AA0 93 826,000 SH SHAR X 826,000
SUNDSTRAND CORP COM COM 867323107 1,556 22,400 SH SHAR X 17,200 5,200
SUNRISE ASSISTED LIVING DEBT 86768KAC0 4,244 3,185,000 SH SHAR X 3,185,000
SUNTRUST BKS INC COM COM 867914103 1,415 22,746 SH SHAR X 22,746
SWIFT TRANSN INC COM COM 870756103 298 11,668 SH SHAR X 11,118 550
SYMANTEC CORP COM COM 871503108 289 17,106 SH SHAR X 1,906 15,200
SYSCO CORP COM COM 871829107 297 11,310 SH SHAR X 11,310
TCW / DW TERM TR 2003 COM 87234U108 141 15,050 SH SHAR X 15,050
TELECOMUNICACOES BRASILE COM 879287308 322 3,994 SH SHAR X 3,994
TELEPHONE & DATA SYS INC COM 879433100 586 10,400 SH SHAR X 10,400
TELESCAN INC COM COM 879516102 226 13,200 SH SHAR X 13,200
TELXON CORP COM COM 879700102 285 30,200 SH SHAR X 30,200
TEMPLE-INLAND INC COM COM 879868107 1,328 21,175 SH SHAR X 21,175
TEVA PHARMACEUTICAL INDS COM 881624209 1,119 23,600 SH SHAR X 23,600
TEXACO INC COM COM 881694103 2,912 51,327 SH SHAR X 51,327
TEXAS INSTRS INC COM COM 882508104 418 4,220 SH SHAR X 4,220
TEXTRON INC COM COM 883203101 239 3,100 SH SHAR X 3,100
THERMO FIBERTEK INC DEBT 88355WAA3 410 500,000 SH SHAR X 500,000
THERMO ELECTRON CORP DEBT 883556AF9 1,331 1,500,000 SH SHAR X 1,500,000
TIME WARNER INC COM COM 887315109 13,191 186,283 SH SHAR X 186,283
TOKHEIM CORP COM COM 889073102 151 19,200 SH SHAR X 19,200
TOYS R US INC COM COM 892335100 3,998 212,541 SH SHAR X 2,100 210,441
TRANSAMERICA CORP COM COM 893485102 1,350 19,028 SH SHAR X 18,400 628
TRANSIT GROUP INC 893691113 54 38,000 SH SHAR X 38,000
TRIATHLON BROADCASTING C COM 89589P106 467 37,200 SH SHAR X 37,200
TRIARC COS INC COM 895927101 331 19,000 SH SHAR X 19,000
TRICON GLOBAL RESTAURANT COM 895953107 807 11,494 SH SHAR X 11,494
TRIBUNE CO NEW COM COM 896047107 248 3,800 SH SHAR X 3,800
TRIMARK HLDGS INC COM COM 89621J100 86 12,000 SH SHAR X 12,000
TYCO INTL LTD NEW COM OPT 902124 258 3,600 SH SHAR X 3,600
UICI COM COM 902737105 294 13,100 SH SHAR X 13,100
USX-MARATHON GROUP COM 902905827 912 33,183 SH SHAR X 33,183
UST INC COM COM 902911106 229 8,800 SH SHAR X 8,800
USA NETWORKS INC COM COM 902984103 1,628 45,480 SH SHAR X 45,480
U S FOODSERVICE COM COM 90331R101 879 18,915 SH SHAR X 18,915
U S XPRESS ENTERPRISES I COM 90338N103 168 14,468 SH SHAR X 12,468 2,000
UNION CAMP CORP COM COM 905530101 550 8,200 SH SHAR X 8,200
UNION PAC CORP COM COM 907818108 770 14,410 SH SHAR X 14,410
UNISYS CORP COM COM 909214108 689 24,900 SH SHAR X 24,900
UNISYS CORP PFD 909214207 791 15,255 SH SHAR X 15,255
UNITED STATES FILTER COR COM 911843209 1,751 57,200 SH SHAR X 57,200
U S WEST INC NEW COM COM 91273H101 368 6,695 SH SHAR X 6,695
UNITED TECHNOLOGIES CORP COM 913017109 1,439 10,625 SH SHAR X 10,625
UNITEL VIDEO INC COM COM 913253100 33 19,200 SH SHAR X 19,200
UNIVERSAL FOODS CORP COM COM 913538104 614 29,775 SH SHAR X 29,775
UNIVISION COMMUNICATIONS COM 914906102 655 13,100 SH SHAR X 13,100
UNOCAL CORP COM COM 915289102 1,445 39,200 SH SHAR X 39,200
UTILICORP UTD INC COM COM 918005109 325 14,305 SH SHAR X 14,305
VLSI TECHNOLOGY INC COM COM 918270109 1,139 58,800 SH SHAR X 58,800
VANGUARD CELLULAR SYS IN COM 922022108 633 23,200 SH SHAR X 23,200
VENTAS INC COM COM 92276F100 88 14,800 SH SHAR X 14,800
VERITY INC COM COM 92343C106 670 20,000 SH SHAR X 20,000
VIACOM INC COM 925524308 2,132 25,400 SH SHAR X 25,400
WACHOVIA CORP NEW COM COM 929771103 267 3,300 SH SHAR X 3,300
WAL MART STORES INC COM COM 931142103 1,422 15,432 SH SHAR X 15,432
WALGREEN CO COM COM 931422109 226 8,000 SH SHAR X 8,000
WARNER LAMBERT CO COM COM 934488107 5,672 85,620 SH SHAR X 85,620
WARNER LAMBERT CO COM OPT 934488 212 3,200 SH SHAR X 3,200
WASHINGTON MUT INC COM COM 939322103 2,225 54,443 SH SHAR X 54,443
WASHINGTON POST CO COM 939640108 373 716 SH SHAR X 716
WEATHERFORD INTL INC NEW COM 947074100 465 17,815 SH SHAR X 17,815
WELLS FARGO & CO NEW COM COM 949746101 1,125 32,100 SH SHAR X 32,100
WHITMAN CORP COM COM 96647K102 1,234 71,832 SH SHAR X 71,832
WILEY JOHN & SONS INC COM 968223206 268 6,400 SH SHAR X 6,400
WITCO CORP COM COM 977385103 306 24,300 SH SHAR X 15,000 9,300
XEROX CORP COM COM 984121103 426 8,190 SH SHAR X 8,190
XYLAN CORP COM COM 984151100 228 6,200 SH SHAR X 6,200
YPF SOCIEDAD ANONIMA COM 984245100 637 20,200 SH SHAR X 1,400 18,800
YPF SOCIEDAD ANONIMA OPT 984245 372 11,800 SH SHAR X 11,800
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