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Previous: IEA INCOME FUND VI, 10-Q, 1999-05-12 |
Next: FUND AMERICAN ENTERPRISES HOLDINGS INC, 13F-HR, 1999-05-12 |
<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, 1999
Check here if Amendment [ ]; Amendment Number:
--------------------
This Amendment (Check only one): [ ] is a restatement.
[ ] adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: Emerson Investment Management, Inc.
Address: 11 Beacon Street
Boston, Massachusetts 02108
Form 13F File Number: 28-6048
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: Bradford A. Gardner
Title: President
Phone: (617) 720-1516
Signature, Place, and Date of Signing:
/s/ Bradford A. Gardner Boston, MA 5/5/99
- --------------------------- ----------------------- --------------------------
[Signature] [City, State] [Date]
Report Type (Check only one.):
[XX] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager
are reported in this report.)
[ ] 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).)
<PAGE>
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 13F
Form 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: None
Form 13F Information Table Entry Total: 167
-----------
Form 13F Information Table Value Total: $243,995
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(thousands)
List of Other Included Managers:
Provide a numbered list of the name(s) and Form 13F file number(s) of all
institutional investment managers with respect to which this report is filed,
other than the manager filing this report.
None
<PAGE>
EMERSON INVESTMENT MANAGEMENT, INC.
FORM 13F
March 31, 1999
<TABLE>
<CAPTION>
Voting Authority
-------------------------------
Title
of Value Sh/ Put/ Invstmt
Name of Issuer class CUSIP (x$1000) Prn Amt Prn Dscretn Managers Sole Shared None
- ------------------------------------------------------------------------------------------------------------------------------------
<C> <S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
D FIRST AUSTRALIA PRIME IBF 318653102 8024 1310022 SH Sole 1310022
D GLOBAL HIGH INCOME DOLLAR FD IBF 37933G108 4724 419945 SH Sole 419945
D MORGAN STANLEY EMERGING MKT DE IBF 61744H105 139 18500 SH Sole 18500
D STRATEGIC GLOBAL INCOME FD IBF 862719101 4729 422700 SH Sole 422700
D TEMPLETON GLOBAL GVT IBF 879929107 1333 205100 SH Sole 205100
D TEMPLETON GLOBAL INCOME IBF 880198106 2146 320950 SH Sole 320950
D DLJ HIGH YIELD BOND FUND BF 23322Y108 2931 330285 SH Sole 330285
D DUFF & PHELPS SEL BF 264324104 930 86554 SH Sole 86554
D JOHN HANCOCK PATRIOT PREM DIV BF 41013Q101 114 11885 SH Sole 11885
D KEMPER INCOME TRUST BF 48841G106 2281 262600 SH Sole 262600
D LOOMIS SAYLES BOND FUND BF 543487607 227 18345 SH Sole 18345
D MANAGED HIGH INCOME BF 56166C105 5233 501324 SH Sole 501324
D MANAGED HIGH YIELD CEF BF 561911108 212 17519 SH Sole 17519
D MFS MULTIMARKET INCOME TRUST BF 552737108 7656 1200900 SH Sole 1200900
D OPPENHEIMER FUND BF 683933105 9091 1053985 SH Sole 1053985
D PILGRIM AMERICA PRIME BF 720906106 406 43000 SH Sole 43000
D PRUDENTIAL GLOBAL TOTAL RETURN BF 37936L302 93 12110 SH Sole 12110
D PUTNAM MASS II TAX EXEMPT IN T BF 74683H309 191 19920 SH Sole 19920
D SENIOR HIGH INCOME BF 81721E107 2233 277000 SH Sole 277000
D STEIN ROE INCOME FUND BF 857906101 523 54324 SH Sole 54324
D TRANSAMERICA INC SHRS BF 893506105 378 15000 SH Sole 15000
D USLIFE INCOME FUND BF 917324105 412 42500 SH Sole 42500
D VAN KAMPEN BOND FUND BF 920955101 1129 58635 SH Sole 58635
D AGRIUM INC PFD PFD 008916207 369 15000 SH Sole 15000
D AT&T CAPITAL CORP PFD 8.25% PFD 00206J209 2022 78150 SH Sole 78150
D BARCLAYS BANK PFD D PFD 06738C802 352 12800 SH Sole 12800
D BARCLAYS BANK PFD E PFD 06738C836 1422 53535 SH Sole 53535
D BNY CAPITAL IV SER E PFD PFD 09656G201 236 9500 SH Sole 9500
D DUKE CAPITAL FIN PFD PFD 26439E204 227 9000 SH Sole 9000
D ELF OVERSEAS PFD B PFD G29974113 261 10275 SH Sole 10275
D EQUITY OFFICE PROPERTIES TRUST PFD 294741202 5952 225675 SH Sole 225675
D FIRST INDL REALTY PFD PFD 32054K806 226 11000 SH Sole 11000
D GLACIER WTR TR PFD 376398202 975 46000 SH Sole 46000
D GLIMCHER REALTY PFD B PFD 379302201 1472 70100 SH Sole 70100
D HIGHWOODS PROPERTIES PFD B PFD 431284306 3482 159175 SH Sole 159175
D RELIASTAR PFD A PFD 75952D200 1733 68475 SH Sole 68475
D ROYAL BK SCOTLAND PFD H PFD 780097879 452 18100 SH Sole 18100
D SANTANDER OVERSEAS PFD D PFD 802814509 1995 78250 SH Sole 78250
D SUNAMERICA CAPITAL TRUST III PFD 86702N208 260 10000 SH Sole 10000
D TEXTRON CAPITAL PFD PFD 883198202 2147 85025 SH Sole 85025
D TRAVELERS P&C CAPITAL I PFD 893931204 304 11950 SH Sole 11950
D UNIONBANCAL FINL PFD PFD 90905Q109 278 11000 SH Sole 11000
D ARCHSTONE COMMUN SER A CPFD 039581202 533 20100 SH Sole 20100
D CENDANT CORP SER I CV PFD CPFD 151313301 2765 95950 SH Sole 95950
D CRESCENT REAL ESTATES SER A CV CPFD 225756204 6900 434635 SH Sole 434635
D EQUITY RES PROP SER J CPFD 29476L826 3486 134075 SH Sole 134075
D KN ENERGY INC PFD CPFD 482620507 2960 86910 SH Sole 86910
D LINCOLN CONVERTIBLE SECURITIES CPFD 534183108 2628 205100 SH Sole 205100
D REPUBLIC INDUSTRIES CONV PFD CPFD 05300A202 2385 164500 SH Sole 164500
D 3COM CORP COM 885535104 809 34695 SH Sole 34695
D A T & T COM 001957109 3738 46838 SH Sole 46838
D ABBOTT LABS COM 002824100 543 11608 SH Sole 11608
D ALBERTSON'S COM 013104104 211 3870 SH Sole 3870
D ALLIED SIGNAL INC COM 019512102 1912 38876 SH Sole 38876
D ALLMERICA FINANCIAL CORP COM 019754100 1606 29175 SH Sole 29175
D ALLSTATE CORP COM 020002101 408 10995 SH Sole 10995
D ALUMINUM CO AMERICA COM 013817101 404 9810 SH Sole 9810
D AMERICAN EXPRESS CO COM 025816109 1686 14322 SH Sole 14322
D AMERICAN HOME PROD COM 026609107 564 8639 SH Sole 8639
D AMERICAN INT'L GROUP COM 026874107 5453 45206 SH Sole 45206
D ANALOG DEVICES COM 032654105 469 15750 SH Sole 15750
D ANHEUSER BUSCH COS COM 035229103 449 5900 SH Sole 5900
D APPLIED MATERIALS INC COM 038222105 272 4410 SH Sole 4410
D ARCHSTONE COMMUNITIES TRUST COM 039581103 718 35675 SH Sole 35675
D ASSOCIATES FIRST CAP CORP CL A COM 046008108 256 5692 SH Sole 5692
D AUTOMATIC DATA COM 053015103 248 6000 SH Sole 6000
D BANC ONE COM 06423A103 1183 21492 SH Sole 21492
D BANK OF AMERICA CORP COM 06605F102 540 7649 SH Sole 7649
D BCE INC COM 05534B109 357 8050 SH Sole 8050
D BELL ATLANTIC CORP COM 077853109 223 4316 SH Sole 4316
D BENNETT ENVIRONMENTAL INC COM 081906109 50 15000 SH Sole 15000
D BIOGEN INC. COM 090597105 3503 30645 SH Sole 30645
</TABLE>
<PAGE>
<TABLE>
<CAPTION>
Voting Authority
-------------------------------
Title
of Value Sh/ Put/ Invstmt
Name of Issuer class CUSIP (x$1000) Prn Amt Prn Dscretn Managers Sole Shared None
- ------------------------------------------------------------------------------------------------------------------------------------
<C> <S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
D BIOMET INC COM COM 090613100 1698 40490 SH Sole 40490
D BMC SOFTWARE COM 055921100 247 6668 SH Sole 6668
D BOEING CO COM 097023105 731 21500 SH Sole 21500
D BOSTON SCIENTIFIC CORP COM 101137107 1412 34750 SH Sole 34750
D BP AMOCO PLC - SPONS ADR COM 055622104 578 5726 SH Sole 5726
D BRISTOL MYERS SQUIBB COM 110122108 1132 17654 SH Sole 17654
D CABLEVISION COM 12686C109 6548 88344 SH Sole 88344
D CARNIVAL COPR CL A COM 143658102 442 9100 SH Sole 9100
D CHALCO INDUSTRIES INC COM 0 61295 SH Sole 61295
D CHASE MANHATTAN CORP COM 16161A108 705 8664 SH Sole 8664
D CHEVRON CORPORATION COM 166751107 470 5300 SH Sole 5300
D CISCO SYSTEMS INC COM 17275R102 3897 35564 SH Sole 35564
D CITIGROUP INC COM 172967101 3027 47397 SH Sole 47397
D CITIZENS TRUST CO COUDERSPORT COM 246 9453 SH Sole 9453
D COCA COLA CO COM 191216100 211 3432 SH Sole 3432
D COLGATE PALMOLIVE COM 194162103 2087 22680 SH Sole 22680
D COMPUTER ASSOCIATES COM 204912109 2143 60259 SH Sole 60259
D DAIMLERCHRYSLER AG COM D1668R123 498 5800 SH Sole 5800
D DELPHI FINANCIAL GRP COM 247131105 1698 50116 SH Sole 50116
D DISNEY (WALT) COM 254687106 2045 65690 SH Sole 65690
D DOLE FOOD COM 256605106 683 22770 SH Sole 22770
D DUPONT E I DE NEMOURS COM 263534109 673 11592 SH Sole 11592
D ELECTRONIC DATA SYSTEMS COM 285661104 286 5875 SH Sole 5875
D ENRON CORP COM 293561106 410 6375 SH Sole 6375
D EQUIFAX INC COM COM 294429105 517 15050 SH Sole 15050
D EQUITY RESIDENTIAL PROP TR COM 29476L107 419 10150 SH Sole 10150
D EXXON CORP COM 302290101 1537 21787 SH Sole 21787
D FDX CORPORATION COM 31304N107 4216 45335 SH Sole 45335
D FEDERAL NAT MORTGAGE COM 313586109 720 10400 SH Sole 10400
D FORD MOTOR CO COM 345370100 645 11371 SH Sole 11371
D GENERAL ELECTRIC CO COM 369604103 5723 51733 SH Sole 51733
D GILLETTE CO COM 375766102 297 5000 SH Sole 5000
D GTE CORP COM 362320103 253 4177 SH Sole 4177
D HALLIBURTON CO COM 406216101 2096 54431 SH Sole 54431
D HARRAH'S ENTERTAINMENT INC COM 413619107 744 39050 SH Sole 39050
D HEALTHCARE REALTY TRUST COM 421946104 339 17845 SH Sole 17845
D HEWLETT PACKARD CO COM 428236103 911 13441 SH Sole 13441
D HOME DEPOT COM 437076102 3965 63696 SH Sole 63696
D IBM COM 459200101 4418 24926 SH Sole 24926
D INTEL CORP COM 458140100 4885 41092 SH Sole 41092
D JOHNSON & JOHNSON COM 478160104 3904 41753 SH Sole 41753
D KEANE INC COM 486665102 584 27402 SH Sole 27402
D LSI LOGIC CORP COM 502161102 774 24810 SH Sole 24810
D LUCENT TECHNOLOGIES INC COM 549463107 822 7607 SH Sole 7607
D MCI WORLDCOM INC COM 55268B106 435 4909 SH Sole 4909
D MEDTRONIC COM 585055106 1638 22789 SH Sole 22789
D MERCK & CO INC COM 589331107 3483 43466 SH Sole 43466
D MICROSOFT INC COM 594918104 1584 17676 SH Sole 17676
D MYLAN LABS INC COM COM 628530107 1286 46885 SH Sole 46885
D NEW PLAN EXECL REALTY TRUST COM 648053106 565 29450 SH Sole 29450
D NOKIA CORP COM 654902204 498 3200 SH Sole 3200
D OFFICEMAX INC COM 67622M108 143 16550 SH Sole 16550
D ORACLE SYSTEMS COM 68389X105 207 7850 SH Sole 7850
D PARAMETRIC TECHNOLOGY COM 699173100 249 12600 SH Sole 12600
D PEPSICO INC COM 713448108 1094 27920 SH Sole 27920
D PFIZER INC COM 717081103 4511 32515 SH Sole 32515
D PRIMEDIA INC COM 74157K101 151 10800 SH Sole 10800
D PROCTER & GAMBLE CO COM 742718109 479 4895 SH Sole 4895
D QUALCOMM INC COM 747525103 565 4540 SH Sole 4540
D RELIASTAR FINANCIAL CORP COM 75952U103 1372 32180 SH Sole 32180
D REPUBLIC INDUSTRIES INC COM 760516104 506 40925 SH Sole 40925
D REPUBLIC SECURITY FINL CORP COM 760758102 180 19430 SH Sole 19430
D ROSS STORES INC COM 778296103 1487 33950 SH Sole 33950
D ROYAL DUTCH PET CO NY COM 780257804 434 8342 SH Sole 8342
D SBC COMMUNICATIONS COM 78387G103 431 9128 SH Sole 9128
D SCHERING-PLOUGH COM 806605101 745 13490 SH Sole 13490
D SCHLUMBERGER LTD COM 806857108 2110 35053 SH Sole 35053
D SEARS ROEBUCK & CO COM 812387108 354 7828 SH Sole 7828
D SIGMA ALDRICH COM 826552101 1020 34865 SH Sole 34865
D SMITHKLINE BEECHAM ORD ADR COM 832378301 1176 16445 SH Sole 16445
D STAPLES INC COM 855030102 936 28459 SH Sole 28459
D STRYKER CORP COM 863667101 1049 20800 SH Sole 20800
</TABLE>
<PAGE>
<TABLE>
<CAPTION>
Voting Authority
-------------------------------
Title
of Value Sh/ Put/ Invstmt
Name of Issuer class CUSIP (x$1000) Prn Amt Prn Dscretn Managers Sole Shared None
- ------------------------------------------------------------------------------------------------------------------------------------
<C> <S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
D SUN MICROSYSTEMS COM 866810104 5400 43175 SH Sole 43175
D SUNDSTRAND COM 867323107 269 3875 SH Sole 3875
D SYSCO CORP COM 871829107 1046 39760 SH Sole 39760
D TEXACO INC COM 881694103 917 16165 SH Sole 16165
D THERMO ELECTRON COM 883556102 1030 75908 SH Sole 75908
D TJX COMPANIES INC COM 872540109 1116 32824 SH Sole 32824
D U.S. FILTER CORP COM 911843209 917 29945 SH Sole 29945
D UNITED TECHNOLOGIES COM 913017109 2393 17671 SH Sole 17671
D UNUM CORP COM 903192102 247 5200 SH Sole 5200
D USX-MARATHON GROUP COM 902905827 238 8650 SH Sole 8650
D VIRGINIA COMMERCE BANK COM 357 25495 SH Sole 25495
D VODAFONE GROUP PLC SPONSORED A COM 92857T107 394 2100 SH Sole 2100
D WALMART COM 931142103 528 5729 SH Sole 5729
D WASHINGTON MUTUAL INC COM 939322103 1836 44923 SH Sole 44923
D KEMPER HIGH INCOME RTS 48841G114 7 61600 SH Sole 61600
D BARRON ASSET FUND MF 068278100 347 6414 SH Sole 6414
D COLONIAL HIGH YLD MUNI CL B MF 146 13943 SH Sole 13943
D GOVT SECURITES INC FUND MF 383744521 4 10919 SH Sole 10919
D JANUS FD INC MF 471023101 753 20087 SH Sole 20087
D JANUS INVT FD WORLDWIDE FD MF 471023309 282 5569 SH Sole 5569
D NEW ENGLAND GROWTH FUND CLASS MF 208 18018 SH Sole 18018
D OAK VALUE FUND MF 900733106 412 14868 SH Sole 14868
D VANGUARD INDEX TR 500 PORT MF 265 2225 SH Sole 2225
</TABLE>
<TABLE>
<C> <S> <C> <C> <C> <C> <C>
S REPORT SUMMARY 167 DATA RECORDS 243995 0 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED
</TABLE>
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