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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: KLINGENSTEIN, FIELDS & CO., L.L.C.
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Address: 787 SEVENTH AVENUE, NEW YORK, NY 10019-6016
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13F File Number: 28-3965
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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: JONATHAN ROBERTS Title: SENIOR VICE PRESIDENT Phone: (212) 492-6177
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Signature, Place, and Date of Signing:
/s/ Jonathan Roberts
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JONATHAN ROBERTS
NEW YORK, NY
NOVEMBER 10, 1999
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>
SEC13F.LNS KLINGENSTEIN, FIELDS & CO., L.L.C.
FORM 13F SUMMARY PAGE
AS OF DATE: 09/30/99
REPORT SUMMARY:
NUMBER OF OTHER INCLUDED MANAGERS: 0
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FORM 13F INFORMATION TABLE ENTRY TOTAL: 262
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FORM 13F INFORMATION TABLE VALUE TOTAL: $2,449,270
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(thousands)
LIST OF OTHER INCLUDED MANAGERS:
Provide a numbered list of the name(s) and Form 13F file number(s) of all
institutional investment managers with respect to which this report is filed,
other than the manager filing this report.
NONE
<PAGE>
<TABLE>
<CAPTION>
KLINGENSTEIN, FIELDS & CO., L.L.C. PAGE 1
FORM 13F INFORMATION TABLE
AS OF DATE: 09/30/99
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>
ABBOTT LABS COM 002824100 1983 54060 SH DEFINED 0 0 54060
AES CORP COM 00130H105 8851 150020 SH DEFINED 0 0 150020
AES CORP WTS EXP 7/31/2000 WARRANT AND RIGH 00130H113 671 7479 SH DEFINED 0 0 7479
AFFYMETRIX INC OC-CAP STK COM 00826T108 246 2500 SH DEFINED 0 0 2500
AIR PRODUCTS&CHEMICAL INC COM 009158106 232 7936 SH DEFINED 0 0 7936
AIRBORNE FREIGHT CORP COM 009266107 7722 366600 SH DEFINED 0 0 366600
ALBERTA ENERGY LTD COM 012873105 1130 39150 SH DEFINED 0 0 39150
ALLEGHENY ENERGY INC COM 017361106 230 7200 SH DEFINED 0 0 7200
ALLEGHENY TELEDYNE INC NEW COM 017415100 2897 171692 SH DEFINED 0 0 171692
ALLIED CAP CORP NEW COM 01903Q108 526 23456 SH DEFINED 0 0 23456
ALLIED WASTE INDS INC NEW COM 019589308 324 27700 SH DEFINED 0 0 27700
ALLSTATE CORP COM 020002101 16979 680881 SH DEFINED 0 0 680881
AMERADA HESS CORP COM 023551104 18486 301810 SH DEFINED 0 0 301810
AMERICA ONLINE INC COM 02364J104 416 4000 SH DEFINED 0 0 4000
AMERICAN EXPRESS CO COM 025816109 55316 409746 SH DEFINED 0 0 409746
AMERICAN HOME PRODS CORP COM 026609107 13314 320830 SH DEFINED 0 0 320830
AMERICAN INTL GROUP INC COM 026874107 275527 3169259 SH DEFINED 0 0 3169259
AMERICAN TOWER CORP CL A COM 029912201 2655 135278 SH DEFINED 0 0 135278
AMERITECH CORP NEW COM 030954101 865 12966 SH DEFINED 0 0 12966
AMFM INC COM 001693100 1094 18000 SH DEFINED 0 0 18000
AMGEN INC COM 031162100 701 8600 SH DEFINED 0 0 8600
ANHEUSER BUSCH COS INC COM 035229103 614 8757 SH DEFINED 0 0 8757
APTARGROUP INC COM 038336103 401 15000 SH DEFINED 0 0 15000
ASIA PULP & PAPER LTD ADR SPON COM 04516V100 243 41300 SH DEFINED 0 0 41300
AT POS.COM INC COM 04963A104 29 10000 SH DEFINED 0 0 10000
ATLANTIC RICHFIELD CO COM 048825103 3277 36972 SH DEFINED 0 0 36972
AT&T CORP COM 001957109 79340 1823900 SH DEFINED 0 0 1823900
AT&T CORP LIBERTY MED CL A COM 001957208 73755 1976676 SH DEFINED 0 0 1976676
AUTOMATIC DATA PROCESSING COM 053015103 288 6450 SH DEFINED 0 0 6450
AVERY DENNISON CORPORATION COM 053611109 1261 23900 SH DEFINED 0 0 23900
AVON PRODS INC COM 054303102 390 15700 SH DEFINED 0 0 15700
BANK AMER CORP COM 060505104 54330 975630 SH DEFINED 0 0 975630
BANK NEW YORK INC COM 064057102 5735 171524 SH DEFINED 0 0 171524
BANK ONE CORP COM 06423A103 590 16939 SH DEFINED 0 0 16939
BANTA CORP COM 066821109 11997 537672 SH DEFINED 0 0 537672
BE AEROSPACE INC COM 073302101 916 76700 SH DEFINED 0 0 76700
BEAR STEARNS COS INC COM 073902108 9564 261266 SH DEFINED 0 0 261266
BECTON DICKINSON & CO COM 075887109 702 25000 SH DEFINED 0 0 25000
BED BATH & BEYOND INC COM 075896100 437 12500 SH DEFINED 0 0 12500
BELL ATLANTIC CORP COM 077853109 801 11893 SH DEFINED 0 0 11893
BELLSOUTH CORP COM 079860102 1527 33924 SH DEFINED 0 0 33924
BELO A H CORP SER A COM 080555105 2551 133400 SH DEFINED 0 0 133400
BERKSHIRE HATHAWAY INC CL A COM 084670108 2750 50 SH DEFINED 0 0 50
BERKSHIRE HATHAWAY INC CL B COM 084670207 74398 40085 SH DEFINED 0 0 40085
BESTFOODS COM 08658U101 228 4700 SH DEFINED 0 0 4700
BHC COMMUNICATIONS INC CL A COM 055448104 9179 65800 SH DEFINED 0 0 65800
BOSTON SCIENTIFIC CORP COM 101137107 337 13600 SH DEFINED 0 0 13600
BP AMOCO ADR COM 055622104 23377 421912 SH DEFINED 0 0 421912
BRISTOL MYERS SQUIBB CO COM 110122108 8906 131944 SH DEFINED 0 0 131944
BRITISH TELECOM PLC ADR FNL IN COM 111021408 258 1666 SH DEFINED 0 0 1666
BURLINGTON NORTHERN SANTA FE COM 12189T104 432 15700 SH DEFINED 0 0 15700
<PAGE>
KLINGENSTEIN, FIELDS & CO., L.L.C. PAGE 2
FORM 13F INFORMATION TABLE
AS OF DATE: 09/30/99
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>
BURLINGTON RES INC COM 122014103 5470 148832 SH DEFINED 0 0 148832
CATERPILLAR INC. COM 149123101 471 8600 SH DEFINED 0 0 8600
CBS CORP COM 12490K107 6611 142947 SH DEFINED 0 0 142947
CENDANT CORP COM 151313103 570 32100 SH DEFINED 0 0 32100
CENTRAL & SOUTH WEST CORP COM 152357109 613 29000 SH DEFINED 0 0 29000
CHASE MANHATTAN CORP NEW COM 16161A108 1958 25972 SH DEFINED 0 0 25972
CHEVRON CORP COM 166751107 939 10576 SH DEFINED 0 0 10576
CHRIS CRAFT INDS INC COM COM 170520100 2415 43026 SH DEFINED 0 0 43026
CHRIS CRAFT INDS INC COM CL B COM 170520506 6948 123803 SH DEFINED 0 0 123803
CHUBB CORP COM 171232101 4002 80650 SH DEFINED 0 0 80650
CIGNA CORP. COM 125509109 233 3000 SH DEFINED 0 0 3000
CINTAS CORP COM 172908105 231 4000 SH DEFINED 0 0 4000
CISCO SYS INC COM 17275R102 2346 34220 SH DEFINED 0 0 34220
CITIGROUP INC. COM 172967101 8106 184233 SH DEFINED 0 0 184233
CLEAR CHANNEL COMMUNICATIONS COM 184502102 304 3800 SH DEFINED 0 0 3800
COCA COLA CO COM 191216100 3907 80972 SH DEFINED 0 0 80972
COLGATE PALMOLIVE CO COM 194162103 13145 287332 SH DEFINED 0 0 287332
COMCAST CORP COM CL A COM 200300101 25364 703345 SH DEFINED 0 0 703345
COMCAST CORP COM CL A SPL COM 200300200 31422 788025 SH DEFINED 0 0 788025
COMPUTER ASSOC INTL INC COM 204912109 6938 113500 SH DEFINED 0 0 113500
CONSECO INC COM COM 208464107 257 13550 SH DEFINED 0 0 13550
COX COMMUNICATIONS INC NEW CL COM 224044107 2096 50208 SH DEFINED 0 0 50208
CULLEN FROST BANKERS INC COM 229899109 330 13200 SH DEFINED 0 0 13200
DELL COMPUTER CORP COM 247025109 1797 42980 SH DEFINED 0 0 42980
DELTA $ PINE LD CO COM 247357106 828 31998 SH DEFINED 0 0 31998
DIEBOLD INC COM 253651103 483 20900 SH DEFINED 0 0 20900
DIGITAL RECORDING CORP. COM 253870109 147 226283 SH DEFINED 0 0 226283
DISNEY WALT CO COM 254687106 116247 4471034 SH DEFINED 0 0 4471034
DOLLAR GEN CORP COM 256669102 494 16000 SH DEFINED 0 0 16000
DONNELLEY R R & SONS CO COM 257867101 19003 658101 SH DEFINED 0 0 658101
DOW CHEM CO COM 260543103 614 5400 SH DEFINED 0 0 5400
DU PONT E I DE NEMOURS & CO COM 263534109 2536 41917 SH DEFINED 0 0 41917
EMC CORP (MASS) COM 268648102 7694 107801 SH DEFINED 0 0 107801
EMERSON ELEC CO COM 291011104 826 13080 SH DEFINED 0 0 13080
ENRON CORP COM 293561106 591 14400 SH DEFINED 0 0 14400
ERICSSON L M TEL CO ADR AMERN COM 294821509 173 20000 SH DEFINED 0 0 20000
ERICSSON L M TEL CO ADR CL B COM 294821400 238 7600 SH DEFINED 0 0 7600
EXXON CORP COM 302290101 8488 111678 SH DEFINED 0 0 111678
FACTORY 2-U STORES, INC COM 303072102 2416 80882 SH DEFINED 0 0 80882
FDX CORP COM 31304N107 9987 256900 SH DEFINED 0 0 256900
FEDERAL HOME LN MTG CORP COM 313400301 1277 24550 SH DEFINED 0 0 24550
FEDERAL NATL MTG ASSN COM 313586109 728 11620 SH DEFINED 0 0 11620
FEDERATED DEPT STORES INC DEL COM 31410H101 636 14550 SH DEFINED 0 0 14550
FIRST DATA CORP COM 319963104 281 6400 SH DEFINED 0 0 6400
FIRST UNION CORP COM 337358105 2051 57584 SH DEFINED 0 0 57584
FIRSTAR CORP NEW WIS COM 33763V109 406 15829 SH DEFINED 0 0 15829
FLEET FINL GROUP INC NEW COM COM 338915101 207 5652 SH DEFINED 0 0 5652
FRANKLIN RES INC COM 354613101 254 8300 SH DEFINED 0 0 8300
GANNETT INC COM 364730101 40045 578790 SH DEFINED 0 0 578790
GAP INC COM 364760108 655 20475 SH DEFINED 0 0 20475
GARDEN RIDGE CORP COM 36541P104 4405 607584 SH DEFINED 0 0 607584
<PAGE>
KLINGENSTEIN, FIELDS & CO., L.L.C. PAGE 3
FORM 13F INFORMATION TABLE
AS OF DATE: 09/30/99
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>
GC COS INC COM 36155Q109 267 8885 SH DEFINED 0 0 8885
GENERAL ELEC CO COM COM 369604103 148812 1255139 SH DEFINED 0 0 1255139
GENERAL MTRS CORP COM 370442105 220 3502 SH DEFINED 0 0 3502
GILAT SATELLITE NETWORKS LTDOR COM M51474100 644 12000 SH DEFINED 0 0 12000
GILLETTE CO COM 375766102 688 20268 SH DEFINED 0 0 20268
GLAXO WELLCOME PLC SPONS ADR COM 37733W105 78449 1508643 SH DEFINED 0 0 1508643
GLOBAL CROSSING LTD COM G3921A100 375 14145 SH DEFINED 0 0 14145
GLOBALSTAR TELECOMMUNICATIONCO COM G3930H104 2694 117132 SH DEFINED 0 0 117132
GOLDEN WEST FINL CORP DEL COM 381317106 402 4094 SH DEFINED 0 0 4094
GOLDMAN SACHS GROUP INC COM 38141G104 366 6000 SH DEFINED 0 0 6000
GTE CORP COM 362320103 1097 14271 SH DEFINED 0 0 14271
GULFSTREAM RES CDA LTD SEDOL # COM 402741102 179 114600 SH DEFINED 0 0 114600
H & R BLOCK INC COM 093671105 473 10900 SH DEFINED 0 0 10900
HALLIBURTON CO COM 406216101 849 20700 SH DEFINED 0 0 20700
HARCOURT GENERAL INC COM 41163G101 7063 169690 SH DEFINED 0 0 169690
HARTE HANKS COMMUNICATIONS COM 416196103 1385 55000 SH DEFINED 0 0 55000
HARTFORD FINL SVCS GRP INC COM 416515104 28691 701911 SH DEFINED 0 0 701911
HEARTPORT INC COM 421969106 48 10500 SH DEFINED 0 0 10500
HEINZ H J CO COM 423074103 916 21300 SH DEFINED 0 0 21300
HERCULES INC COM 427056106 455 15900 SH DEFINED 0 0 15900
HEWLETT PACKARD CO COM 428236103 2718 29950 SH DEFINED 0 0 29950
HOME DEPOT INC COM 437076102 6283 91550 SH DEFINED 0 0 91550
HONEYWELL INC. COM 438506107 757 6800 SH DEFINED 0 0 6800
HOUSEHOLD INTL. INC. COM 441815107 475 11850 SH DEFINED 0 0 11850
HSB GROUP INC COM 40428N109 633 18000 SH DEFINED 0 0 18000
ILLINOIS TOOL WORKS COM 452308109 500 6700 SH DEFINED 0 0 6700
INCO LTD SEDOL# 2460389 COM 453258402 428 20000 SH DEFINED 0 0 20000
INFINITY BROADCASTING CORP NCL COM 45662S102 317 10800 SH DEFINED 0 0 10800
INTEL CORP COM 458140100 24959 335862 SH DEFINED 0 0 335862
INTERNATIONAL BUSINESS MACHS COM 459200101 6961 57528 SH DEFINED 0 0 57528
INTERNATIONAL PAPER CO COM 460146103 13851 288189 SH DEFINED 0 0 288189
JOHNSON & JOHNSON COM 478160104 47830 520604 SH DEFINED 0 0 520604
KANSAS CITY SOUTHN INDS INC COM 485170104 13087 281450 SH DEFINED 0 0 281450
KIMBERLY CLARK CORP COM 494368103 1501 28449 SH DEFINED 0 0 28449
KNIGHT RIDDER INC COM 499040103 602 10950 SH DEFINED 0 0 10950
KROLL O GARA CO COM 501050108 358 21465 SH DEFINED 0 0 21465
LAFAYETTE BANCORPORATION COM 505893107 200 7435 SH DEFINED 0 0 7435
LEE ENTERPRISES INC COM 523768109 1429 52210 SH DEFINED 0 0 52210
LILLY ELI & CO COM 532457108 74321 1157866 SH DEFINED 0 0 1157866
LINCOLN NATL CORP IND COM 534187109 1123 29905 SH DEFINED 0 0 29905
LORAL SPACE & COMMUNICATIONS COM G56462107 4833 281200 SH DEFINED 0 0 281200
LUCENT TECHNOLOGIES INC COM 549463107 5206 80239 SH DEFINED 0 0 80239
LYNX THERAPEUTICS INC RESTRICT COM 551812R10 229 20250 SH DEFINED 0 0 20250
MAGAININ PHARMACEUTICALS INC COM 559036108 207 194500 SH DEFINED 0 0 194500
MANPOWER INC WIS COM 56418H100 4916 168777 SH DEFINED 0 0 168777
MATTEL INC. COM 577081102 527 27719 SH DEFINED 0 0 27719
MBNA CORP COM 55262L100 536 23489 SH DEFINED 0 0 23489
MCDONALDS CORP COM 580135101 10100 233536 SH DEFINED 0 0 233536
MCI WORLDCOM COM 55268B106 3014 41935 SH DEFINED 0 0 41935
MEDIAONE GROUP INC COM 58440J104 26909 393916 SH DEFINED 0 0 393916
MEDTRONIC INC COM 585055106 2063 58000 SH DEFINED 0 0 58000
<PAGE>
KLINGENSTEIN, FIELDS & CO., L.L.C. PAGE 4
FORM 13F INFORMATION TABLE
AS OF DATE: 09/30/99
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>
MELLON BK CORP COM COM 585509102 2115 62906 SH DEFINED 0 0 62906
MERCK & CO INC COM 589331107 111379 1718478 SH DEFINED 0 0 1718478
MERRILL LYNCH & CO INC COM 590188108 1432 21250 SH DEFINED 0 0 21250
METROMEDIA FIBER NETWORK INC C COM 591689104 245 10000 SH DEFINED 0 0 10000
MICROSOFT CORP COM 594918104 25163 277852 SH DEFINED 0 0 277852
MINNESOTA MNG & MFG CO COM 604059105 7659 79728 SH DEFINED 0 0 79728
MOBIL CORP COM 607059102 3407 33816 SH DEFINED 0 0 33816
MONSANTO CO COM 611662107 5676 159040 SH DEFINED 0 0 159040
MORGAN J P & CO INC COM 616880100 1258 11007 SH DEFINED 0 0 11007
MORGAN STANLEY DEAN WITTER & N COM 617446448 961 10772 SH DEFINED 0 0 10772
MORTON INDL GROUP INC CL A NEW COM 619328107 172 41700 SH DEFINED 0 0 41700
MOTOROLA INC COM 620076109 686 7800 SH DEFINED 0 0 7800
NCT GROUP INC COM 62888Q109 5 30000 SH DEFINED 0 0 30000
NEIMAN MARCUS GROUPS INC COM 640204103 486 20800 SH DEFINED 0 0 20800
NEW YORK TIMES CO CL A COM 650111107 4683 124884 SH DEFINED 0 0 124884
NEWELL RUBBERMAID INC COM 651229106 276 9664 SH DEFINED 0 0 9664
NEXTEL COMMUNIC INC CL A COM 65332V103 31177 459750 SH DEFINED 0 0 459750
NO FIRE TECHNOLOGIES INC COM 654865104 61 75000 SH DEFINED 0 0 75000
NOKIA CORP SPONSORED ADR COM 654902204 674 7500 SH DEFINED 0 0 7500
NORFOLK SOUTHN CORP COM 655844108 2550 104100 SH DEFINED 0 0 104100
NORTH EUROPEAN OIL RTY TR CTF COM 659310106 179 12000 SH DEFINED 0 0 12000
NORTHERN TR CORP COM 665859104 3707 44400 SH DEFINED 0 0 44400
NTL INC COM 629407107 4042 52585 SH DEFINED 0 0 52585
OCEAN ENERGY INC. COM 67481E106 172 16900 SH DEFINED 0 0 16900
OMNICOM GROUP INC COM 681919106 4286 54125 SH DEFINED 0 0 54125
ORACLE CORPORATION COM 68389X105 673 14800 SH DEFINED 0 0 14800
PAMECO CORP COM 697934107 763 117313 SH DEFINED 0 0 117313
PARAMETRIC TECHNOLOGY CORP COM 699173100 269 19900 SH DEFINED 0 0 19900
PE CORP PE BISYS GR COM 69332S102 289 4000 SH DEFINED 0 0 4000
PEOPLES HERITAGE FINL GP INC COM 711147108 444 26720 SH DEFINED 0 0 26720
PEPSICO INC COM 713448108 55911 1833158 SH DEFINED 0 0 1833158
PFIZER INC COM 717081103 8471 236138 SH DEFINED 0 0 236138
PHILIP MORRIS COS INC COM 718154107 2413 70574 SH DEFINED 0 0 70574
PHOTOELECTRON CORP COM 719320103 54 11466 SH DEFINED 0 0 11466
PITNEY BOWES INC COM 724479100 807 13248 SH DEFINED 0 0 13248
PNC BANK CORP COM 693475105 1145 21725 SH DEFINED 0 0 21725
POGO PRODUCING CO COM 730448107 65746 3168496 SH DEFINED 0 0 3168496
POGO PRODUCING CO 5.500% 06/15 CONVERTIBLE BOND 730448AE7 2465 3025000 PRN DEFINED 0 0 3025000
PREMIER FARNELL ADR SPON R2 OR COM 74050U107 95 10439 SH DEFINED 0 0 10439
PREMIER FARNELL S ADRPFCV $1.3 CONVERTIBLE PREF 74050U206 268 13845 SH DEFINED 0 0 13845
PREMIER PKS INC NEW COM 740540208 1717 59200 SH DEFINED 0 0 59200
PROCTER & GAMBLE CO COM 742718109 29726 317078 SH DEFINED 0 0 317078
PROVIDIAN FINL CORP COM 74406A102 404 5100 SH DEFINED 0 0 5100
QWEST COMMUNICATIONS INTL INC COM 749121109 2137 72300 SH DEFINED 0 0 72300
RALSTON PURINA CO NEW COM 751277302 219 7850 SH DEFINED 0 0 7850
READERS DIGEST ASSN INC-A NON COM 755267101 2031 69450 SH DEFINED 0 0 69450
RELIASTAR FINL CORP COM 75952U103 1244 37421 SH DEFINED 0 0 37421
RIBI IMMUNOCHEM RESH INC COM COM 762553105 257 114300 SH DEFINED 0 0 114300
ROHM & HAAS CO. COM 775371107 473 13100 SH DEFINED 0 0 13100
ROYAL CARIBBEAN CRUISES LTD COM V7780T103 11797 262150 SH DEFINED 0 0 262150
ROYAL DUTCH PETE CO NY REGISTR COM 780257804 47813 809529 SH DEFINED 0 0 809529
<PAGE>
KLINGENSTEIN, FIELDS & CO., L.L.C. PAGE 5
FORM 13F INFORMATION TABLE
AS OF DATE: 09/30/99
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>
SAKS INC COM 79377W108 402 26500 SH DEFINED 0 0 26500
SBC COMMUNICATIONS INC COM 78387G103 884 17318 SH DEFINED 0 0 17318
SCHERING PLOUGH CORP COM 806605101 10245 234840 SH DEFINED 0 0 234840
SCHLUMBERGER LTD COM 806857108 1358 21790 SH DEFINED 0 0 21790
SCIENTIFIC ATLANTA INC COM 808655104 44239 892600 SH DEFINED 0 0 892600
SEACOR SMIT INC COM 811904101 1580 30824 SH DEFINED 0 0 30824
SEAGATE TECHNOLOGY COM 811804103 309 10100 SH DEFINED 0 0 10100
SEAGRAMS CO LTD COM 811850106 1920 42200 SH DEFINED 0 0 42200
SEALED AIR CORP NEW COM 81211K100 29156 568200 SH DEFINED 0 0 568200
SEARS ROEBUCK & CO COM 812387108 324 10335 SH DEFINED 0 0 10335
SERVICEMASTER CO COM 81760N109 340 21137 SH DEFINED 0 0 21137
SHAW COMMUNICATIONS INC CL B COM 82028K200 5627 204140 SH DEFINED 0 0 204140
SIEBEL SYS INC COM 826170102 2214 33230 SH DEFINED 0 0 33230
SIGMA ALDRICH CORP COM 826552101 1265 39850 SH DEFINED 0 0 39850
SMITHKLINE BEECHAM PLC ADR REP COM 832378301 7802 135388 SH DEFINED 0 0 135388
SPRINT CORP COM 852061100 452 8340 SH DEFINED 0 0 8340
SPRINT CORP PCS SER 1 COM 852061506 1274 17085 SH DEFINED 0 0 17085
STAPLES INC COM 855030102 3390 155430 SH DEFINED 0 0 155430
STOLT COMEX SEAWAY S A ADR SPO COM 861567105 424 39000 SH DEFINED 0 0 39000
STOLT COMEX SEAWAY SA SEDOL # COM L8873E103 2549 225300 SH DEFINED 0 0 225300
SUN MICROSYSTEMS INC COM 866810104 1051 11300 SH DEFINED 0 0 11300
SYLVAN LEARNING SYS INC COM 871399101 6919 357100 SH DEFINED 0 0 357100
SYSCO CORP. COM 871829107 281 8000 SH DEFINED 0 0 8000
TANDY CORP COM 875382103 713 13800 SH DEFINED 0 0 13800
TELEFLEX INC COM 879369106 477 12100 SH DEFINED 0 0 12100
TELLABS INC COM 879664100 1239 21760 SH DEFINED 0 0 21760
TEXACO INC COM 881694103 290 4600 SH DEFINED 0 0 4600
TEXAS INSTRS INC COM 882508104 4400 53500 SH DEFINED 0 0 53500
TICKETMASTER ONLINE-CITYSEARCL COM 88633P203 368 15200 SH DEFINED 0 0 15200
TIFFANY & CO NEW COM 886547108 264 4400 SH DEFINED 0 0 4400
TIME WARNER INC COM 887315109 57552 947362 SH DEFINED 0 0 947362
TITANIUM METALS CORP COM 888339108 179 20000 SH DEFINED 0 0 20000
TJX COS INC NEW COM 872540109 2116 75400 SH DEFINED 0 0 75400
TORCHMARK CORP COM 891027104 1656 64008 SH DEFINED 0 0 64008
TRIBUNE CO NEW COM 896047107 326 6550 SH DEFINED 0 0 6550
TRICON GLOBAL RESTAURANTS INC COM 895953107 3845 93919 SH DEFINED 0 0 93919
TYCO INTL LTD NEW COM 902124106 2610 50552 SH DEFINED 0 0 50552
U S WEST INC NEW COM 91273H101 393 6892 SH DEFINED 0 0 6892
UNION PAC CORP COM 907818108 14212 295700 SH DEFINED 0 0 295700
UNITED TECHNOLOGIES CORP. COM 913017109 868 14632 SH DEFINED 0 0 14632
US BANCORP DEL NEW COM 902973106 944 31279 SH DEFINED 0 0 31279
USA NETWORKS INC COM 902984103 1453 37498 SH DEFINED 0 0 37498
VANS INC COM 921930103 240 20000 SH DEFINED 0 0 20000
VODAFONE GROUP PLC SPONS ADR COM 92857T107 51581 1084765 SH DEFINED 0 0 1084765
WACHOVIA CORP NEW COM 929771103 223 2841 SH DEFINED 0 0 2841
WADDELL & REED FINL INC CL B COM 930059209 335 15674 SH DEFINED 0 0 15674
WAL MART STORES INC SEDOL NO 2 COM 931142103 723 15200 SH DEFINED 0 0 15200
WARNER LAMBERT CO COM 934488107 5054 76150 SH DEFINED 0 0 76150
WASHINGTON MUT INC COM 939322103 3025 103402 SH DEFINED 0 0 103402
WASHINGTON POST CO CL B COM 939640108 40189 78802 SH DEFINED 0 0 78802
<PAGE>
KLINGENSTEIN, FIELDS & CO., L.L.C. PAGE 6
FORM 13F INFORMATION TABLE
AS OF DATE: 09/30/99
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>
WASTE MANAGEMENT COM 94106L109 6836 355100 SH DEFINED 0 0 355100
WELLS FARGO & CO NEW COM 949746101 1202 30330 SH DEFINED 0 0 30330
WESTWOOD ONE INC COM 961815107 237 5250 SH DEFINED 0 0 5250
WHITE MTNS INS GROUP INC COM 964126106 5398 39801 SH DEFINED 0 0 39801
WILEY JOHN & SONS INC CL A COM 968223206 7310 465950 SH DEFINED 0 0 465950
WILLIAMS COS INC COM 969457100 346 9200 SH DEFINED 0 0 9200
XEROX CORP COM 984121103 412 9820 SH DEFINED 0 0 9820
YOUNG & RUBICAM INC COM 987425105 260 5900 SH DEFINED 0 0 5900
</TABLE>
