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Previous: SEPARATE ACCOUNT FP OF EQUITABLE LIFE ASSUR SOC OF THE US, 485APOS, 2000-02-16 |
Next: PINNACLE SYSTEMS INC, S-8, 2000-02-16 |
<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: December 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
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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 2-14-00
- ------------------------ ----------------------------- --------------
[Signature] [City, State] [Date]
Report Type (Check only one.):
[X] 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: 156 DATA RECORDS
-------------------
Form 13F Information Table Value Total: $272,898
-------------------
(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
2
<PAGE>
EMERSON INVESTMENT MANAGEMENT, INC.
FORM 13F
December 31, 1999
<TABLE>
<CAPTION>
Voting Authority
----------------
Value Shares/ Sh/ Put/ Invstmt Other
Name of Issuer Title of class CUSIP (x$1000) Prn Amt Prn Call Dscretn Managers Sole Shared None
- ------------------------------ -------------- ----- -------- -------- --- ---- ------- -------- ---- ------ ----
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
FIRST AUSTRALIA PRIME IBF 318653102 5958 1176964 SH Sole 1176964
GLOBAL HIGH INCOME DOLLAR FD IBF 37933G108 4726 417735 SH Sole 417735
STRATEGIC GLOBAL INCOME FD IBF 862719101 3993 399300 SH Sole 399300
TEMPLETON GLOBAL GVT IBF 879929107 1047 182000 SH Sole 182000
TEMPLETON GLOBAL INCOME IBF 880198106 1806 307400 SH Sole 307400
DLJ HIGH YIELD BOND FUND BF 23322Y108 2565 379987 SH Sole 379987
DUFF & PHELPS SEL BF 264324104 713 85729 SH Sole 85729
KEMPER INCOME TRUST BF 48841G106 1683 218900 SH Sole 218900
LOOMIS SAYLES BOND FUND BF 543487607 221 19194 SH Sole 19194
MANAGED HIGH INCOME BF 56166C105 3762 462972 SH Sole 462972
MFS INTERMED INCOME BF 55273C107 120 19767 SH Sole 19767
MFS MULTIMARKET INCOME TRUST BF 552737108 6097 1108500 SH Sole 1108500
OPPENHEIMER FUND BF 683933105 6642 871094 SH Sole 871094
PILGRIM AMERICA PRIME BF 720906106 288 36000 SH Sole 36000
PUTNAM MASS II TAX EXEMPT IN T BF 74683H309 183 20743 SH Sole 20743
SENIOR HIGH INCOME BF 81721E107 1056 164000 SH Sole 164000
STEIN ROE INCOME FUND BF 558 60758 SH Sole 60758
TRANSAMERICA INC SHRS BF 893506105 315 15000 SH Sole 15000
USLIFE INCOME FUND BF 917324105 286 36000 SH Sole 36000
VAN KAMPEN BOND FUND BF 920955101 1028 65510 SH Sole 65510
AT&T CAPITAL CORP PFD 8.25% PFD 00206J209 2236 98300 SH Sole 98300
BARCLAYS BANK PFD D PFD 06738C802 281 10800 SH Sole 10800
BARCLAYS BANK PFD E PFD 06738C836 1146 51355 SH Sole 51355
DELTA AIR LINES PFD PFD 247361405 306 14600 SH Sole 14600
EIX TRUST II 8.60% PFD 26853P206 247 9900 SH Sole 9900
EQUITY OFFICE PROPERTIES TRUST PFD 294741202 4904 233525 SH Sole 233525
GLACIER WTR TR PFD 376398202 259 18200 SH Sole 18200
GLIMCHER REALTY PFD B PFD 379302201 808 53000 SH Sole 53000
HIGHWOODS PROPERTIES PFD B PFD 431284306 2156 132175 SH Sole 132175
RELIASTAR PFD A PFD 75952D200 1612 74975 SH Sole 74975
ROYAL BANK SCOTLAND PFD I 8.0% PFD 780097861 668 32600 SH Sole 32600
ROYAL BK SCOTLAND PFD H 7.25% PFD 780097879 957 51555 SH Sole 51555
TEXTRON CAPITAL PFD PFD 883198202 1650 76725 SH Sole 76725
TRAVELERS P&C CAPITAL I PFD 893931204 343 15145 SH Sole 15145
TXU CAP TRUST II 8.70% PFD 90210s204 268 10700 SH Sole 10700
UNIONBANCAL FINL PFD PFD 90905Q109 220 11000 SH Sole 11000
ARCHSTONE COMMUN SER A CPFD 039581202 509 18100 SH Sole 18100
CENDANT CORP SER I CV PFD CPFD 151313301 5240 140200 SH Sole 140200
CRESCENT REAL ESTATES SER A CV CPFD 225756204 6946 459230 SH Sole 459230
EQUITY RES PROP SER J CPFD 29476L826 3063 117525 SH Sole 117525
KN ENERGY INC PFD CPFD 482620507 3081 94810 SH Sole 94810
LINCOLN CONVERTIBLE SECURITIES CPFD 534183108 3277 204800 SH Sole 204800
REPUBLIC INDUSTRIES CONV PFD CPFD 05300A202 995 104000 SH Sole 104000
UTILICORP UNITED PFD CPFD 918005877 6219 274885 SH Sole 274885
A T & T COM 001957109 4681 92118 SH Sole 92118
ABBOTT LABS COM 002824100 251 6900 SH Sole 6900
ADC TELECOMMUNICATIONS INC COM 000886101 1107 15260 SH Sole 15260
ADVANTAGE LEARNING SYS INC COM 00757K100 542 48405 SH Sole 48405
ALLMERICA FINANCIAL CORP COM 019754100 1527 27450 SH Sole 27450
AMERICAN EXPRESS CO COM 025816109 2057 12372 SH Sole 12372
AMERICAN HOME PROD COM 026609107 325 8283 SH Sole 8283
AMERICAN INT'L GROUP COM 026874107 4964 45912 SH Sole 45912
ANALOG DEVICES COM 032654105 507 5450 SH Sole 5450
ANHEUSER BUSCH COS COM 035229103 315 4440 SH Sole 4440
ARCHSTONE COMMUNITIES TRUST COM 039581103 1862 90850 SH Sole 90850
AT&T CORP - LIBERTY MEDIA - A COM 236 4162 SH Sole 4162
AUTOMATIC DATA COM 053015103 343 6360 SH Sole 6360
BANC ONE COM 06423A103 695 21717 SH Sole 21717
BCE INC COM 05534B109 586 6500 SH Sole 6500
BELL ATLANTIC CORP COM 077853109 328 5324 SH Sole 5324
BENNETT ENVIRONMENTAL INC COM beva 71 12800 SH Sole 12800
BERKSHIRE HATHAWAY INC CL B COM 084670207 723 395 SH Sole 395
BIOGEN INC. COM 090597105 4883 57790 SH Sole 57790
BIOMET INC COM COM 090613100 2632 65809 SH Sole 65809
BMC SOFTWARE COM 055921100 3214 40203 SH Sole 40203
BOEING CO COM 097023105 511 12340 SH Sole 12340
BOSTON SCIENTIFIC CORP COM 101137107 1159 52995 SH Sole 52995
BP AMOCO PLC - SPONS ADR COM 055622104 723 12184 SH Sole 12184
BRISTOL MYERS SQUIBB COM 110122108 1933 30109 SH Sole 30109
CABLEVISION COM 12686C109 668 8842 SH Sole 8842
CARNIVAL COPR CL A COM 143658102 500 10450 SH Sole 10450
CHALCO INDUSTRIES INC COM 0 61295 SH Sole 61295
CHASE MANHATTAN CORP COM 16161A108 405 5208 SH Sole 5208
CHEVRON CORPORATION COM 166751107 396 4570 SH Sole 4570
</TABLE>
<PAGE>
<TABLE>
<S> <C> <C> <C> <C> <C> <C> <C>
CISCO SYSTEMS INC COM 17275R102 5795 54096 SH Sole 54096
CITIGROUP INC COM 172967101 4404 79088 SH Sole 79088
CITIZENS TRUST CO COUDERSPORT COM 272 9453 SH Sole 9453
COLGATE PALMOLIVE COM 194162103 2584 39760 SH Sole 39760
COMPUTER ASSOCIATES COM 204912109 5152 73659 SH Sole 73659
CVS CORP DEL COM 126650100 445 11160 SH Sole 11160
DAIMLERCHRYSLER AG COM D1668R123 536 6870 SH Sole 6870
DELPHI FINANCIAL GRP COM 247131105 1555 51826 SH Sole 51826
DISNEY (WALT) COM 254687106 582 19905 SH Sole 19905
DUPONT E I DE NEMOURS COM 263534109 220 3339 SH Sole 3339
EMC CORP MASS COM 268648102 647 5925 SH Sole 5925
ENRON CORP COM 293561106 466 10500 SH Sole 10500
EQUIFAX INC COM COM 294429105 334 14180 SH Sole 14180
EQUITY RESIDENTIAL PROP TR COM 29476L107 795 18625 SH Sole 18625
EXXON MOBIL CORP COM 30231g102 2706 33584 SH Sole 33584
FEDERAL NAT MORTGAGE COM 313586109 665 10645 SH Sole 10645
FEDEX CORPORATION COM 31428X106 3494 85345 SH Sole 85345
FLEETBOSTON FINL CORP COM COM 339030108 419 12036 SH Sole 12036
GENERAL ELECTRIC CO COM 369604103 7567 48898 SH Sole 48898
GILLETTE CO COM 375766102 1465 35575 SH Sole 35575
GTE CORP COM 362320103 283 4009 SH Sole 4009
HALLIBURTON CO COM 406216101 2759 68540 SH Sole 68540
HARRAH'S ENTERTAINMENT INC COM 413619107 1170 44250 SH Sole 44250
HEALTHCARE REALTY TRUST COM 421946104 287 18395 SH Sole 18395
HEINZ H J CO COM 423074103 672 16885 SH Sole 16885
HEWLETT PACKARD CO COM 428236103 1922 16901 SH Sole 16901
HOME DEPOT COM 437076102 5843 84988 SH Sole 84988
HONEYWELL CORP COM 438516106 2978 51631 SH Sole 51631
IBM COM 459200101 5817 53921 SH Sole 53921
INTEL CORP COM 458140100 7187 87309 SH Sole 87309
J P MORGAN COM 616880100 231 1824 SH Sole 1824
JOHNSON & JOHNSON COM 478160104 4101 43983 SH Sole 43983
KEANE INC COM 486665102 548 17065 SH Sole 17065
LILLY ELY CORP COM 532457108 550 8270 SH Sole 8270
LSI LOGIC CORP COM 502161102 271 4010 SH Sole 4010
LUCENT TECHNOLOGIES INC COM 549463107 3614 48187 SH Sole 48187
MCI WORLDCOM INC COM 55268B106 3541 66724 SH Sole 66724
MEDTRONIC COM 585055106 1443 39596 SH Sole 39596
MERCK & CO INC COM 589331107 3126 46532 SH Sole 46532
MICROSOFT INC COM 594918104 2041 17486 SH Sole 17486
MYLAN LABS INC COM COM 628530107 476 18905 SH Sole 18905
NEW PLAN EXECL REALTY TRUST COM 648053106 500 31600 SH Sole 31600
NOKIA CORP COM 654902204 581 3040 SH Sole 3040
NORTEL NETWORKS CORP COM 656569100 3747 37100 SH Sole 37100
ORACLE SYSTEMS COM 68389X105 1694 15115 SH Sole 15115
PEOPLES HERITAGE FINL GRP COM 711147108 480 31852 SH Sole 31852
PEPSICO INC COM 713448108 1073 30430 SH Sole 30430
PFIZER INC COM 717081103 4314 132985 SH Sole 132985
PROCTER & GAMBLE CO COM 742718109 490 4475 SH Sole 4475
QUALCOMM INC COM 747525103 599 3400 SH Sole 3400
RELIASTAR FINANCIAL CORP COM 75952U103 1311 33455 SH Sole 33455
ROSS STORES INC COM 778296103 1280 71350 SH Sole 71350
ROYAL DUTCH PET CO NY COM 780257804 334 5522 SH Sole 5522
SBC COMMUNICATIONS COM 78387G103 610 12505 SH Sole 12505
SCHERING-PLOUGH COM 806605101 860 20288 SH Sole 20288
SCHLUMBERGER LTD COM 806857108 1840 32786 SH Sole 32786
SMITHKLINE BEECHAM ORD ADR COM 832378301 893 13925 SH Sole 13925
STAPLES INC COM 855030102 1225 59052 SH Sole 59052
STRYKER CORP COM 863667101 1130 16225 SH Sole 16225
SUN MICROSYSTEMS COM 866810104 7939 102520 SH Sole 102520
SYSCO CORP COM 871829107 1543 39000 SH Sole 39000
TEXACO INC COM 881694103 1919 35327 SH Sole 35327
THERMO ELECTRON COM 883556102 1522 101460 SH Sole 101460
TJX COMPANIES INC COM 872540109 1272 62219 SH Sole 62219
TRANSOCEAN SEDCO COM g90078109 213 6328 SH Sole 6328
UNITED PARCEL SERVICE CL B COM 911312106 248 3600 SH Sole 3600
UNITED TECHNOLOGIES COM 913017109 2606 40085 SH Sole 40085
UNUMPROVIDENT CORPORATION COM 91529Y106 465 14495 SH Sole 14495
USX-MARATHON GROUP COM 902905827 378 15300 SH Sole 15300
UTILICORP COM 918005109 964 49595 SH Sole 49595
VIRGINIA COMM BANCORP COM COM 393 28044 SH Sole 28044
VODAFONE GROUP PLC SPONSORED A COM 92857T107 444 8965 SH Sole 8965
WALMART COM 931142103 617 8928 SH Sole 8928
WARNER LAMBERT CO COM 934488107 1450 17700 SH Sole 17700
WASHINGTON MUTUAL INC COM 939322103 1244 48074 SH Sole 48074
20TH CENTURY ULTRA MF 025083882 277 6048 SH Sole 6048
BARRON ASSET FUND MF 068278100 213 3625 SH Sole 3625
GOVT SECURITES INC FUND MF 383744521 2 10919 SH Sole 10919
JANUS FD INC MF 471023101 1018 23102 SH Sole 23102
JANUS INVT FD WORLDWIDE FD MF 471023309 732 9576 SH Sole 9576
OAK VALUE FUND MF 900733106 518 20311 SH Sole 20311
VANGUARD INDEX TR 500 PORT MF 922908108 784 5791 SH Sole 5791
REPORT SUMMARY 156 DATA RECORDS 267259 0 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED
</TABLE>
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