UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: DECEMBER 31, 1999
Check here if Amendment [ ]; Amendment Number: ____
This Amendment (Check only one.): [ ] is a restatement.
[ ] adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: 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 New York, NY February 9, 2000
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JONATHAN ROBERTS (City, State) (Date)
Report Type (Check only one.):
[X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager
are reported in this report.)
[ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all
holdings are reported by other reporting manager(s).)
[ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this
reporting manager are reported in this report and a portion are reported by
other reporting manager(s).)
<PAGE>
KLINGENSTEIN, FIELDS & CO., L.L.C.
FORM 13F SUMMARY PAGE
AS OF DATE: 12/31/99
REPORT SUMMARY:
NUMBER OF OTHER INCLUDED MANAGERS: 0
FORM 13F INFORMATION TABLE ENTRY TOTAL: 299
FORM 13F INFORMATION TABLE VALUE TOTAL: $3,208,881
(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>
KLINGENSTEIN, FIELDS & CO., L.L.C. PAGE 1
FORM 13F INFORMATION TABLE
AS OF DATE: 12/31/99
<TABLE>
<CAPTION>
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>
ABBOTT LABS COM 002824100 6406 176410 SH DEFINED 0 0 176410
ADELPHIA COMMUNIC CORP CL A COM 006848105 8697 132525 SH DEFINED 0 0 132525
ADVO INC COM 007585102 412 17343 SH DEFINED 0 0 17343
AES CORP COM 00130H105 37922 507320 SH DEFINED 0 0 507320
AES CORP WTS EXP 7/31/2000 WARRANT AND RIGH 00130H113 920 7356 SH DEFINED 0 0 7356
AFFYMETRIX INC OC-CAP STK COM 00826T108 424 2500 SH DEFINED 0 0 2500
AIR PRODUCTS&CHEMICAL INC COM 009158106 266 7936 SH DEFINED 0 0 7936
AIRBORNE FREIGHT CORP COM 009266107 7984 362900 SH DEFINED 0 0 362900
ALBERTA ENERGY LTD COM 012873105 1818 58050 SH DEFINED 0 0 58050
ALCOA INC COM COM 013817101 1527 18400 SH DEFINED 0 0 18400
ALLEGHANY CORP DEL COM 017175100 1384 7459 SH DEFINED 0 0 7459
ALLEGHENY ENERGY INC COM 017361106 216 8000 SH DEFINED 0 0 8000
ALLEGHENY TECHNOLOGIES INC COM COM 01741R102 2329 103788 SH DEFINED 0 0 103788
ALLIED CAP CORP NEW COM 01903Q108 430 23456 SH DEFINED 0 0 23456
ALLIED WASTE INDS INC NEW COM 019589308 244 27700 SH DEFINED 0 0 27700
ALLSTATE CORP COM 020002101 15970 663695 SH DEFINED 0 0 663695
AMERADA HESS CORP COM 023551104 16713 294510 SH DEFINED 0 0 294510
AMERICA ONLINE INC COM 02364J104 1210 15950 SH DEFINED 0 0 15950
AMERICAN EXPRESS CO COM 025816109 70602 424671 SH DEFINED 0 0 424671
AMERICAN GEN CORP COM 026351106 506 6668 SH DEFINED 0 0 6668
AMERICAN HOME PRODS CORP COM 026609107 12854 327480 SH DEFINED 0 0 327480
AMERICAN INTL GROUP INC COM 026874107 350544 3242026 SH DEFINED 0 0 3242026
AMERICAN TOWER CORP CL A COM 029912201 4092 133888 SH DEFINED 0 0 133888
AMFM INC COM 001693100 2645 33800 SH DEFINED 0 0 33800
ANHEUSER BUSCH COS INC COM 035229103 876 12357 SH DEFINED 0 0 12357
APPLIED MATLS INC COM 038222105 570 4500 SH DEFINED 0 0 4500
AT HOME CORP SER A COM 045919107 238 5550 SH DEFINED 0 0 5550
AT POS.COM INC COM 04963A104 20 10000 SH DEFINED 0 0 10000
ATLANTIC RICHFIELD CO COM 048825103 3129 36170 SH DEFINED 0 0 36170
AT&T CORP COM 001957109 94758 1864850 SH DEFINED 0 0 1864850
AT&T CORP LIBERTY MED CL A COM 001957208 123808 2179232 SH DEFINED 0 0 2179232
AUTOMATIC DATA PROCESSING COM 053015103 1059 19650 SH DEFINED 0 0 19650
AVERY DENNISON CORPORATION COM 053611109 3177 43600 SH DEFINED 0 0 43600
AVON PRODS INC COM 054303102 264 8000 SH DEFINED 0 0 8000
BANK AMER CORP COM 060505104 48588 968125 SH DEFINED 0 0 968125
BANK NEW YORK INC COM 064057102 7630 190758 SH DEFINED 0 0 190758
BANK ONE CORP COM 06423A103 999 31205 SH DEFINED 0 0 31205
BANTA CORP COM 066821109 11928 528647 SH DEFINED 0 0 528647
BEAR STEARNS COS INC COM 073902108 11176 261436 SH DEFINED 0 0 261436
BECTON DICKINSON & CO COM 075887109 889 33000 SH DEFINED 0 0 33000
BELL ATLANTIC CORP COM 077853109 1100 17871 SH DEFINED 0 0 17871
BELLSOUTH CORP COM 079860102 1973 42144 SH DEFINED 0 0 42144
BELO A H CORP SER A COM 080555105 4097 214900 SH DEFINED 0 0 214900
BERKSHIRE HATHAWAY INC CL A COM 084670108 5554 99 SH DEFINED 0 0 99
BERKSHIRE HATHAWAY INC CL B COM 084670207 82398 45026 SH DEFINED 0 0 45026
BESTFOODS COM 08658U101 620 11788 SH DEFINED 0 0 11788
BHC COMMUNICATIONS INC CL A COM 055448104 10528 65800 SH DEFINED 0 0 65800
BOEING CO COM 097023105 242 5836 SH DEFINED 0 0 5836
BP AMOCO ADR COM 055622104 30144 508230 SH DEFINED 0 0 508230
BRISTOL MYERS SQUIBB CO COM 110122108 11544 179844 SH DEFINED 0 0 179844
BRITISH TELECOM PLC ADR FNL IN COM 111021408 865 3636 SH DEFINED 0 0 3636
<PAGE>
KLINGENSTEIN, FIELDS & CO., L.L.C. PAGE 2
FORM 13F INFORMATION TABLE
AS OF DATE: 12/31/99
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
- ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- --------
BURLINGTON NORTHERN SANTA FE COM 12189T104 337 13890 SH DEFINED 0 0 13890
BURLINGTON RES INC COM 122014103 4934 149232 SH DEFINED 0 0 149232
CABOT CORP COM 127055101 571 28000 SH DEFINED 0 0 28000
CAMPBELL SOUP CO. COM 134429109 209 5400 SH DEFINED 0 0 5400
CBS CORP COM 12490K107 17645 275966 SH DEFINED 0 0 275966
CELL GENESYS INC COM 150921104 138 10775 SH DEFINED 0 0 10775
CENDANT CORP COM 151313103 853 32100 SH DEFINED 0 0 32100
CENTER TR INC COM 151845104 257 26500 SH DEFINED 0 0 26500
CENTRAL & SOUTH WEST CORP COM 152357109 582 29112 SH DEFINED 0 0 29112
CHASE MANHATTAN CORP NEW COM 16161A108 1880 24202 SH DEFINED 0 0 24202
CHEVRON CORP COM 166751107 1508 17403 SH DEFINED 0 0 17403
CHICAGO TITLE CORP COM 168228104 469 10150 SH DEFINED 0 0 10150
CHRIS CRAFT INDS INC COM COM 170520100 3103 43026 SH DEFINED 0 0 43026
CHRIS CRAFT INDS INC COM CL B COM 170520506 8929 123803 SH DEFINED 0 0 123803
CHUBB CORP COM 171232101 4629 82200 SH DEFINED 0 0 82200
CIGNA CORP. COM 125509109 242 3000 SH DEFINED 0 0 3000
CINTAS CORP COM 172908105 213 4000 SH DEFINED 0 0 4000
CISCO SYS INC COM 17275R102 4566 42620 SH DEFINED 0 0 42620
CITIGROUP INC. COM 172967101 14158 254234 SH DEFINED 0 0 254234
CLEAR CHANNEL COMMUNICATIONS COM 184502102 1080 12100 SH DEFINED 0 0 12100
COCA COLA CO COM 191216100 5945 102056 SH DEFINED 0 0 102056
COLGATE PALMOLIVE CO COM 194162103 30130 463532 SH DEFINED 0 0 463532
COMCAST CORP COM CL A COM 200300101 33673 703345 SH DEFINED 0 0 703345
COMCAST CORP COM CL A SPL COM 200300200 40684 804625 SH DEFINED 0 0 804625
CONOCO INC CL B COM 208251405 209 8421 SH DEFINED 0 0 8421
CONSECO INC COM COM 208464107 594 33350 SH DEFINED 0 0 33350
CONVERGYS CORP COM COM 212485106 246 8000 SH DEFINED 0 0 8000
CORNING INC COM 219350105 284 2200 SH DEFINED 0 0 2200
COSTCO WHOLESALE CORP COM 22160K105 292 6400 SH DEFINED 0 0 6400
COX COMMUNICATIONS INC NEW CL COM 224044107 3006 58375 SH DEFINED 0 0 58375
CRESCENT R E EQUITIES INC COM 225756105 283 15400 SH DEFINED 0 0 15400
CROSS TIMBERS OIL CO COM 227573102 204 22500 SH DEFINED 0 0 22500
CULLEN FROST BANKERS INC COM 229899109 963 37400 SH DEFINED 0 0 37400
DAIMLERCHRYSLER AG ORD COM D1668R123 973 12470 SH DEFINED 0 0 12470
DELL COMPUTER CORP COM 247025109 12097 237200 SH DEFINED 0 0 237200
DELTA $ PINE LD CO COM 247357106 556 31998 SH DEFINED 0 0 31998
DIEBOLD INC COM 253651103 451 19200 SH DEFINED 0 0 19200
DISNEY WALT CO COM 254687106 140104 4789871 SH DEFINED 0 0 4789871
DONNELLEY R R & SONS CO COM 257867101 12781 515106 SH DEFINED 0 0 515106
DOUBLECLICK INC COM 258609304 253 2000 SH DEFINED 0 0 2000
DOW CHEM CO COM 260543103 722 5400 SH DEFINED 0 0 5400
DU PONT E I DE NEMOURS & CO COM 263534109 4189 63591 SH DEFINED 0 0 63591
EMC CORP (MASS) COM 268648102 16588 151838 SH DEFINED 0 0 151838
EMERSON ELEC CO COM 291011104 1387 24180 SH DEFINED 0 0 24180
ENRON CORP COM 293561106 657 14800 SH DEFINED 0 0 14800
<PAGE>
KLINGENSTEIN, FIELDS & CO., L.L.C. PAGE 3
FORM 13F INFORMATION TABLE
AS OF DATE: 12/31/99
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
- ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- --------
ERICSSON L M TEL CO ADR AMERN COM 294821509 388 20000 SH DEFINED 0 0 20000
ERICSSON L M TEL CO ADR CL B COM 294821400 499 7600 SH DEFINED 0 0 7600
EXXON CORPORATION COM 30231G102 20158 250218 SH DEFINED 0 0 250218
FACTORY 2-U STORES, INC COM 303072102 2295 80882 SH DEFINED 0 0 80882
FDX CORP COM 31304N107 10883 265850 SH DEFINED 0 0 265850
FEDERAL HOME LN MTG CORP COM 313400301 4822 102450 SH DEFINED 0 0 102450
FEDERAL NATL MTG ASSN COM 313586109 1083 17350 SH DEFINED 0 0 17350
FIRST DATA CORP COM 319963104 611 12394 SH DEFINED 0 0 12394
FIRST UNION CORP COM 337358105 3749 113828 SH DEFINED 0 0 113828
FIRSTAR CORP NEW WIS COM 33763V109 334 15829 SH DEFINED 0 0 15829
FORD MTR CO DEL COM 345370100 209 3925 SH DEFINED 0 0 3925
FREEPORT MCMORAN COPPER-B COM 35671D857 215 10165 SH DEFINED 0 0 10165
GANNETT INC COM 364730101 49654 608790 SH DEFINED 0 0 608790
GAP INC COM 364760108 955 20750 SH DEFINED 0 0 20750
GARDEN RIDGE CORP COM 36541P104 5515 482166 SH DEFINED 0 0 482166
GC COS INC COM 36155Q109 536 20729 SH DEFINED 0 0 20729
GENERAL AMERN INVS INC COM COM 368802104 1173 31530 SH DEFINED 0 0 31530
GENERAL ELEC CO COM COM 369604103 184228 1190490 SH DEFINED 0 0 1190490
GENERAL INSTR CORP DEL COM 370120107 621 7300 SH DEFINED 0 0 7300
GENERAL MTRS AC CORP 7.500% 05 CONVERTIBLE BOND 37042RS52 252 250000 PRN DEFINED 0 0 250000
GENERAL MTRS CORP COM 370442105 291 4002 SH DEFINED 0 0 4002
GILLETTE CO COM 375766102 2250 54622 SH DEFINED 0 0 54622
GLAXO WELLCOME PLC SPONS ADR COM 37733W105 84254 1507899 SH DEFINED 0 0 1507899
GLOBAL CROSSING LTD COM G3921A100 1567 31345 SH DEFINED 0 0 31345
GLOBALSTAR TELECOMMUNICATIONCO COM G3930H104 6913 157104 SH DEFINED 0 0 157104
GOLDEN WEST FINL CORP DEL COM 381317106 411 12282 SH DEFINED 0 0 12282
GOLDMAN SACHS GROUP INC COM 38141G104 885 9400 SH DEFINED 0 0 9400
GTE CORP COM 362320103 1603 22722 SH DEFINED 0 0 22722
GULFSTREAM RES CDA LTD SEDOL # COM 402741102 191 106600 SH DEFINED 0 0 106600
H & R BLOCK INC COM 093671105 954 21800 SH DEFINED 0 0 21800
HALLIBURTON CO COM 406216101 1568 38950 SH DEFINED 0 0 38950
HARCOURT GENERAL INC COM 41163G101 12619 313510 SH DEFINED 0 0 313510
HARTE HANKS COMMUNICATIONS COM 416196103 3798 174600 SH DEFINED 0 0 174600
HARTFORD FINL SVCS GRP INC COM 416515104 33679 710911 SH DEFINED 0 0 710911
HARTFORD LIFE INC CL A COM 416592103 211 4800 SH DEFINED 0 0 4800
HEINZ H J CO COM 423074103 1023 25700 SH DEFINED 0 0 25700
HEWLETT PACKARD CO COM 428236103 8912 78350 SH DEFINED 0 0 78350
HOME DEPOT INC COM 437076102 16314 237295 SH DEFINED 0 0 237295
HONEYWELL INTERNATIONAL, INC. COM 438516106 10379 179918 SH DEFINED 0 0 179918
HOST MARRIOTT CORP NEW COM 44107P104 200 24300 SH DEFINED 0 0 24300
HOUGHTON MIFFLIN CO COM 441560109 932 22100 SH DEFINED 0 0 22100
HOUSEHOLD INTL. INC. COM 441815107 1192 32000 SH DEFINED 0 0 32000
HSB GROUP INC COM 40428N109 553 16350 SH DEFINED 0 0 16350
ILLINOIS TOOL WORKS COM 452308109 2931 43382 SH DEFINED 0 0 43382
IMMUNEX CORP NEW COM 452528102 372 3400 SH DEFINED 0 0 3400
INFINITY BROADCASTING CORP NCL COM 45662S102 1107 30600 SH DEFINED 0 0 30600
INSIGHT COMMUNICATIONS INC CL COM 45768V108 486 16400 SH DEFINED 0 0 16400
<PAGE>
KLINGENSTEIN, FIELDS & CO., L.L.C. PAGE 4
FORM 13F INFORMATION TABLE
AS OF DATE: 12/31/99
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
- ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- --------
INTEL CORP COM 458140100 50038 607907 SH DEFINED 0 0 607907
INTERNATIONAL BUSINESS MACHS COM 459200101 10519 97509 SH DEFINED 0 0 97509
INTERNATIONAL PAPER CO COM 460146103 17624 312280 SH DEFINED 0 0 312280
INTERPUBLIC GROUP COS INC COM 460690100 358 6200 SH DEFINED 0 0 6200
INTUIT INC COM 461202103 1924 32094 SH DEFINED 0 0 32094
JOHNSON & JOHNSON COM 478160104 54784 587501 SH DEFINED 0 0 587501
KANSAS CITY SOUTHN INDS INC COM 485170104 22020 295073 SH DEFINED 0 0 295073
KIMBERLY CLARK CORP COM 494368103 2037 31125 SH DEFINED 0 0 31125
KNIGHT RIDDER INC COM 499040103 742 12450 SH DEFINED 0 0 12450
KONINKLIJKE PHILIPS ELECTRS AD COM 500472204 304 2253 SH DEFINED 0 0 2253
LABRANCHE & CO INC COM 505447102 834 65428 SH DEFINED 0 0 65428
LEE ENTERPRISES INC COM 523768109 2242 70210 SH DEFINED 0 0 70210
LIBERTY DIGITAL INC CL A COM 530436104 475 6400 SH DEFINED 0 0 6400
LILLY ELI & CO COM 532457108 78616 1182201 SH DEFINED 0 0 1182201
LINCOLN NATL CORP IND COM 534187109 1236 30905 SH DEFINED 0 0 30905
LOEWS CORP COM 540424108 516 8500 SH DEFINED 0 0 8500
LORAL SPACE & COMMUNICATIONS COM G56462107 15080 620250 SH DEFINED 0 0 620250
LUCENT TECHNOLOGIES INC COM 549463107 10921 145609 SH DEFINED 0 0 145609
LYNX THERAPEUTICS INC NEW COM 551812308 656 20250 SH DEFINED 0 0 20250
MAGAININ PHARMACEUTICALS INC COM 559036108 392 216000 SH DEFINED 0 0 216000
MANPOWER INC WIS COM 56418H100 11318 300805 SH DEFINED 0 0 300805
MATTEL INC. COM 577081102 1870 142446 SH DEFINED 0 0 142446
MBNA CORP COM 55262L100 444 16301 SH DEFINED 0 0 16301
MCDONALDS CORP COM 580135101 16394 406666 SH DEFINED 0 0 406666
MCI WORLDCOM COM 55268B106 4026 75878 SH DEFINED 0 0 75878
MEDIAONE GROUP INC COM 58440J104 33109 431036 SH DEFINED 0 0 431036
MEDITRUST PAIRED CTF NEW COM 58501T306 87 15753 SH DEFINED 0 0 15753
MEDTRONIC INC COM 585055106 3606 98971 SH DEFINED 0 0 98971
MELLON FINL CORP COM 58551A108 6310 185262 SH DEFINED 0 0 185262
MERCK & CO INC COM 589331107 119899 1784543 SH DEFINED 0 0 1784543
MERRILL LYNCH & CO INC COM 590188108 3649 43800 SH DEFINED 0 0 43800
METROMEDIA FIBER NETWORK INC C COM 591689104 485 10117 SH DEFINED 0 0 10117
MICROSOFT CORP COM 594918104 53804 460852 SH DEFINED 0 0 460852
MID-AMER APT CMNTYS INC COM 59522J103 294 13000 SH DEFINED 0 0 13000
MINNESOTA MNG & MFG CO COM 604059105 7750 79181 SH DEFINED 0 0 79181
MONSANTO CO COM 611662107 9412 265590 SH DEFINED 0 0 265590
MORGAN J P & CO INC COM 616880100 2754 21749 SH DEFINED 0 0 21749
MORGAN STANLEY DEAN WITTER & N COM 617446448 1537 21534 SH DEFINED 0 0 21534
MOTOROLA INC COM 620076109 1664 11300 SH DEFINED 0 0 11300
NATIONWIDE FINL SVCS INC CL A COM 638612101 296 10600 SH DEFINED 0 0 10600
NCT GROUP INC COM 62888Q109 4 30000 SH DEFINED 0 0 30000
NEIMAN MARCUS GROUP INC CL B COM 640204301 2222 82490 SH DEFINED 0 0 82490
NEW YORK TIMES CO CL A COM 650111107 11316 230356 SH DEFINED 0 0 230356
NEWELL RUBBERMAID INC COM 651229106 586 20219 SH DEFINED 0 0 20219
NEWFIELD EXPL CO COM 651290108 540 20201 SH DEFINED 0 0 20201
NEWMONT MINING CORP. COM 651639106 205 8362 SH DEFINED 0 0 8362
NEWS CORP LTD ADR SPONS PREF PREFERRED STOCKS 652487802 341 10200 SH DEFINED 0 0 10200
NEXTEL COMMUNIC INC CL A COM 65332V103 46999 455750 SH DEFINED 0 0 455750
NO FIRE TECHNOLOGIES INC COM 654865104 35 75000 SH DEFINED 0 0 75000
NOKIA CORP SPONSORED ADR COM 654902204 2006 10500 SH DEFINED 0 0 10500
<PAGE>
KLINGENSTEIN, FIELDS & CO., L.L.C. PAGE 5
FORM 13F INFORMATION TABLE
AS OF DATE: 12/31/99
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
- ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- --------
NORFOLK SOUTHN CORP COM 655844108 2134 104100 SH DEFINED 0 0 104100
NORTH EUROPEAN OIL RTY TR CTF COM 659310106 177 12000 SH DEFINED 0 0 12000
NORTHERN TR CORP COM 665859104 9156 172750 SH DEFINED 0 0 172750
NOVA CORP GA COM 669784100 805 25518 SH DEFINED 0 0 25518
NTL INC COM 629407107 10711 107328 SH DEFINED 0 0 107328
OHIO CAS CORP COM 677240103 206 12800 SH DEFINED 0 0 12800
OMNICOM GROUP INC COM 681919106 7678 76775 SH DEFINED 0 0 76775
ORACLE CORPORATION COM 68389X105 225 4024 SH DEFINED 0 0 4024
PAMECO CORP COM 697934107 1919 479722 SH DEFINED 0 0 479722
PE CORP PE BISYS GR COM 69332S102 481 4000 SH DEFINED 0 0 4000
PEOPLES HERITAGE FINL GP INC COM 711147108 402 26720 SH DEFINED 0 0 26720
PEPSICO INC COM 713448108 64651 1834058 SH DEFINED 0 0 1834058
PFIZER INC COM 717081103 14297 440743 SH DEFINED 0 0 440743
PHILIP MORRIS COS INC COM 718154107 3316 144173 SH DEFINED 0 0 144173
PHOTOELECTRON CORP COM 719320103 54 21466 SH DEFINED 0 0 21466
PITNEY BOWES INC COM 724479100 688 14248 SH DEFINED 0 0 14248
PLACER DOME INC SEDOL # 269171 COM 725906101 199 18520 SH DEFINED 0 0 18520
PNC BANK CORP COM 693475105 1697 38125 SH DEFINED 0 0 38125
POGO PRODUCING CO COM 730448107 64511 3166196 SH DEFINED 0 0 3166196
POGO PRODUCING CO 5.500% 06/15 CONVERTIBLE BOND 730448AE7 2550 3400000 PRN DEFINED 0 0 3400000
PREMIER FARNELL ADR SPON R2 OR COM 74050U107 145 10439 SH DEFINED 0 0 10439
PREMIER FARNELL S ADRPFCV $1.3 CONVERTIBLE PREF 74050U206 220 11418 SH DEFINED 0 0 11418
PREMIER PKS INC NEW COM 740540208 2704 93650 SH DEFINED 0 0 93650
PROCTER & GAMBLE CO COM 742718109 36622 334253 SH DEFINED 0 0 334253
QUAKER OATS CO. COM 747402105 407 6200 SH DEFINED 0 0 6200
QUALCOMM INC COM COM 747525103 282 1600 SH DEFINED 0 0 1600
QWEST COMMUNICATIONS INTL INC COM 749121109 13230 307686 SH DEFINED 0 0 307686
RALSTON PURINA CO NEW COM 751277302 484 17350 SH DEFINED 0 0 17350
READERS DIGEST ASSN INC-A NON COM 755267101 3753 128300 SH DEFINED 0 0 128300
REGIONS FINL CORP COM COM 758940100 249 9916 SH DEFINED 0 0 9916
RELIASTAR FINL CORP COM 75952U103 2818 71921 SH DEFINED 0 0 71921
ROYAL CARIBBEAN CRUISES LTD COM V7780T103 13102 265700 SH DEFINED 0 0 265700
ROYAL DUTCH PETE CO NY REGISTR COM 780257804 52439 865869 SH DEFINED 0 0 865869
SAP AG ADR SPONS PREF COM 803054204 354 6800 SH DEFINED 0 0 6800
SARA LEE CORP COM 803111103 343 15540 SH DEFINED 0 0 15540
SBC COMMUNICATIONS INC COM 78387G103 2045 41953 SH DEFINED 0 0 41953
SCHERING PLOUGH CORP COM 806605101 19904 469720 SH DEFINED 0 0 469720
SCHLUMBERGER LTD COM 806857108 1381 24600 SH DEFINED 0 0 24600
SCHWAB CHARLES CORP NEW COM 808513105 233 6100 SH DEFINED 0 0 6100
SCIENTIFIC ATLANTA INC COM 808655104 49863 892400 SH DEFINED 0 0 892400
SEACOR SMIT INC COM 811904101 1595 30824 SH DEFINED 0 0 30824
SEAGATE TECHNOLOGY COM 811804103 228 4900 SH DEFINED 0 0 4900
SEAGRAMS CO LTD COM 811850106 2891 64600 SH DEFINED 0 0 64600
SEALED AIR CORP NEW COM 81211K100 29440 568200 SH DEFINED 0 0 568200
SEALED AIR CORP NEW PFD CONV A CONVERTIBLE PREF 81211K209 480 9500 SH DEFINED 0 0 9500
SEARS ROEBUCK & CO COM 812387108 314 10335 SH DEFINED 0 0 10335
SHAW COMMUNICATIONS INC CL B COM 82028K200 12112 365640 SH DEFINED 0 0 365640
<PAGE>
KLINGENSTEIN, FIELDS & CO., L.L.C. PAGE 6
FORM 13F INFORMATION TABLE
AS OF DATE: 12/31/99
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
- ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- --------
SHOWPOWER INC COM 825396104 104 15080 SH DEFINED 0 0 15080
SIEBEL SYS INC COM 826170102 3499 41660 SH DEFINED 0 0 41660
SIGMA ALDRICH CORP COM 826552101 1135 37750 SH DEFINED 0 0 37750
SMITHKLINE BEECHAM PLC ADR REP COM 832378301 14863 231788 SH DEFINED 0 0 231788
SOUTHERN CO COM 842587107 235 10000 SH DEFINED 0 0 10000
SPRINT CORP COM 852061100 744 11054 SH DEFINED 0 0 11054
SPRINT CORP PCS SER 1 COM 852061506 258 5026 SH DEFINED 0 0 5026
SPRINT CORP PF CV $1.25-1.5 CONVERTIBLE PREF 852061308 545 1000 SH DEFINED 0 0 1000
ST PAUL COS INC COM COM 792860108 327 9716 SH DEFINED 0 0 9716
STAPLES INC COM 855030102 3836 184850 SH DEFINED 0 0 184850
STRYKER CORP COM 863667101 1316 18900 SH DEFINED 0 0 18900
SUN MICROSYSTEMS INC COM 866810104 3543 45755 SH DEFINED 0 0 45755
SYSCO CORP. COM 871829107 475 12000 SH DEFINED 0 0 12000
TELEDYNE TECHNOLOGIES INC COM COM 879360105 284 30117 SH DEFINED 0 0 30117
TELEFLEX INC COM 879369106 980 31300 SH DEFINED 0 0 31300
TELLABS INC COM 879664100 2039 31760 SH DEFINED 0 0 31760
TEXACO INC COM 881694103 331 6100 SH DEFINED 0 0 6100
TEXAS INSTRS INC COM 882508104 5498 56900 SH DEFINED 0 0 56900
TICKETMASTER ONLINE-CITYSEARCL COM 88633P203 431 11200 SH DEFINED 0 0 11200
TIFFANY & CO NEW COM 886547108 393 4400 SH DEFINED 0 0 4400
TIME WARNER INC COM 887315109 70694 977618 SH DEFINED 0 0 977618
TJX COS INC NEW COM 872540109 2330 114000 SH DEFINED 0 0 114000
TORCHMARK CORP COM 891027104 1860 64008 SH DEFINED 0 0 64008
TRIBUNE CO NEW COM 896047107 801 14550 SH DEFINED 0 0 14550
TRICON GLOBAL RESTAURANTS INC COM 895953107 3597 93119 SH DEFINED 0 0 93119
TYCO INTL LTD NEW COM 902124106 3299 84580 SH DEFINED 0 0 84580
U S TR CORP NEW COM 91288L105 257 3200 SH DEFINED 0 0 3200
U S WEST INC NEW COM 91273H101 510 7083 SH DEFINED 0 0 7083
UNION PAC CAP TR PFD 6.25% TID CONVERTIBLE PREF 907824403 339 8700 SH DEFINED 0 0 8700
UNION PAC CORP COM 907818108 13135 300650 SH DEFINED 0 0 300650
UNITED HEALTHCARE CORP COM 910581107 266 5000 SH DEFINED 0 0 5000
UNITED PARCEL SVC INC CL B COM 911312106 228 3300 SH DEFINED 0 0 3300
UNITED TECHNOLOGIES CORP. COM 913017109 1237 19038 SH DEFINED 0 0 19038
UNOCAL CORP COM 915289102 484 14412 SH DEFINED 0 0 14412
UNUMPROVIDENT CORP COM 91529Y106 263 8200 SH DEFINED 0 0 8200
US BANCORP DEL NEW COM 902973106 1842 77359 SH DEFINED 0 0 77359
USA NETWORKS INC COM 902984103 2262 40948 SH DEFINED 0 0 40948
VERITAS SOFTWARE CO COM 923436109 7445 52018 SH DEFINED 0 0 52018
VODAFONE GROUP PLC SPONS ADR COM 92857T107 55914 1129580 SH DEFINED 0 0 1129580
WADDELL & REED FINL INC CL B COM 930059209 394 15674 SH DEFINED 0 0 15674
WAL MART STORES INC COM 931142103 2945 42600 SH DEFINED 0 0 42600
WALGREEN COMPANY COM 931422109 478 16358 SH DEFINED 0 0 16358
<PAGE>
KLINGENSTEIN, FIELDS & CO., L.L.C. PAGE 7
FORM 13F INFORMATION TABLE
AS OF DATE: 12/31/99
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
- ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- --------
WARNER LAMBERT CO COM 934488107 9656 117850 SH DEFINED 0 0 117850
WASHINGTON MUT INC COM 939322103 230 8900 SH DEFINED 0 0 8900
WASHINGTON POST CO CL B COM 939640108 44616 80262 SH DEFINED 0 0 80262
WATER PIK TECHNOLOGIES INC COM COM 94113U100 101 10553 SH DEFINED 0 0 10553
WELLS FARGO & CO NEW COM 949746101 2743 67830 SH DEFINED 0 0 67830
WESTVACO CORP COM 961548104 508 15561 SH DEFINED 0 0 15561
WESTWOOD ONE INC COM 961815107 399 5250 SH DEFINED 0 0 5250
WHITE MOUNTAIN INS GRP LTD BER COM G9618E107 9623 79856 SH DEFINED 0 0 79856
WILEY JOHN & SONS INC CL A COM 968223206 16176 965750 SH DEFINED 0 0 965750
WILEY JOHN & SONS INC CL B COM 968223305 306 18400 SH DEFINED 0 0 18400
WILLIAMS COS INC COM 969457100 1299 42500 SH DEFINED 0 0 42500
WISCONSIN CENT TRANSN CORP COM 976592105 134 10000 SH DEFINED 0 0 10000
WM.WRIGLEY JR. CO. COM 982526105 382 4600 SH DEFINED 0 0 4600
WPP GROUP PLC SPONSORED ADR COM 929309300 333 4000 SH DEFINED 0 0 4000
XL CAPITAL LTD CL A COM G98255105 320 6167 SH DEFINED 0 0 6167
YAHOO INC COM 984332106 260 600 SH DEFINED 0 0 600
YOUNG & RUBICAM INC COM 987425105 966 13650 SH DEFINED 0 0 13650
</TABLE>
