|
|
|
|
|
|
|
|
|
|
Previous: AMERICAN EDUCATIONAL PRODUCTS INC, 10QSB, 1999-11-19 |
Next: GE CAPITAL MORTGAGE SERVICES INC, 8-K, 1999-11-19 |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
Report for the Calendar Year or Quarter Ended:
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: Carret & Co.
Address: 40 E. 52nd Street
New York, Ny 10022
13F File Number:
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: Joseph E. Wozny, Jr.
Title: Vice Chairman/Compliance Officer
Phone: 212-207-2341
Signature, Place, and Date of Signing:
/s/ Joseph E. Wozny, Jr. 11/18/99
- --------------------------------------------------------------------------------
Report Type (Check only one.):
|x| 13F HOLDINGS REPORT.
|_| 13F NOTICE.
|_| 13F COMBINATION REPORT.
List of Other Managers Reporting for this Manager:
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934.
<PAGE>
FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 0
Form 13F Information Table Entry Total: 605
Form 13F Information Table Value Total: 685031
List of Other Included Managers:
No. 13F File Number Name
<PAGE>
<TABLE>
<CAPTION>
FORM 13F INFORMATION TABLE
VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY
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> <C>
3-D SYSTEMS COM 88554D205 251 55000 SH Sole 55000
A H BELO CORP SER A COM 080555105 652 34072 SH Sole 34072
ABBOTT LABS COM 002824100 6912 188399 SH Sole 182399 6000
114 3100 SH Defined 01 1100 2000
ACNIELSEN CORP COM 004833109 842 37105 SH Sole 34639 2466
29 1300 SH Defined 01 1300
ACTFIT.COM INC COM 00503P106 11 10000 SH Sole 10000
ADAPTEC INC COM 00651F108 345 8700 SH Sole 8700
AERIAL COMMUNICATIONS INC COM 007655103 209 7700 SH Sole 7700
AFLAC INC COM 001055102 419 10000 SH Sole 10000
ALLIANCE ATLANTIS - B NON-VT COM 01853E204 187 20000 SH Sole 20000
ALLIANCE CAP MGMT LP COM 018548107 1183 43100 SH Sole 42500 600
ALLIANCE PHARMA CORP COM 018773101 387 76500 SH Sole 76500
ALLIEDSIGNAL INC COM 019512102 722 12044 SH Sole 12044
24 400 SH Defined 01 400
ALLSTATE CORP COM 020002101 1162 46580 SH Sole 27690 18890
ALLTEL CORP COM 020039103 962 13676 SH Sole 11961 1715
82 1170 SH Defined 01 800 370
ALZA CORP COM 022615108 595 13900 SH Sole 13600 300
AMC ENTERTAINMENT COM 001669100 2974 213400 SH Sole 213400
61 4400 SH Defined 01 1500 2900
AMERICA ONLINE INC COM 02364J104 2482 23850 SH Sole 6475 17375
177 1700 SH Defined 01 1700
AMERICAN EXPRESS COM 025816109 3730 27704 SH Sole 18874 8830
67 500 SH Defined 01 500
AMERICAN GENERAL CORP COM 026351106 918 14535 SH Sole 14235 300
AMERICAN HOME PRODS COM 026609107 7051 169909 SH Sole 155209 14700
307 7400 SH Defined 01 300 900 6200
AMERICAN INT'L GROUP COM 026874107 8036 92432 SH Sole 87690 4742
AMERICAN PWR CONVERSION COM 029066107 323 17000 SH Sole 17000
AMERICAN STD COS INC DEL COM COM 029712106 413 10700 SH Sole 10700
AMERICAN WTR WKS INC COM 030411102 394 13617 SH Sole 13617
AMERIGAS PARTNERS LP UNIT COM 030975106 845 45533 SH Sole 45533
13 700 SH Defined 01 700
AMERITECH CORP NEW COM 030954101 920 13691 SH Sole 12487 1204
AMGEN INC COM 031162100 2780 34105 SH Sole 30505 3600
ANADARKO PETE CORP COM 032511107 254 8300 SH Sole 8300
ANALOG DEVICES INC COM 032654105 671 13100 SH Sole 13100
APPLIED MATLS INC COM 038222105 274 3515 SH Sole 315 3200
ARCHER DANIELS MIDLAND COM 039483102 202 16602 SH Sole 16602
ARDIC EXPLORATION & DEV LTD COM 03979K106 280 140000 SH Sole 140000
ARMCO INC COM 042170100 470 67100 SH Sole 67100
ASSOCIATES FIRST CAP CL A COM 046008108 1485 41252 SH Sole 40261 991
AT&T CORP COM 001957109 10778 247769 SH Sole 233118 14651
183 4200 SH Defined 01 4200
ATLANTIC RICHFIELD COM 048825103 748 8440 SH Sole 7800 640
AUTOMATIC DATA PROCESS COM 053015103 329 7376 SH Sole 3776 3600
54 1200 SH Defined 01 1200
AVANT IMMUNOTHERAPEUTICS COM 053491106 238 112000 SH Sole 112000
AVERY DENNISON CORP COM 053611109 348 6600 SH Sole 6600
AVIALL INC NEW COM 05366B102 649 63300 SH Sole 63300
10 1000 SH Defined 01 1000
AXA FINANCIAL INC COM 002451102 296 5300 SH Sole 5300
BAKER HUGHES COM 057224107 334 11525 SH Sole 10880 645
BANK NEW YORK COM 064057102 4152 124184 SH Sole 124184
BANK OF AMER CORP NEW COM 060505104 2341 42036 SH Sole 40636 1400
22 400 SH Defined 01 400
BANK ONE CORP COM 06423A103 1897 54497 SH Sole 52367 2130
7 212 SH Defined 01 212
BANKATLANTIC BANCORP CL A COM 065908501 344 61775 SH Sole 61775
6 1150 SH Defined 01 1150
BANKBOSTON CORP COM 06605R106 729 16800 SH Sole 12400 4400
17 400 SH Defined 01 400
BELL & HOWELL COM 077852101 319 8700 SH Sole 8700
BELL ATLANTIC COM 077853109 3584 53251 SH Sole 47332 5919
65 960 SH Defined 01 960
BELLSOUTH CORP COM 079860102 2118 47068 SH Sole 21401 25667
300 6668 SH Defined 01 6668
</TABLE>
<PAGE>
<TABLE>
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
BERKSHIRE HATHAWAY - A COM 084670108 10065 183 SH Sole 183
BERKSHIRE HATHAWAY - B COM 084670207 8038 4331 SH Sole 4268 63
56 30 SH Defined 01 10 20
BESTFOODS COM 08658U101 898 18496 SH Sole 16896 1600
175 3600 SH Defined 01 3600
BIOMET INC COM 090613100 224 8500 SH Sole 8500
BJS WHOLESALE CLUB INC COM 05548J106 568 19200 SH Sole 19200
BOEING CO COM 097023105 762 17876 SH Sole 14676 3200
BONDED MTRS INC COM 097894109 171 49000 SH Sole 49000
BP AMOCO SPONS ADR COM 055622104 7289 65779 SH Sole 62016 3763
88 792 SH Defined 01 462 330
BRISTOL MYERS SQUIBB COM 110122108 9686 143494 SH Sole 108016 35478
445 6600 SH Defined 01 6600
BUCKEYE PARTNERS LP COM 118230101 227 8400 SH Sole 8400
BURLINGTON NORTHERN SANTA FE COM 12189T104 679 24700 SH Sole 21700 3000
BURLINGTON RESOURCES COM 122014103 4785 130200 SH Sole 130200
BWAY CORP COM 056039100 782 78700 SH Sole 78700
CABLETRON SYS INC COM 126920107 180 11500 SH Sole 11500
CAPITAL ONE FIN'L COM 14040H105 402 10300 SH Sole 9300 1000
CARNIVAL CORP COM 143658102 1122 25800 SH Sole 25800
CBS CORP COM 12490K107 631 13650 SH Sole 13600 50
CENDANT CORP COM 151313103 854 48100 SH Sole 48100
21 1200 SH Defined 01 1200
CERIDIAN CORP COM 15677T106 346 13900 SH Sole 12900 1000
CHART INDS INC COM 16115Q100 607 122900 SH Sole 122900
10 2000 SH Defined 2000
CHASE MANHATTAN COM 16161A108 2961 39284 SH Sole 37414 1870
23 300 SH Defined 01 300
CHEMFAB CORP COM 16361L102 248 15400 SH Sole 15400
8 500 SH Defined 500
CHEVRON CORP COM 166751107 1545 17406 SH Sole 12915 4491
485 5467 SH Defined 01 5467
CHUBB CORP COM 171232101 2521 50798 SH Sole 50798
10 200 SH Defined 01 200
CIGNA CORP COM 125509109 615 7905 SH Sole 6705 1200
CINCINNATI FIN'L COM 172062101 2967 79050 SH Sole 79050
473 12600 SH Defined 01 12600
CISCO SYS INC COM 17275R102 6853 99950 SH Sole 80276 19674
247 3600 SH Defined 01 3600
CITIGROUP, INC COM 172967101 9429 214305 SH Sole 208755 5550
1043 23712 SH Defined 01 23100 612
CITIZENS UTILS - B COM 177342201 885 78189 SH Sole 78189
23 2000 SH Defined 01 2000
CKE RESTAURANTS INC COM 12561E105 906 125000 SH Sole 125000
11 1500 SH Defined 01 1500
CNET INC COM 125945105 672 12000 SH Sole 12000
COASTAL CORP COM 190441105 554 13540 SH Sole 13540
COCA COLA CO COM 191216100 1994 41331 SH Sole 39531 1800
10 200 SH Defined 01 200
COLGATE PALMOLIVE COM 194162103 446 9756 SH Sole 8756 1000
37 800 SH Defined 01 800
COLONIAL BANCGROUP INC COM 195493309 487 43500 SH Sole 43500
COMCAST CORP CL A SPL COM 200300200 315 7900 SH Sole 7900
COMPAQ COMPUTER COM 204493100 9539 417010 SH Sole 415260 1750
57 2500 SH Defined 01 2500
COMPUTER ASSOC INT'L COM 204912109 3761 61536 SH Sole 61536
31 500 SH Defined 01 500
COMPUTER HORIZONS CORP COM 205908106 1022 87900 SH Sole 87700 200
6 500 SH Defined 500
CONOCO INC CL A COM 208251306 591 21300 SH Sole 12800 8500
CONSECO INC COM 208464107 666 34500 SH Sole 34500
CONSOLIDATED NAT GAS COM 209615103 376 6022 SH Sole 6022
CORNING INC COM 219350105 521 7600 SH Sole 7200 400
COSTCO WHOLESALE CORP. COM 22160K105 402 5584 SH Sole 5584
COX COMMUNICATIONS COM 224044107 430 10300 SH Sole 8500 1800
CRESCENT REAL ESTATE COM 225756105 380 21100 SH Sole 16100 5000
CVS CORP COM 126650100 359 8800 SH Sole 8800
DANA CORP COM 235811106 322 8675 SH Sole 8675
DEERE & CO COM 244199105 1006 26000 SH Sole 22600 3400
19 500 SH Defined 01 500
</TABLE>
<PAGE>
<TABLE>
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
DELL COMPUTER CORP COM 247025109 1953 46700 SH Sole 40600 6100
59 1400 SH Defined 01 1400
DELPHI AUTOMOTIVE SYS CORP COM 247126105 1334 83028 SH Sole 77144 5884
44 2719 SH Defined 01 1000 1300 419
DELPHI FINL GROUP INC CL A COM 247131105 456 15106 SH Sole 15106
DELTA & PINE LAND CO COM 247357106 714 27600 SH Sole 27600
DEVON ENERGY CORPORATION COM 25179M103 489 11800 SH Sole 11800
24 581 SH Defined 01 134 447
DIAMOND OFFSHORE DRILL COM 25271C102 364 10900 SH Sole 2000 8900
DIGITAL LAVA INC COM 253928105 113 24500 SH Sole 24500
DIMENSIONAL VISION GROUP - RE COM 25434F406 144 100000 SH Sole 100000
DISNEY, WALT CO COM 254687106 9168 352629 SH Sole 330029 22600
49 1900 SH Defined 01 700 1200
DMI FURNITURE INC COM 233230101 40 15859 SH Sole 15859
DOMINION RES INC VA COM 257470104 296 6550 SH Sole 6550
DORAL FINL CORP COM 25811P100 4149 310200 SH Sole 297200 13000
439 32800 SH Defined 01 31200 1600
DOVER CORP COM 260003108 302 7400 SH Sole 7400
DOW CHEM CO COM COM 260543103 528 4650 SH Sole 4650
114 1000 SH Defined 01 1000
DTE ENERGY CO COM 233331107 246 6811 SH Sole 6611 200
DU PONT E I DE NEMOURS COM 263534109 3197 52837 SH Sole 45939 6898
60 1000 SH Defined 01 1000
DUKE ENERGY COM 264399106 1736 31498 SH Sole 24698 6800
77 1400 SH Defined 01 1400
DUN & BRADSTREET DEL COM 26483B106 1171 39203 SH Sole 37903 1300
E M C CORP MASS COM 268648102 2334 32700 SH Sole 32700
EAGLE USA AIRFREIGHT COM 270018104 2650 88500 SH Sole 88500
EASTMAN CHEMICAL COM 277432100 193 4820 SH Sole 4795 25
14 345 SH Defined 01 345
EASTMAN KODAK CO COM 277461109 4355 57584 SH Sole 48876 8708
155 2050 SH Defined 01 300 200 1550
EDISON INT'L COM 281020107 212 8700 SH Sole 8700
EL PASO ENERGY COM 283905107 436 10956 SH Sole 9958 998
ELAN PLC ADR COM 284131208 225 6700 SH Sole 6700
EMERSON ELECTRIC COM 291011104 737 11668 SH Sole 9268 2400
ENNIS BUSINESS FORMS COM 293389102 89 10000 SH Sole 10000
ENRON CORP COM 293561106 472 11440 SH Sole 1968 9472
ENSCO INT'L COM 26874Q100 293 16198 SH Sole 15598 600
ENZO BIOCHEM INC COM 294100102 279 9840 SH Sole 9840
EQUITY RESIDENT PPTYS COM 29476L107 331 7800 SH Sole 7800
34 800 SH Defined 01 800
EXXON CORP COM 302290101 13194 173605 SH Sole 135294 38311
1322 17400 SH Defined 01 17400
FANSTEEL INC COM 307260109 90 22500 SH Sole 22500
2 500 SH Defined 01 500
FDX CORP COM 31304N107 484 12500 SH Sole 12500
FEDERAL NATL MTG ASSN COM 313586109 1833 29245 SH Sole 29245
FEDERATED DEP'T STORES COM 31410H101 302 6905 SH Sole 6905
FIDUCIARY TR CO INT'L COM 316495100 2170 54939 SH Sole 54939
FIFTH THIRD BANCORP COM 316773100 571 9386 SH Sole 9386
FIRST DATA CORP COM 319963104 261 5950 SH Sole 5950
FIRST N B ANCHORAGE AK COM 322387101 653 640 SH Sole 600 40
FIRST UNION CORP COM 337358105 673 18892 SH Sole 17920 972
14 400 SH Defined 01 400
FIRSTAR CORP NEW WIS COM 33763V109 1525 59498 SH Sole 47168 12330
FIRSTMERIT CORP COM 337915102 10324 406869 SH Sole 404880 1989
66 2602 SH Defined 01 2602
FLEET BOSTON CORPORATION COM 33901A108 392 10700 SH Sole 10700
FLORIDA PROGRESS CORP COM 341109106 361 7800 SH Sole 7800
FLOWSERVE CORP COM 34354P105 665 40000 SH Sole 40000
FLUOR CORP COM 343861100 390 9700 SH Sole 9700
FLUSHING FINL CORP COM 343873105 663 41250 SH Sole 41250
FORD MTR CO COM 345370100 6707 133465 SH Sole 131037 2428
45 900 SH Defined 01 300 600
FORTUNE BRANDS INC COM 349631101 1487 46123 SH Sole 45294 829
16 500 SH Defined 01 500
FPL GROUP INC COM 302571104 286 5670 SH Sole 5670
FREDDIE MAC (FED HM LOAN MTG) COM 313400301 5239 100741 SH Sole 100741
FREQUENCY ELECTRS INC COM 358010106 1091 117950 SH Sole 108950 9000
42 4500 SH Defined 01 1500 3000
FRONTIER INSURANCE GRP COM 359081106 101 11500 SH Sole 11500
4 500 SH Defined 500
GANNETT INC COM 364730101 484 7000 SH Sole 7000
</TABLE>
<PAGE>
<TABLE>
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
GAP INC COM 364760108 545 17023 SH Sole 8200 8823
43 1350 SH Defined 01 1350
GATX CORP COM 361448103 645 20754 SH Sole 20754
GENELABS TECHNOLOGIES INC COM 368706107 36 10000 SH Sole 10000
GENERAL CABLE CORP-DEL NEW COM 369300108 1171 97550 SH Sole 95900 1650
16 1350 SH Defined 01 1000 350
GENERAL ELEC CO COM 369604103 22668 191189 SH Sole 156309 34880
1691 14266 SH Defined 01 14266
GENERAL MTRS COM 370442105 3130 49729 SH Sole 46100 3629
38 600 SH Defined 01 600
GENERAL MTRS - H COM 370442832 729 12736 SH Sole 8236 4500
17 300 SH Defined 01 300
GENUINE PARTS CO COM 372460105 352 13260 SH Sole 13260
GENZYME CORP COM 372917104 267 5920 SH Sole 2700 3220
GEORGIA PAC CORP COM-TIMBER GR COM 373298702 627 27400 SH Sole 27400
114 5000 SH Defined 01 5000
GEORGIA PACIFIC GROUP COM 373298108 235 5800 SH Sole 5800
GILLETTE CO COM 375766102 3251 95805 SH Sole 95155 650
GLOBAL CROSSINGS LTD COM G3921A100 222 8365 SH Sole 8365
GOLDBELT RESOURCES COM 380755306 0 10000 SH Sole 10000
GRACO INC COM 384109104 304 9275 SH Sole 9275
GRANITE CONSTR INC COM 387328107 323 12375 SH Sole 450 11925
GRC INT'L COM 361922107 336 37600 SH Sole 37600
GREAT LAKES CHEMICAL CORP COM 390568103 338 8867 SH Sole 8867
GREIF BROS CL A COM 397624107 8368 296204 SH Sole 293704 2500
51 1800 SH Defined 01 1800
GREIF BROS CL B COM 397624206 1251 42400 SH Sole 42400
6 200 SH Defined 01 200
GTE CORP COM 362320103 2488 32363 SH Sole 28768 3595
313 4070 SH Defined 01 300 3770
H T E INC COM 403926108 119 57500 SH Sole 57500
HALLIBURTON CO COM 406216101 3674 89600 SH Sole 89100 500
41 1000 SH Defined 01 1000
HALTER MARINE GROUP INC COM 40642Y105 109 20000 SH Sole 20000
HAMMOND SECURITIES CO LLC COM 0 11667 SH Sole 11667
HARCOURT GEN INC COM 41163G101 393 9450 SH Sole 9450
17 400 SH Defined 01 400
HARTFORD FINL SVCS COM 416515104 1368 33465 SH Sole 33465
25 600 SH Defined 01 300 300
HAVERTY FURNITURE COM 419596101 212 14600 SH Sole 14600
HAWAIIAN ELEC INDS COM 419870100 602 17103 SH Sole 15303 1800
HEILIG MEYERS CO COM 422893107 47 10000 SH Sole 10000
HEINZ H J CO COM 423074103 529 12300 SH Sole 12300
13 300 SH Defined 01 300
HENRY SCHEIN INC COM 806407102 318 22300 SH Sole 22300
7 500 SH Defined 01 500
HERSHEY FOODS CORP COM 427866108 2269 46600 SH Sole 45600 1000
HEWLETT PACKARD COM 428236103 5319 58616 SH Sole 48516 10100
27 300 SH Defined 01 300
HIRSCH INT'L - CL A COM 433550100 48 35700 SH Sole 35700
11 8500 SH Defined 01 8500
HOME DEPOT INC COM 437076102 582 8484 SH Sole 7734 750
HOME PPTYS NY COM 437306103 643 24100 SH Sole 24100
27 1000 SH Defined 01 1000
HONEYWELL INC COM 438506107 819 7356 SH Sole 4900 2456
HORACE MANN EDUCTR CP COM 440327104 405 15700 SH Sole 15700
HOSPITALITY PPTYS COM 44106M102 2436 109800 SH Sole 94800 15000
353 15900 SH Defined 01 15700 200
HOUGHTON MIFFLIN CO COM 441560109 853 21000 SH Sole 21000
45 1100 SH Defined 01 1100
HRPT PPTYS TR COM 40426W101 198 17000 SH Sole 12400 4600
6 500 SH Defined 01 500
HUDSON UNITED BANCORP COM 444165104 210 6812 SH Sole 6812
ILLINOIS TOOL WORKS INC COM 452308109 157 2100 SH Sole 2100
81 1084 SH Defined 01 1084
ILLONOVA CORP COM COM 452317100 295 10500 SH Sole 10500
IMAGEMAX INC COM 45245V101 78 34500 SH Sole 34500
IMC GLOBAL INC COM 449669100 190 13040 SH Sole 13040
IMS HEALTH INC COM 449934108 585 25650 SH Sole 20450 5200
INACOM CORP COM 45323G109 584 63540 SH Sole 60640 2900
9 1000 SH Defined 01 500 500
INGERSOLL RAND CO COM 456866102 1094 19910 SH Sole 19910
INT'L BUSINESS MACH COM 459200101 16214 134000 SH Sole 122716 11284
2572 21260 SH Defined 01 21260
</TABLE>
<PAGE>
<TABLE>
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
INT'L PAPER CO COM 460146103 713 14837 SH Sole 13418 1419
INTEL CORP COM 458140100 14392 193671 SH Sole 181191 12480
45 600 SH Defined 01 200 400
INTERNATIONAL MULTIFDS COM 460043102 444 19315 SH Sole 19315
23 1000 SH Defined 01 1000
INTERPUBLIC GROUP COS COM 460690100 178 4336 SH Sole 4336
296 7200 SH Defined 01 7200
ITT INDS COM 450911102 958 30100 SH Sole 30100
JOHN WILEY & SONS INC - A COM 968223206 1986 126600 SH Sole 126600
JOHNSON & JOHNSON COM 478160104 6959 75749 SH Sole 62249 13500
239 2600 SH Defined 01 2600
JPM CO COM 465933109 682 103000 SH Sole 103000
K MART CORP COM 482584109 182 15550 SH Sole 14900 650
KEEBLER FOODS CO COM 487256109 269 9000 SH Sole 9000
KELLOGG CO COM 487836108 285 7600 SH Sole 7600
KERR-MCGEE CORP COM 492386107 415 7545 SH Sole 7545
KEYCORP NEW COM 493267108 929 36004 SH Sole 34154 1850
40 1550 SH Defined 01 800 750
KEYSPAN CORP COM 49337W100 1623 56689 SH Sole 54689 2000
28 968 SH Defined 01 968
KIMBERLY CLARK COM 494368103 2282 43256 SH Sole 30356 12900
KONINKLIJKE PHILIPS ELECTRS SP COM 500472204 1335 13215 SH Sole 13215
LADD FURNITURE PAR $0.30 COM 505739201 208 9800 SH Sole 9800
LAKELAND INDS INC COM 511795106 263 68000 SH Sole 1000 67000
LEHMAN BROS HLDGS COM 524908100 510 8740 SH Sole 8740
LEXFORD RESIDENTIAL TR COM 528933104 2252 114400 SH Sole 114400
53 2700 SH Defined 01 700 2000
LILLY ELI & CO COM 532457108 1459 22733 SH Sole 15703 7030
LINCOLN NATL CORP IND COM 534187109 319 8500 SH Sole 4000 4500
LITTON INDS INC COM 538021106 296 5400 SH Sole 5400
LIZ CLAIBORNE INC COM COM 539320101 248 8000 SH Sole 8000
LOEWS CORP COM 540424108 309 4400 SH Sole 4400
LOWES COS INC COM 548661107 298 6120 SH Sole 6120
LSI LOGIC COM 502161102 812 15770 SH Sole 15770
LUCENT TECHNOLOGIES COM 549463107 12859 198207 SH Sole 182749 15458
MANULIFE FINANCIAL CORP COM 56501R106 475 40000 SH Sole 40000
178 15000 SH Defined 01 15000
MARK IV INDS INC COM 570387100 282 14300 SH Sole 14300
MAYTAG CORP COM 578592107 503 15100 SH Sole 15100
MBIA INC COM 55262C100 1388 29760 SH Sole 28660 1100
MCDONALDS CORP COM 580135101 1596 36900 SH Sole 33100 3800
MCI WORLDCOM INC COM 55268B106 3454 48050 SH Sole 48050
MEDIAONE GROUP INC COM 58440J104 680 9953 SH Sole 4640 5313
MEDTRONIC INC COM 585055106 1378 38758 SH Sole 38758
28 800 SH Defined 01 800
MELLON FINANCIAL CORP COM 58551A108 1334 39668 SH Sole 39668
MERCK & CO INC COM 589331107 7109 109685 SH Sole 67262 42423
MEREDITH CORP COM 589433101 428 11800 SH Sole 11800
MERIDIAN RESOURCE CORP COM 58977Q109 411 86532 SH Sole 86532
MGIC INVT CORP WIS COM 552848103 1041 21800 SH Sole 20800 1000
MICROSOFT CORP COM 594918104 3676 40590 SH Sole 34800 5790
MILACRON INC COM 598709103 808 45500 SH Sole 45500
2 100 SH Defined 01 100
MINNESOTA MNG & MFG CO COM 604059105 3688 38389 SH Sole 31126 7263
807 8400 SH Defined 01 8400
MIRAGE RESORTS INC COM 60462E104 591 42200 SH Sole 42200
32 2300 SH Defined 01 1500 800
MOBIL CORP COM 607059102 10462 103838 SH Sole 100788 3050
MONSANTO CO COM 611662107 2750 77057 SH Sole 59150 17907
36 1000 SH Defined 01 600 400
MORGAN STAN DEAN WITTER COM 617446448 326 3650 SH Sole 3650
MORGAN, J P & CO COM 616880100 1295 11338 SH Sole 7338 4000
46 400 SH Defined 01 400
MOTOROLA INC COM 620076109 3221 36598 SH Sole 32598 4000
18 200 SH Defined 01 200
NAPRO BIOTHERAPEUTICS COM 630795102 56 17000 SH Sole 17000
NATIONAL CITY CORP COM 635405103 3760 140898 SH Sole 138128 2770
21 800 SH Defined 01 800
NATIONAL FUEL GAS NJ COM 636180101 241 5100 SH Sole 5100
NETWORKS ASSOCS INC COM 640938106 217 11350 SH Sole 6450 4900
NEW YORK TIMES CL A COM 650111107 390 10400 SH Sole 10400
NEWMONT MINING CORP COM 651639106 3895 150550 SH Sole 150550
NEXTEL COMMUNICATIONS - A COM 65332v103 312 4600 SH Sole 4600
34 500 SH Defined 01 500
</TABLE>
<PAGE>
<TABLE>
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
NIAGARA MOHAWK PWR CP COM 653522102 264 17112 SH Sole 17112
NIKE INC - B COM 654106103 634 11150 SH Sole 11150
NOBLE AFFILIATES INC COM 654894104 355 12250 SH Sole 12250
NOKIA CORP SPONS ADR COM 654902204 799 8892 SH Sole 4792 4100
NORFOLK SOUTHERN COM 655844108 446 18200 SH Sole 16400 1800
NORTEL NETWORKS CORP COM 656569100 530 10400 SH Sole 9600 800
NORTHERN TR CORP COM 665859104 386 4624 SH Sole 4624
NORTHWEST NAT GAS CO COM 667655104 481 18635 SH Sole 18635
NSTAR COM 67019E107 285 7367 SH Sole 5867 1500
OCEAN ENERGY INC TEX CON COM 67481e106 120 11800 SH Sole 11800
OCULAR SCIENCES INC COM 675744106 256 13200 SH Sole 13200
OFFICE DEPOT INC COM 676220106 109 10352 SH Sole 10352
OGLEBAY NORTON CO NEW COM 677007106 1374 66600 SH Sole 66600
198 9600 SH Defined 01 9600
ONEIDA LTD COM 682505102 577 24250 SH Sole 24250
ONEOK INC COM 682680103 212 7000 SH Sole 7000
ORACLE CORP COM 68389X105 4021 88380 SH Sole 88200 180
ORION CAPITAL CORP COM 686268103 1326 28000 SH Sole 28000
474 10000 SH Defined 01 10000
OWENS ILLINOIS COM 690768403 228 11500 SH Sole 11500
PACIFIC CAPITAL BANCORP COM 69404P101 220 6400 SH Sole 6400
PACIFICORP COM 695114108 271 13458 SH Sole 9550 3908
9 467 SH Defined 01 467
PAINE WEBBER GROUP INC COM 695629105 746 20568 SH Sole 20568
PAIRGAIN TECHNOLOGIES COM 695934109 217 17000 SH Sole 17000
PALL CORP COM 696429307 975 42036 SH Sole 41836 200
PARAMETRIC TECH CORP COM 699173100 257 19018 SH Sole 19018
PARTNERRE LTD COM G6852T105 893 25700 SH Sole 24900 800
347 10000 SH Defined 01 10000
PAXAR CORP COM 704227107 881 91500 SH Sole 91500
72 7500 SH Defined 01 7500
PAYLESS SHOESOURCE COM 704379106 238 4710 SH Sole 4710
PENNSYLVANIA REAL EST TR COM 709102107 217 11500 SH Sole 11500
PENNZOIL - QUAKER ST CO COM 709323109 364 28868 SH Sole 28868
16 1300 SH Defined 01 300 1000
PEPSICO INC COM 713448108 2322 76140 SH Sole 75940 200
PFIZER INC COM 717081103 6363 177371 SH Sole 126550 50821
115 3198 SH Defined 01 3198
PHARMACIA & UPJOHN INC COM 716941109 2923 58900 SH Sole 58900
248 5000 SH Defined 01 5000
PHELPS DODGE CORP COM 717265102 286 5200 SH Sole 5200
PHILIP MORRIS COS COM 718154107 2234 65350 SH Sole 61650 3700
PHOENIX GOLD INT'L COM 719068108 74 35000 SH Sole 35000
PHOSPHATE RES PARTNERS COM 719217101 102 10200 SH Sole 9200 1000
PIONEER GROUP COM 723684106 6716 447750 SH Sole 445750 2000
PITNEY BOWES INC COM 724479100 3718 61018 SH Sole 59380 1638
PLUM CREEK TIMBER COM 729251108 522 16650 SH Sole 8600 8050
16 500 SH Defined 01 500
PNC BANK CORP COM 693475105 1037 19685 SH Sole 19685
POLICY MGMT SYS CORP COM 731108106 617 19500 SH Sole 19500
POPE EVANS & ROBBINS INC COM 732852108 0 26000 SH Sole 26000
PREMIER FINL BANCORP COM 74050M105 194 16850 SH Sole 16850
12 1050 SH Defined 01 1050
PRESIDENTIAL LIFE CORP COM 740884101 188 11000 SH Sole 11000
PROCTER & GAMBLE COM 742718109 3913 41742 SH Sole 38136 3606
94 1000 SH Defined 01 1000
PROGRESSIVE CORP OHIO COM 743315103 2741 33550 SH Sole 33550
PROVIDENT BANKSHARES CORP COM 743859100 1341 63000 SH Sole 60500 2500
26 1200 SH Defined 01 500 700
PROVIDIAN FINL COM 74406A102 214 2700 SH Sole 2700
QUAKER OATS CO COM 747402105 625 10100 SH Sole 9600 500
QUALCOMM INC COM 747525103 1433 7575 SH Sole 5600 1975
114 600 SH Defined 01 600
R & B FALCON CORP COM 74912E101 459 35000 SH Sole 35000
7 500 SH Defined 01 500
R & B INC COM 749124103 371 66700 SH Sole 66700
36 6500 SH Defined 01 6500
RAYTHEON CO - A COM 755111309 768 15842 SH Sole 15836 6
40 818 SH Defined 01 780 38
RAYTHEON CO - B COM 755111408 442 8909 SH Sole 8909
READERS DIGEST AUTOMATIC COM 755271202 375 12600 SH Sole 12600
RELIANCE BANCORP COM 759451107 564 15000 SH Sole 15000
REPUBLIC NY CORP COM 760719104 1075 17500 SH Sole 17500
</TABLE>
<PAGE>
<TABLE>
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
REYNOLDS METALS CO COM 761763101 453 7500 SH Sole 7500
RITE AID CORP COM 767754104 1178 85300 SH Sole 85300
4 300 SH Defined 01 300
ROWAN COS INC COM 779382100 531 32700 SH Sole 32700
8 500 SH Defined 01 500
ROYAL DUTCH PETE GLD1.25 COM 780257804 5298 89700 SH Sole 89700
18 300 SH Defined 01 300
RPM INC OHIO COM 749685103 196 16078 SH Sole 16078
6 500 SH Defined 01 500
SAFECO CORP COM 786429100 276 9844 SH Sole 9844
SANTA FE SYNDER CORP CON COM 80218k105 220 24500 SH Sole 24500
SARA LEE CORP COM 803111103 473 20170 SH Sole 9700 10470
28 1200 SH Defined 01 1200
SBC COMMUNICATIONS COM 78387G103 6719 131587 SH Sole 103904 27683
25 486 SH Defined 01 486
SCANA CORP COM 805898103 722 29831 SH Sole 29831
SCHERING PLOUGH COM 806605101 1714 39290 SH Sole 39040 250
SCHLUMBERGER LTD COM 806857108 4288 68820 SH Sole 65420 3400
SEAGATE TECHNOLOGY COM 811804103 422 13704 SH Sole 12500 1204
SEARS ROEBUCK & CO COM 812387108 437 13924 SH Sole 4300 9624
SECURITY BANK CORP COM 9 11375 SH Sole 11375
SERVICE CORP INT'L COM 817565104 590 55820 SH Sole 55820
SEVENTH GENERATION INC COM 81806K101 37 31998 SH Sole 31998
SHARED MED SYS COM 819486101 1697 36300 SH Sole 36300
299 6400 SH Defined 01 400 6000
SHAW INDS INC COM 820286102 204 12850 SH Sole 12850
SHELL TRANS&TRAD PLC NY COM 822703609 2607 57294 SH Sole 57294
SOMANETICS CORP NEW COM 834445405 44 20000 SH Sole 20000
SONAT INC COM 835415100 259 6525 SH Sole 6525
SONOCO PRODUCTS CO COM 835495102 455 19931 SH Sole 19931
SOUTHDOWN INC COM 841297104 1097 20500 SH Sole 20500
SOUTHWEST AIRLS CO COM 844741108 154 10125 SH Sole 1500 8625
SOUTHWEST GAS COM 844895102 1035 38440 SH Sole 37840 600
SOVEREIGN BANCORP INC COM 845905108 136 14960 SH Sole 14000 960
SPORT-HALEY INC COM 848925103 205 44400 SH Sole 44400
7 1500 SH Defined 01 1500
SPRINT CORP (PCS GRP) COM 852061506 347 4650 SH Sole 4650
75 1000 SH Defined 01 1000
SPRINT CORP - FON GROUP COM 852061100 1020 18800 SH Sole 18800
217 4000 SH Defined 01 4000
SPX CORP COM 784635104 576 6348 SH Sole 6348
ST JOE CO COM 790148100 1108 51400 SH Sole 34750 16650
STATE AUTO FINL COM 855707105 4744 462800 SH Sole 462800
38 3700 SH Defined 01 3700
STERIS CORP COM 859152100 737 53600 SH Sole 53600
STONE & WEBSTER INC COM 861572105 448 16000 SH Sole 16000
14 500 SH Defined 01 500
STRYKER CORP COM 863667101 445 8698 SH Sole 8698
SUMMIT BANCORP COM 866005101 1868 57593 SH Sole 57593
SUN MICROSYSTEMS INC COM 866810104 1414 15200 SH Sole 4100 11100
SUNTRUST BKS INC COM 867914103 4759 72380 SH Sole 68380 4000
38 576 SH Defined 01 576
SYMBOL TECHNOLOGIES COM 871508107 309 9186 SH Sole 3149 6037
SYMIX SYS INC COM 871535100 797 74600 SH Sole 74600
13 1200 SH Defined 01 1200
SYNOVUS FINL CORP COM 87161C105 1041 55686 SH Sole 55686
SYSCO CORP COM 871829107 288 8200 SH Sole 8000 200
TECHNITROL INC COM 878555101 338 9600 SH Sole 9600
TECO ENERGY INC COM 872375100 298 14091 SH Sole 11940 2151
13 600 SH Defined 01 600
TELEPHONE & DATA SYS COM 879433100 2265 25500 SH Sole 25500
62 700 SH Defined 01 700
TELLABS INC COM COM 879664100 360 6324 SH Sole 5724 600
TERAYON COMMNS SYS COM 880775101 2094 47100 SH Sole 47100
TEXACO INC COM 881694103 8129 128780 SH Sole 120898 7882
25 400 SH Defined 01 400
TEXAS INSTRS INC COM 882508104 592 7200 SH Sole 7200
TEXAS UTILS CO COM 882848104 1162 31142 SH Sole 30442 700
TIME WARNER INC COM 887315109 6790 111763 SH Sole 108063 3700
TOSCO CORP COM 891490302 379 15000 SH Sole 15000
TRAVELERS PPTY - A COM 893939108 319 10800 SH Sole 10800
TRIDENT ROWAN GROUP INC COM 89614K106 19 10000 SH Sole 10000
TRW INC COM 872649108 284 5700 SH Sole 5700
</TABLE>
<PAGE>
<TABLE>
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
TSI INC MINN COM 872876107 184 15000 SH Sole 15000
TYCO INT'L LTD COM 902124106 846 8190 SH Sole 7305 885
U S DIAGNOSTIC INC COM 90328Q108 15 15146 SH Sole 15146
U S FOODSERVICE COM 90331R101 302 16800 SH Sole 16800
22 1200 SH Defined 01 1200
U S WEST INC NEW COM 91273H101 1723 30203 SH Sole 25095 5108
11 200 SH Defined 01 200
UICI COM 902737105 204 8000 SH Sole 8000
UNION PAC CORP COM 907818108 1596 33216 SH Sole 31416 1800
43 900 SH Defined 01 300 600
UNION PAC RES GROUP COM 907834105 508 31255 SH Sole 31255
UNISYS CORP COM 909214108 828 18340 SH Sole 18340
UNITED DOMINION RLTY TR COM 910197102 168 15000 SH Sole 15000
UNITED TECHNOLOGIES CP COM 913017109 261 4400 SH Sole 3000 1400
UNIVERSAL HLTH SVCS - B COM 913903100 251 9700 SH Sole 9700
UNOCAL CORP COM COM 915289102 363 9800 SH Sole 9800
USA NETWORKS INC COM 902984103 1476 38100 SH Sole 32800 5300
UST CORP COM 902900109 1315 42753 SH Sole 42753
58 1881 SH Defined 01 1881
USX- US STL GROUP COM COM 90337t101 252 9800 SH Sole 9800
VALERO REFNG & AMRKETING CO CO COM 91313y100 241 12500 SH Sole 12500
VIACOM INC CL B COM 925524308 4550 107704 SH Sole 107704
VITESSE SEMICONDUCTOR COM 928497106 256 3000 SH Sole 3000
26 300 SH Defined 01 300
VODAFONE AIRTOUCH PLC SPONS AD COM 92857T107 1351 5681 SH Sole 4859 822
39 166 SH Defined 01 166
WAL MART STORES COM 931142103 656 13800 SH Sole 11800 2000
WALGREEN CO COM 931422109 756 29800 SH Sole 7600 22200
WARNER LAMBERT COM 934488107 6252 94193 SH Sole 93043 1150
80 1200 SH Defined 01 300 900
WASHINGTON MUTUAL INC COM 939322103 397 13565 SH Sole 13565
WASTE MGMT INC COM 94106L109 876 45500 SH Sole 43300 2200
WELLS FARGO & CO COM 949746101 5013 126500 SH Sole 126500
WEST MARINE INC COM 954235107 197 24600 SH Sole 20300 4300
10 1300 SH Defined 01 1300
WICOR INC COM 929253102 392 13500 SH Sole 13500
WILLBROS GROUP COM 969199108 107 15000 SH Sole 15000
WILLIAMS COS INC COM 969457100 2668 70913 SH Sole 68221 2692
23 600 SH Defined 01 600
WRIGLEY WM JR CO COM 982526105 3385 49190 SH Sole 49190
WRIGLEY WM JR CO - B COM 982526204 1350 19500 SH Sole 19500
XEROX CORP COM 984121103 7726 184223 SH Sole 173800 10423
38 900 SH Defined 01 400 500
XL CAPITAL LTD-CL A COM G98255105 607 13500 SH Sole 12500 1000
FIRSTMERIT CV 6.50% - B 337915201 1567 22300 SH Sole 22300
702 10000 SH Defined 01 10000
APPLIED SEMICONDUCTOR, INC SER CV PFD 101 16800 SH Sole 16800
I-STAT CORP CV PFD 450312103 721 66667 SH Sole 66667
TAENSA, INC. SERIES A CV PFD 101 56000 SH Sole 56000
CAMPBELL SOUP CO 134429AK5 100 100000 PRN Sole 100000
MELLON BANK N A 585907AK4 49 50000 PRN Sole 50000
ALZA CORP SUB DEB 022615AD0 72 60000 PRN Sole 60000
ARBOR SOFTWARE SUB NOTE 038918AC2 7 10000 PRN Sole 10000
AUTOMATIC DATA PROCESSING SUB 053015AC7 115 100000 PRN Sole 100000
BAKER HUGHES SR LYON 057224AH0 73 100000 PRN Sole 100000
COMPTRONIX SUB DEB (DEFAULT 08 20476CAA4 0 66000 PRN Sole 66000
HILTON HOTELS SUB NOTES 432848AL3 56 70000 PRN Sole 70000
MEDCO CONTAINMENT SERVICES SUB 583905AC8 151 45000 PRN Sole 45000
MOTOROLA SUB LYON 620076AE9 226 140000 PRN Sole 140000
NATIONAL DATA SUB NT 635621AA3 26 30000 PRN Sole 30000
OFFICE DEPOT SUB LYON 676220AA4 63 100000 PRN Sole 100000
WMX TECHNOLOGIES SUB NT 92929QAF4 49 60000 PRN Sole 60000
BERGSTROM CAP CORP 084093103 214 1105.000 SH Sole 1105.000
DLJ HIGH YIELD BOND 23322Y108 21026000.000 SH Sole 26000.000
FRANKLIN CUST US GOVT A 353496607 18427889.565 SH Sole 27889.565
MAINSTAY FDS CAP APPRECTN A 56062F665 139927707.332 SH Sole 27707.332
MAINSTAY FDS EQUITY INDEX 56062F848 188545662.100 SH Sole 45662.100
MAINSTAY TOTAL RETURN - A 56062F798 51320302.310 SH Sole 20302.310
PIONEER FUND 723682100 290 6456.756 SH Sole 6456.756
</TABLE>
<PAGE>
<TABLE>
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
PIONEER II 724010103 42921300.780 SH Sole 21300.780
SMITH BARNEY WORLD INT'L EQT P 831811203 43217442.977 SH Sole 17442.977
SOLONIAN GOLD RESERVE LP 998356109 1154 22.500 SH Sole 22.500
VAN ECK INT'L INVS 921075503 10815764.438 SH Sole 15764.438
VANGUARD GNMA FUND 922031307 10710747.529 SH Sole 10747.529
VANGUARD HIGH-YIELD CORPORATE 922031208 9412970.169 SH Sole 12970.169
WTS DIGITAL LAVA INC EXP 02/17 253928113 15 13200 SH Sole 13200
ADMINISTRADOR DE FONDOS SPONSO 00709P108 266 13000 SH Sole 13000
AMINEX PLC = ORD IP g0333t107 29 65000 SH Sole 65000
ANSALDO SIGNAL (NV) N05515106 89 34000 SH Sole 34000
BCE INC COM 05534B109 941 18900 SH Sole 18900
BRIERLEY INVESTMENTS LTD Q17926108 5 20000 SH Sole 20000
CABLE & WIRELESS PLC SPONSORED 126830207 262 7900 SH Sole 7500 400
CEMEX SA-SPONS ADR SER B 151290202 33 11800 SH Sole 11800
CREATIVE TECHNOLOGY INC Y1775U107 138 13000 SH Sole 13000
DAIMLERCHRYSLER AG ORD D1668R123 431 6213 SH Sole 262 5951
9 124 SH Defined 01 124
GLOBO CABA SA SPONSORED ADR RE 37957X102 64 12000 SH Sole 12000
INDEPENDENT ENERGY HLDGS ADR 45384X108 1446 75367 SH Sole 75367
ING GROEP N V SPONSORED ADR 456837103 2270 41470 SH Sole 41470
KNIGHTSBRIDGE TANKERS G5299G106 218 13600 SH Sole 13200 400
3 200 SH Defined 01 200
P T BANK BIRA Y0632L102 1 284000 SH Sole 284000
REPSOL S A SPONSORED ADR 76026T205 536 26900 SH Sole 26900
ROYAL DUTCH PETE GLD1.25 780257804 1750 29628 SH Sole 22028 7600
24 400 SH Defined 01 400
TELEFONOS DE MEXICO SA SP ADR 879403780 222 3112 SH Sole 612 2500
UNIBANCO-UNIAO DE BANC GDR REP 90458E107 345 19500 SH Sole 19500
BRAZILIAN EQUITY FD COM 105884100 4711500.000 SH Sole 11500.000
MORGAN STANLEY ASIA-PAC 61744U106 57358000.000 SH Sole 58000.000
</TABLE>
|
|