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Previous: PBHG FUNDS INC /, 497, 1999-11-04 |
Next: PRICE T ROWE EQUITY INCOME FUND, 497K3B, 1999-11-04 |
<PAGE> 1
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 holdings entries.
Institutional Investment Manager Filing this Report:
Name: Alleghany Corporation
Address: 375 Park Avenue
New York, NY 10152
Form 13F File Number: 28-1590
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: Peter R. Sismondo
Title: Vice President, Controller, Treasurer and Assistant Secretary
Phone: 212-752-1356
Signature, Place, and Date of Signing:
/s/Peter R. Sismondo New York, NY November 5, 1999
- --------------------------------------------------------------------------------
[Signature] [City, State] [Date]
<PAGE> 2
The Chicago Trust Company ("TCTC") is a wholly owned subsidiary of
Alleghany Asset Management, Inc. ("AAM"), and AAM and Underwriters Re Group,
Inc. ("URG") are wholly owned subsidiaries of Alleghany Corporation
("Alleghany"). Chicago Title and Trust Company ("CT&T"), which was a wholly
owned subsidiary of Alleghany until June 16, 1998, was spun-off by a
distribution on June 17, 1998 to Alleghany's stockholders of shares of a newly
formed holding company for CT&T called Chicago Title Corporation. AAM, which was
a wholly owned subsidiary of CT&T until June 9, 1998, was spun-off by CT&T to
Alleghany. TCTC, AAM and URG (each an "operating subsidiary") and CT&T are or
may be "institutional investment managers" for purposes of the reporting
requirements under Section 13(f) of the Securities Exchange Act of 1934 (the
"Act") and the rules promulgated thereunder. Alleghany itself does not in fact
exercise, and therefore disclaims, investment discretion with respect to any
Section 13(f) securities positions over which its operating subsidiaries or CT&T
in fact exercise investment discretion. CT&T itself does not and did not in fact
exercise, and therefore disclaims, investment discretion with respect to any
Section 13(f) securities positions over which AAM or TCTC in fact exercise
investment discretion (with the exception of securities owned by CT&T). AAM
itself does not in fact exercise, and therefore disclaims, investment discretion
with respect to any Section 13(f) securities positions over which TCTC in fact
exercises investment discretion. To the extent, however, that the ownership
interest of Alleghany or AAM in their operating subsidiaries, or prior to June
10, 1998, of CT&T in AAM, may nevertheless give rise to a Form 13F filing
obligation, the information required by Form 13F is reported herein by Alleghany
on behalf of itself, each operating subsidiary and CT&T. The securities
positions of Montag & Caldwell, Inc. ("M&C"), a wholly owned subsidiary of TCTC
which is an institutional investment manager subject to Section 13(f) of the
Act, are not reported herein. The securities positions managed by M&C are
reported in a Form 13F filed by M&C. TCTC owns a 40% interest in Veredus Asset
Management LLC ("Veredus"), an institutional investment manager subject to
Section 13(f) of the Act. The securities positions managed by Veredus are not
reported herein, but are reported in a Form 13F filed by Veredus.
Report Type (Check only one):
[ ] 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).)
[ X ] 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> 3
List of Other Managers Reporting for this Manager:
Form 13F File Number Name
Montag & Caldwell, Inc.
Veredus Asset Management LLC
<PAGE> 4
Form 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 4
Form 13F Information Table Entry Total: 580
Form 13F Information Table Value Total: $4,467,982
(thousands)
<TABLE>
<CAPTION>
List of Other Included Managers:
No. Form 13F File Number Name
<S> <C> <C>
1 28-7262 Alleghany Asset Management, Inc.
2 28-635 Chicago Title and Trust Company
3 28-7258 The Chicago Trust Company
4 28-6342 Underwriters Re Group, Inc.
</TABLE>
<PAGE> 5
SECURITIES AND EXCHANGE COMMISSION FORM 13F INFORMATION
PREPARED FOR THE CHICAGO TRUST COMPANY
AS OF 9/30/99
<TABLE>
<CAPTION>
- -----------------------------------------------------------------------------------------
COLUMN 1&2 COLUMN 3 COLUMN 4 COLUMN 5
- -----------------------------------------------------------------------------------------
NAME OF ISSUER AND TITLE OF CLASS CUSIP MARKET SHRS OR SH/ PUT/
VALUE PRN AMT PRN CALL
(X 1000)
<S> <C> <C> <C> <C> <C>
ARCH COAL 039380 3,694 300,000 SH
ADC TELECOMMUNICATIONS INC 000886101 496 11,825 SH
AFLAC INC 001055102 17,727 423,344 SH
AGCO CORP 001084102 1,494 114,900 SH
AGL RESOURCES INC 001204106 536 33,000 SH
AES CORP 00130H105 22,642 383,760 SH
AIM EQUITY FDS CONSTELLATION FD CL A 001413202 10,876 337,131 SH
AMLI RESIDENTIAL PROPERTIES TRUST 001735109 5,108 243,229 SH
AMLI RESIDENTIAL PROPERTIES, L.P. 001735893 225 10,735 SH
A T & T CORPORATION 001957109 3,449 79,291 SH
AT&T CORP LIBERTY MEDIA CL A 001957208 755 20,288 SH
ABACUS DIRECT CORP 002553105 305 2,500 SH
ABBOTT LABORATORIES 002824100 29,280 798,076 SH
ACNIELSON CORP 004833109 136 6,000 SH
THE ACORN FUND 004851101 2,626 144,176 SH
THE ACORN INTERNATIONAL FUND 004851200 1,175 44,884 SH
ALLEGHANY CORP DEL 017175100 6,712 37,918 SH
CHICAGO TRUST SMALLCAP VALUE FD 017216201 10,847 1,157,615 SH
ALLEGHANY VEREDUS AGGRESSIVE GROWTH 017216300 3,992 260,276 SH
ALLEGHANY FDS EMERGING MKTS I 017216508 151 14,245 SH
ALLEGHANY/BLAIRLOGIE EMERGING MKTS N 017216607 1,084 102,727 SH
ALLEGHANY FDS INTL DEV FD I 017216706 258 20,047 SH
ALLEGHANY/BLAIRLOGIE INTL DEV CL N 017216805 3,776 293,588 SH
ALLIED SIGNAL INC 019512102 636 10,602 SH
ALLOU HEALTH & BEAUTY INC CL A 019782101 82 15,300 SH
ALLSTATE CORP 020002101 1,373 55,081 SH
ALLTEL CORP 020039103 259 3,670 SH
ALPHA 1 BIOMEDICALS INC 020910105 - 27,500 SH
AMEREN CORP 023608102 3,895 102,997 SH
AMEREN CORP 023608102 656 17,339 SH
AMERICA ONLINE INC 02364J104 245 2,360 SH
AMCORE FINANCIAL INC 023912108 1,163 56,300 SH
AMERICAN BALANCED FD INC 024071102 10,746 686,181 SH
AMERICAN CENTY CAP PTFLS INC 025076506 554 91,756 SH
AMERICAN EXPRESS CO 025816109 1,949 14,437 SH
AMERICAN GENERAL CORP 026351106 951 15,041 SH
AMERICAN HOME PRODUCTS CORP 026609107 5,782 139,327 SH
AMERICAN INTERNATIONAL GROUP INC 026874107 38,518 443,061 SH
AMERICAN POWER CONVERSION 029066107 2,025 106,600 SH
AMERICAN WATER WORKS INC 030411102 507 17,550 SH
AMERITECH CORP NEW 030954101 5,099 76,390 SH
AMGEN INC 031162100 2,096 25,718 SH
ANDREW CORP 034425108 424 24,500 SH
ANHEUSER BUSCH COS INC 035229103 525 7,496 SH
AON CORP 037389103 7,892 266,956 SH
APOLLO GROUP INC CL A 037604105 739 35,000 SH
APPLIED MATERIALS INC 038222105 234 3,000 SH
ARDENT SOFTWARE INC 039794102 445 16,500 SH
ARIEL FD 040337206 424 12,525 SH
ARIEL PREMIER BD A 040337404 207 20,867 SH
ASSOCIATES FIRST CAPITAL CORP 046008108 20,625 572,943 SH
ATLANTIC RICHFIELD CO 048825103 1,133 12,782 SH
AUTOMATIC DATA PROCESSING INC 053015103 589 13,200 SH
AUTONATION INC DEL 05329W102 234 18,700 SH
<CAPTION>
- -------------------------------------------------------------------------------------------------------
COLUMN 1&2 COLUMN 6 COLUMN 7 COLUMN 8
- -------------------------------------------------------------------------------------------------------
INVESTMENT VOTING
NAME OF ISSUER AND TITLE OF CLASS DISCRETION MANAGER AUTHORITY
SOLE SHRD OTHER SOLE SHRD NONE
(A) (B) (C) (A) (B) (C)
<S> <C> <C> <C> <C> <C> <C> <C>
ARCH COAL X 01 X
ADC TELECOMMUNICATIONS INC X 03 X
AFLAC INC X 03 X
AGCO CORP X 03 X
AGL RESOURCES INC X 03 X
AES CORP X 03 X
AIM EQUITY FDS CONSTELLATION FD CL A X 03 X
AMLI RESIDENTIAL PROPERTIES TRUST X 03 X
AMLI RESIDENTIAL PROPERTIES, L.P. X 03 X
A T & T CORPORATION X 03 X
AT&T CORP LIBERTY MEDIA CL A X 03 X
ABACUS DIRECT CORP X 03 X
ABBOTT LABORATORIES X 03 X
ACNIELSON CORP X 03 X
THE ACORN FUND X 03 X
THE ACORN INTERNATIONAL FUND X 03 X
ALLEGHANY CORP DEL X 03 X
CHICAGO TRUST SMALLCAP VALUE FD X 03 X
ALLEGHANY VEREDUS AGGRESSIVE GROWTH X 03 X
ALLEGHANY FDS EMERGING MKTS I X 03 X
ALLEGHANY/BLAIRLOGIE EMERGING MKTS N X 03 X
ALLEGHANY FDS INTL DEV FD I X 03 X
ALLEGHANY/BLAIRLOGIE INTL DEV CL N X 03 X
ALLIED SIGNAL INC X 03 X
ALLOU HEALTH & BEAUTY INC CL A X 03 X
ALLSTATE CORP X 03 X
ALLTEL CORP X 03 X
ALPHA 1 BIOMEDICALS INC X 03 X
AMEREN CORP X 02,03 X
AMEREN CORP X 03 X
AMERICA ONLINE INC X 03 X
AMCORE FINANCIAL INC X 03 X
AMERICAN BALANCED FD INC X 03 X
AMERICAN CENTY CAP PTFLS INC X 03 X
AMERICAN EXPRESS CO X 03 X
AMERICAN GENERAL CORP X 03 X
AMERICAN HOME PRODUCTS CORP X 03 X
AMERICAN INTERNATIONAL GROUP INC X 03 X
AMERICAN POWER CONVERSION X 03 X
AMERICAN WATER WORKS INC X 03 X
AMERITECH CORP NEW X 03 X
AMGEN INC X 03 X
ANDREW CORP X 03 X
ANHEUSER BUSCH COS INC X 03 X
AON CORP X 03 X
APOLLO GROUP INC CL A X 03 X
APPLIED MATERIALS INC X 03 X
ARDENT SOFTWARE INC X 03 X
ARIEL FD X 03 X
ARIEL PREMIER BD A X 03 X
ASSOCIATES FIRST CAPITAL CORP X 03 X
ATLANTIC RICHFIELD CO X 03 X
AUTOMATIC DATA PROCESSING INC X 03 X
AUTONATION INC DEL X 03 X
</TABLE>
1
<PAGE> 6
SECURITIES AND EXCHANGE COMMISSION FORM 13F INFORMATION
PREPARED FOR THE CHICAGO TRUST COMPANY
AS OF 9/30/99
<TABLE>
<CAPTION>
- ---------------------------------------------------------------------------------------
COLUMN 1&2 COLUMN 3 COLUMN 4 COLUMN 5
- ---------------------------------------------------------------------------------------
NAME OF ISSUER AND TITLE OF CLASS CUSIP MARKET SHRS OR SH/ PUT/
VALUE PRN AMT PRN CALL
(X 1000)
<S> <C> <C> <C> <C> <C>
AWARE INC MASS 05453N100 503 17,500 SH
BP AMOCO SPON ADR 055622104 16,000 144,384 SH
BT PYRAMID FDS 055847107 2,257 13,973 SH
BT INVT FDS 055922868 586 24,224 SH
BALDWIN & LYONS CL B 057755209 506 24,600 SH
BANK OF AMERICA CORP 060505104 645 11,597 SH
BANK ONE CORP 06423A103 2,683 77,062 SH
BARON ASSET BEN INT FD 068278100 3,286 63,712 SH
BAXTER INTERNATIONAL INC 071813109 935 15,518 SH
BELL & HOWELL CO 077852101 976 26,600 SH
BELL ATLANTIC CORP 077853109 1,845 27,410 SH
BELLSOUTH CORP 079860102 4,637 103,045 SH
BERGER OMNI INVT FD TR 083902106 637 30,408 SH
BERGER OMNI SM CAP VALUE INS 083902205 3,258 155,168 SH
BERKSHIRE HATHAWAY INC DEL 084670108 220 4 SH
BERKSHIRE HATHAWAY INC DEL CL B 084670207 763 411 SH
BESTFOODS 08658U101 1,449 29,840 SH
BIOGEN INC 090597105 1,550 19,668 SH
WILLIAM BLAIR LEVERAGED CAPITAL 0929939A4 223 1,000,000 SH
BOEING CO 097023105 334 7,842 SH
BOND FUND OF AMERICA INC 097873103 6,654 511,415 SH
OPP CONV BOND FUND SEC A 097877104 1,264 83,305 SH
BOSTON SCIENTIFIC CORP 101137107 837 33,800 SH
BRANDYWINE FUND INC 10532D107 6,456 183,973 SH
BRINSON FDS INC NON U S EQUITY FD 10970C306 1,711 136,137 SH
BRINSON FDS MULTI ASSET PORTFOLIO 10970C900 3,441 4,074 SH
BRINSON FDS U.S. SHORT/INTERM 10970C918 807 31,164 SH
BRISTOL MYERS SQUIBB CO 110122108 5,545 82,139 SH
BURLINGTON NORTHERN SANTA FE CORP 12189T104 289,431 10,524,773 SH
BURLINGTON NORTHERN SANTA FE CORP 12189T104 343 12,467 SH
BURLINGTON NORTHERN SANTA FE CORP 12189T104 204,173 7,424,469 SH
CBS CORP 12490K107 241 5,207 SH
C-CUBE MICROSYTEMS INC 125015107 717 16,500 SH
CLECO CORP 12561W105 290 8,938 SH
CNF TRANSPORTATION INC 12612W104 708 19,000 SH
CHICAGO TRUST GROWTH & INCOME FUND 126413103 336,837 12,559,166 SH
CHICAGO TRUST MUNICIPAL BOND FUND 126413301 13,581 1,377,348 SH
MONTAG & CALDWELL GROWTH FUND 126413509 260,898 8,454,260 SH
MONTAG & CALDWELL BALANCED FUND 126413608 79,797 4,308,720 SH
CHICAGO TRUST TALON FUND 126413707 1,409 101,884 SH
CHICAGO TRUST BALANCED FUND 126413806 255,568 20,060,287 SH
MONTAG & CALDWELL GROWTH FD INSTL 126413889 152,952 4,913,318 SH
CVS CORP 126650100 249 6,100 SH
CAL DIVE INTERNATIONAL INC 127914109 836 24,400 SH
CALVERT TAX-FREE RESERVES 131620205 127 11,891 SH
CAMPBELL SOUP CO 134429109 235 6,000 SH
CANADIAN NATIONAL RAILWAY CO 136375102 1,297 42,800 SH
CAPITAL TRUST-CL A 14052H100 412 83,500 SH
AMERICAN FUNDS CAP WORLD GROWTH 140543109 654 23,935 SH
CARDINAL HEALTH INC 14149Y108 14,732 270,304 SH
CARNIVAL CORP 143658102 20,399 468,940 SH
CASEYS GENERAL STORES INC 147528103 574 42,800 SH
CATERPILLAR INC 149123101 623 11,366 SH
<CAPTION>
- -------------------------------------------------------------------------------------------------------
COLUMN 1&2 COLUMN 6 COLUMN 7 COLUMN 8
- -------------------------------------------------------------------------------------------------------
INVESTMENT VOTING
NAME OF ISSUER AND TITLE OF CLASS DISCRETION MANAGER AUTHORITY
SOLE SHRD OTHER SOLE SHRD NONE
(A) (B) (C) (A) (B) (C)
<S> <C> <C> <C> <C> <C> <C> <C>
AWARE INC MASS X 03 X
BP AMOCO SPON ADR X 03 X
BT PYRAMID FDS X 03 X
BT INVT FDS X 03 X
BALDWIN & LYONS CL B X 03 X
BANK OF AMERICA CORP X 03 X
BANK ONE CORP X 03 X
BARON ASSET BEN INT FD X 03 X
BAXTER INTERNATIONAL INC X 03 X
BELL & HOWELL CO X 03 X
BELL ATLANTIC CORP X 03 X
BELLSOUTH CORP X 03 X
BERGER OMNI INVT FD TR X 03 X
BERGER OMNI SM CAP VALUE INS X 03 X
BERKSHIRE HATHAWAY INC DEL X 03 X
BERKSHIRE HATHAWAY INC DEL CL B X 03 X
BESTFOODS X 03 X
BIOGEN INC X 03 X
WILLIAM BLAIR LEVERAGED CAPITAL X 03 X
BOEING CO X 03 X
BOND FUND OF AMERICA INC X 03 X
OPP CONV BOND FUND SEC A X 03 X
BOSTON SCIENTIFIC CORP X 03 X
BRANDYWINE FUND INC X 03 X
BRINSON FDS INC NON U S EQUITY FD X 03 X
BRINSON FDS MULTI ASSET PORTFOLIO X 03 X
BRINSON FDS U.S. SHORT/INTERM X 03 X
BRISTOL MYERS SQUIBB CO X 03 X
BURLINGTON NORTHERN SANTA FE CORP X 01 X
BURLINGTON NORTHERN SANTA FE CORP X 03 X
BURLINGTON NORTHERN SANTA FE CORP X 04 X
CBS CORP X 03 X
C-CUBE MICROSYTEMS INC X 03 X
CLECO CORP X 03 X
CNF TRANSPORTATION INC X 03 X
CHICAGO TRUST GROWTH & INCOME FUND X 03 X
CHICAGO TRUST MUNICIPAL BOND FUND X 03 X
MONTAG & CALDWELL GROWTH FUND X 03 X
MONTAG & CALDWELL BALANCED FUND X 03 X
CHICAGO TRUST TALON FUND X 03 X
CHICAGO TRUST BALANCED FUND X 03 X
MONTAG & CALDWELL GROWTH FD INSTL X 03 X
CVS CORP X 03 X
CAL DIVE INTERNATIONAL INC X 03 X
CALVERT TAX-FREE RESERVES X 03 X
CAMPBELL SOUP CO X 03 X
CANADIAN NATIONAL RAILWAY CO X 03 X
CAPITAL TRUST-CL A X 03 X
AMERICAN FUNDS CAP WORLD GROWTH X 03 X
CARDINAL HEALTH INC X 03 X
CARNIVAL CORP X 03 X
CASEYS GENERAL STORES INC X 03 X
CATERPILLAR INC X 03 X
</TABLE>
2
<PAGE> 7
SECURITIES AND EXCHANGE COMMISSION FORM 13F INFORMATION
PREPARED FOR THE CHICAGO TRUST COMPANY
AS OF 9/30/99
<TABLE>
<CAPTION>
- ---------------------------------------------------------------------------------------
COLUMN 1&2 COLUMN 3 COLUMN 4 COLUMN 5
- ---------------------------------------------------------------------------------------
NAME OF ISSUER AND TITLE OF CLASS CUSIP MARKET SHRS OR SH/ PUT/
VALUE PRN AMT PRN CALL
(X 1000)
<S> <C> <C> <C> <C> <C>
CENDANT CORP 151313103 305 17,209 SH
CENTEX CONSTRUCTION PRODUCTS 15231R109 1,110 29,900 SH
CENTRAL NEWSPAPERS INC 154647101 1,879 42,220 SH
CHAMPION ENTERPRISES INC 158496109 864 96,000 SH
CHASE MANHATTAN CORP NEW 16161A108 1,120 14,854 SH
CHEVRON CORP 166751107 1,558 17,559 SH
CHICAGO TITLE CORP 168228104 9,331 233,641 SH
CHOCK FULL O NUTS CORP 170268106 132 12,111 SH
CHURCH & DWIGHT CO INC 171340102 913 36,500 SH
CISCO SYSTEMS INC 17275R102 67,575 985,736 SH
CINTAS CORP 172908105 31,975 553,228 SH
CITIGROUP INC 172967101 878 19,949 SH
CITIZENS UTILS CO DEL SER B 177342201 420 37,076 SH
COASTAL CARIBBEAN OILS & MINERALS 190432203 17 11,571 SH
COCA COLA CO 191216100 5,400 111,920 SH
COHEN & STEERS REALTY SHS INC 192476109 2,374 65,814 SH
COLGATE PALMOLIVE CO 194162103 1,247 27,242 SH
COMDISCO INC 200336105 2,254 116,674 SH
COMMERCIAL FED CORP 201647104 1,066 54,300 SH
COMPUTER ASSOCIATE INTL INC 204912109 41,136 672,182 SH
COMPUTER SCIENCES CORP 205363104 30,838 438,598 SH
CONAGRA INC 205887102 2,197 97,391 SH
CONCORD EFS INC 206197105 2,424 117,517 SH
CONEXANT SYSTEMS INC 207142100 232 3,204 SH
CONNING MORTGAGE INVESTMENT TRUST 208216903 75 74,532 SH
BATTLE MOUNTAIN GOLD CO EURO 2084541 471 650,000 SH
CONSOLIDATED EDISON INC 209115104 1,638 39,461 SH
CONSOLIDATED NATURAL GAS CO 209615103 418 6,700 SH
COOPER INDS INC 216669101 254 5,431 SH
CORNING INC 219350105 343 5,000 SH
COSTCO WHOLESALE CORP 22160K105 461 6,400 SH
COURT MIICRO INVESTORS LLC 222740904 50 50,000 SH
COVENTRY HEALTH CARE, INC. 222862104 1,004 106,000 SH
COYOTE NETWORK SYS INC 22406P108 107 20,052 SH
CYTEC INDUSTRIES INC. 232820100 989 41,200 SH
DANIELSON HLDGS CORP 236274106 399 66,500 SH
DAVIS N Y VENTURE FD INC 239080104 20,847 792,653 SH
DEAN FOODS CO 242361103 1,684 38,659 SH
DELL COMPUTER CORP 247025109 606 14,490 SH
DELUXE CORP 248019101 567 16,650 SH
DEXTER CORP 252165105 851 22,800 SH
DIEBOLD INC 253651103 370 16,000 SH
DISNEY WALT CO 254687106 2,465 94,822 SH
DODGE & COX BALANCED FUND 256201104 32,352 479,645 SH
DONNELLEY RR & SONS 257867101 260 9,000 SH
DOW CHEMICAL CO 260543103 1,148 10,103 SH
DU PONT E I DE NEMOURS & CO 263534109 2,224 36,756 SH
DUKE ENERGY CORP 264399106 290 5,247 SH
DUPONT PHOTOMASKS INC 26613X101 602 13,100 SH
EMC CORPORATION 268648102 53,278 746,120 SH
EMC CORP SUB NT CONV 26865YAA2 11,358 1,800,000 SH
EASTMAN KODAK CO 277461109 487 6,428 SH
ECOLAB INC 278865100 27,271 799,138 SH
<CAPTION>
- -------------------------------------------------------------------------------------------
COLUMN 1&2 COLUMN 6 COLUMN 7 COLUMN 8
- -------------------------------------------------------------------------------------------
INVESTMENT VOTING
NAME OF ISSUER AND TITLE OF CLASS DISCRETION MANAGER AUTHORITY
SOLE SHRD OTHER SOLE SHRD NONE
(A) (B) (C) (A) (B) (C)
<S> <C> <C> <C> <C> <C> <C> <C>
CENDANT CORP X 03 X
CENTEX CONSTRUCTION PRODUCTS X 03 X
CENTRAL NEWSPAPERS INC X 03 X
CHAMPION ENTERPRISES INC X 03 X
CHASE MANHATTAN CORP NEW X 03 X
CHEVRON CORP X 03 X
CHICAGO TITLE CORP X 03 X
CHOCK FULL O NUTS CORP X 03 X
CHURCH & DWIGHT CO INC X 03 X
CISCO SYSTEMS INC X 03 X
CINTAS CORP X 03 X
CITIGROUP INC X 03 X
CITIZENS UTILS CO DEL SER B X 03 X
COASTAL CARIBBEAN OILS & MINERALS X 03 X
COCA COLA CO X 03 X
COHEN & STEERS REALTY SHS INC X 03 X
COLGATE PALMOLIVE CO X 03 X
COMDISCO INC X 03 X
COMMERCIAL FED CORP X 03 X
COMPUTER ASSOCIATE INTL INC X 03 X
COMPUTER SCIENCES CORP X 03 X
CONAGRA INC X 03 X
CONCORD EFS INC X 03 X
CONEXANT SYSTEMS INC X 03 X
CONNING MORTGAGE INVESTMENT TRUST X 02,03 X
BATTLE MOUNTAIN GOLD CO EURO X 03 X
CONSOLIDATED EDISON INC X 03 X
CONSOLIDATED NATURAL GAS CO X 03 X
COOPER INDS INC X 03 X
CORNING INC X 03 X
COSTCO WHOLESALE CORP X 03 X
COURT MIICRO INVESTORS LLC X 03 X
COVENTRY HEALTH CARE, INC. X 03 X
COYOTE NETWORK SYS INC X 03 X
CYTEC INDUSTRIES INC. X 03 X
DANIELSON HLDGS CORP X 03 X
DAVIS N Y VENTURE FD INC X 03 X
DEAN FOODS CO X 03 X
DELL COMPUTER CORP X 03 X
DELUXE CORP X 03 X
DEXTER CORP X 03 X
DIEBOLD INC X 03 X
DISNEY WALT CO X 03 X
DODGE & COX BALANCED FUND X 03 X
DONNELLEY RR & SONS X 03 X
DOW CHEMICAL CO X 03 X
DU PONT E I DE NEMOURS & CO X 03 X
DUKE ENERGY CORP X 03 X
DUPONT PHOTOMASKS INC X 03 X
EMC CORPORATION X 03 X
EMC CORP SUB NT CONV X 03 X
EASTMAN KODAK CO X 03 X
ECOLAB INC X 03 X
</TABLE>
3
<PAGE> 8
SECURITIES AND EXCHANGE COMMISSION FORM 13F INFORMATION
PREPARED FOR THE CHICAGO TRUST COMPANY
AS OF 9/30/99
<TABLE>
<CAPTION>
- ---------------------------------------------------------------------------------------
COLUMN 1&2 COLUMN 3 COLUMN 4 COLUMN 5
- ---------------------------------------------------------------------------------------
NAME OF ISSUER AND TITLE OF CLASS CUSIP MARKET SHRS OR SH/ PUT/
VALUE PRN AMT PRN CALL
(X 1000)
<S> <C> <C> <C> <C> <C>
EDISON INTERNATIONAL 281020107 258 10,608 SH
ELAN PLC ADR 284131208 3,087 91,940 SH
ELDORADO BANCSHARES INC 28467W106 377 42,800 SH
ELECTRONIC ARTS INC 285512109 680 9,400 SH
ELECTRONIC DATA SYS CORP NEW 285661104 1,111 20,982 SH
EMERSON ELECTRIC CO 291011104 2,064 32,662 SH
ENRON CORP 293561106 896 21,824 SH
ENTERPRISE SMALL CO PFT A 293720850 3,152 367,794 SH
L M ERICSSON TELEPHONE COMPANY ADR 294821400 341 10,900 SH
ETHIKA CORP 297652109 1 40,000 SH
EUROPACIFIC GROWTH FUND SHARES OF 298706102 35,874 1,047,399 SH
EVERGREEN MUN TR TAX FREE FD A 300258746 116 16,387 SH
EXPEDITORS INTL WASH INC 302130109 4,326 134,800 SH
EXXON CORP 302290101 18,171 239,082 SH
FPL GROUP INC 302571104 239 4,736 SH
FEDERAL HOME LOAN MORTGAGE CORP 313400301 30,741 591,175 SH
FEDERAL NATIONAL MORTGAGE ASSN 313586109 10,998 175,433 SH
FEDERAL SIGNAL CORP 313855108 4,498 226,318 SH
FIDELITY ADVISOR EQUITY PORT GROWTH 315805200 4,300 68,840 SH
FIDELITY ADVISOR SER GROWTH OPPORT 315807206 15,788 321,281 SH
FIDELITY ADVISOR HIGH YIELD FUND 315807305 1,673 149,773 SH
FIDELITY INVT TR 315910802 449 21,946 SH
FIDELITY UTILITY FUNDS 316128107 266 11,178 SH
FIDELITY EQUITY INCOME FUND 316138106 749 13,373 SH
FIDELITY MAGELLAN FUND 316184100 4,862 39,846 SH
FIDELITY NATIONAL CORP 316320100 415 51,900 SH
FIDELITY PURITAN FUND 316345107 1,661 89,268 SH
FIDELITY BLUE CHIP GROWTH FUND 316389303 245 4,902 SH
FIDELITY VALUE FUND 316464106 2,667 52,807 SH
FIFTH THIRD BANCORP 316773100 1,940 31,871 SH
FIRST BANCSHARES INC IND CAP STK 318685104 9,022 12,888 SH
FIRST DATA CORP 319963104 250 5,700 SH
FIRST FINANCIAL HLDGS 320239106 872 50,200 SH
FIRST MIDWEST BANCORP INC 320867104 512 13,400 SH
FIRST UNION CORP 337358105 413 11,597 SH
FIRSTAR CORPORATION 33763V109 1,067 41,621 SH
FLAG INVS VALUE BLDR FD INC 33832R105 3,386 147,270 SH
FLORIDA PROGRESS CORP 341109106 360 7,800 SH
FLORIDA ROCK INDS 341140101 410 11,800 SH
FLORSHEIM GROUP INC 343302105 192 78,900 SH
FORD MOTOR CO DEL 345370100 695 13,840 SH
FORTUNE BRANDS INC 349631101 768 23,823 SH
93.0269% INT FRALICK FAMILY LLC 351684915 482 1 SH
FRANKLIN BALANCE SHEET INVT I 352423107 4,383 144,761 SH
FRANKLIN FEDERAL TAX FREE INCOME FD 353519101 164 14,068 SH
FRANKLIN SMALL CAP GRWTH 354713109 13,924 500,128 SH
FRIENDLY FUELS GROUP INC 357903103 13 76,000 SH
FUNDAMENTAL INVESTORS 360802102 2,404 77,069 SH
GTE CORP 362320103 5,322 69,228 SH
GABLES RESIDENTIAL TRUST 362418105 754 31,400 SH
GALLAGHER (ARTHUR J.) & CO 363576109 1,550 29,100 SH
GALLAHER GROUP PLC SPONSORED ADR 363595109 308 11,332 SH
GAM INTERNATIONAL FUND 364590109 6,101 248,515 SH
<CAPTION>
- -------------------------------------------------------------------------------------------
COLUMN 1&2 COLUMN 6 COLUMN 7 COLUMN 8
- -------------------------------------------------------------------------------------------
INVESTMENT VOTING
NAME OF ISSUER AND TITLE OF CLASS DISCRETION MANAGER AUTHORITY
SOLE SHRD OTHER SOLE SHRD NONE
(A) (B) (C) (A) (B) (C)
<S> <C> <C> <C> <C> <C> <C> <C>
EDISON INTERNATIONAL X 03 X
ELAN PLC ADR X 03 X
ELDORADO BANCSHARES INC X 03 X
ELECTRONIC ARTS INC X 03 X
ELECTRONIC DATA SYS CORP NEW X 03 X
EMERSON ELECTRIC CO X 03 X
ENRON CORP X 03 X
ENTERPRISE SMALL CO PFT A X 03 X
L M ERICSSON TELEPHONE COMPANY ADR X 03 X
ETHIKA CORP X 03 X
EUROPACIFIC GROWTH FUND SHARES OF X 03 X
EVERGREEN MUN TR TAX FREE FD A X 03 X
EXPEDITORS INTL WASH INC X 03 X
EXXON CORP X 03 X
FPL GROUP INC X 03 X
FEDERAL HOME LOAN MORTGAGE CORP X 03 X
FEDERAL NATIONAL MORTGAGE ASSN X 03 X
FEDERAL SIGNAL CORP X 03 X
FIDELITY ADVISOR EQUITY PORT GROWTH X 03 X
FIDELITY ADVISOR SER GROWTH OPPORT X 03 X
FIDELITY ADVISOR HIGH YIELD FUND X 03 X
FIDELITY INVT TR X 03 X
FIDELITY UTILITY FUNDS X 03 X
FIDELITY EQUITY INCOME FUND X 03 X
FIDELITY MAGELLAN FUND X 03 X
FIDELITY NATIONAL CORP X 03 X
FIDELITY PURITAN FUND X 03 X
FIDELITY BLUE CHIP GROWTH FUND X 03 X
FIDELITY VALUE FUND X 03 X
FIFTH THIRD BANCORP X 03 X
FIRST BANCSHARES INC IND CAP STK X 03 X
FIRST DATA CORP X 03 X
FIRST FINANCIAL HLDGS X 03 X
FIRST MIDWEST BANCORP INC X 03 X
FIRST UNION CORP X 03 X
FIRSTAR CORPORATION X 03 X
FLAG INVS VALUE BLDR FD INC X 03 X
FLORIDA PROGRESS CORP X 03 X
FLORIDA ROCK INDS X 03 X
FLORSHEIM GROUP INC X 03 X
FORD MOTOR CO DEL X 03 X
FORTUNE BRANDS INC X 03 X
93.0269% INT FRALICK FAMILY LLC X 03 X
FRANKLIN BALANCE SHEET INVT I X 03 X
FRANKLIN FEDERAL TAX FREE INCOME FD X 03 X
FRANKLIN SMALL CAP GRWTH X 03 X
FRIENDLY FUELS GROUP INC X 03 X
FUNDAMENTAL INVESTORS X 03 X
GTE CORP X 03 X
GABLES RESIDENTIAL TRUST X 03 X
GALLAGHER (ARTHUR J.) & CO X 03 X
GALLAHER GROUP PLC SPONSORED ADR X 03 X
GAM INTERNATIONAL FUND X 03 X
</TABLE>
4
<PAGE> 9
SECURITIES AND EXCHANGE COMMISSION FORM 13F INFORMATION
PREPARED FOR THE CHICAGO TRUST COMPANY
AS OF 9/30/99
<TABLE>
<CAPTION>
- ---------------------------------------------------------------------------------------
COLUMN 1&2 COLUMN 3 COLUMN 4 COLUMN 5
- ---------------------------------------------------------------------------------------
NAME OF ISSUER AND TITLE OF CLASS CUSIP MARKET SHRS OR SH/ PUT/
VALUE PRN AMT PRN CALL
(X 1000)
<S> <C> <C> <C> <C> <C>
GANNETT INC 364730101 607 8,770 SH
GAP INC 364760108 664 20,723 SH
GENERAL AMERICAN INVESTORS COMPANY 368802104 220 6,750 SH
GENERAL DYNAMICS CORP 369550108 1,027 16,444 SH
GENERAL ELECTRIC CO 369604103 72,397 610,627 SH
GENERAL MILLS INC 370334104 262 3,233 SH
GENERAL MOTORS CORP 370442105 927 14,719 SH
GILLETTE CO 375766102 5,249 154,654 SH
GRACO INC 384109104 824 25,100 SH
GRAINGER W W INC 384802104 1,247 25,950 SH
GUARDIAN ENTERPRISES LTD 40136B108 - 10,000 SH
GUIDANT CORP 401698105 265 4,948 SH
HARLEY DAVIDSON INC 412822108 32,909 657,341 SH
HARMONIC INC 413160102 262 2,000 SH
HARRIS ASSOC INVT TR OAKMARK FUND 413838103 2,824 82,151 SH
OAKMARK INTERNATIONAL FUND HARRIS 413838202 253 18,153 SH
HAYES LEMMERZ INTL INC 420781106 874 37,600 SH
HEALTH MANAGEMENT ASSOCIATES INC 421933102 3,253 419,769 SH
HEWLETT PACKARD CO 428236103 3,842 42,337 SH
HOME DEPOT INC 437076102 1,938 28,246 SH
HONEYWELL INC 438506107 389 3,500 SH
HOUGHTON MIFFLIN CO 441560109 1,296 31,900 SH
HOUSEHOLD INTERNATIONAL INC 441815107 2,248 56,042 SH
HUBBELL INC CL A 443510102 456 13,552 SH
HUBBELL INC CL B 443510201 306 9,588 SH
HUNTINGTON BANCSHARES INC 446150104 289 10,852 SH
ILLINOIS TOOL WORKS INC 452308109 60,161 806,843 SH
INCOME FUND OF AMERICA 453320103 2,418 144,892 SH
INDIANA ENERGY INC 454707100 386 19,249 SH
INGERSOLL RAND CO 456866102 318 5,790 SH
INFORMATION RESOURCES INC 456905108 322 29,000 SH
INTEL CORP 458140100 4,150 55,842 SH
INTERMEDIATE BD FD AMER 458809100 1,949 148,881 SH
INTERNATIONAL BUSINESS MACHINES 459200101 6,517 53,860 SH
INTERPUBLIC GROUP OF COMPANIES INC 460690100 1,218 29,600 SH
INTERTAPE POLYMER GROUP INC 460919103 1,479 52,340 SH
INVESCO INCOME FDS INC 461277204 179 29,119 SH
INVESCO VALUE TR 46128D309 3,200 103,824 SH
INVESTMENT CO OF AMERICA 461308108 9,678 302,627 SH
IONICS INC 462218108 589 18,180 SH
IPALCO ENTERPRISES INC 462613100 221 11,360 SH
IRWIN FINANCIAL CORP 464119106 571 28,480 SH
JDS UNIPHASE CORP 46612J101 250 2,200 SH
J P M INDUSTRIES INC CL A FORMERLY 46624D100 30 1,000,000 SH
JABIL CIRCUIT INC 466313103 901 18,200 SH
JANUS ASPEN SERIES INTERNATIONAL 471021816 327 13,420 SH
JANUS ASPEN SERIES AGRESSIVE 471021857 1,148 31,030 SH
JANUS INVT FD WORLDWIDE FD 471023309 3,058 55,817 SH
JANUS INVT OVERSEAS FD 471023846 668 28,740 SH
JANUS INVT FD 471023853 893 26,951 SH
JOHNSON & JOHNSON 478160104 6,392 69,572 SH
JOHNSON CONTROLS INC 478366107 28,788 434,131 SH
KANSAS CITY POWER & LIGHT CO 485134100 13,516 558,753 SH
<CAPTION>
- ------------------------------------------------------------------------------------------
COLUMN 1&2 COLUMN 6 COLUMN 7 COLUMN 8
- ------------------------------------------------------------------------------------------
NVESTMENT VOTING
NAME OF ISSUER AND TITLE OF CLASS DISCRETION MANAGER AUTHORITY
SOLE SHRD OTHER SOLE SHRD NONE
(A) (B) (C) (A) (B) (C)
<S> <C> <C> <C> <C> <C> <C> <C>
GANNETT INC X 03 X
GAP INC X 03 X
GENERAL AMERICAN INVESTORS COMPANY X 03 X
GENERAL DYNAMICS CORP X 03 X
GENERAL ELECTRIC CO X 03 X
GENERAL MILLS INC X 03 X
GENERAL MOTORS CORP X 03 X
GILLETTE CO X 03 X
GRACO INC X 03 X
GRAINGER W W INC X 03 X
GUARDIAN ENTERPRISES LTD X 03 X
GUIDANT CORP X 03 X
HARLEY DAVIDSON INC X 03 X
HARMONIC INC X 03 X
HARRIS ASSOC INVT TR OAKMARK FUND X 03 X
OAKMARK INTERNATIONAL FUND HARRIS X 03 X
HAYES LEMMERZ INTL INC X 03 X
HEALTH MANAGEMENT ASSOCIATES INC X 03 X
HEWLETT PACKARD CO X 03 X
HOME DEPOT INC X 03 X
HONEYWELL INC X 03 X
HOUGHTON MIFFLIN CO X 03 X
HOUSEHOLD INTERNATIONAL INC X 03 X
HUBBELL INC CL A X 03 X
HUBBELL INC CL B X 03 X
HUNTINGTON BANCSHARES INC X 03 X
ILLINOIS TOOL WORKS INC X 03 X
INCOME FUND OF AMERICA X 03 X
INDIANA ENERGY INC X 03 X
INGERSOLL RAND CO X 03 X
INFORMATION RESOURCES INC X 03 X
INTEL CORP X 03 X
INTERMEDIATE BD FD AMER X 03 X
INTERNATIONAL BUSINESS MACHINES X 03 X
INTERPUBLIC GROUP OF COMPANIES INC X 03 X
INTERTAPE POLYMER GROUP INC X 03 X
INVESCO INCOME FDS INC X 03 X
INVESCO VALUE TR X 03 X
INVESTMENT CO OF AMERICA X 03 X
IONICS INC X 03 X
IPALCO ENTERPRISES INC X 03 X
IRWIN FINANCIAL CORP X 03 X
JDS UNIPHASE CORP X 03 X
J P M INDUSTRIES INC CL A FORMERLY X 03 X
JABIL CIRCUIT INC X 03 X
JANUS ASPEN SERIES INTERNATIONAL X 03 X
JANUS ASPEN SERIES AGRESSIVE X 03 X
JANUS INVT FD WORLDWIDE FD X 03 X
JANUS INVT OVERSEAS FD X 03 X
JANUS INVT FD X 03 X
JOHNSON & JOHNSON X 03 X
JOHNSON CONTROLS INC X 03 X
KANSAS CITY POWER & LIGHT CO X 02,03 X
</TABLE>
5
<PAGE> 10
SECURITIES AND EXCHANGE COMMISSION FORM 13F INFORMATION
PREPARED FOR THE CHICAGO TRUST COMPANY
AS OF 9/30/99
<TABLE>
<CAPTION>
- ---------------------------------------------------------------------------------------
COLUMN 1&2 COLUMN 3 COLUMN 4 COLUMN 5
- ---------------------------------------------------------------------------------------
NAME OF ISSUER AND TITLE OF CLASS CUSIP MARKET SHRS OR SH/ PUT/
VALUE PRN AMT PRN CALL
(X 1000)
<S> <C> <C> <C> <C> <C>
KANSAS CITY POWER & LIGHT CO 485134100 38 1,600 SH
KANSAS CITY POWER & LIGHT CO 485134100 13,091 541,247 SH
KELLOGG CO 487836108 883 23,586 SH
KEMPER INSD CORPORATE TR UNIT SER 8 487903262 172 174,242 SH
KEMET CORP 488360108 678 21,200 SH
KEMPER DREMAN FUND INC 48840B504 3,454 111,311 SH
KEMPER-DREMAN SMALL CAP VALU A FD 48840B876 239 13,281 SH
KEMPER MUNICIPAL BOND FUND CL A 488419201 135 14,048 SH
KEMPER US GOVERNMENT SECURITIES 488438102 232 27,559 SH
KERR MCGEE CORP SUB DEB CONV 492386AL1 488 498,000 SH
KIMBERLY CLARK CORP 494368103 1,539 29,176 SH
KOHLS CORP 500255104 20,472 309,590 SH
LG & E ENERGY CORP 501917108 240 11,287 SH
LILLY ELI & CO 532457108 1,304 20,317 SH
LINCOLN NATIONAL CORP INDIANA 534187109 5,285 140,704 SH
LINEAR TECHNOLOGY CORPORATION 535678106 588 10,000 SH
LITTELFUSE INC 537008104 853 38,330 SH
LONGLEAF PARTNERS FUND SH BEN INT 543069108 1,995 79,630 SH
LORD ABBETT DEVELOPING GROWTH 544006109 212 12,823 SH
LUCENT TECHNOLOGIES INC 549463107 6,846 105,517 SH
MBNA CORP 55262L100 29,239 1,281,714 SH
MDC HOLDINGS INC 552676108 656 40,500 SH
MCI WORLDCOM INC 55268B106 2,293 31,908 SH
MAS FDS EQUITY PTFL 552913105 873 44,055 SH
MFS EMERGING GROWTH FUND CL A 552985103 10,800 219,292 SH
MFS SER TR VII CAP OPPTYS FD CL A 552988305 10,844 566,263 SH
MAGNA INTERNATIONAL INC-CL A 559222401 248 5,000 SH
MANPOWER 56418H100 830 28,500 SH
MARINE DRILLING COMPANIES 568240204 705 44,600 SH
MARSH & MCLENNAN COS INC 571748102 1,616 23,585 SH
MARRIOTT INTL INC NEW CL A 571903202 723 22,100 SH
MASSACHUSETTS INVESTORS GROWTH FUND 575719109 1,327 77,058 SH
MASSACHUSETTS INVESTORS TRUST 575736103 15,477 799,825 SH
MATTEL INC 577081102 426 22,403 SH
MCDONALDS CORP 580135101 3,587 82,938 SH
MEDIAONE GROUP INC 58440J104 717 10,496 SH
MEDICAL CARE INT CONV DEBENTURE 584505AB7 275 278,000 SH
MEDICAL CARE INTL INC SUB DEB CONV 584505AC5 1,631 1,950,000 SH
MEDQUIST INC 584949101 1,003 30,000 SH
MEDTRONIC INC 585055106 4,846 136,270 SH
MEMORIAL GOVERNMENT BOND FUND 586015505 4,158 429,546 SH
MEMORIAL CORPORATE BOND FUND 586015604 31,112 3,264,597 SH
MEMORIAL GROWTH EQUITY FUND 586015703 6,134 521,585 SH
MEMORIAL VALUE EQUITY FUND 586015802 5,170 600,465 SH
MENTOR GRAPHICS CORP 587200106 1,001 116,500 SH
MERCK & CO INC 589331107 25,242 389,455 SH
MEREDITH CORP 589433101 1,376 37,900 SH
MERRILL LYNCH & CO INC 590188108 907 13,456 SH
MERRILL LYNCH INSURED MUNICIPAL 590193108 202 26,804 SH
MICHAELS STORES INC. 594087108 539 18,300 SH
MICROSOFT CORP 594918104 43,986 485,649 SH
MIDWEST EXPRESS HLDGS INC 597911106 1,923 73,409 SH
MILACRON INC. 598709103 1,203 67,800 SH
<CAPTION>
- -------------------------------------------------------------------------------------------
COLUMN 1&2 COLUMN 6 COLUMN 7 COLUMN 8
- -------------------------------------------------------------------------------------------
INVESTMENT VOTING
NAME OF ISSUER AND TITLE OF CLASS DISCRETION MANAGER AUTHORITY
SOLE SHRD OTHER SOLE SHRD NONE
(A) (B) (C) (A) (B) (C)
<S> <C> <C> <C> <C> <C> <C> <C>
KANSAS CITY POWER & LIGHT CO X 03 X
KANSAS CITY POWER & LIGHT CO X 04 X
KELLOGG CO X 03 X
KEMPER INSD CORPORATE TR UNIT SER 8 X 03 X
KEMET CORP X 03 X
KEMPER DREMAN FUND INC X 03 X
KEMPER-DREMAN SMALL CAP VALU A FD X 03 X
KEMPER MUNICIPAL BOND FUND CL A X 03 X
KEMPER US GOVERNMENT SECURITIES X 03 X
KERR MCGEE CORP SUB DEB CONV X 03 X
KIMBERLY CLARK CORP X 03 X
KOHLS CORP X 03 X
LG & E ENERGY CORP X 03 X
LILLY ELI & CO X 03 X
LINCOLN NATIONAL CORP INDIANA X 03 X
LINEAR TECHNOLOGY CORPORATION X 03 X
LITTELFUSE INC X 03 X
LONGLEAF PARTNERS FUND SH BEN INT X 03 X
LORD ABBETT DEVELOPING GROWTH X 03 X
LUCENT TECHNOLOGIES INC X 03 X
MBNA CORP X 03 X
MDC HOLDINGS INC X 03 X
MCI WORLDCOM INC X 03 X
MAS FDS EQUITY PTFL X 03 X
MFS EMERGING GROWTH FUND CL A X 03 X
MFS SER TR VII CAP OPPTYS FD CL A X 03 X
MAGNA INTERNATIONAL INC-CL A X 03 X
MANPOWER X 03 X
MARINE DRILLING COMPANIES X 03 X
MARSH & MCLENNAN COS INC X 03 X
MARRIOTT INTL INC NEW CL A X 03 X
MASSACHUSETTS INVESTORS GROWTH FUND X 03 X
MASSACHUSETTS INVESTORS TRUST X 03 X
MATTEL INC X 03 X
MCDONALDS CORP X 03 X
MEDIAONE GROUP INC X 03 X
MEDICAL CARE INT CONV DEBENTURE X 03 X
MEDICAL CARE INTL INC SUB DEB CONV X 03 X
MEDQUIST INC X 03 X
MEDTRONIC INC X 03 X
MEMORIAL GOVERNMENT BOND FUND X 03 X
MEMORIAL CORPORATE BOND FUND X 03 X
MEMORIAL GROWTH EQUITY FUND X 03 X
MEMORIAL VALUE EQUITY FUND X 03 X
MENTOR GRAPHICS CORP X 03 X
MERCK & CO INC X 03 X
MEREDITH CORP X 03 X
MERRILL LYNCH & CO INC X 03 X
MERRILL LYNCH INSURED MUNICIPAL X 03 X
MICHAELS STORES INC. X 03 X
MICROSOFT CORP X 03 X
MIDWEST EXPRESS HLDGS INC X 03 X
MILACRON INC. X 03 X
</TABLE>
6
<PAGE> 11
SECURITIES AND EXCHANGE COMMISSION FORM 13F INFORMATION
PREPARED FOR THE CHICAGO TRUST COMPANY
AS OF 9/30/99
<TABLE>
<CAPTION>
- ---------------------------------------------------------------------------------------
COLUMN 1&2 COLUMN 3 COLUMN 4 COLUMN 5
- ---------------------------------------------------------------------------------------
NAME OF ISSUER AND TITLE OF CLASS CUSIP MARKET SHRS OR SH/ PUT/
VALUE PRN AMT PRN CALL
(X 1000)
<S> <C> <C> <C> <C> <C>
MILLENNIUM INCOME FD L L C 599909900 4,120 41,200 SH
MINNESOTA MINING & MANUFACTURING CO 604059105 1,864 19,396 SH
MINNESOTA POWER INC 604110106 544 30,970 SH
MOBIL CORP 607059102 3,086 30,626 SH
MOLEX INC 608554101 1,643 45,174 SH
MONSANTO CO 611662107 703 19,710 SH
MONTANA POWER CO 612085100 288 9,463 SH
MONTGOMERY US FDS II 613923671 1,384 139,125 SH
MORGAN J P & CO INC 616880100 1,868 16,350 SH
MORGAN STANLEY DEAN WITTER U S 616969200 349 39,836 SH
MORGAN STANLEY DEAN WITTER & COMPANY 617446448 1,509 16,918 SH
MOTOROLA INC 620076109 5,246 59,622 SH
MUNDER FDS TR 626129761 269 9,924 SH
MUNICIPAL INVT TR FD UNIT 201ST 62622B327 318 320 SH
MUNICIPAL INVT TR FD UNIT 182ND 62623X385 246 402 SH
MUTUAL BENEFIT LIFE INSURANCE 6279959A3 431 431,139 SH
MYLAN LABS 628530107 441 24,000 SH
NATIONAL CITY BANCORPORATION 635312101 559 31,700 SH
NATIONAL CITY CORP 635405103 979 36,654 SH
NEW CENTY ENERGIES INC 64352U103 288 8,621 SH
NEW PERSPECTIVE FUND 648018109 11,181 425,948 SH
NEWBRIDGE NETWORKS CORP 650901101 1,173 45,000 SH
NEWELL RUBBERMAID INC 651229106 23,515 823,272 SH
NEWPORT NEWS SHIPBUILDING 652228107 1,141 35,300 SH
NICHOLAS FUND 653735100 2,203 29,882 SH
NICOR INC 654086107 389 10,464 SH
NIKE INC CL B 654106103 202 3,550 SH
NOBLE AFFILIATES INC 654894104 348 12,000 SH
NORFOLK SOUTHERN CORP 655844108 443 18,083 SH
NORTEL NETWORKS CORP COM 656569100 445 8,720 SH
NORTH AMERICAN VACCINE, INC 657201109 337 44,900 SH
NORTHERN INSTL FDS 665278685 1,615 82,893 SH
NORTHERN TRUST CORP 665859104 6,625 79,334 SH
NUVEEN INSURED QUALITY MUNICIPAL FD 67062N103 170 12,150 SH
NUVEEN FLAGSHIP MUN TR MUN BD FD 67065Q400 135 14,861 SH
OM GROUP INC 670872100 1,312 34,190 SH
NUVEEN MUNICIPAL VALUE FUND INC 670928100 113 13,433 SH
OAK ASSOCS FDS WHITE OAK GROWTH STK 671081107 916 19,001 SH
OAK INDUSTRIES INC 671400505 646 19,000 SH
OFFICE DEPOT INC 676220106 599 57,000 SH
OFFSHORE LOGISTICS 676255102 166 16,000 SH
OLD KENT FINANCIAL CORP 679833103 1,997 53,785 SH
OLIN CORP PAR $1.00 680665205 788 57,800 SH
OMNICARE INC 681904108 2,941 305,655 SH
OMNICARE INC SUB DEB CONV 681904AD0 234 365,000 SH
OMNICOM GROUP 681919106 35,891 453,232 SH
OPPENHEIMER CAP APPREC FD 68379A107 1,160 26,154 SH
OPPENHEIMER QUEST OPPORT VALUE A FD 68380E106 28,081 743,666 SH
OPPENHEIMER QUEST GLB VAL FD CL A 68380G101 487 23,667 SH
OPPENHEIMER QUEST VALUE CL A FD 68380H109 13,329 648,952 SH
OPPENHEIMER U S GOVT TR CL A 683810105 3,110 338,449 SH
OPPENHEIMER QST CP VL FD INC 68381A103 5,798 184,007 SH
ORACLE CORP 68389X105 1,335 29,337 SH
<CAPTION>
- -------------------------------------------------------------------------------------------
COLUMN 1&2 COLUMN 6 COLUMN 7 COLUMN 8
- -------------------------------------------------------------------------------------------
INVESTMENT VOTING
NAME OF ISSUER AND TITLE OF CLASS DISCRETION MANAGER AUTHORITY
SOLE SHRD OTHER SOLE SHRD NONE
(A) (B) (C) (A) (B) (C)
<S> <C> <C> <C> <C> <C> <C> <C>
MILLENNIUM INCOME FD L L C X 03 X
MINNESOTA MINING & MANUFACTURING CO X 03 X
MINNESOTA POWER INC X 03 X
MOBIL CORP X 03 X
MOLEX INC X 03 X
MONSANTO CO X 03 X
MONTANA POWER CO X 03 X
MONTGOMERY US FDS II X 03 X
MORGAN J P & CO INC X 03 X
MORGAN STANLEY DEAN WITTER U S X 03 X
MORGAN STANLEY DEAN WITTER & COMPANY X 03 X
MOTOROLA INC X 03 X
MUNDER FDS TR X 03 X
MUNICIPAL INVT TR FD UNIT 201ST X 03 X
MUNICIPAL INVT TR FD UNIT 182ND X 03 X
MUTUAL BENEFIT LIFE INSURANCE X 03 X
MYLAN LABS X 03 X
NATIONAL CITY BANCORPORATION X 03 X
NATIONAL CITY CORP X 03 X
NEW CENTY ENERGIES INC X 03 X
NEW PERSPECTIVE FUND X 03 X
NEWBRIDGE NETWORKS CORP X 03 X
NEWELL RUBBERMAID INC X 03 X
NEWPORT NEWS SHIPBUILDING X 03 X
NICHOLAS FUND X 03 X
NICOR INC X 03 X
NIKE INC CL B X 03 X
NOBLE AFFILIATES INC X 03 X
NORFOLK SOUTHERN CORP X 03 X
NORTEL NETWORKS CORP COM X 03 X
NORTH AMERICAN VACCINE, INC X 03 X
NORTHERN INSTL FDS X 03 X
NORTHERN TRUST CORP X 03 X
NUVEEN INSURED QUALITY MUNICIPAL FD X 03 X
NUVEEN FLAGSHIP MUN TR MUN BD FD X 03 X
OM GROUP INC X 03 X
NUVEEN MUNICIPAL VALUE FUND INC X 03 X
OAK ASSOCS FDS WHITE OAK GROWTH STK X 03 X
OAK INDUSTRIES INC X 03 X
OFFICE DEPOT INC X 03 X
OFFSHORE LOGISTICS X 03 X
OLD KENT FINANCIAL CORP X 03 X
OLIN CORP PAR $1.00 X 03 X
OMNICARE INC X 03 X
OMNICARE INC SUB DEB CONV X 03 X
OMNICOM GROUP X 03 X
OPPENHEIMER CAP APPREC FD X 03 X
OPPENHEIMER QUEST OPPORT VALUE A FD X 03 X
OPPENHEIMER QUEST GLB VAL FD CL A X 03 X
OPPENHEIMER QUEST VALUE CL A FD X 03 X
OPPENHEIMER U S GOVT TR CL A X 03 X
OPPENHEIMER QST CP VL FD INC X 03 X
ORACLE CORP X 03 X
</TABLE>
7
<PAGE> 12
SECURITIES AND EXCHANGE COMMISSION FORM 13F INFORMATION
PREPARED FOR THE CHICAGO TRUST COMPANY
AS OF 9/30/99
<TABLE>
<CAPTION>
- ----------------------------------------------------------------------------------------
COLUMN 1&2 COLUMN 3 COLUMN 4 COLUMN 5
- ----------------------------------------------------------------------------------------
NAME OF ISSUER AND TITLE OF CLASS CUSIP MARKET SHRS OR SH/ PUT/
VALUE PRN AMT PRN CALL
(X 1000)
<S> <C> <C> <C> <C> <C>
ORBITAL ENGINE CORP LTD SPON ADR NEW 685563306 109 35,000 SH
ORTHODONTIC CTRS AMER INC 68750P103 1,314 75,370 SH
PBHG FDS INC 69316H882 376 12,691 SH
PE CORP-PE BIOSYSTEMS GROUP 69332S102 290 4,000 SH
PIMCO FDS MULTI MANAGER SER 69338T211 1,154 54,869 SH
PIMCO FDS MULTI MANAGER SER 69338T278 3,065 211,372 SH
PIMCO LOW DURATION FUND 693390304 2,153 217,489 SH
PIMCO FDS TOTAL RETURN FUND A 693390445 12,871 1,279,468 SH
PIMCO TOTAL RETURN FUND INSTL CL 693390700 8,238 818,837 SH
PACIFIC CENTURY FINL CORP 694058108 971 47,500 SH
PARK NATIONAL CORP 700658107 2,273 22,500 SH
PARKER HANNIFIN CORP 701094104 398 8,880 SH
PAYCHEX INC 704326107 38,518 1,128,235 SH
PEOPLES ENERGY CORP 711030106 802 22,799 SH
PEP BOYS MANNY MOE & JACK SUB 713278AJ8 880 1,600,000 SH
PEPSICO INC 713448108 906 29,728 SH
PERFORMANCE FOOD GROUP CO 713755106 971 37,900 SH
PFIZER INC 717081103 46,038 1,282,719 SH
PHILIP MORRIS COS INC 718154107 5,320 155,629 SH
PHOENIX EQUITY SER FD 718939507 7,367 520,655 SH
PIKE BANCORP 721462109 443 44 SH
PILGRIM MUT FDS 72146E533 904 46,533 SH
PILGRIM MUT FDS 72146E756 627 38,847 SH
PIONEER GROUP 723684106 240 16,000 SH
PITNEY BOWES INC 724479100 34,415 564,761 SH
PLUM CREEK TIMBER CO INC 729251108 466 14,848 SH
PRAXAIR INC 74005P104 21,534 468,131 SH
PRECISION CASTPARTS CORP 740189105 843 27,630 SH
THE PRIVATE INVESTMENT LIMITED 742100XA3 142 200,000 SH
PROCTER & GAMBLE CO 742718109 37,318 398,053 SH
PUTNAM AMERICAN GOVT INC FUND CL A 74644B102 118 13,991 SH
PUTNAM CONV INCOME GROWTH TR 746476100 2,210 112,475 SH
PUTNAM OTC EMERGING GRWTH FD 746847102 2,366 109,566 SH
PUTNAM TAX FREE INCOME TR 746872209 142 10,201 SH
PUTNAM INTL GROWTH FD 746932102 6,041 265,076 SH
PUTNAM VISTA FD INC 747011104 918 65,141 SH
QUAKER OATS CO 747402105 1,096 17,701 SH
QUALCOMM INC 747525103 331 1,750 SH
QUINTILES TRANSNATIONAL CORP 748767100 741 38,910 SH
RAINIER INVT MGMT MUT FDS 750869109 2,973 115,159 SH
RAINIER INVT MGMT MUT FDS 750869208 1,882 89,428 SH
RALSTON-RALSTON PURINA GROUP 751277302 953 34,190 SH
RAYTHEON CO CL B 755111408 931 18,746 SH
REGAL BELOIT 758750103 720 34,700 SH
RELIANT ENERGY INC COM 75952J108 307 11,328 SH
REPUBLIC SECURITY FINL CORP 760758102 726 84,500 SH
RESCON TECHNOLOGY CORP 760844100 1 31,000 SH
RESERVE FD INC 761056209 4,102 4,102,154 SH
REUTERS HLDGS PLC SPONS ADR COM 76132M102 446 6,479 SH
ROBBINS & MYERS INC. 770196103 282 18,200 SH
ROBERTSON STEPHENS INVT TR 770648855 895 36,676 SH
ROBOTIC VISION SYSTEMS INC 771074101 479 124,500 SH
ROCKWELL INTL CORP NEW 773903109 352 6,688 SH
<CAPTION>
- --------------------------------------------------------------------------------------------
COLUMN 1&2 COLUMN 6 COLUMN 7 COLUMN 8
- --------------------------------------------------------------------------------------------
INVESTMENT VOTING
NAME OF ISSUER AND TITLE OF CLASS DISCRETION MANAGER AUTHORITY
SOLE SHRD OTHER SOLE SHRD NONE
(A) (B) (C) (A) (B) (C)
<S> <C> <C> <C> <C> <C> <C> <C>
ORBITAL ENGINE CORP LTD SPON ADR NEW X 03 X
ORTHODONTIC CTRS AMER INC X 03 X
PBHG FDS INC X 03 X
PE CORP-PE BIOSYSTEMS GROUP X 03 X
PIMCO FDS MULTI MANAGER SER X 03 X
PIMCO FDS MULTI MANAGER SER X 03 X
PIMCO LOW DURATION FUND X 03 X
PIMCO FDS TOTAL RETURN FUND A X 03 X
PIMCO TOTAL RETURN FUND INSTL CL X 03 X
PACIFIC CENTURY FINL CORP X 03 X
PARK NATIONAL CORP X 03 X
PARKER HANNIFIN CORP X 03 X
PAYCHEX INC X 03 X
PEOPLES ENERGY CORP X 03 X
PEP BOYS MANNY MOE & JACK SUB X 03 X
PEPSICO INC X 03 X
PERFORMANCE FOOD GROUP CO X 03 X
PFIZER INC X 03 X
PHILIP MORRIS COS INC X 03 X
PHOENIX EQUITY SER FD X 03 X
PIKE BANCORP X 03 X
PILGRIM MUT FDS X 03 X
PILGRIM MUT FDS X 03 X
PIONEER GROUP X 01 X
PITNEY BOWES INC X 03 X
PLUM CREEK TIMBER CO INC X 03 X
PRAXAIR INC X 03 X
PRECISION CASTPARTS CORP X 03 X
THE PRIVATE INVESTMENT LIMITED X 03 X
PROCTER & GAMBLE CO X 03 X
PUTNAM AMERICAN GOVT INC FUND CL A X 03 X
PUTNAM CONV INCOME GROWTH TR X 03 X
PUTNAM OTC EMERGING GRWTH FD X 03 X
PUTNAM TAX FREE INCOME TR X 03 X
PUTNAM INTL GROWTH FD X 03 X
PUTNAM VISTA FD INC X 03 X
QUAKER OATS CO X 03 X
QUALCOMM INC X 03 X
QUINTILES TRANSNATIONAL CORP X 03 X
RAINIER INVT MGMT MUT FDS X 03 X
RAINIER INVT MGMT MUT FDS X 03 X
RALSTON-RALSTON PURINA GROUP X 03 X
RAYTHEON CO CL B X 03 X
REGAL BELOIT X 03 X
RELIANT ENERGY INC COM X 03 X
REPUBLIC SECURITY FINL CORP X 03 X
RESCON TECHNOLOGY CORP X 03 X
RESERVE FD INC X 03 X
REUTERS HLDGS PLC SPONS ADR COM X 03 X
ROBBINS & MYERS INC. X 03 X
ROBERTSON STEPHENS INVT TR X 03 X
ROBOTIC VISION SYSTEMS INC X 03 X
ROCKWELL INTL CORP NEW X 03 X
</TABLE>
8
<PAGE> 13
SECURITIES AND EXCHANGE COMMISSION FORM 13F INFORMATION
PREPARED FOR THE CHICAGO TRUST COMPANY
AS OF 9/30/99
<TABLE>
<CAPTION>
- ---------------------------------------------------------------------------------------
COLUMN 1&2 COLUMN 3 COLUMN 4 COLUMN 5
- ---------------------------------------------------------------------------------------
NAME OF ISSUER AND TITLE OF CLASS CUSIP MARKET SHRS OR SH/ PUT/
VALUE PRN AMT PRN CALL
(X 1000)
<S> <C> <C> <C> <C> <C>
ROWE T PRICE EQUITY INC FD 779547108 1,706 64,444 SH
ROWE T PRICE MID-CAP GRW FD 779556109 6,367 181,076 SH
ROYAL DUTCH PETE CO N Y REGISTRY SH 780257804 16,179 273,920 SH
RUDDICK CORP 781258108 414 26,100 SH
RUSSELL FRANK INVT CO EQUITY I FD 782493100 5,345 148,726 SH
RUSSELL FRANK INVT CO EQUITY II FD 782493209 2,474 79,059 SH
RUSSELL FRANK INVT CO EQUITY III FD 782493308 1,291 47,466 SH
RUSSELL FRANK INVT CO FIXED INCOME I 782493407 5,176 247,311 SH
RUSSELL FRANK INVT CO INTL FD 782493605 3,782 91,198 SH
RUSSELL FRANK INVT CO EQUITY Q 782493811 6,941 167,244 SH
SBC COMMUNICATIONS INC 78387G103 2,955 57,858 SH
SLM HLDG CORP 78442A109 619 14,400 SH
STI CLASSIC FDS VALUE INCOME 784766834 3,013 278,251 SH
SSGA FDS 784924706 2,106 119,795 SH
ST PAUL BANCORP INC 792848103 878 38,378 SH
ST PAUL COMPANIES INC 792860108 200 7,282 SH
SAKS INC 79377W108 972 64,000 SH
SANMINA CORP 800907107 1,044 13,500 SH
SANTA FE SNYDER CORP 80218K105 698 77,500 SH
SARA LEE CORP 803111103 1,765 75,536 SH
SCHERING PLOUGH CORP 806605101 14,584 334,300 SH
SCHLUMBERGER LTD 806857108 25,606 410,921 SH
SCHOLASTIC CORP 807066105 623 12,500 SH
SCHRODER REAL ESTATE VALUE - 807999107 1,144 1,000,000 SH
SCHRODER INTERNATIONAL EQUITY FUND 808088207 3,229 198,456 SH
SCHULMAN INC 808194104 981 57,100 SH
CHARLES SCHWAB CORPORATION 808513105 28,107 838,167 SH
SCUDDER EQUITY TR VALUE FD 81114T208 609 24,546 SH
SEARS ROEBUCK & CO 812387108 753 23,981 SH
SELIGMAN COMMUN & INFO FD 816333108 1,235 33,328 SH
SELIGMAN FRONTIER FD INC CL A 816334106 528 39,944 SH
SELIGMAN HIGH INCOME FD SER 816336309 282 44,857 SH
SENSORMATIC ELECTRONICS CORP 817265101 761 60,000 SH
SERVICEMASTER CO 81760N109 284 17,665 SH
SIGMA ALDRICH CORP 826552101 317 10,000 SH
SKYLINE FD 830833208 11,736 667,603 SH
SKYLINE FD SMALL CAP VALUE PLUS 830833406 1,309 117,292 SH
AMERICAN FUNDS SMALLCAP WORLD 831681101 1,778 60,120 SH
SMITH INTL INC 832110100 608 15,000 SH
SMITHKLINE BEECHAM PLC 832378301 680 11,800 SH
J.M. SMUCKER CO CLASS B 832696207 939 51,100 SH
SOGEN FDS INC INTL FD 834058505 1,474 57,205 SH
SOLECTRON CORP 834182107 30,753 428,245 SH
SOUND SHORE FD INC 836083105 346 12,565 SH
SOUTHERN CO 842587107 235 9,128 SH
SPECTRA FD INC 847561107 306 30,591 SH
SPECTRX INC 847635109 156 15,800 SH
SPRINT CORP (FON GROUP) 852061100 1,716 31,642 SH
SPRINT CORP (PCS GROUP) 852061506 624 8,372 SH
STARBUCKS CORP 855244109 1,336 53,920 SH
STERLING COMM INC 859205106 885 47,692 SH
STERLING SOFTWARE INC 859547101 832 41,600 SH
STRIDE RITE CORP 863314100 342 48,800 SH
<CAPTION>
- --------------------------------------------------------------------------------------------
COLUMN 1&2 COLUMN 6 COLUMN 7 COLUMN 8
- --------------------------------------------------------------------------------------------
INVESTMENT VOTING
NAME OF ISSUER AND TITLE OF CLASS DISCRETION MANAGER AUTHORITY
SOLE SHRD OTHER SOLE SHRD NONE
(A) (B) (C) (A) (B) (C)
<S> <C> <C> <C> <C> <C> <C> <C>
ROWE T PRICE EQUITY INC FD X 03 X
ROWE T PRICE MID-CAP GRW FD X 03 X
ROYAL DUTCH PETE CO N Y REGISTRY SH X 03 X
RUDDICK CORP X 03 X
RUSSELL FRANK INVT CO EQUITY I FD X 03 X
RUSSELL FRANK INVT CO EQUITY II FD X 03 X
RUSSELL FRANK INVT CO EQUITY III FD X 03 X
RUSSELL FRANK INVT CO FIXED INCOME I X 03 X
RUSSELL FRANK INVT CO INTL FD X 03 X
RUSSELL FRANK INVT CO EQUITY Q X 03 X
SBC COMMUNICATIONS INC X 03 X
SLM HLDG CORP X 03 X
STI CLASSIC FDS VALUE INCOME X 03 X
SSGA FDS X 03 X
ST PAUL BANCORP INC X 03 X
ST PAUL COMPANIES INC X 03 X
SAKS INC X 03 X
SANMINA CORP X 03 X
SANTA FE SNYDER CORP X 03 X
SARA LEE CORP X 03 X
SCHERING PLOUGH CORP X 03 X
SCHLUMBERGER LTD X 03 X
SCHOLASTIC CORP X 03 X
SCHRODER REAL ESTATE VALUE - X 03 X
SCHRODER INTERNATIONAL EQUITY FUND X 03 X
SCHULMAN INC X 03 X
CHARLES SCHWAB CORPORATION X 03 X
SCUDDER EQUITY TR VALUE FD X 03 X
SEARS ROEBUCK & CO X 03 X
SELIGMAN COMMUN & INFO FD X 03 X
SELIGMAN FRONTIER FD INC CL A X 03 X
SELIGMAN HIGH INCOME FD SER X 03 X
SENSORMATIC ELECTRONICS CORP X 03 X
SERVICEMASTER CO X 03 X
SIGMA ALDRICH CORP X 03 X
SKYLINE FD X 03 X
SKYLINE FD SMALL CAP VALUE PLUS X 03 X
AMERICAN FUNDS SMALLCAP WORLD X 03 X
SMITH INTL INC X 03 X
SMITHKLINE BEECHAM PLC X 03 X
J.M. SMUCKER CO CLASS B X 03 X
SOGEN FDS INC INTL FD X 03 X
SOLECTRON CORP X 03 X
SOUND SHORE FD INC X 03 X
SOUTHERN CO X 03 X
SPECTRA FD INC X 03 X
SPECTRX INC X 03 X
SPRINT CORP (FON GROUP) X 03 X
SPRINT CORP (PCS GROUP) X 03 X
STARBUCKS CORP X 03 X
STERLING COMM INC X 03 X
STERLING SOFTWARE INC X 03 X
STRIDE RITE CORP X 03 X
</TABLE>
9
<PAGE> 14
SECURITIES AND EXCHANGE COMMISSION FORM 13F INFORMATION
PREPARED FOR THE CHICAGO TRUST COMPANY
AS OF 9/30/99
<TABLE>
<CAPTION>
- ---------------------------------------------------------------------------------------
COLUMN 1&2 COLUMN 3 COLUMN 4 COLUMN 5
- ---------------------------------------------------------------------------------------
NAME OF ISSUER AND TITLE OF CLASS CUSIP MARKET SHRS OR SH/ PUT/
VALUE PRN AMT PRN CALL
(X 1000)
<S> <C> <C> <C> <C> <C>
SUN MICROSYSTEMS INC 866810104 57,468 617,840 SH
SUNTRUST BANKS INC 867914103 263 4,000 SH
SYBRON INTL CORP WI 87114F106 24,098 896,655 SH
SYLVAN LEARNING SYS 871399101 621 32,000 SH
SYSCO CORP 871829107 47,717 1,360,879 SH
TCF FINL CORP 872275102 317 11,100 SH
TECH DATA CORP 878237106 303 13,000 SH
TECHNOLOGY RESEARCH CORP NEW 878727304 43 28,500 SH
TELLABS INC 879664100 54,402 955,239 SH
TEMPLETON DEVELOPING MKTS TR 88018W104 1,278 103,604 SH
TEMPLETON EMERGING MARKETS FUND 880191101 150 13,500 SH
TEMPLETON FOREIGN FUND 880196209 17,221 1,680,108 SH
TEMPLETON GROWTH FD INC 880199104 7,603 403,111 SH
TEMPLETON INSTL FDS INC 880210208 478 47,209 SH
TENET HEALTHCARE CORP 88033G100 334 19,000 SH
TENET HEALTHCARE CORP SUB NT 88033GAD2 2,449 3,100,000 SH
TEREX CORP 880779103 753 23,900 SH
TEVA PHARMACEUTICAL INDS, AD 881624209 428 8,500 SH
TEXACO INC 881694103 943 14,940 SH
TEXAS INSTRUMENTS INC 882508104 296 3,600 SH
THERMO ELECTRON CORP SUB DEB CONV 883556AF9 8,707 10,075,000 SH
THOMAS & BETTS CORP 884315102 434 8,500 SH
3COM CORP 885535104 219 7,612 SH
TORCHMARK CORP 891027104 333 12,896 SH
TORO CO 891092108 863 23,100 SH
TOWER AUTOMOTIVE INC 891707101 1,195 60,320 SH
TRAVELERS PROP CASUALTY-CL A 893939108 266 9,000 SH
TRIBUNE CO NEW 896047107 8,019 161,200 SH
TRUE NORTH COMM 897844106 837 23,000 SH
TRUMP HOTEL & CASINO RESORTS INC 898168109 1,054 244,357 SH
TYCO INTL LTD 902124106 21,863 211,756 SH
UAM FDS INC 902555796 546 40,394 SH
UAM FDS INC 902555879 2,490 233,831 SH
UAM FDS TR 902556851 2,003 146,848 SH
UICI 902737105 963 37,659 SH
US BANCORP DEL 902973106 216 7,153 SH
USAA MUT FD INC 903288603 4,340 229,719 SH
US CAN CORP 90328W105 801 39,200 SH
UNILEVER N V - W/I COM 904784709 341 5,000 SH
UNICOM CORPORATION 904911104 412 11,160 SH
UNION PACIFIC CORP 907818108 638 13,259 SH
UNISYS CORP 909214108 640 14,184 SH
UNITED ASSET MGMT CORP 909420101 947 49,200 SH
US HOME CORP 911920106 353 12,700 SH
U S WEST INC NEW 91273H101 1,141 20,005 SH
UNITED TECHNOLOGIES CORP 913017109 1,812 30,546 SH
V F CORP 918204108 224 7,216 SH
VALERO ENERGY CORP 91913Y100 724 37,600 SH
VAN KAMP CAP EQTY INCM CL C 92113D300 93 12,150 SH
VANGUARD SPECIALIZED PTFLS 921908703 110 10,740 SH
VANGUARD WORLD FUND INTERNATIONAL 921910204 2,738 140,627 SH
VANGUARD GROWTH & INCOME FD #93 921913109 3,899 117,890 SH
VANGUARD BALANCED INDEX FUND 921931101 6,979 377,255 SH
<CAPTION>
- --------------------------------------------------------------------------------------------
COLUMN 1&2 COLUMN 6 COLUMN 7 COLUMN 8
- --------------------------------------------------------------------------------------------
INVESTMENT VOTING
NAME OF ISSUER AND TITLE OF CLASS DISCRETION MANAGER AUTHORITY
SOLE SHRD OTHER SOLE SHRD NONE
(A) (B) (C) (A) (B) (C)
<S> <C> <C> <C> <C> <C> <C> <C>
SUN MICROSYSTEMS INC X 03 X
SUNTRUST BANKS INC X 03 X
SYBRON INTL CORP WI X 03 X
SYLVAN LEARNING SYS X 03 X
SYSCO CORP X 03 X
TCF FINL CORP X 03 X
TECH DATA CORP X 03 X
TECHNOLOGY RESEARCH CORP NEW X 03 X
TELLABS INC X 03 X
TEMPLETON DEVELOPING MKTS TR X 03 X
TEMPLETON EMERGING MARKETS FUND X 03 X
TEMPLETON FOREIGN FUND X 03 X
TEMPLETON GROWTH FD INC X 03 X
TEMPLETON INSTL FDS INC X 03 X
TENET HEALTHCARE CORP X 03 X
TENET HEALTHCARE CORP SUB NT X 03 X
TEREX CORP X 03 X
TEVA PHARMACEUTICAL INDS, AD X 03 X
TEXACO INC X 03 X
TEXAS INSTRUMENTS INC X 03 X
THERMO ELECTRON CORP SUB DEB CONV X 03 X
THOMAS & BETTS CORP X 03 X
3COM CORP X 03 X
TORCHMARK CORP X 03 X
TORO CO X 03 X
TOWER AUTOMOTIVE INC X 03 X
TRAVELERS PROP CASUALTY-CL A X 03 X
TRIBUNE CO NEW X 03 X
TRUE NORTH COMM X 03 X
TRUMP HOTEL & CASINO RESORTS INC X 03 X
TYCO INTL LTD X 03 X
UAM FDS INC X 03 X
UAM FDS INC X 03 X
UAM FDS TR X 03 X
UICI X 03 X
US BANCORP DEL X 03 X
USAA MUT FD INC X 03 X
US CAN CORP X 03 X
UNILEVER N V - W/I COM X 03 X
UNICOM CORPORATION X 03 X
UNION PACIFIC CORP X 03 X
UNISYS CORP X 03 X
UNITED ASSET MGMT CORP X 03 X
US HOME CORP X 03 X
U S WEST INC NEW X 03 X
UNITED TECHNOLOGIES CORP X 03 X
V F CORP X 03 X
VALERO ENERGY CORP X 03 X
VAN KAMP CAP EQTY INCM CL C X 03 X
VANGUARD SPECIALIZED PTFLS X 03 X
VANGUARD WORLD FUND INTERNATIONAL X 03 X
VANGUARD GROWTH & INCOME FD #93 X 03 X
VANGUARD BALANCED INDEX FUND X 03 X
</TABLE>
10
<PAGE> 15
SECURITIES AND EXCHANGE COMMISSION FORM 13F INFORMATION
PREPARED FOR THE CHICAGO TRUST COMPANY
AS OF 9/30/99
<TABLE>
<CAPTION>
- ---------------------------------------------------------------------------------------
COLUMN 1&2 COLUMN 3 COLUMN 4 COLUMN 5
- ---------------------------------------------------------------------------------------
NAME OF ISSUER AND TITLE OF CLASS CUSIP MARKET SHRS OR SH/ PUT/
VALUE PRN AMT PRN CALL
(X 1000)
<S> <C> <C> <C> <C> <C>
VANGUARD WELLINGTON FUND INC 921935102 15,906 545,641 SH
VANGUARD / PRIMECAP FD INC 921936100 2,310 41,632 SH
VANGUARD BD INDEX FD INC 921937108 245 25,224 SH
VANGUARD WELLESLEY INCOME FUND 921938106 7,845 384,941 SH
VANGUARD / TRUSTEES EQTY FD 921939203 2,814 99,041 SH
VANGUARD WINDSOR FUND INC 922018106 243 14,888 SH
VANGUARD / WINDSOR FD INC 922018205 4,310 151,812 SH
VANGUARD FIXED INCOME SEC FD 922031208 390 52,953 SH
VANGUARD FIXED INCOME SEC FD 922031307 337 33,665 SH
VANGUARD FIXED INCOME SEC FD 922031604 146 14,631 SH
VANGUARD INSTITUTIONAL INDEX 922040100 287,459 2,448,958 SH
VANGUARD MONEY MKT RESVS INC 922906300 2,588 2,588,401 SH
VANGUARD MUNICIPAL INTERMEDIATE 922907209 289 22,356 SH
VANGUARD INDEX TRUST 500 PORTFOLIO 922908108 11,105 93,674 SH
VANGUARD INDEX SMALL CAPITALIZATION 922908702 377 17,266 SH
VICTOR COMMODITY POOL 925990103 228 106 SH
VISIO CORP 927914101 2,051 52,250 SH
VITESSE SEMICONDUCTOR CORP 928497106 5,620 65,820 SH
VODAFONE AIRTOUCH PLC 92857T107 1,258 5,293 SH
WPS RESOURCES CORP 92931B106 433 15,448 SH
WAL MART STORES INC 931142103 1,320 27,754 SH
WALDEN RESIDENTIAL PROPS INC 931210108 1,071 49,100 SH
WALGREEN CO 931422109 61,577 2,426,683 SH
WALLACE COMPUTER SERVICES IN 932270101 628 31,000 SH
WARBURG PINCUS EMERGING GRW 933909103 2,153 52,935 SH
WARNER LAMBERT CO 934488107 1,514 22,808 SH
WASHINGTON MUTUAL INVESTORS FUND 939330106 19,615 607,658 SH
WEITZ PARTNERS INC 948906102 5,125 271,316 SH
WELLS FARGO CO 949746101 24,447 616,964 SH
WEYERHAEUSER CO 962166104 210 3,650 SH
WHITMAN CORP 96647R107 229 16,008 SH
WISCONSIN ENERGY CORP 976657106 566 24,134 SH
WRIGLEY WILLIAM JR CO 982526105 435 6,323 SH
XEROX CORP 984121103 384 9,150 SH
LORAL SPACE & COMMUNICATIONS G56462107 605 35,200 SH
TOMMY HILFIGER CORP G8915Z102 1,022 36,240 SH
TOTAL 4,467,982 177,353,451
<CAPTION>
- --------------------------------------------------------------------------------------------
COLUMN 1&2 COLUMN 6 COLUMN 7 COLUMN 8
- --------------------------------------------------------------------------------------------
INVESTMENT VOTING
NAME OF ISSUER AND TITLE OF CLASS DISCRETION MANAGER AUTHORITY
SOLE SHRD OTHER SOLE SHRD NONE
(A) (B) (C) (A) (B) (C)
<S> <C> <C> <C> <C> <C> <C> <C>
VANGUARD WELLINGTON FUND INC X 03 X
VANGUARD / PRIMECAP FD INC X 03 X
VANGUARD BD INDEX FD INC X 03 X
VANGUARD WELLESLEY INCOME FUND X 03 X
VANGUARD / TRUSTEES EQTY FD X 03 X
VANGUARD WINDSOR FUND INC X 03 X
VANGUARD / WINDSOR FD INC X 03 X
VANGUARD FIXED INCOME SEC FD X 03 X
VANGUARD FIXED INCOME SEC FD X 03 X
VANGUARD FIXED INCOME SEC FD X 03 X
VANGUARD INSTITUTIONAL INDEX X 03 X
VANGUARD MONEY MKT RESVS INC X 03 X
VANGUARD MUNICIPAL INTERMEDIATE X 03 X
VANGUARD INDEX TRUST 500 PORTFOLIO X 03 X
VANGUARD INDEX SMALL CAPITALIZATION X 03 X
VICTOR COMMODITY POOL X 03 X
VISIO CORP X 03 X
VITESSE SEMICONDUCTOR CORP X 03 X
VODAFONE AIRTOUCH PLC X 03 X
WPS RESOURCES CORP X 03 X
WAL MART STORES INC X 03 X
WALDEN RESIDENTIAL PROPS INC X 03 X
WALGREEN CO X 03 X
WALLACE COMPUTER SERVICES IN X 03 X
WARBURG PINCUS EMERGING GRW X 03 X
WARNER LAMBERT CO X 03 X
WASHINGTON MUTUAL INVESTORS FUND X 03 X
WEITZ PARTNERS INC X 03 X
WELLS FARGO CO X 03 X
WEYERHAEUSER CO X 03 X
WHITMAN CORP X 03 X
WISCONSIN ENERGY CORP X 03 X
WRIGLEY WILLIAM JR CO X 03 X
XEROX CORP X 03 X
LORAL SPACE & COMMUNICATIONS X 03 X
TOMMY HILFIGER CORP X 03 X
TOTAL
</TABLE>
11
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