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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, 2000
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 OCTOBER 27, 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).)
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KLINGENSTEIN, FIELDS & CO., L.L.C.
FORM 13F SUMMARY PAGE
AS OF DATE: 09/30/00
REPORT SUMMARY:
NUMBER OF OTHER INCLUDED MANAGERS: 0
FORM 13F INFORMATION TABLE ENTRY TOTAL: 386
FORM 13F INFORMATION TABLE VALUE TOTAL: $3,478,723
(thousands)
LIST OF OTHER INCLUDED MANAGERS:
Provide a numbered list of the name(s) and 13F number(s) of all institutional
investment managers with respect to which this report is filed, other than the
manager filing this report.
NONE
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<TABLE>
<CAPTION>
KLINGENSTEIN, FIELDS & CO., L.L.C. PAGE 1
FORM 13F INFORMATION TABLE
AS OF DATE: 09/30/00
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>
ABBOTT LABS COM 002824100 8344 175428 SH DEFINED 0 0 175428
ADELPHIA COMMUNIC CORP CL A COM 006848105 4612 167325 SH DEFINED 0 0 167325
ADELPHIA COMMUNIC CORP CL A COM 006848105 28 1000 SH OTHER 0 0 1000
ADVO INC COM 007585102 538 16310 SH DEFINED 0 0 16310
AES CORP COM 00130H105 78900 1151564 SH DEFINED 0 0 1151564
AES CORP COM 00130H105 1905 27800 SH OTHER 0 0 27800
AFLAC INC COM 001055102 1396 21600 SH DEFINED 0 0 21600
AGILENT TECHNOLOGIES INC COM COM 00846U101 1489 30424 SH DEFINED 0 0 30424
AGILENT TECHNOLOGIES INC COM COM 00846U101 6 114 SH OTHER 0 0 114
ALBERTA ENERGY LTD COM 012873105 7707 185150 SH DEFINED 0 0 185150
ALBERTA ENERGY LTD COM 012873105 125 3000 SH OTHER 0 0 3000
ALCOA INC COM COM 013817101 932 36800 SH DEFINED 0 0 36800
ALLEGHANY CORP DEL COM 017175100 1223 6240 SH DEFINED 0 0 6240
ALLEGHENY ENERGY INC COM 017361106 306 8000 SH DEFINED 0 0 8000
ALLEGHENY TECHNOLOGIES INC COM COM 01741R102 920 50782 SH DEFINED 0 0 50782
ALLIED CAP CORP NEW COM 01903Q108 487 23456 SH DEFINED 0 0 23456
ALLSTATE CORP COM 020002101 19173 551733 SH DEFINED 0 0 551733
ALLSTATE CORP COM 020002101 139 4000 SH OTHER 0 0 4000
AMERADA HESS CORP COM 023551104 17317 258710 SH DEFINED 0 0 258710
AMERADA HESS CORP COM 023551104 127 1900 SH OTHER 0 0 1900
AMERICA ONLINE INC COM 02364J104 2795 51995 SH DEFINED 0 0 51995
AMERICA ONLINE INC COM 02364J104 8 150 SH OTHER 0 0 150
AMERICAN ELEC PWR INC COM COM 025537101 708 18097 SH DEFINED 0 0 18097
AMERICAN EXPRESS CO COM 025816109 77076 1268746 SH DEFINED 0 0 1268746
AMERICAN EXPRESS CO COM 025816109 292 4800 SH OTHER 0 0 4800
AMERICAN GEN CORP COM 026351106 649 8326 SH DEFINED 0 0 8326
AMERICAN HOME PRODS CORP COM 026609107 21018 372416 SH DEFINED 0 0 372416
AMERICAN HOME PRODS CORP COM 026609107 135 2400 SH OTHER 0 0 2400
AMERICAN INTL GROUP INC COM 026874107 462833 4836921 SH DEFINED 0 0 4836921
AMERICAN INTL GROUP INC COM 026874107 1834 19164 SH OTHER 0 0 19164
AMERICAN TOWER CORP CL A COM 029912201 17978 477020 SH DEFINED 0 0 477020
AMERICAN TOWER CORP CL A COM 029912201 79 2100 SH OTHER 0 0 2100
ANADARKO PETE CORP COM 032511107 430 6475 SH DEFINED 0 0 6475
ANHEUSER BUSCH COS INC COM 035229103 1103 26064 SH DEFINED 0 0 26064
APACHE CORP COM COM 037411105 235 3970 SH DEFINED 0 0 3970
APPLIED MATLS INC COM 038222105 438 7380 SH DEFINED 0 0 7380
APPLIED MATLS INC COM 038222105 47 800 SH OTHER 0 0 800
AT&T CORP COM 001957109 60727 2067300 SH DEFINED 0 0 2067300
AT&T CORP COM 001957109 275 9372 SH OTHER 0 0 9372
AT&T CORP LIBERTY MED CL A COM 001957208 83381 4616258 SH DEFINED 0 0 4616258
AT&T CORP LIBERTY MED CL A COM 001957208 966 53500 SH OTHER 0 0 53500
AUTOMATIC DATA PROCESSING COM 053015103 2250 33650 SH DEFINED 0 0 33650
AVERY DENNISON CORPORATION COM 053611109 1841 39700 SH DEFINED 0 0 39700
AVERY DENNISON CORPORATION COM 053611109 88 1900 SH OTHER 0 0 1900
AVON PRODS INC COM 054303102 327 8000 SH DEFINED 0 0 8000
BANK AMER CORP COM 060505104 50074 956064 SH DEFINED 0 0 956064
BANK AMER CORP COM 060505104 162 3087 SH OTHER 0 0 3087
BANK NEW YORK INC COM 064057102 8320 147254 SH DEFINED 0 0 147254
BANK NEW YORK INC COM 064057102 2712 48000 SH OTHER 0 0 48000
BANK ONE CORP COM 06423A103 2208 58007 SH DEFINED 0 0 58007
Page 1
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KLINGENSTEIN, FIELDS & CO., L.L.C. PAGE 2
FORM 13F INFORMATION TABLE
AS OF DATE: 09/30/00
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
------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- --------
BANKNORTH GRP COM 06646R107 478 26720 SH DEFINED 0 0 26720
BEA SYS INC COM 073325102 895 11496 SH DEFINED 0 0 11496
BEAR STEARNS COS INC COM 073902108 16562 262372 SH DEFINED 0 0 262372
BECTON DICKINSON & CO COM 075887109 367 13900 SH DEFINED 0 0 13900
BELLSOUTH CORP COM 079860102 1461 36078 SH DEFINED 0 0 36078
BELO A H CORP SER A COM 080555105 4694 254600 SH DEFINED 0 0 254600
BERKSHIRE HATHAWAY INC CL A COM 084670108 6311 98 SH DEFINED 0 0 98
BERKSHIRE HATHAWAY INC CL A COM 084670108 64 1 SH OTHER 0 0 1
BERKSHIRE HATHAWAY INC CL B COM 084670207 90380 43662 SH DEFINED 0 0 43662
BERKSHIRE HATHAWAY INC CL B COM 084670207 1076 520 SH OTHER 0 0 520
BESTFOODS COM 08658U101 669 9194 SH DEFINED 0 0 9194
BIOVAIL CORP COM COM 09067J109 244 6000 SH DEFINED 0 0 6000
BLYTH INDS INC COM COM 09643P108 1778 75850 SH DEFINED 0 0 75850
BOEING CO COM 097023105 276 4400 SH DEFINED 0 0 4400
BP AMOCO ADR COM 055622104 38172 720222 SH DEFINED 0 0 720222
BP AMOCO ADR COM 055622104 592 11176 SH OTHER 0 0 11176
BRISTOL MYERS SQUIBB CO COM 110122108 9380 163134 SH DEFINED 0 0 163134
BRISTOL MYERS SQUIBB CO COM 110122108 1127 19600 SH OTHER 0 0 19600
BRITISH TELECOM PLC ADR FNL IN COM 111021408 389 3636 SH DEFINED 0 0 3636
CABOT CORP COM 127055101 887 28000 SH DEFINED 0 0 28000
CELL GENESYS INC COM 150921104 693 23115 SH DEFINED 0 0 23115
CHARLES SCHWAB CORP NEW COM 808513105 1043 29410 SH DEFINED 0 0 29410
CHASE MANHATTAN CORP NEW COM 16161A108 1610 34861 SH DEFINED 0 0 34861
CHEVRON CORP COM 166751107 1553 18212 SH DEFINED 0 0 18212
CHRIS CRAFT INDS INC COM COM 170520100 10504 127510 SH DEFINED 0 0 127510
CHUBB CORP COM 171232101 6150 77731 SH DEFINED 0 0 77731
CHUBB CORP COM 171232101 83 1050 SH OTHER 0 0 1050
CIENA CORP COM COM 171779101 516 4200 SH DEFINED 0 0 4200
CIGNA CORP. COM 125509109 908 8700 SH DEFINED 0 0 8700
CINTAS CORP COM 172908105 366 8400 SH DEFINED 0 0 8400
CISCO SYS INC COM 17275R102 5354 96905 SH DEFINED 0 0 96905
CISCO SYS INC COM 17275R102 83 1500 SH OTHER 0 0 1500
CITIGROUP INC. COM 172967101 17871 330558 SH DEFINED 0 0 330558
CITIGROUP INC. COM 172967101 1595 29500 SH OTHER 0 0 29500
CLEAR CHANNEL COMMUNICATIONS COM 184502102 3135 55493 SH DEFINED 0 0 55493
COASTAL CORP COM COM 190441105 297 4000 SH DEFINED 0 0 4000
COCA COLA CO COM 191216100 17273 313343 SH DEFINED 0 0 313343
COCA COLA CO COM 191216100 14 250 SH OTHER 0 0 250
COLGATE PALMOLIVE CO COM 194162103 21977 465624 SH DEFINED 0 0 465624
COLGATE PALMOLIVE CO COM 194162103 769 16300 SH OTHER 0 0 16300
COMCAST CORP COM CL A COM 200300101 29739 730920 SH DEFINED 0 0 730920
COMCAST CORP COM CL A COM 200300101 163 4000 SH OTHER 0 0 4000
COMCAST CORP COM CL A SPL COM 200300200 32775 800600 SH DEFINED 0 0 800600
COMCAST CORP COM CL A SPL COM 200300200 156 3800 SH OTHER 0 0 3800
COMPUTER ASSOC INTL INC COM 204912109 554 21900 SH DEFINED 0 0 21900
CONVERGYS CORP COM COM 212485106 311 8000 SH DEFINED 0 0 8000
CORNING INC COM 219350105 520 5250 SH DEFINED 0 0 5250
COSTCO WHOLESALE CORP COM 22160K105 2234 63950 SH DEFINED 0 0 63950
Page 2
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KLINGENSTEIN, FIELDS & CO., L.L.C. PAGE 3
FORM 13F INFORMATION TABLE
AS OF DATE: 09/30/00
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
------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- --------
COX COMMUNICATIONS INC NEW CL COM 224044107 2328 60875 SH DEFINED 0 0 60875
CROSS TIMBERS OIL CO COM 227573102 648 33750 SH DEFINED 0 0 33750
CULLEN FROST BANKERS INC COM 229899109 924 28420 SH DEFINED 0 0 28420
CULLEN FROST BANKERS INC COM 229899109 130 4000 SH OTHER 0 0 4000
DAIMLERCHRYSLER AG ORD COM D1668R123 554 12470 SH DEFINED 0 0 12470
DELL COMPUTER CORP COM 247025109 7197 233560 SH DEFINED 0 0 233560
DELL COMPUTER CORP COM 247025109 210 6800 SH OTHER 0 0 6800
DELTA $ PINE LD CO COM 247357106 822 31998 SH DEFINED 0 0 31998
DISNEY WALT CO COM 254687106 180190 4710841 SH DEFINED 0 0 4710841
DISNEY WALT CO COM 254687106 1277 33394 SH OTHER 0 0 33394
DOW CHEM CO COM 260543103 628 25200 SH DEFINED 0 0 25200
DU PONT E I DE NEMOURS & CO COM 263534109 1892 46290 SH DEFINED 0 0 46290
DU PONT E I DE NEMOURS & CO COM 263534109 25 600 SH OTHER 0 0 600
DUKE ENERGY CORP COM 264399106 225 2626 SH DEFINED 0 0 2626
EL PASO ENERGY CORP DEL COM COM 283905107 250 4064 SH DEFINED 0 0 4064
ELAN PLC SPONSORED ADR COM 284131208 274 5000 SH DEFINED 0 0 5000
EMC CORP (MASS) COM 268648102 31355 315126 SH DEFINED 0 0 315126
EMERSON ELEC CO COM 291011104 1461 21800 SH DEFINED 0 0 21800
EMERSON ELEC CO COM 291011104 67 1000 SH OTHER 0 0 1000
ENRON CORP COM 293561106 1560 17800 SH DEFINED 0 0 17800
ERICSSON L M TEL CO ADR CL B COM 294821400 779 52560 SH DEFINED 0 0 52560
EXXON CORPORATION COM 30231G102 30120 338027 SH DEFINED 0 0 338027
EXXON CORPORATION COM 30231G102 35 396 SH OTHER 0 0 396
FACTORY 2-U STORES, INC COM 303072102 2337 76467 SH DEFINED 0 0 76467
FEDERAL HOME LN MTG CORP COM 313400301 6500 120234 SH DEFINED 0 0 120234
FEDERAL HOME LN MTG CORP COM 313400301 346 6400 SH OTHER 0 0 6400
FEDERAL NATL MTG ASSN COM 313586109 1036 14487 SH DEFINED 0 0 14487
FEDERATED DEPT STORES INC DEL COM 31410H101 274 10500 SH DEFINED 0 0 10500
FIDELITY NAT FINL CORP COM COM 316326107 675 27462 SH DEFINED 0 0 27462
FIRST DATA CORP COM 319963104 577 14769 SH DEFINED 0 0 14769
FIRST DATA CORP COM 319963104 52 1325 SH OTHER 0 0 1325
FIRST UNION CORP COM 337358105 2876 89362 SH DEFINED 0 0 89362
FIRST UNION CORP COM 337358105 180 5600 SH OTHER 0 0 5600
FIRSTAR CORP NEW WIS COM 33763V109 354 15829 SH DEFINED 0 0 15829
FLAG TELECOM HOLDINGS LIMITECO COM G3529L102 303 27500 SH DEFINED 0 0 27500
FLEETBOSTON FINANCIAL CORPORAT COM 339030108 749 19207 SH DEFINED 0 0 19207
FREEPORT MCMORAN COPPER-B COM 35671D857 90 10165 SH DEFINED 0 0 10165
GANNETT INC COM 364730101 33180 626040 SH DEFINED 0 0 626040
GANNETT INC COM 364730101 148 2800 SH OTHER 0 0 2800
GENERAL AMERN INVS INC COM MUTUAL FUNDS 368802104 1389 33217 SH DEFINED 0 0 33217
GENERAL ELEC CO COM COM 369604103 190605 3296959 SH DEFINED 0 0 3296959
GENERAL ELEC CO COM COM 369604103 1584 27400 SH OTHER 0 0 27400
GENERAL MTRS CORP COM 370442105 318 4897 SH DEFINED 0 0 4897
GILEAD SCIENCES INC COM COM 375558103 319 2908 SH DEFINED 0 0 2908
GILLETTE CO COM 375766102 1230 39834 SH DEFINED 0 0 39834
Page 3
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KLINGENSTEIN, FIELDS & CO., L.L.C. PAGE 4
FORM 13F INFORMATION TABLE
AS OF DATE: 09/30/00
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
------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- --------
GILLETTE CO COM 375766102 77 2500 SH OTHER 0 0 2500
GLAXO WELLCOME PLC SPONS ADR COM 37733W105 88553 1465199 SH DEFINED 0 0 1465199
GLAXO WELLCOME PLC SPONS ADR COM 37733W105 725 12000 SH OTHER 0 0 12000
GLOBAL CROSSING LTD COM G3921A100 996 32135 SH DEFINED 0 0 32135
GLOBAL CROSSING LTD COM G3921A100 44 1435 SH OTHER 0 0 1435
GLOBALSTAR TELECOMMUNICATIONCO COM G3930H104 1230 142630 SH DEFINED 0 0 142630
GOLDEN WEST FINL CORP DEL COM 381317106 707 13182 SH DEFINED 0 0 13182
GOLDMAN SACHS GROUP INC COM 38141G104 1186 10400 SH DEFINED 0 0 10400
H & R BLOCK INC COM 093671105 808 21800 SH DEFINED 0 0 21800
HALLIBURTON CO COM 406216101 1928 39400 SH DEFINED 0 0 39400
HARCOURT GENERAL INC COM 41163G101 18230 308985 SH DEFINED 0 0 308985
HARCOURT GENERAL INC COM 41163G101 637 10800 SH OTHER 0 0 10800
HARTE HANKS COMMUNICATIONS COM 416196103 4960 182000 SH DEFINED 0 0 182000
HARTFORD FINL SVCS GRP INC COM 416515104 50882 698211 SH DEFINED 0 0 698211
HARTFORD FINL SVCS GRP INC COM 416515104 175 2400 SH OTHER 0 0 2400
HEINZ H J CO COM 423074103 897 24200 SH DEFINED 0 0 24200
HEWLETT PACKARD CO COM 428236103 7985 81900 SH DEFINED 0 0 81900
HEWLETT PACKARD CO COM 428236103 29 300 SH OTHER 0 0 300
HOME DEPOT INC COM 437076102 12788 241570 SH DEFINED 0 0 241570
HOME DEPOT INC COM 437076102 476 9000 SH OTHER 0 0 9000
HONEYWELL INTERNATIONAL, INC. COM 438516106 6514 182861 SH DEFINED 0 0 182861
HONEYWELL INTERNATIONAL, INC. COM 438516106 37 1031 SH OTHER 0 0 1031
HOUGHTON MIFFLIN CO COM 441560109 828 21100 SH DEFINED 0 0 21100
HOUSEHOLD INTL. INC. COM 441815107 1860 32850 SH DEFINED 0 0 32850
HOUSEHOLD INTL. INC. COM 441815107 85 1500 SH OTHER 0 0 1500
ILLINOIS TOOL WORKS COM 452308109 3187 57032 SH DEFINED 0 0 57032
ILLINOIS TOOL WORKS COM 452308109 59 1050 SH OTHER 0 0 1050
IMMUNEX CORP NEW COM 452528102 417 9580 SH DEFINED 0 0 9580
INFINITY BROADCASTING CORP NCL COM 45662S102 1684 51025 SH DEFINED 0 0 51025
INSIGHT COMMUNICATIONS INC CL COM 45768V108 251 15800 SH DEFINED 0 0 15800
INTEL CORP COM 458140100 51110 1229706 SH DEFINED 0 0 1229706
INTEL CORP COM 458140100 515 12400 SH OTHER 0 0 12400
INTERNATIONAL BUSINESS MACHS COM 459200101 10204 90604 SH DEFINED 0 0 90604
INTERNATIONAL BUSINESS MACHS COM 459200101 360 3200 SH OTHER 0 0 3200
INTERNATIONAL PAPER CO COM 460146103 9022 314500 SH DEFINED 0 0 314500
INTERPUBLIC GROUP COS INC COM 460690100 349 10250 SH DEFINED 0 0 10250
INTERWORLD CORP COM 46114Q108 38 10000 SH DEFINED 0 0 10000
INTUIT INC COM 461202103 2784 48846 SH DEFINED 0 0 48846
INTUIT INC COM 461202103 439 7700 SH OTHER 0 0 7700
JOHNSON & JOHNSON COM 478160104 59402 632357 SH DEFINED 0 0 632357
JOHNSON & JOHNSON COM 478160104 197 2100 SH OTHER 0 0 2100
KANSAS CITY SOUTHERN INDUSTRIE COM 485170302 1306 150336 SH DEFINED 0 0 150336
KIMBERLY CLARK CORP COM 494368103 1702 30495 SH DEFINED 0 0 30495
KIMBERLY CLARK CORP COM 494368103 56 1000 SH OTHER 0 0 1000
KNIGHT RIDDER INC COM 499040103 691 13600 SH DEFINED 0 0 13600
Page 4
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KLINGENSTEIN, FIELDS & CO., L.L.C. PAGE 5
FORM 13F INFORMATION TABLE
AS OF DATE: 09/30/00
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
------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- --------
KONINKLIJKE PHILIPS ELECTRS SP COM 500472303 364 8566 SH DEFINED 0 0 8566
KROGER CO COM 501044101 259 11500 SH DEFINED 0 0 11500
LABRANCHE & CO INC COM 505447102 4060 121652 SH DEFINED 0 0 121652
LEE ENTERPRISES INC COM 523768109 1029 35629 SH DEFINED 0 0 35629
LEE ENTERPRISES INC COM 523768109 173 6000 SH OTHER 0 0 6000
LEGG MASON INC COM COM 524901105 674 11600 SH DEFINED 0 0 11600
LENNAR CORP COM 526057104 258 8661 SH DEFINED 0 0 8661
LEUCADIA NATL CORP COM COM 527288104 226 8461 SH DEFINED 0 0 8461
LEXICON GENETICS INC COM COM 528872104 2760 87279 SH DEFINED 0 0 87279
LILLY ELI & CO COM 532457108 96134 1185005 SH DEFINED 0 0 1185005
LILLY ELI & CO COM 532457108 876 10800 SH OTHER 0 0 10800
LINCOLN NATL CORP IND COM 534187109 1487 30905 SH DEFINED 0 0 30905
LORAL SPACE & COMMUNICATIONS COM G56462107 2452 400250 SH DEFINED 0 0 400250
LORAL SPACE & COMMUNICATIONS COM G56462107 21 3500 SH OTHER 0 0 3500
LUCENT TECHNOLOGIES INC COM 549463107 4961 162668 SH DEFINED 0 0 162668
LUCENT TECHNOLOGIES INC COM 549463107 234 7680 SH OTHER 0 0 7680
LYNX THERAPEUTICS INC NEW COM 551812308 659 21050 SH DEFINED 0 0 21050
M & T BK CORP COM COM 55261F104 459 9000 SH DEFINED 0 0 9000
MAGAININ PHARMACEUTICALS INC COM 559036108 675 216000 SH DEFINED 0 0 216000
MANPOWER INC WIS COM 56418H100 9661 302505 SH DEFINED 0 0 302505
MANPOWER INC WIS COM 56418H100 463 14500 SH OTHER 0 0 14500
MARTEK BIOSCIENCES CORP COM COM 572901106 655 33600 SH DEFINED 0 0 33600
MATTEL INC. COM 577081102 1470 127846 SH DEFINED 0 0 127846
MAXICARE HEALTH PLANS INC COM COM 577904204 56 50000 SH DEFINED 0 0 50000
MBNA CORP COM 55262L100 733 19051 SH DEFINED 0 0 19051
MBNA CORP COM 55262L100 69 1800 SH OTHER 0 0 1800
MCDONALDS CORP COM 580135101 12261 406170 SH DEFINED 0 0 406170
MCDONALDS CORP COM 580135101 640 21200 SH OTHER 0 0 21200
MCGRAW HILL COMPANIES INC COM 580645109 318 5000 SH DEFINED 0 0 5000
MEDTRONIC INC COM 585055106 5662 109271 SH DEFINED 0 0 109271
MELLON FINL CORP COM 58551A108 9400 202696 SH DEFINED 0 0 202696
MELLON FINL CORP COM 58551A108 216 4650 SH OTHER 0 0 4650
MERCK & CO INC COM 589331107 137487 1847011 SH DEFINED 0 0 1847011
MERCK & CO INC COM 589331107 1012 13600 SH OTHER 0 0 13600
MERRILL LYNCH & CO INC COM 590188108 5774 87490 SH DEFINED 0 0 87490
METROMEDIA FIBER NETWORK INC C COM 591689104 559 23000 SH DEFINED 0 0 23000
MICROSOFT CORP COM 594918104 32094 532122 SH DEFINED 0 0 532122
MICROSOFT CORP COM 594918104 166 2750 SH OTHER 0 0 2750
MINNESOTA MNG & MFG CO COM 604059105 7833 85964 SH DEFINED 0 0 85964
MINNESOTA MNG & MFG CO COM 604059105 41 450 SH OTHER 0 0 450
MOLEX INC COM 608554101 313 5743 SH DEFINED 0 0 5743
MOLEX INC CL A COM 608554200 396 9568 SH DEFINED 0 0 9568
MONTANA PWR CO COM 612085100 267 8000 SH DEFINED 0 0 8000
MORGAN J P & CO INC COM 616880100 3975 24332 SH DEFINED 0 0 24332
MORGAN J P & CO INC COM 616880100 114 700 SH OTHER 0 0 700
MORGAN STANLEY DEAN WITTER & N COM 617446448 942 10298 SH DEFINED 0 0 10298
MOTOROLA INC COM 620076109 1037 35136 SH DEFINED 0 0 35136
NCT GROUP INC COM 62888Q109 9 30000 SH DEFINED 0 0 30000
NEIMAN MARCUS GROUP INC CL B COM 640204301 640 22352 SH DEFINED 0 0 22352
NEIMAN MARCUS GROUP INC CL B COM 640204301 41 1446 SH OTHER 0 0 1446
NESTLE S A ADR SPONS REG FOREIGN COMMON S 641069406 459 4403 SH DEFINED 0 0 4403
Page 5
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KLINGENSTEIN, FIELDS & CO., L.L.C. PAGE 6
FORM 13F INFORMATION TABLE
AS OF DATE: 09/30/00
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
------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- --------
NEW YORK REGL RAIL CORP COM COM 649768108 48 235000 SH DEFINED 0 0 235000
NEW YORK TIMES CO CL A COM 650111107 9317 236992 SH DEFINED 0 0 236992
NEWELL RUBBERMAID INC COM 651229106 308 13519 SH DEFINED 0 0 13519
NEWFIELD EXPL CO COM 651290108 943 20201 SH DEFINED 0 0 20201
NEXTEL COMMUNIC INC CL A COM 65332V103 42313 905100 SH DEFINED 0 0 905100
NEXTEL COMMUNIC INC CL A COM 65332V103 346 7400 SH OTHER 0 0 7400
NO FIRE TECHNOLOGIES INC COM 654865104 30 75000 SH DEFINED 0 0 75000
NOKIA CORP SPONSORED ADR COM 654902204 1804 45100 SH DEFINED 0 0 45100
NOKIA CORP SPONSORED ADR COM 654902204 48 1200 SH OTHER 0 0 1200
NORFOLK SOUTHN CORP COM 655844108 1452 99300 SH DEFINED 0 0 99300
NORTEL NETWORKS CORP NEW COM W COM 656568102 238 4000 SH DEFINED 0 0 4000
NORTH EUROPEAN OIL RTY TR CTF COM 659310106 216 12000 SH OTHER 0 0 12000
NORTHERN TR CORP COM 665859104 16068 180790 SH DEFINED 0 0 180790
NOVA CORP GA COM 669784100 437 25518 SH DEFINED 0 0 25518
NTL INC COM 629407107 6062 130894 SH DEFINED 0 0 130894
NTL INC COM 629407107 203 4375 SH OTHER 0 0 4375
OHIO CAS CORP COM 677240103 81 12800 SH DEFINED 0 0 12800
OMNICOM GROUP INC COM 681919106 5975 81925 SH DEFINED 0 0 81925
ORACLE CORPORATION COM 68389X105 388 9848 SH DEFINED 0 0 9848
PAMECO CORP COM NEW COM 697934305 489 156560 SH DEFINED 0 0 156560
PAN HOLDING COM 697994101 18015 29500 SH DEFINED 0 0 29500
PE CORP PE BISYS GR COM 69332S102 932 8000 SH DEFINED 0 0 8000
PEPSICO INC COM 713448108 82850 1801096 SH DEFINED 0 0 1801096
PEPSICO INC COM 713448108 156 3400 SH OTHER 0 0 3400
PFIZER INC COM 717081103 36065 802873 SH DEFINED 0 0 802873
PFIZER INC COM 717081103 120 2662 SH OTHER 0 0 2662
PHARMACIA CORP COM 71713U102 15866 263615 SH DEFINED 0 0 263615
PHARMACIA CORP COM 71713U102 638 10600 SH OTHER 0 0 10600
PHILIP MORRIS COS INC COM 718154107 3879 131757 SH DEFINED 0 0 131757
PITNEY BOWES INC COM 724479100 562 14248 SH DEFINED 0 0 14248
PLACER DOME INC SEDOL # 269171 COM 725906101 161 17020 SH DEFINED 0 0 17020
PNC FINANCIAL SERVICES GROUP COM 693475105 1834 28209 SH DEFINED 0 0 28209
PNC FINANCIAL SERVICES GROUP COM 693475105 72 1100 SH OTHER 0 0 1100
POGO PRODUCING CO COM 730448107 76060 2997453 SH DEFINED 0 0 2997453
POGO PRODUCING CO COM 730448107 69 2700 SH OTHER 0 0 2700
POGO PRODUCING CO 5.500% 06/15 CONVERTIBLE BOND 730448AE7 2922 3400000 PRN DEFINED 0 0 3400000
PREMIER FARNELL ADR SPON R2 OR COM 74050U107 136 10439 SH DEFINED 0 0 10439
PREMIER FARNELL S ADRPFCV $1.3 CONVERTIBLE PREF 74050U206 218 10573 SH DEFINED 0 0 10573
PROCTER & GAMBLE CO COM 742718109 20356 303822 SH DEFINED 0 0 303822
PROCTER & GAMBLE CO COM 742718109 34 500 SH OTHER 0 0 500
QUAKER OATS CO. COM 747402105 475 6000 SH DEFINED 0 0 6000
QWEST COMMUNICATIONS INTL INC COM 749121109 19186 398662 SH DEFINED 0 0 398662
QWEST COMMUNICATIONS INTL INC COM 749121109 253 5250 SH OTHER 0 0 5250
RALSTON PURINA CO NEW COM 751277302 411 17350 SH DEFINED 0 0 17350
READERS DIGEST ASSN INC CL B COM 755267200 1105 35000 SH DEFINED 0 0 35000
READERS DIGEST ASSN INC-A NON COM 755267101 15330 434125 SH DEFINED 0 0 434125
READERS DIGEST ASSN INC-A NON COM 755267101 406 11500 SH OTHER 0 0 11500
REGIONS FINL CORP COM COM 758940100 225 9916 SH DEFINED 0 0 9916
Page 6
<PAGE>
KLINGENSTEIN, FIELDS & CO., L.L.C. PAGE 7
FORM 13F INFORMATION TABLE
AS OF DATE: 09/30/00
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
------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- --------
ROYAL CARIBBEAN CRUISES LTD COM V7780T103 15989 621186 SH DEFINED 0 0 621186
ROYAL CARIBBEAN CRUISES LTD COM V7780T103 111 4300 SH OTHER 0 0 4300
ROYAL DUTCH PETE CO NY REGISTR COM 780257804 52421 874589 SH DEFINED 0 0 874589
ROYAL DUTCH PETE CO NY REGISTR COM 780257804 72 1200 SH OTHER 0 0 1200
SALOMON BROS FD INC COM MUTUAL FUNDS 795477108 229 12858 SH DEFINED 0 0 12858
SARA LEE CORP COM 803111103 297 14625 SH DEFINED 0 0 14625
SARA LEE CORP COM 803111103 85 4200 SH OTHER 0 0 4200
SBC COMMUNICATIONS INC COM 78387G103 2291 45931 SH DEFINED 0 0 45931
SCHERING AG ORD SEDOL # 484575 COM D67334108 216 3300 SH DEFINED 0 0 3300
SCHERING PLOUGH CORP COM 806605101 21145 454130 SH DEFINED 0 0 454130
SCHERING PLOUGH CORP COM 806605101 1118 24000 SH OTHER 0 0 24000
SCHLUMBERGER LTD COM 806857108 1688 20502 SH DEFINED 0 0 20502
SCHOLASTIC CORP COM COM 807066105 294 3700 SH DEFINED 0 0 3700
SCIENTIFIC ATLANTA INC COM 808655104 77737 1221800 SH DEFINED 0 0 1221800
SCIENTIFIC ATLANTA INC COM 808655104 700 11000 SH OTHER 0 0 11000
SEACOR SMIT INC COM 811904101 2156 46236 SH DEFINED 0 0 46236
SEAGRAMS CO LTD COM 811850106 3619 63000 SH DEFINED 0 0 63000
SEAGRAMS CO LTD COM 811850106 132 2300 SH OTHER 0 0 2300
SEALED AIR CORP NEW COM 81211K100 25626 566320 SH DEFINED 0 0 566320
SEALED AIR CORP NEW COM 81211K100 272 6000 SH OTHER 0 0 6000
SEALED AIR CORP NEW PFD CONV A CONVERTIBLE PREF 81211K209 410 9100 SH DEFINED 0 0 9100
SEALED AIR CORP NEW PFD CONV A CONVERTIBLE PREF 81211K209 45 1000 SH OTHER 0 0 1000
SEPRACOR INC COM 817315104 245 2000 SH DEFINED 0 0 2000
SHAW COMMUNICATIONS INC CL B COM 82028K200 20485 902900 SH DEFINED 0 0 902900
SHAW COMMUNICATIONS INC CL B COM 82028K200 635 28000 SH OTHER 0 0 28000
SIEBEL SYS INC COM 826170102 7449 66920 SH DEFINED 0 0 66920
SIX FLAGS INC COM COM 83001P109 1008 65000 SH DEFINED 0 0 65000
SIX FLAGS INC COM COM 83001P109 208 13400 SH OTHER 0 0 13400
SMITHKLINE BEECHAM PLC ADR REP COM 832378301 15618 227588 SH DEFINED 0 0 227588
SMITHKLINE BEECHAM PLC ADR REP COM 832378301 645 9400 SH OTHER 0 0 9400
SOLECTRON CORP COM 834182107 656 14220 SH DEFINED 0 0 14220
SOUTHERN CO COM 842587107 325 10000 SH DEFINED 0 0 10000
SPDR TR UNIT SER 1 COM 78462F103 625 4350 SH DEFINED 0 0 4350
SPRINT CORP COM 852061100 324 11054 SH DEFINED 0 0 11054
ST PAUL COS INC COM COM 792860108 489 9716 SH DEFINED 0 0 9716
STAPLES INC COM 855030102 2069 145830 SH DEFINED 0 0 145830
STILWELL FINL INC COM COM 860831106 21896 503346 SH DEFINED 0 0 503346
STRYKER CORP COM 863667101 1623 37800 SH DEFINED 0 0 37800
SUN MICROSYSTEMS INC COM 866810104 4001 34270 SH DEFINED 0 0 34270
SYSCO CORP. COM 871829107 625 13500 SH DEFINED 0 0 13500
TELLABS INC COM 879664100 1098 23000 SH DEFINED 0 0 23000
TEXACO INC COM 881694103 284 5400 SH DEFINED 0 0 5400
TEXAS INSTRS INC COM 882508104 6939 146465 SH DEFINED 0 0 146465
TEXAS INSTRS INC COM 882508104 73 1550 SH OTHER 0 0 1550
TICKETMASTER ONLINE-CITYSEARCL COM 88633P203 493 29100 SH DEFINED 0 0 29100
TIFFANY & CO NEW COM 886547108 293 7600 SH DEFINED 0 0 7600
TIME WARNER INC COM 887315109 76846 981055 SH DEFINED 0 0 981055
Page 7
<PAGE>
KLINGENSTEIN, FIELDS & CO., L.L.C. PAGE 8
FORM 13F INFORMATION TABLE
AS OF DATE: 09/30/00
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
------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- --------
TIME WARNER INC COM 887315109 313 4000 SH OTHER 0 0 4000
TJX COS INC NEW COM 872540109 2509 111500 SH DEFINED 0 0 111500
TORCHMARK CORP COM 891027104 1780 64008 SH DEFINED 0 0 64008
TRI CONTL CORP COM MUTUAL FUNDS 895436103 412 15752 SH DEFINED 0 0 15752
TRIBUNE CO NEW COM 896047107 709 16250 SH DEFINED 0 0 16250
TRIBUNE CO NEW COM 896047107 57 1300 SH OTHER 0 0 1300
TRICON GLOBAL RESTAURANTS INC COM 895953107 2813 91839 SH DEFINED 0 0 91839
TYCO INTL LTD NEW COM 902124106 4172 80428 SH DEFINED 0 0 80428
UNIFY CORP COM COM 904743101 79 20000 SH DEFINED 0 0 20000
UNION PAC CORP COM 907818108 13108 336650 SH DEFINED 0 0 336650
UNION PAC CORP COM 907818108 55 1400 SH OTHER 0 0 1400
UNITED PARCEL SVC INC CL B COM 911312106 14742 261495 SH DEFINED 0 0 261495
UNITED PARCEL SVC INC CL B COM 911312106 240 4250 SH OTHER 0 0 4250
UNITED TECHNOLOGIES CORP. COM 913017109 1166 16806 SH DEFINED 0 0 16806
UNITEDHEALTH GROUP INC COM 91324P102 494 5000 SH DEFINED 0 0 5000
UNOCAL CORP COM 915289102 397 11212 SH DEFINED 0 0 11212
UNUMPROVIDENT CORP COM 91529Y106 292 10715 SH DEFINED 0 0 10715
US BANCORP DEL NEW COM 902973106 1391 61162 SH DEFINED 0 0 61162
US BANCORP DEL NEW COM 902973106 137 6000 SH OTHER 0 0 6000
USA NETWORKS INC COM 902984103 1154 52596 SH DEFINED 0 0 52596
VERDE EXPLORATION LTD COM 923375109 0 32062 SH DEFINED 0 0 32062
VERITAS SOFTWARE CO COM 923436109 11186 78777 SH DEFINED 0 0 78777
VERIZON COMMUNICATIONS COM 92343V104 2097 43293 SH DEFINED 0 0 43293
VERIZON COMMUNICATIONS COM 92343V104 226 4675 SH OTHER 0 0 4675
VERTEX PHARMACEUTICALS INC COM COM 92532F100 237 2800 SH DEFINED 0 0 2800
VIACOM INC CL B COM 925524308 19514 333579 SH DEFINED 0 0 333579
VODAFONE GROUP PLC NEW SPONSOR COM 92857W100 43659 1179969 SH DEFINED 0 0 1179969
VODAFONE GROUP PLC NEW SPONSOR COM 92857W100 396 10700 SH OTHER 0 0 10700
WADDELL & REED FINL INC CL B COM 930059209 682 23510 SH DEFINED 0 0 23510
WAL MART STORES INC COM 931142103 2511 52176 SH DEFINED 0 0 52176
WALGREEN COMPANY COM 931422109 586 15458 SH DEFINED 0 0 15458
WASHINGTON POST CO CL B COM 939640108 45446 86092 SH DEFINED 0 0 86092
WASHINGTON POST CO CL B COM 939640108 132 250 SH OTHER 0 0 250
WELLS FARGO & CO NEW COM 949746101 4193 91280 SH DEFINED 0 0 91280
WELLS FARGO & CO NEW COM 949746101 74 1600 SH OTHER 0 0 1600
WESTVACO CORP COM 961548104 415 15561 SH DEFINED 0 0 15561
WESTWOOD ONE INC COM 961815107 225 10500 SH DEFINED 0 0 10500
WHITE MOUNTAIN INS GRP LTD BER COM G9618E107 21136 77456 SH DEFINED 0 0 77456
WHITE MOUNTAIN INS GRP LTD BER COM G9618E107 1501 5500 SH OTHER 0 0 5500
WILEY JOHN & SONS INC CL A COM 968223206 26559 1157875 SH DEFINED 0 0 1157875
WILEY JOHN & SONS INC CL A COM 968223206 853 37200 SH OTHER 0 0 37200
WILEY JOHN & SONS INC CL B COM 968223305 426 18400 SH DEFINED 0 0 18400
Page 8
<PAGE>
KLINGENSTEIN, FIELDS & CO., L.L.C. PAGE 9
FORM 13F INFORMATION TABLE
AS OF DATE: 09/30/00
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
------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- --------
WILLIAMS COS INC COM 969457100 2086 49375 SH DEFINED 0 0 49375
WILLIAMS COS INC COM 969457100 101 2400 SH OTHER 0 0 2400
WM.WRIGLEY JR. CO. COM 982526105 303 4050 SH DEFINED 0 0 4050
WM.WRIGLEY JR. CO. COM 982526105 22 300 SH OTHER 0 0 300
WORLDCOM INC COM 98157D106 1405 46249 SH DEFINED 0 0 46249
WORLDCOM INC COM 98157D106 34 1125 SH OTHER 0 0 1125
WPP GROUP PLC SPONSORED ADR COM 929309300 237 4000 SH DEFINED 0 0 4000
XCEL ENERGY INC COM 98389B100 223 8100 SH DEFINED 0 0 8100
XL CAPITAL LTD CL A COM G98255105 760 10267 SH DEFINED 0 0 10267
YOUNG & RUBICAM INC COM 987425105 1053 21275 SH DEFINED 0 0 21275
</TABLE>
Page 9
