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Previous: AMERICAN CLAIMS EVALUATION INC, 10QSB, 1999-08-06 |
Next: OSHKOSH TRUCK CORP, 10-Q, 1999-08-06 |
<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: June 30, 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 7-31-99
----------------------- ------------- -------
[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: 162 Data Records
Form 13F Information Table Value Total: $ 263,901
(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
June 30, 1999
<TABLE>
<CAPTION>
Value Shares/ Sh/ Put/ Invstmt Other
Name of Issuer Title of class CUSIP (x$1000) Prn Amt Prn Call Dscretn Managers
- ----------------------------------- -------------- --------- -------- -------- --- ---- ------- --------
<S> <C> <C> <C> <C> <C> <C> <C> <C>
FIRST AUSTRALIA PRIME IBF 318653102 8618 1325902 SH Sole
GLOBAL HIGH INCOME DOLLAR FD IBF 37933G108 4930 428655 SH Sole
MORGAN STANLEY EMERGING MKT DE IBF 61744H105 115 14300 SH Sole
STRATEGIC GLOBAL INCOME FD IBF 862719101 4785 427700 SH Sole
TEMPLETON GLOBAL GVT IBF 879929107 1368 204600 SH Sole
TEMPLETON GLOBAL INCOME IBF 880198106 2104 320550 SH Sole
COLONIAL HIGH YLD MUNI CL B BF 142 13943 SH Sole
DLJ HIGH YIELD BOND FUND BF 23322Y108 3562 395752 SH Sole
DUFF & PHELPS SEL BF 264324104 808 76054 SH Sole
JOHN HANCOCK PATRIOT PREM DIV BF 41013Q101 106 11905 SH Sole
KEMPER INCOME TRUST BF 48841G106 2404 270900 SH Sole
LOOMIS SAYLES BOND FUND BF 543487607 224 18345 SH Sole
MANAGED HIGH INCOME BF 56166C105 5433 533337 SH Sole
MANAGED HIGH YIELD CEF BF 561911108 136 11019 SH Sole
MFS INTERMED INCOME BF 55273C107 143 22150 SH Sole
MFS MULTIMARKET INCOME TRUST BF 552737108 7889 1225500 SH Sole
OPPENHEIMER FUND BF 683933105 9286 1061235 SH Sole
PILGRIM AMERICA PRIME BF 720906106 385 40500 SH Sole
PUTNAM MASS II TAX EXEMPT IN T BF 74683H309 187 20182 SH Sole
SENIOR HIGH INCOME BF 81721E107 2060 259500 SH Sole
STEIN ROE INCOME FUND BF 572 60771 SH Sole
TRANSAMERICA INC SHRS BF 893506105 366 15000 SH Sole
USLIFE INCOME FUND BF 917324105 409 42500 SH Sole
VAN KAMPEN BOND FUND BF 920955101 1029 57585 SH Sole
AGRIUM INC PFD PFD 008916207 331 13500 SH Sole
AT&T CAPITAL CORP PFD 8.25% PFD 00206J209 2315 91450 SH Sole
BARCLAYS BANK PFD D PFD 06738C802 345 12800 SH Sole
BARCLAYS BANK PFD E PFD 06738C836 1366 54375 SH Sole
BNY CAPITAL IV SER E PFD PFD 09656G201 213 9100 SH Sole
CITIGROUP CAPITAL VI PFD 17305L208 220 9350 SH Sole
DUKE CAPITAL FIN PFD PFD 26439E204 207 8500 SH Sole
EQUITY OFFICE PROPERTIES TRUST PFD 294741202 5863 227675 SH Sole
FIRST INDL REALTY PFD PFD 32054K806 225 10200 SH Sole
GLACIER WTR TR PFD 376398202 752 38300 SH Sole
GLIMCHER REALTY PFD B PFD 379302201 1382 63200 SH Sole
HIGHWOODS PROPERTIES PFD B PFD 431284306 3882 166075 SH Sole
ING CAPITAL FUND TR PFD 44978D107 200 8000 SH Sole
PROVIDENT CAPITAL TR II PFD 74386E207 200 8000 SH Sole
RELIASTAR PFD A PFD 75952D200 1856 73675 SH Sole
ROYAL BK SCOTLAND PFD H PFD 780097879 1136 48585 SH Sole
SANTANDER OVERSEAS PFD D PFD 802814509 1931 76650 SH Sole
TEXTRON CAPITAL PFD PFD 883198202 1983 80125 SH Sole
TRAVELERS P&C CAPITAL I PFD 893931204 347 13795 SH Sole
UNIONBANCAL FINL PFD PFD 90905Q109 266 11000 SH Sole
ARCHSTONE COMMUN SER A CPFD 039581202 602 20500 SH Sole
CENDANT CORP SER I CV PFD CPFD 151313301 4532 131600 SH Sole
CRESCENT REAL ESTATES SER A CV CPFD 225756204 7990 466585 SH Sole
EQUITY RES PROP SER J CPFD 29476L826 3547 126675 SH Sole
KN ENERGY INC PFD CPFD 482620507 2451 94710 SH Sole
LINCOLN CONVERTIBLE SECURITIES CPFD 534183108 3163 225900 SH Sole
REPUBLIC INDUSTRIES CONV PFD CPFD 05300A202 3209 178300 SH Sole
3COM CORP COM 885535104 526 19720 SH Sole
A T & T COM 001957109 4492 80483 SH Sole
ABBOTT LABS COM 002824100 358 7900 SH Sole
ALLIED SIGNAL INC COM 019512102 2585 41026 SH Sole
ALLMERICA FINANCIAL CORP COM 019754100 1726 28375 SH Sole
ALLSTATE CORP COM 020002101 302 8425 SH Sole
AMERICAN EXPRESS CO COM 025816109 1786 13722 SH Sole
AMERICAN HOME PROD COM 026609107 509 8873 SH Sole
AMERICAN INT'L GROUP COM 026874107 4662 39762 SH Sole
ANALOG DEVICES COM 032654105 532 10600 SH Sole
ANHEUSER BUSCH COS COM 035229103 372 5240 SH Sole
ARCHSTONE COMMUNITIES TRUST COM 039581103 910 41475 SH Sole
ASSOCIATES FIRST CAP CORP CL A COM 046008108 251 5692 SH Sole
AUTOMATIC DATA COM 053015103 260 5910 SH Sole
AUTONATION INC COM 05329W102 669 37575 SH Sole
BANC ONE COM 06423A103 1818 30517 SH Sole
BANK OF AMERICA CORP COM 060505104 358 4880 SH Sole
BCE INC COM 05534B109 387 7850 SH Sole
BELL ATLANTIC CORP COM 077853109 491 7506 SH Sole
BENNETT ENVIRONMENTAL INC COM 081906109 61 15000 SH Sole
BERKSHIRE HATHAWAY INC CL B COM 084670207 4474 1997 SH Sole
<CAPTION>
Voting Authority
--------------------------------
Name of Issuer Sole Shared None
- ----------------------------------- ------ -------- ------
<S> <C> <C> <C>
FIRST AUSTRALIA PRIME 1325902
GLOBAL HIGH INCOME DOLLAR FD 428655
MORGAN STANLEY EMERGING MKT DE 14300
STRATEGIC GLOBAL INCOME FD 427700
TEMPLETON GLOBAL GVT 204600
TEMPLETON GLOBAL INCOME 320550
COLONIAL HIGH YLD MUNI CL B 13943
DLJ HIGH YIELD BOND FUND 395752
DUFF & PHELPS SEL 76054
JOHN HANCOCK PATRIOT PREM DIV 11905
KEMPER INCOME TRUST 270900
LOOMIS SAYLES BOND FUND 18345
MANAGED HIGH INCOME 533337
MANAGED HIGH YIELD CEF 11019
MFS INTERMED INCOME 22150
MFS MULTIMARKET INCOME TRUST 1225500
OPPENHEIMER FUND 1061235
PILGRIM AMERICA PRIME 40500
PUTNAM MASS II TAX EXEMPT IN T 20182
SENIOR HIGH INCOME 259500
STEIN ROE INCOME FUND 60771
TRANSAMERICA INC SHRS 15000
USLIFE INCOME FUND 42500
VAN KAMPEN BOND FUND 57585
AGRIUM INC PFD 13500
AT&T CAPITAL CORP PFD 8.25% 91450
BARCLAYS BANK PFD D 12800
BARCLAYS BANK PFD E 54375
BNY CAPITAL IV SER E PFD 9100
CITIGROUP CAPITAL VI 9350
DUKE CAPITAL FIN PFD 8500
EQUITY OFFICE PROPERTIES TRUST 227675
FIRST INDL REALTY PFD 10200
GLACIER WTR TR 38300
GLIMCHER REALTY PFD B 63200
HIGHWOODS PROPERTIES PFD B 166075
ING CAPITAL FUND TR 8000
PROVIDENT CAPITAL TR II 8000
RELIASTAR PFD A 73675
ROYAL BK SCOTLAND PFD H 48585
SANTANDER OVERSEAS PFD D 76650
TEXTRON CAPITAL PFD 80125
TRAVELERS P&C CAPITAL I 13795
UNIONBANCAL FINL PFD 11000
ARCHSTONE COMMUN SER A 20500
CENDANT CORP SER I CV PFD 131600
CRESCENT REAL ESTATES SER A CV 466585
EQUITY RES PROP SER J 126675
KN ENERGY INC PFD 94710
LINCOLN CONVERTIBLE SECURITIES 225900
REPUBLIC INDUSTRIES CONV PFD 178300
3COM CORP 19720
A T & T 80483
ABBOTT LABS 7900
ALLIED SIGNAL INC 41026
ALLMERICA FINANCIAL CORP 28375
ALLSTATE CORP 8425
AMERICAN EXPRESS CO 13722
AMERICAN HOME PROD 8873
AMERICAN INT'L GROUP 39762
ANALOG DEVICES 10600
ANHEUSER BUSCH COS 5240
ARCHSTONE COMMUNITIES TRUST 41475
ASSOCIATES FIRST CAP CORP CL A 5692
AUTOMATIC DATA 5910
AUTONATION INC 37575
BANC ONE 30517
BANK OF AMERICA CORP 4880
BCE INC 7850
BELL ATLANTIC CORP 7506
BENNETT ENVIRONMENTAL INC 15000
BERKSHIRE HATHAWAY INC CL B 1997
</TABLE>
<PAGE>
EMERSON INVESTMENT MANAGEMENT, INC.
FORM 13F
June 30, 1999
<TABLE>
<CAPTION>
Value Shares/ Sh/ Put/ Invstmt Other
Name of Issuer Title of class CUSIP (x$1000) Prn Amt Prn Call Dscretn Managers
- ----------------------------------- -------------- --------- -------- -------- --- ---- ------- --------
<S> <C> <C> <C> <C> <C> <C> <C> <C>
BIOGEN INC. COM 090597105 3736 58090 SH Sole
BIOMET INC COM COM 090613100 1860 46790 SH Sole
BMC SOFTWARE COM 055921100 918 17003 SH Sole
BOEING CO COM 097023105 796 18100 SH Sole
BOSTON SCIENTIFIC CORP COM 101137107 1751 39850 SH Sole
BP AMOCO PLC - SPONS ADR COM 055622104 572 5270 SH Sole
BRISTOL MYERS SQUIBB COM 110122108 1418 20129 SH Sole
CABLEVISION COM 12686C109 5918 84544 SH Sole
CARNIVAL COPR CL A COM 143658102 441 9100 SH Sole
CHALCO INDUSTRIES INC COM 0 61295 SH Sole
CHASE MANHATTAN CORP COM 16161A108 628 7264 SH Sole
CHEVRON CORPORATION COM 166751107 456 4800 SH Sole
CISCO SYSTEMS INC COM 17275R102 4144 64315 SH Sole
CITIGROUP INC COM 172967101 3357 70676 SH Sole
CITIZENS TRUST CO COUDERSPORT COM 251 9453 SH Sole
COLGATE PALMOLIVE COM 194162103 2135 21680 SH Sole
COMPUTER ASSOCIATES COM 204912109 3474 63459 SH Sole
DAIMLERCHRYSLER AG COM D1668R123 637 7160 SH Sole
DELPHI FINANCIAL GRP COM 247131105 1983 55267 SH Sole
DISNEY (WALT) COM 254687106 2105 68320 SH Sole
DOLE FOOD COM 256605106 309 10520 SH Sole
DUPONT E I DE NEMOURS COM 263534109 471 6892 SH Sole
ELECTRONIC DATA SYSTEMS COM 285661104 279 4925 SH Sole
EMC CORP MASS COM 268648102 239 4340 SH Sole
ENRON CORP COM 293561106 521 6375 SH Sole
EQUIFAX INC COM COM 294429105 742 20785 SH Sole
EQUITY RESIDENTIAL PROP TR COM 29476L107 529 11729 SH Sole
EXXON CORP COM 302290101 2293 29735 SH Sole
FDX CORPORATION COM 31304N107 4569 84220 SH Sole
FEDERAL NAT MORTGAGE COM 313586109 696 10205 SH Sole
FLEET FINL GROUP INC NEW COM 338915101 360 8112 SH Sole
FORD MOTOR CO COM 345370100 636 11271 SH Sole
GENERAL ELECTRIC CO COM 369604103 5610 49648 SH Sole
GILLETTE CO COM 375766102 568 13850 SH Sole
GTE CORP COM 362320103 380 5027 SH Sole
HALLIBURTON CO COM 406216101 2503 55321 SH Sole
HARRAH'S ENTERTAINMENT INC COM 413619107 908 41150 SH Sole
HEALTHCARE REALTY TRUST COM 421946104 436 20645 SH Sole
HEWLETT PACKARD CO COM 428236103 1363 13566 SH Sole
HOME DEPOT COM 437076102 3658 56772 SH Sole
IBM COM 459200101 6328 48962 SH Sole
INTEL CORP COM 458140100 4948 83159 SH Sole
JOHNSON & JOHNSON COM 478160104 4227 43128 SH Sole
KEANE INC COM 486665102 672 29702 SH Sole
LSI LOGIC CORP COM 502161102 1214 26310 SH Sole
LUCENT TECHNOLOGIES INC COM 549463107 2490 36919 SH Sole
MCI WORLDCOM INC COM 55268B106 1787 20769 SH Sole
MEDTRONIC COM 585055106 1527 19602 SH Sole
MERCK & CO INC COM 589331107 3277 44510 SH Sole
MICROSOFT INC COM 594918104 1675 18576 SH Sole
MOBIL CORP COM 607059102 207 2100 SH Sole
MYLAN LABS INC COM COM 628530107 1063 40130 SH Sole
NEW PLAN EXECL REALTY TRUST COM 648053106 590 32800 SH Sole
NOKIA CORP COM 654902204 420 4590 SH Sole
NORTEL NETWORKS CORP COM 656569100 740 8525 SH Sole
OFFICEMAX INC COM 67622M108 185 15450 SH Sole
ORACLE SYSTEMS COM 68389X105 488 13150 SH Sole
PEPSICO INC COM 713448108 1057 27320 SH Sole
PFIZER INC COM 717081103 3477 31896 SH Sole
PROCTER & GAMBLE CO COM 742718109 473 5305 SH Sole
QUALCOMM INC COM 747525103 217 1510 SH Sole
RELIASTAR FINANCIAL CORP COM 75952U103 1233 28180 SH Sole
ROSS STORES INC COM 778296103 1632 32400 SH Sole
ROYAL DUTCH PET CO NY COM 780257804 315 5222 SH Sole
SBC COMMUNICATIONS COM 78387G103 425 7331 SH Sole
SCHERING-PLOUGH COM 806605101 1042 19852 SH Sole
SCHLUMBERGER LTD COM 806857108 2014 31628 SH Sole
SEARS ROEBUCK & CO COM 812387108 304 6828 SH Sole
SIGMA ALDRICH COM 826552101 448 13015 SH Sole
SMITHKLINE BEECHAM ORD ADR COM 832378301 1082 16375 SH Sole
STAPLES INC COM 855030102 747 24134 SH Sole
STRYKER CORP COM 863667101 1022 17000 SH Sole
<CAPTION>
Voting Authority
--------------------------------
Name of Issuer Sole Shared None
- ----------------------------------- ------ -------- ------
<S> <C> <C> <C>
BIOGEN INC. 58090
BIOMET INC COM 46790
BMC SOFTWARE 17003
BOEING CO 18100
BOSTON SCIENTIFIC CORP 39850
BP AMOCO PLC - SPONS ADR 5270
BRISTOL MYERS SQUIBB 20129
CABLEVISION 84544
CARNIVAL COPR CL A 9100
CHALCO INDUSTRIES INC 61295
CHASE MANHATTAN CORP 7264
CHEVRON CORPORATION 4800
CISCO SYSTEMS INC 64315
CITIGROUP INC 70676
CITIZENS TRUST CO COUDERSPORT 9453
COLGATE PALMOLIVE 21680
COMPUTER ASSOCIATES 63459
DAIMLERCHRYSLER AG 7160
DELPHI FINANCIAL GRP 55267
DISNEY (WALT) 68320
DOLE FOOD 10520
DUPONT E I DE NEMOURS 6892
ELECTRONIC DATA SYSTEMS 4925
EMC CORP MASS 4340
ENRON CORP 6375
EQUIFAX INC COM 20785
EQUITY RESIDENTIAL PROP TR 11729
EXXON CORP 29735
FDX CORPORATION 84220
FEDERAL NAT MORTGAGE 10205
FLEET FINL GROUP INC NEW 8112
FORD MOTOR CO 11271
GENERAL ELECTRIC CO 49648
GILLETTE CO 13850
GTE CORP 5027
HALLIBURTON CO 55321
HARRAH'S ENTERTAINMENT INC 41150
HEALTHCARE REALTY TRUST 20645
HEWLETT PACKARD CO 13566
HOME DEPOT 56772
IBM 48962
INTEL CORP 83159
JOHNSON & JOHNSON 43128
KEANE INC 29702
LSI LOGIC CORP 26310
LUCENT TECHNOLOGIES INC 36919
MCI WORLDCOM INC 20769
MEDTRONIC 19602
MERCK & CO INC 44510
MICROSOFT INC 18576
MOBIL CORP 2100
MYLAN LABS INC COM 40130
NEW PLAN EXECL REALTY TRUST 32800
NOKIA CORP 4590
NORTEL NETWORKS CORP 8525
OFFICEMAX INC 15450
ORACLE SYSTEMS 13150
PEPSICO INC 27320
PFIZER INC 31896
PROCTER & GAMBLE CO 5305
QUALCOMM INC 1510
RELIASTAR FINANCIAL CORP 28180
ROSS STORES INC 32400
ROYAL DUTCH PET CO NY 5222
SBC COMMUNICATIONS 7331
SCHERING-PLOUGH 19852
SCHLUMBERGER LTD 31628
SEARS ROEBUCK & CO 6828
SIGMA ALDRICH 13015
SMITHKLINE BEECHAM ORD ADR 16375
STAPLES INC 24134
STRYKER CORP 17000
</TABLE>
<PAGE>
EMERSON INVESTMENT MANAGEMENT, INC.
FORM 13F
June 30, 1999
<TABLE>
<CAPTION>
Value Shares/ Sh/ Put/ Invstmt Other
Name of Issuer Title of class CUSIP (x$1000) Prn Amt Prn Call Dscretn Managers
- ----------------------------------- -------------- --------- -------- -------- --- ---- ------- --------
<S> <C> <C> <C> <C> <C> <C> <C> <C>
SUN MICROSYSTEMS COM 866810104 4446 64550 SH Sole
SYSCO CORP COM 871829107 1179 39560 SH Sole
TEXACO INC COM 881694103 1053 16877 SH Sole
THERMO ELECTRON COM 883556102 1716 85515 SH Sole
TJX COMPANIES INC COM 872540109 1143 34319 SH Sole
UNITED TECHNOLOGIES COM 913017109 2458 34137 SH Sole
UNUMPROVIDENT CORPORATION COM 91529Y106 266 4850 SH Sole
VIRGINIA COMMERCE BANK COM 400 28044 SH Sole
VODAFONE GROUP PLC SPONSORED A COM 92857T107 477 2419 SH Sole
WALMART COM 931142103 559 11578 SH Sole
WASHINGTON MUTUAL INC COM 939322103 1710 48098 SH Sole
BARRON ASSET FUND MF 068278100 362 5967 SH Sole
GOVT SECURITES INC FUND MF 383744521 4 10919 SH Sole
JANUS FD INC MF 471023101 691 17178 SH Sole
JANUS INVT FD WORLDWIDE FD MF 471023309 435 8148 SH Sole
NEW ENGLAND GROWTH FUND CLASS MF 644036204 124 10403 SH Sole
OAK VALUE FUND MF 900733106 515 18433 SH Sole
VANGUARD INDEX TR 500 PORT MF 283 2231 SH Sole
REPORT SUMMARY 162 DATA RECORDS 263901 0 OTHER MANAGERS ON WHOSE BEHALF REPORT
IS FILED
<CAPTION>
Voting Authority
--------------------------------
Name of Issuer Sole Shared None
- ----------------------------------- ------ -------- ------
<S> <C> <C> <C>
SUN MICROSYSTEMS 64550
SYSCO CORP 39560
TEXACO INC 16877
THERMO ELECTRON 85515
TJX COMPANIES INC 34319
UNITED TECHNOLOGIES 34137
UNUMPROVIDENT CORPORATION 4850
VIRGINIA COMMERCE BANK 28044
VODAFONE GROUP PLC SPONSORED A 2419
WALMART 11578
WASHINGTON MUTUAL INC 48098
BARRON ASSET FUND 5967
GOVT SECURITES INC FUND 10919
JANUS FD INC 17178
JANUS INVT FD WORLDWIDE FD 8148
NEW ENGLAND GROWTH FUND CLASS 10403
OAK VALUE FUND 18433
VANGUARD INDEX TR 500 PORT 2231
REPORT SUMMARY
</TABLE>
Do not save this screen as a text file. This report automatically creates the
text file 13ftable.txt, which meets all SEC filing requirements. For details on
the location of this text file, see your 705 Report documentation.
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