UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 13F
Form 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: June 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: Rockefeller Financial Services, Inc.
Address: 30 Rockefeller Plaza
New York, New York 10112
Form 13F File Number: 28-2813
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: David A. Strawbridge
Title: General Counsel
Phone: (212) 649-5804
Signature, Place, and Date of Signing:
/s/ David A. Strawbridge New York, New York August 23,1999
[Signature] [City,State] [Date]
The schedules attached, headed Rockefeller Financial Services,
Inc. / Rockefeller & Co., Inc., include all of the information required to
be reported by Rockefeller & Co., Inc. a wholly owned subsidiary of
Rockefeller Financial Services, Inc. on Form 13F for the quarter ended June
30, 1999.
<PAGE>
-2-
The schedules attached, headed Rockefeller Financial Services,
Inc. /Rockefeller & Co., Inc. / The Rockefeller Trust Company, include
all of the information required to be reported by The Rockefeller Trust
Company a wholly owned subsidiary of Rockefeller & Co., Inc. which is the
wholly owned subsidiary of Rockefeller Financial Services, Inc. on Form 13F
for the quarter ended June 30, 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>
Form 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 2
Form 13F Information Table Entry Total: 505
Form 13F Information Table Value Total: $2,887,637 (x 1,000)
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.
No. Form 13F File Number Name
1. 28-926 Rockefeller & Co., Inc.
2. 28-2772 The Rockefeller Trust Company
This Form 13F Holdings Report is being re-filed with the U.S. Securities and
Exchange Commission under the CIK number issued to Rockefeller Financial
Services, Inc. (#0000869878). The original Report was filed on August 16, 1999
under the CIK number 0000734259.
<PAGE>
<TABLE>
FORM 13F(06-30-99) NAME OF REPORTING MANAGER
ROCKEFELLER FINANCIAL SERVICES/ROCKEFELLER & CO., INC.
<CAPTION>
Shares or Shr/ Put Call
Title of Cusip Value Principal Prn Investment Other Voting Authority Shares
Name of Issuer Class (x$1,000) Discretion Managers A. Sole B.Shared C.None
<S> <C> <C> <C> <C> <C> <C> <C>
3DFX Interactive Inc. COM 88553X103 836 53,504 Shared-Defined 1 53,339 0 165
Abbott Laboratories COM 002824100 17,311 381,500 Shared-Defined 1 377,500 0 4,000
Adac Laboratories - New COM 005313200 1,910 263,449 Shared-Defined 1 263,449 0 0
Adelphia Communications Corp. COM 006848105 6 100 Shared-Defined 1 100 0 0
Class A
Advanced Micro Devices Inc. COM 007903107 9 500 Shared-Defined 1 500 0 0
Advantage Learning Systems, Inc. COM 00757K100 1,328 60,000 Shared-Defined 1 60,000 0 0
Aes Corp. COM 00130H105 31,395 540,124 Shared-Defined 1 526,924 0 13,200
Aetna Inc. COM 008117103 6,523 72,933 Shared-Defined 1 72,933 0 0
Aflac, Inc. COM 001055102 18,267 381,550 Shared-Defined 1 381,550 0 0
Alkermes, Inc. (New) COM 01642T108 1,250 54,061 Shared-Defined 1 54,061 0 0
Allegheny Teledyne Inc. COM 017415100 416 18,400 Shared-Defined 1 18,400 0 0
Allied Irish Banks - Spons ADR COM 019228402 409 15,000 Shared-Defined 1 0 0 15,000
Amazon.Com Inc COM 023135106 11 90 Shared-Defined 1 90 0 0
America Online Inc. COM 02364J104 1,361 12,370 Shared-Defined 1 7,120 0 5,250
American Express Co. COM 025816109 586 4,500 Shared-Defined 1 500 0 4,000
American International Group COM 026874107 22,545 192,282 Shared-Defined 1 179,282 0 13,000
American Superconductor Corp. COM 030111108 2,233 149,472 Shared-Defined 1 149,472 0 0
Ameritech Corp. COM 030954101 221 3,000 Shared-Defined 1 3,000 0 0
Amkor Technology, Inc. COM 031652100 10,881 1,061,570 Shared-Defined 1 1,061,570 0 0
AMR Corporation COM 001765106 123 1,800 Shared-Defined 1 1,800 0 0
Apollo Group COM 037604105 2,590 97,500 Shared-Defined 1 97,500 0 0
Apple Computer Inc. COM 037833100 10,643 229,802 Shared-Defined 1 229,802 0 0
Applied Materials COM 038222105 11,143 150,840 Shared-Defined 1 150,840 0 0
Apt Satellite Hldgs - ADR COM 00203R105 492 121,090 Shared-Defined 1 121,090 0 0
Aracruz Celulose - ADR COM 038496204 7,217 328,040 Shared-Defined 1 328,040 0 0
Archer Daniels Midland Co. COM 039483102 248 16,061 Shared-Defined 1 16,061 0 0
ASM Lithography Hldgs NV COM N07059111 1,069 18,000 Shared-Defined 1 8,000 0 10,000
AT & T Corp. COM 001957109 18,927 339,115 Shared-Defined 1 338,465 0 650
At Home Corporation - Series A COM 045919107 54 1,000 Shared-Defined 1 1,000 0 0
AT&T Corp. - Liberty Media COM 001957208 1,838 50,000 Shared-Defined 1 50,000 0 0
GrpA Shs
Autozone Inc. COM 053332102 2,422 80,400 Shared-Defined 1 80,400 0 0
Axa-Uap - ADR COM 054536107 1,078 17,300 Shared-Defined 1 9,300 0 8,000
Aztec Energy Corp/Utah COM 054805106 0 43 Shared-Defined 1 43 0 0
Ballard Power Systems Inc. COM 05858H104 2,112 66,000 Shared-Defined 1 25,000 0 41,000
Banco Bilbao Vizcaya, S.A. ADR COM 059458208 2,022 138,225 Shared-Defined 1 138,225 0 0
Banctec Inc. COM 059784108 5,963 332,421 Shared-Defined 1 332,421 0 0
Bank of America Corporation COM 060505104 15,898 216,851 Shared-Defined 1 214,451 0 2,400
Bank Of NY Inc COM 064057102 550 15,000 Shared-Defined 1 0 0 15,000
Banta Corp. COM 066821109 288 13,725 Shared-Defined 1 13,725 0 0
BCE Inc. COM 05534B109 666 13,500 Shared-Defined 1 13,500 0 0
Bear Stearns Cos. COM 073902108 113 2,415 Shared-Defined 1 2,415 0 0
Belden, Inc. COM 077459105 496 20,700 Shared-Defined 1 20,700 0 0
Bell Atlantic Corp. COM 077853109 3,143 48,078 Shared-Defined 1 48,078 0 0
Bellsouth Corp. COM 079860102 185 4,000 Shared-Defined 1 4,000 0 0
Ben & Jerrys Homemade Inc Cl A COM 081465106 111 4,000 Shared-Defined 1 4,000 0 0
Billing Concepts Corp. COM 090063108 7,351 657,060 Shared-Defined 1 657,060 0 0
Biochem Pharma Inc. COM 09058T108 195 10,400 Shared-Defined 1 7,000 0 3,400
BISYS Group Inc. COM 055472104 10,794 184,520 Shared-Defined 1 184,520 0 0
Bladex (Banco Latinoamericano COM P16994132 3,749 140,140 Shared-Defined 1 138,940 0 1,200
De Exp)
Boeing Co. COM 097023105 708 16,100 Shared-Defined 1 16,100 0 0
Borders Group Inc. COM 099709107 565 35,750 Shared-Defined 1 35,750 0 0
Borg-Warner Automotive COM 099724106 825 15,000 Shared-Defined 1 15,000 0 0
Bowater Inc COM 102183100 3,037 64,100 Shared-Defined 1 64,100 0 0
BP Amoco Plc - ADR COM 055622104 19,410 178,895 Shared-Defined 1 171,847 0 7,048
Bristol Myers Squibb Co. COM 110122108 3,874 55,000 Shared-Defined 1 52,000 0 3,000
Broadcom Corp - Class A COM 111320107 289 2,000 Shared-Defined 1 2,000 0 0
Buffets Inc. COM 119882108 5,792 503,615 Shared-Defined 1 503,615 0 0
Burlington Resources Inc. COM 122014103 119 2,742 Shared-Defined 1 2,742 0 0
Campbell Soup Co. COM 134429109 102 2,200 Shared-Defined 1 2,200 0 0
Cardiothoracic Systems Inc. COM 141907105 245 17,467 Shared-Defined 1 17,467 0 0
Catalytica Inc. COM 148885106 1,260 90,000 Shared-Defined 1 90,000 0 0
Caterpillar Inc. COM 149123101 312 5,196 Shared-Defined 1 5,196 0 0
CBT Group Plc - ADR COM 124853300 1,650 100,000 Shared-Defined 1 100,000 0 0
Celestial Seasonings Inc. COM 151016102 1,075 50,000 Shared-Defined 1 50,000 0 0
Cell Genesys COM 150921104 6,991 1,645,000 Shared-Defined 1 1,645,000 0 0
Central Pacific Minerals ADR COM 154762306 12,728 1,755,535 Shared-Defined 1 1,755,535 0 0
Centura Software Corp. COM 15640W103 1 1,117 Shared-Defined 1 1,117 0 0
Chase Manhattan Corp. COM 16161A108 73,030 844,281 Shared-Defined 1 844,006 0 275
Chevron Corp COM 166751107 35,065 368,857 Shared-Defined 1 366,257 0 2,600
Chiron Corp COM 170040109 1,515 73,036 Shared-Defined 1 73,036 0 0
Chubb Corp. COM 171232101 361 5,200 Shared-Defined 1 5,200 0 0
Cinergy Corp. COM 172474108 171 5,350 Shared-Defined 1 5,350 0 0
Cisco Systems, Inc. COM 17275R102 19,088 295,944 Shared-Defined 1 284,294 0 1,650
Citigroup Inc. COM 172967101 7,327 154,250 Shared-Defined 1 154,250 0 0
CKE Restaurants, Inc. COM 12561E105 17,243 1,061,105 Shared-Defined 1 1,061,105 0 0
Clinichem Dev Inc. Cl A COM 186906103 2 260 Shared-Defined 1 175 0 85
Cognex Corp. COM 192422103 1,420 44,984 Shared-Defined 1 41,984 0 3,000
Columbia/HCA Healthcare Corp. COM 197677107 3,927 172,150 Shared-Defined 1 172,150 0 0
Com21 Inc. COM 205937105 34 2,000 Shared-Defined 1 2,000 0 0
Compaq Computer Corp. COM 204493100 984 41,546 Shared-Defined 1 41,546 0 0
Computer Task Group COM 205477102 1,362 80,100 Shared-Defined 1 80,100 0 0
Convergys Corp. COM 212485106 775 40,000 Shared-Defined 1 40,000 0 0
Cousins Properties Inc. COM 222795106 3,381 100,000 Shared-Defined 1 100,000 0 0
Cox Communications Inc Cl-A COM 224044107 4,414 119,900 Shared-Defined 1 119,900 0 0
Cummins Engine Inc. COM 231021106 686 12,000 Shared-Defined 1 12,000 0 0
Cymer Inc. COM 232572107 625 25,000 Shared-Defined 1 0 0 25,000
Cyprus Amax Minerals Company COM 232809103 5,980 392,100 Shared-Defined 1 392,100 0 0
DaimlerChrysler AG COM D1668R123 166 1,870 Shared-Defined 1 1,870 0 0
Dal-Tile International,Inc. COM 23426R108 5,303 466,190 Shared-Defined 1 466,190 0 0
DBT Online Inc. COM 233044106 6,802 207,700 Shared-Defined 1 207,700 0 0
Delphi Automotive Systems Corp COM 247126105 6,342 342,793 Shared-Defined 1 342,793 0 0
Dime Bancorp Inc. (New) COM 25429Q102 1,926 95,700 Shared-Defined 1 95,700 0 0
Disney, Walt Co. COM 254687106 2,749 89,230 Shared-Defined 1 88,530 0 700
Donnelly Corp. COM 257870105 791 50,000 Shared-Defined 1 50,000 0 0
DoubleClick, Inc. - Restricted COM 258609304 11,224 122,334 Shared-Defined 1 121,390 0 944
Rule 144
Dover Corp. COM 260003108 1,820 52,000 Shared-Defined 1 52,000 0 0
Duke Power COM 264399106 6 104 Shared-Defined 1 104 0 0
Dupont, E.I. de Nemours & Co. COM 263534109 6,121 89,600 Shared-Defined 1 87,600 0 2,000
DVI, Inc. COM 233343102 6,602 385,500 Shared-Defined 1 385,500 0 0
E Digital Corporation COM 26841Y103 7 3,000 Shared-Defined 1 3,000 0 0
E-Trade Group Inc. COM 269246104 24 600 Shared-Defined 1 600 0 0
Earthlink Network Inc. COM 270322100 307 5,000 Shared-Defined 1 5,000 0 0
Echelon Corporation-Restricted
Rule 144 COM 27874N105 2,108 315,171 Shared-Defined 1 313,172 0 1,999
Echelon Intl.Corp. COM 278747100 2 80 Shared-Defined 1 80 0 0
EchoStar Communications COM 278762109 15,861 103,370 Shared-Defined 1 99,370 0 4,000
Corp. Cl A
Elan Corp PLC - ADR COM 284131208 1,368 49,284 Shared-Defined 1 35,084 0 14,200
Emerson Electric Co. COM 291011104 403 6,400 Shared-Defined 1 5,000 0 1,400
Enron Corp. COM 293561106 3,107 38,000 Shared-Defined 1 38,000 0 0
Enron Oil & Gas Corp. COM 293562104 1,802 89,000 Shared-Defined 1 89,000 0 0
Estee Lauder Companies - Cl A COM 518439104 159 3,182 Shared-Defined 1 3,182 0 0
(Loan/Pledge Agmt Dtd)
Europe Online Networks S.A. COM 29699210 12,640 1,939,500 Shared-Defined 1 1,939,500 0 0
Exide Corp. COM 302051107 5,708 386,960 Shared-Defined 1 386,960 0 0
Exodus Communications, Inc. COM 302088109 30 250 Shared-Defined 1 250 0 0
Exxon Corp. COM 302290101 61,163 793,036 Shared-Defined 1 789,736 0 3,300
Family Dollar Stores, Inc. COM 307000109 11,037 459,870 Shared-Defined 1 459,870 0 0
Farm Family Holdings Inc. COM 307901108 4 107 Shared-Defined 1 107 0 0
FDX Corp. COM 31304N107 434 8,000 Shared-Defined 1 0 0 8,000
Federal National COM 313586109 4,675 68,500 Shared-Defined 1 60,500 0 8,000
Mortgage Association
Financial Federal Corp. COM 317492106 33 1,502 Shared-Defined 1 1,502 0 0
Fleetwood COM 339099103 40 1,500 Shared-Defined 1 1,500 0 0
Florida Progress Corp. COM 341109106 68 1,650 Shared-Defined 1 1,650 0 0
Franchise Mtge Acceptance Co. COM 35181D108 82 9,400 Shared-Defined 1 9,400 0 0
Fuji Bank Step Up 9.87% Pfd COM 359577AA1 263 300,000 Shared-Defined 1 300,000 0 0
144 A 12/31/49
Galileo Intl Inc. COM 363547100 534 10,000 Shared-Defined 1 0 0 10,000
Gap, Inc. COM 364760108 2,482 49,275 Shared-Defined 1 49,275 0 0
General Electric Co. COM 369604103 50,052 442,942 Shared-Defined 1 440,542 0 2,400
General Growth Properties COM 370021107 3,898 109,800 Shared-Defined 1 109,800 0 0
General Motors Corp - Class H COM 370442832 2,520 44,750 Shared-Defined 1 36,750 0 8,000
General Motors Corp. COM 370442105 462 7,000 Shared-Defined 1 7,000 0 0
Getty Images, Inc. COM 374276103 5,081 269,200 Shared-Defined 1 269,200 0 0
Gilead Sciences Inc. COM 375558103 1,567 29,998 Shared-Defined 1 29,998 0 0
Gillette Co. COM 375766102 164 4,000 Shared-Defined 1 4,000 0 0
Glaxo Wellcome Plc ADR COM 37733W105 764 13,500 Shared-Defined 1 10,000 0 3,500
Global Crossing Ltd COM G3921A100 5,575 130,803 Shared-Defined 1 130,803 0 0
Halliburton Co. COM 406216101 471 10,400 Shared-Defined 1 10,400 0 0
Hartford Financial COM 416515104 11,085 190,100 Shared-Defined 1 190,100 0 0
Services Group, Inc.
Healthcare Services Group. COM 421906108 5,995 614,884 Shared-Defined 1 614,884 0 0
Healthsouth Corp. COM 421924101 453 30,458 Shared-Defined 1 30,458 0 0
Heinz (H.J.) Co. COM 423074103 10 200 Shared-Defined 1 200 0 0
Hershey Foods Corp. COM 427866108 5,130 86,400 Shared-Defined 1 86,400 0 0
Hewlett Packard Co COM 428236103 2,828 28,140 Shared-Defined 1 28,140 0 0
Home Depot Inc. COM 437076102 7,810 121,200 Shared-Defined 1 120,700 0 500
IDEC Pharmaceuticals Corp. COM 449370105 1,768 22,941 Shared-Defined 1 22,941 0 0
Idexx Laboratories Inc. COM 45168D104 2,345 100,596 Shared-Defined 1 100,596 0 0
Imperial Credit Inds. Inc. COM 452729106 42 5,900 Shared-Defined 1 5,900 0 0
Incyte Pharmaceuticals Inc. COM 45337C102 41 1,559 Shared-Defined 1 1,559 0 0
Information Resources Inc. COM 456905108 4,505 514,820 Shared-Defined 1 514,820 0 0
Inktomi Corp. - Restricted Exp - COM 457277101 1,011 7,686 Shared-Defined 1 6,124 0 1,562
09/25/99
Int'l Business Machines Corp. COM 459200101 46,684 361,188 Shared-Defined 1 358,388 0 2,800
Integrated Systems Inc. COM 45812M104 6,739 573,530 Shared-Defined 1 573,530 0 0
Intel Corp. COM 458140100 10,356 174,052 Shared-Defined 1 170,052 0 4,000
Interest Rate Guarantee COM 45999935 94 7,500,000 hared-Defined 1 7,500,000,0 0 0
Dec 1999 Calls
Interest Rate Guarantee COM 45999940 206 5,500,000 hared-Defined 1 5,500,000,0 0 0
Mar 2000 Calls
Iona Technologies Plc-ADR COM 46206P109 9,580 603,462 Shared-Defined 1 603,462 0 0
Ionics Inc. COM 462218108 1,132 31,000 Shared-Defined 1 31,000 0 0
Iron Mountain Inc. COM 46284P104 7,033 245,690 Shared-Defined 1 245,690 0 0
J.P. Morgan COM 616880100 10,729 76,360 Shared-Defined 1 75,210 0 1,150
Johnson & Johnson COM 478160104 6,382 65,126 Shared-Defined 1 64,220 0 906
Juniper Networks, Inc. COM 48203R104 149 1,000 Shared-Defined 1 1,000 0 0
Kerr-McGee Corp COM 492386107 2,157 42,988 Shared-Defined 1 42,988 0 0
Keycorp COM 493267108 5,783 180,000 Shared-Defined 1 180,000 0 0
KeySpan Corporation COM 49337W100 340 12,900 Shared-Defined 1 12,900 0 0
Kimberly-Clark Corp COM 494368103 9,781 171,592 Shared-Defined 1 171,392 0 200
Komag Inc. COM 500453105 17 5,026 Shared-Defined 1 5,026 0 0
Koninklijke Philips COM 500472204 23,183 229,823 Shared-Defined 1 229,823 0 0
Elect-N.V.NY shs
Kopin Corporation COM 500600101 608 25,401 Shared-Defined 1 25,401 0 0
Kronos Inc. COM 501052104 14,301 314,317 Shared-Defined 1 314,317 0 0
Leggett & Platt Inc. COM 524660107 2,047 73,600 Shared-Defined 1 73,600 0 0
LifePoint Hospitals, Inc. COM 53219L109 118 8,747 Shared-Defined 1 8,747 0 0
Lilly Eli & Co. COM 532457108 6,949 97,020 Shared-Defined 1 97,020 0 0
Liposome Corp - Affiliate Status COM 536310105 574 30,000 Shared-Defined 1 30,000 0 0
Lucent Technologies COM 549463107 723 10,724 Shared-Defined 1 724 0 10,000
Lycos Inc - Restricted Rule S3 COM 550818108 6,509 70,845 Shared-Defined 1 70,370 0 475
Madge Networks, N.V. COM N5424G106 14 4,019 Shared-Defined 1 4,019 0 0
Mannesmann AG-Sponsored ADR COM 563775303 112 750 Shared-Defined 1 750 0 0
MarketWatch.com, Inc. COM 570619106 3 50 Shared-Defined 1 50 0 0
Mattel, Inc. COM 577081102 1,944 74,400 Shared-Defined 1 74,400 0 0
McDonalds Corp. COM 580135101 46 1,116 Shared-Defined 1 1,116 0 0
MCI Worldcom Inc. COM 55268B106 14,729 171,142 Shared-Defined 1 170,642 0 500
Medpartners Inc. COM 58503X107 32 4,308 Shared-Defined 1 4,308 0 0
Mentor Graphics COM 587200106 10,534 822,118 Shared-Defined 1 822,118 0 0
Merck & Co. Inc. COM 589331107 637,617 8,660,334 Shared-Defined 1 484,826 0 8,15,508
Micrion Corp COM 59479P102 5 465 Shared-Defined 1 465 0 0
Microsemi Corp. COM 595137100 4,261 454,540 Shared-Defined 1 454,540 0 0
Microsoft Corp - Restricted Rule S3 COM 594918104 5,883 65,228 Shared-Defined 1 46,420 0 8,808
MidAmerican Energy Hldgs, Co. COM 59562V107 3,040 87,808 Shared-Defined 1 87,808 0 0
Millennium Pharmaceuticals COM 599902103 2,324 64,567 Shared-Defined 1 64,567 0 0
Miller, Herman Inc. COM 600544100 630 30,000 Shared-Defined 1 30,000 0 0
MindSpring Enterprises, Inc. COM 602683104 425 9,600 Shared-Defined 1 1,600 0 8,000
MiniMed Inc. COM 60365K108 616 8,000 Shared-Defined 1 0 0 8,000
Minnesota Mining & Mfg. Co. COM 604059105 791 9,100 Shared-Defined 1 7,900 0 1,200
Mobil Corp. COM 607059102 9,096 92,108 Shared-Defined 1 90,108 0 2,000
Momentum Business COM 60877P108 44 6,204 Shared-Defined 1 6,204 0 0
ApplicationsInc.
Montana Power Co. COM 612085100 578 8,200 Shared-Defined 1 8,200 0 0
Morgan Stanley Emerging COM 61744G107 70 6,000 Shared-Defined 1 6,000 0 0
Mkts Fund
National City Corp. COM 635405103 52 800 Shared-Defined 1 800 0 0
Neomagic Corp. COM 640497103 42 5,000 Shared-Defined 1 5,000 0 0
Neopath Inc. COM 640517108 116 30,000 Shared-Defined 1 30,000 0 0
NetGravity, Inc. COM 641114103 34 1,500 Shared-Defined 1 1,500 0 0
Network Appliance Inc. COM 64120L104 9,359 167,506 Shared-Defined 1 167,506 0 0
Network Assoc. Inc - COM 64099127 -334 -39,800 Shared-Defined 1 -39,800 0 0
Dec 99 22 Puts
Network Assoc. Inc - COM 64099125 -259 -238 Shared-Defined 1 -238 0 0
Dec 99 25 Puts
Network Associates Inc. COM 640938106 5,510 375,160 Shared-Defined 1 375,160 0 0
New Era Of Networks Inc. COM 644312100 5,638 128,311 Shared-Defined 1 128,030 0 281
Newbridge Networks Corp. COM 650901101 20,499 713,000 Shared-Defined 1 713,000 0 0
Newpark Resources, Inc. COM 651718504 888 100,000 Shared-Defined 1 100,000 0 0
Nexstar Pharmaceuticals COM 65333B106 275 13,800 Shared-Defined 1 0 0 13,800
Nextel Communications Inc Cl A COM 65332V103 21,916 436,670 Shared-Defined 1 421,670 0 15,000
Nielsen Media Research Corp. COM 653929307 9,982 341,255 Shared-Defined 1 341,255 0 0
Nokia - ADR A COM 654902204 30,408 332,096 Shared-Defined 1 332,096 0 0
Norfolk Southern Corp. COM 655844108 2,085 69,208 Shared-Defined 1 69,208 0 0
Nortel Networks Corp. COM 656569100 15,911 183,279 Shared-Defined 1 182,960 0 319
Northpoint Communications COM 666610100 183 5,000 Shared-Defined 1 5,000 0 0
Group, Inc.
NTL Incorporated COM 629407107 22,671 263,038 Shared-Defined 1 260,538 0 2,500
Object Design, Inc. COM 674416102 6,748 1,741,530 Shared-Defined 1 1,741,530 0 0
Ocean Energy Inc. COM 67481E106 13 1,385 Shared-Defined 1 1,385 0 0
Office Depot, Inc. COM 676220106 4,755 215,500 Shared-Defined 1 215,500 0 0
On Assignment Inc. COM 682159108 2,221 85,000 Shared-Defined 1 85,000 0 0
OnHealth Network Company COM 68272W107 27 2,500 Shared-Defined 1 2,500 0 0
Open Market, Inc COM 68370M100 14 1,000 Shared-Defined 1 1,000 0 0
Opta Food Ingredients Inc. COM 68381N105 0 69 Shared-Defined 1 69 0 0
Orion Capital Corp. COM 686268103 1,435 40,000 Shared-Defined 1 40,000 0 0
Osmonics Inc. COM 688350107 11 1,000 Shared-Defined 1 1,000 0 0
Oxford Health Plans COM 691471106 778 50,000 Shared-Defined 1 50,000 0 0
Pacific Gateway Exchange Inc. COM 694327107 2,846 97,700 Shared-Defined 1 97,700 0 0
Pacificorp. COM 695114108 81 4,400 Shared-Defined 1 4,400 0 0
Paxar Corp. COM 704227107 160 18,000 Shared-Defined 1 18,000 0 0
PE Corp-PE Biosystems Group COM 69332S102 670 5,835 Shared-Defined 1 5,835 0 0
PE Corp-PE Celera Genomics Grp COM 69332S201 47 2,916 Shared-Defined 1 2,916 0 0
Peak Int'l Ltd COM G69586108 4,067 599,700 Shared-Defined 1 599,700 0 0
Peoples Heritage Fin'l Group COM 711147108 12,642 672,000 Shared-Defined 1 667,000 0 5,000
Peoplesoft Inc. COM 712713106 5,894 341,700 Shared-Defined 1 341,700 0 0
Pepsi-Cola Puerto Rico COM 713434108 3 590 Shared-Defined 1 590 0 0
Bottling Co.
Pepsico, Inc COM 713448108 8,296 214,441 Shared-Defined 1 214,441 0 0
Pfizer COM 717081103 1,014 9,300 Shared-Defined 1 9,300 0 0
Pharmacyclics Inc. COM 716933106 1,260 45,016 Shared-Defined 1 45,016 0 0
Portugal Telecom S.A. - ADR COM 737273102 618 15,000 Shared-Defined 1 15,000 0 0
Powertel, Inc. COM 73936C109 448 15,000 Shared-Defined 1 0 0 15,000
Preview Travel Inc. COM 74137R101 77 3,500 Shared-Defined 1 3,500 0 0
Primus Telecommunications COM 741929103 8,742 389,629 Shared-Defined 1 389,629 0 0
Group, Inc.
Procter & Gamble Co. COM 742718109 71 800 Shared-Defined 1 800 0 0
Psinet Inc. COM 74437C101 12,475 285,150 Shared-Defined 1 285,150 0 0
Psinet Inc. - Sept 99 30 Puts COM 74499010 -57 -380 Shared-Defined 1 -380 0 0
PurchaseSoft, Inc COM 746145101 1,663 1,970,000 Shared-Defined 1 1,970,000 0 0
PurchaseSoft, Inc (Restr) COM 746992205 5,144 7,621,006 Shared-Defined 1 7,621,006 0 0
PurchaseSoft, Inc - Ser F Wts COM 74699237 0 29,880 Shared-Defined 1 29,880 0 0
Ex Prc-$1.47 Exp-05/1
PurchaseSoft, Inc - Ser G Wts COM 746992353 0 29,881 Shared-Defined 1 29,881 0 0
Ex Prc-$1.47 Exp-05/1
PurchaseSoft, Inc - Ser I COM 746992403 0 60,000 Shared-Defined 1 60,000 0 0
Wts Ex Prc-$1.03 Exp-10/2
PurchaseSoft, Inc - Ser J COM 746992452 0 30,000 Shared-Defined 1 30,000 0 0
Wts Ex Prc-$1.27 Exp-10/2
PurchaseSoft, Inc - Ser M COM 746992502 0 3,200 Shared-Defined 1 3,200 0 0
Wts Ex Prc-$1.03 Exp-10/2
PurchaseSoft, Inc - Ser N COM 746992551 0 1,600 Shared-Defined 1 1,600 0 0
Wts Ex Prc-$1.28 Exp-10/2
PurchaseSoft,Inc - Ser B COM 74699232 0 35,007 Shared-Defined 1 35,007 0 0
Wts Ex Prc-$1.16 Exp-12/5/
PurchaseSoft,Inc - Ser C COM 746992304 0 35,007 Shared-Defined 1 35,007 0 0
Wts Ex Prc-$1.16 Exp-12/5/
Qualcomm Inc. COM 747525103 11,767 82,000 Shared-Defined 1 76,000 0 6,000
Quintiles Transnational Corp. COM 748767100 420 10,000 Shared-Defined 1 0 0 10,000
Qwest Communications Intl Inc. COM 749121109 413 12,500 Shared-Defined 1 500 0 12,000
Rambus Inc. COM 750917106 645 7,000 Shared-Defined 1 0 0 7,000
Range Resources Corp. COM 75281A109 2,664 434,880 Shared-Defined 1 434,880 0 0
Rational Software Inc. COM 75409P202 23 694 Shared-Defined 1 694 0 0
Raychem Corp. COM 754603108 155 4,200 Shared-Defined 1 4,200 0 0
RCN Corporation COM 749361101 125 3,000 Shared-Defined 1 3,000 0 0
Real del Monte Mining Corp. COM 760991AB5 0 500,000 Shared-Defined 1 500,000 0 0
Unsec Conv Debs
RealNetworks, Inc. COM 75605L104 107 1,560 Shared-Defined 1 1,560 0 0
Repsol S.A. ADR COM 76026T205 163 8,000 Shared-Defined 1 8,000 0 0
Republic Services Inc. Cl A COM 760759100 11,448 462,560 Shared-Defined 1 462,560 0 0
Rexall Sundown Inc. COM 761648104 1,207 99,000 Shared-Defined 1 99,000 0 0
Reynolds Metals Co. COM 761763101 6,614 112,100 Shared-Defined 1 112,100 0 0
Rhythms NetConnections Inc. COM 762430205 58 1,000 Shared-Defined 1 1,000 0 0
Roche Holdings Ltd-Sponsored ADR COM 771195104 79 750 Shared-Defined 1 750 0 0
Rohm & Haas Co COM 775371107 201 4,683 Shared-Defined 1 4,683 0 0
Royal Dutch Pete NY Reg Shs COM 780257804 810 13,440 Shared-Defined 1 7,200 0 6,240
Par NG5
Rural/Metro Corporation COM 781748108 3,663 380,540 Shared-Defined 1 380,540 0 0
S&P 500 Depository Receipt COM 78462F103 8,402 61,325 Shared-Defined 1 61,325 0 0
Safeguard Scientifics, Inc. COM 786449108 32 500 Shared-Defined 1 500 0 0
SBC Communications, Inc. COM 78387G103 1,080 18,618 Shared-Defined 1 18,618 0 0
Schering-Plough Corp. COM 806605101 840 16,000 Shared-Defined 1 16,000 0 0
Schlumberger Ltd. COM 806857108 96 1,500 Shared-Defined 1 1,500 0 0
Scholastic Corporation COM 807066105 2,886 57,000 Shared-Defined 1 57,000 0 0
Schwab (Charles) Corp. COM 808513105 545 5,000 Shared-Defined 1 0 0 5,000
SCM Microsystems, Inc. COM 784018103 9,363 201,900 Shared-Defined 1 201,900 0 0
Scudder New Europe COM 810905109 37 1,800 Shared-Defined 1 1,800 0 0
Fund Inc Common
Sepracor Inc. COM 817315104 406 5,000 Shared-Defined 1 5,000 0 0
Shaman Pharmaceuticals COM 819319401 9 13,121 Shared-Defined 1 13,121 0 0
Smithkline Beecham PLC COM 832378301 396 6,000 Shared-Defined 1 0 0 6,000
ADR Representing Ord ADRS
Sonoco Products Co. COM 835495102 460 15,366 Shared-Defined 1 15,366 0 0
Sotheby's Holdings Inc Class A COM 835898107 378 9,925 Shared-Defined 1 9,925 0 0
Southern Pacific Petroleum ADR COM 843581307 23,690 7,896,798 Shared-Defined 1 7,723,298 0 73,500
SportsLine USA, Inc. COM 848934105 90 2,500 Shared-Defined 1 2,500 0 0
Sprint Corp (PCS Group) COM 852061506 918 16,100 Shared-Defined 1 16,100 0 0
St. Jude Medical COM 790849103 107 3,000 Shared-Defined 1 3,000 0 0
StarMedia Network, Inc.- COM 855546107 70,341 1,096,934 Shared-Defined 1 1,096,934 0 0
Restricted
Sterling Software Inc. COM 859547101 7,356 278,218 Shared-Defined 1 278,218 0 0
Stewart Enterprises Inc. Cl A COM 860370105 4,564 313,400 Shared-Defined 1 303,400 0 10,000
STMicroelectronics- Sept COM 86199110 -277 -55,600 Shared-Defined 1 -55,600 0 0
99 75 Calls
STMicroelectronics-N.V. NY Shs COM 861012102 33,682 485,934 Shared-Defined 1 481,934 0 4,000
Stolt-Nielson S.A.-Spon ADR COM 861565109 12 700 Shared-Defined 1 700 0 0
Strayer Education Inc. COM 863236105 1,649 53,750 Shared-Defined 1 53,750 0 0
Structural Dynamics Research COM 863555108 74 4,000 Shared-Defined 1 4,000 0 0
Sun Microsystems Inc. COM 866810104 551 8,000 Shared-Defined 1 8,000 0 0
Sunbeam Corp. COM 867071102 103 13,000 Shared-Defined 1 13,000 0 0
Sunrise Assisted Living Inc. COM 86768K106 7,721 221,400 Shared-Defined 1 221,400 0 0
Sykes Enterprises COM 871237103 14,310 428,760 Shared-Defined 1 428,760 0 0
Sylvan Learning Centers COM 871399101 1,971 72,500 Shared-Defined 1 72,500 0 0
Symbol Technologies COM 871508107 2,448 66,375 Shared-Defined 1 66,375 0 0
TDK Corp - ADR COM 872351408 37 400 Shared-Defined 1 400 0 0
Tele Danmark As - Spons ADR COM 879242105 4,815 187,008 Shared-Defined 1 187,008 0 0
Telecomunicacoes de Sao COM 87952K100 1,862 81,400 Shared-Defined 1 81,400 0 0
Paulo SA - ADR
Telefonica S.A. - ADR COM 879382208 600 4,080 Shared-Defined 1 4,080 0 0
Telescan, Inc. COM 879516102 2,470 101,600 Shared-Defined 1 101,600 0 0
Teligent, Inc Cl A COM 87959Y103 3,089 51,650 Shared-Defined 1 51,650 0 0
Terayon Communication Systems COM 880775101 98 1,750 Shared-Defined 1 1,750 0 0
Texas Instruments Inc COM 882508104 33,788 234,640 Shared-Defined 1 226,940 0 7,700
Texas Instruments Inc- COM 88299110 -312 -16,600 Shared-Defined 1 -16,600 0 0
Sept 99140 Calls
Texas Utilities Co. COM 882848104 134 3,240 Shared-Defined 1 3,240 0 0
Thermedics, Inc. COM 883901100 163 17,550 Shared-Defined 1 17,550 0 0
Thermo Electron Corp COM 883556102 2,885 143,800 Shared-Defined 1 143,800 0 0
Thermo Power Corp COM 883589103 4 335 Shared-Defined 1 335 0 0
Thermotrex Corp. COM 883666109 5 594 Shared-Defined 1 594 0 0
Time Warner Inc. COM 887315109 508 7,000 Shared-Defined 1 0 0 7,000
Trex Medical Corp. COM 89531R101 4,020 669,930 Shared-Defined 1 669,930 0 0
Triad Hospitals, Inc. COM 89579K109 118 8,747 Shared-Defined 1 8,747 0 0
Triangle Pharmaceuticals Inc. COM 89589H104 1,018 56,575 Shared-Defined 1 56,575 0 0
Triquint Semiconductor, Inc. COM 89674K103 41 724 Shared-Defined 1 724 0 0
Unilab Corp. - New COM 904763109 18,962 3,160,414 Shared-Defined 1 3,160,414 0 0
Unilever NV - NY Shares COM 904784709 2,081 29,838 Shared-Defined 1 29,838 0 0
Union Pacific Corp. COM 907818108 117 2,000 Shared-Defined 1 2,000 0 0
United Healthcare Corp. COM 910581107 438 7,000 Shared-Defined 1 0 0 7,000
United Pan-Europe Communications- COM 911300200 8,551 154,762 Shared-Defined 1 154,762 0 0
Spons ADR
United Technologies Corp. COM 913017109 418 5,800 Shared-Defined 1 5,800 0 0
UnitedGlobalCom COM 910734102 23,635 349,500 Shared-Defined 1 349,250 0 250
Univision Communications, Inc. COM 914906102 20,706 318,550 Shared-Defined 1 318,300 0 250
Unocal Corp. COM 915289102 15,244 384,700 Shared-Defined 1 384,700 0 0
UnumProvident Corp. COM 903192102 12,567 229,530 Shared-Defined 1 227,530 0 2,000
Verdant Brands Inc. COM 923366108 512 527,879 Shared-Defined 1 527,879 0 0
Visual Networks, Inc. COM 928444108 9,071 283,482 Shared-Defined 1 282,251 0 1,231
Vivid Technologies, Inc. COM 928538107 1 165 Shared-Defined 1 165 0 0
Vodafone AirTouch Plc-Spon ADR COM 92857T107 8,448 42,885 Shared-Defined 1 42,885 0 0
Wal Mart Stores Inc. COM 931142103 145 3,000 Shared-Defined 1 3,000 0 0
Warner Lambert COM 934488107 7,410 107,200 Shared-Defined 1 107,200 0 0
Wellpoint Health Networks Inc. COM 94973H108 11,354 133,770 Shared-Defined 1 128,770 0 5,000
Wells Fargo Company COM 949746101 4,831 113,000 Shared-Defined 1 109,700 0 3,300
Westpac Banking Sponsored ADR COM 961214301 134 4,000 Shared-Defined 1 0 0 4,000
Whole Foods Market, Inc. COM 966837106 2,437 50,700 Shared-Defined 1 50,700 0 0
Williams Co Inc. COM 969457100 766 18,000 Shared-Defined 1 18,000 0 0
Windmere-Durable Holdings, Inc COM 973411101 6,898 408,780 Shared-Defined 1 408,780 0 0
Winstar Communications Inc. COM 975515107 14,757 302,700 Shared-Defined 1 302,300 0 400
Wisconsin Central Transport COM 976592105 40 2,100 Shared-Defined 1 2,100 0 0
WorldGate Communications,Inc. COM 98156L307 76 1,489 Shared-Defined 1 1,489 0 0
Xerox Corp. COM 984121103 21,097 357,200 Shared-Defined 1 354,000 0 3,200
Yahoo! Inc. COM 984332106 699 4,060 Shared-Defined 1 60 0 4,000
351 2,326,782
</TABLE>
<TABLE>
<CAPTION>
FORM 13F(06-30-99) NAME OF REPORTING MANAGER
ROCKEFELLER FINANCIAL SERVICES/ROCKEFELLER & CO., INC./THE ROCKEFELLER TRUST COMPANY
Shares or Shr/ PutCall Other Voting Authority Shares
Title of Cusip Value Principal Prn Investment Mngrs.
Name of Issuer Class (x$1,000) Discretion A. Sole B.Shared C.None
<S> <C> <C> <C> <C> <C> <C> <C>
3DFX Interactive Inc. COM 88553X103 14 913 Shared-Defined 1-2 913 0 0
Abbott Laboratories COM 002824100 13,641 300,638 Shared-Defined 1-2 276,638 0 24,000
Aes Corp. COM 00130H105 15,647 269,200 Shared-Defined 1-2 269,200 0 0
Aetna Inc. COM 008117103 4,588 51,300 Shared-Defined 1-2 41,700 0 9,600
Aflac, Inc. COM 001055102 9,398 196,300 Shared-Defined 1-2 196,300 0 0
American Express Co. COM 025816109 260 1,998 Shared-Defined 1-2 1,998 0 0
American Home Products Corp. COM 026609107 2,515 43,840 Shared-Defined 1-2 43,840 0 0
American International Group COM 026874107 20,429 174,233 Shared-Defined 1-2 161,733 0 12,500
American Superconductor Corp. COM 030111108 24 1,605 Shared-Defined 1-2 1,605 0 0
Ameritech Corp. COM 030954101 397 5,400 Shared-Defined 1-2 0 0 5,400
Andrew Corp. COM 034425108 170 8,999 Shared-Defined 1-2 8,999 0 0
Apple Computer Inc. COM 037833100 1,815 39,200 Shared-Defined 1-2 39,200 0 0
Applied Materials COM 038222105 3,869 52,370 Shared-Defined 1-2 36,870 0 15,500
AT & T Corp. COM 001957109 2,234 40,035 Shared-Defined 1-2 40,035 0 0
Atlantic Richfield COM 048825103 259 3,100 Shared-Defined 1-2 3,100 0 0
Autozone Inc. COM 053332102 30 1,000 Shared-Defined 1-2 1,000 0 0
Avery Dennison Corp. COM 053611109 72 1,200 Shared-Defined 1-2 1,200 0 0
Axa-Uap - ADR COM 054536107 125 2,000 Shared-Defined 1-2 2,000 0 0
Bank of America Corporation COM 060505104 6,041 82,400 Shared-Defined 1-2 82,400 0 0
Bank One Corp. COM 06423A103 288 4,830 Shared-Defined 1-2 4,830 0 0
Bell Atlantic Corp. COM 077853109 2,184 33,400 Shared-Defined 1-2 19,500 0 13,900
Bellsouth Corp. COM 079860102 4,382 95,000 Shared-Defined 1-2 95,000 0 0
Berkshire Hathaway Inc - Cl B COM 084670207 117 52 Shared-Defined 1-2 52 0 0
Bestfoods COM 08658U101 119 2,400 Shared-Defined 1-2 2,400 0 0
Bladex (Banco Latinoamericano COM P16994132 1,122 41,951 Shared-Defined 1-2 41,951 0 0
De Exp)
Boeing Co. COM 097023105 3,850 87,500 Shared-Defined 1-2 87,500 0 0
Borders Group Inc. COM 099709107 2,627 166,100 Shared-Defined 1-2 166,100 0 0
Bowater Inc COM 102183100 1,094 23,100 Shared-Defined 1-2 23,100 0 0
BP Amoco Plc - ADR COM 055622104 8,402 77,441 Shared-Defined 1-2 77,441 0 0
Bristol Myers Squibb Co. COM 110122108 6,283 89,200 Shared-Defined 1-2 89,200 0 0
Burlington Resources Inc. COM 122014103 79 1,830 Shared-Defined 1-2 1,830 0 0
Celeritek, Inc. COM 150926103 1 162 Shared-Defined 1-2 162 0 0
Chase Manhattan Corp. COM 16161A108 3,737 43,198 Shared-Defined 1-2 43,198 0 0
Chevron Corp COM 166751107 16,931 178,098 Shared-Defined 1-2 150,098 0 28,000
Chubb Corp. COM 171232101 500 7,200 Shared-Defined 1-2 7,200 0 0
Cisco Systems, Inc. COM 17275R102 10,610 164,498 Shared-Defined 1-2 147,998 0 16,500
Citigroup Inc. COM 172967101 482 10,150 Shared-Defined 1-2 10,150 0 0
CKE Restaurants, Inc. COM 12561E105 4,853 298,660 Shared-Defined 1-2 298,660 0 0
Coca Cola Company COM 191216100 1,358 21,900 Shared-Defined 1-2 21,900 0 0
Cognex Corp. COM 192422103 95 3,000 Shared-Defined 1-2 3,000 0 0
Columbia/HCA Healthcare Corp. COM 197677107 1,429 62,660 Shared-Defined 1-2 44,660 0 18,000
Cox Communications Inc Cl-A COM 224044107 4,153 112,800 Shared-Defined 1-2 112,800 0 0
Cyprus Amax Minerals Company COM 232809103 3,927 257,500 Shared-Defined 1-2 257,500 0 0
Dayton Hudson Corp. COM 239753106 3,276 50,400 Shared-Defined 1-2 50,400 0 0
Delphi Automotive Systems Corp COM 247126105 720 38,900 Shared-Defined 1-2 38,900 0 0
Disney, Walt Co. COM 254687106 1,562 50,705 Shared-Defined 1-2 50,705 0 0
DoubleClick, Inc.-Restricted COM 258609304 3,322 36,204 Shared-Defined 1-2 36,204 0 0
Rule 144
Dupont, E.I. de Nemours & Co. COM 263534109 8,897 130,236 Shared-Defined 1-2 130,236 0 0
Echelon Corporation-Restricted COM 27874N105 24 3,588 Shared-Defined 1-2 3,588 0 0
Rule 144
Ecolab Inc. COM 278865100 349 8,000 Shared-Defined 1-2 8,000 0 0
Elan Corp PLC - ADR COM 284131208 111 4,008 Shared-Defined 1-2 4,008 0 0
Electronic Arts COM 285512109 113 2,080 Shared-Defined 1-2 2,080 0 0
Emerson Electric Co. COM 291011104 1,473 23,400 Shared-Defined 1-2 23,400 0 0
Exxon Corp. COM 302290101 38,711 501,924 Shared-Defined 1-2 381,924 0 120,000
Family Dollar Stores, Inc. COM 307000109 2,525 105,200 Shared-Defined 1-2 105,200 0 0
Federal National Mortgage COM 313586109 526 7,700 Shared-Defined 1-2 7,700 0 0
Association
Federal Realty Investment Tr. COM 313747206 60 2,600 Shared-Defined 1-2 2,600 0 0
Fleetwood COM 339099103 26 1,000 Shared-Defined 1-2 1,000 0 0
Gannett Inc. COM 364730101 819 11,480 Shared-Defined 1-2 11,480 0 0
Gap, Inc. COM 364760108 34 675 Shared-Defined 1-2 675 0 0
General Electric Co. COM 369604103 45,171 399,742 Shared-Defined 1-2 288,442 0 111,300
Grainger W W Inc. COM 384802104 986 18,332 Shared-Defined 1-2 18,332 0 0
Gulf Canada Resources Ltd Ord COM 40218L305 96 23,000 Shared-Defined 1-2 23,000 0 0
Hartford Financial Services COM 416515104 752 12,900 Shared-Defined 1-2 12,900 0 0
Group, Inc.
Healthsouth Corp. COM 421924101 8 520 Shared-Defined 1-2 520 0 0
Hershey Foods Corp. COM 427866108 8,728 147,000 Shared-Defined 1-2 141,500 0 5,500
Hewlett Packard Co COM 428236103 8,532 84,900 Shared-Defined 1-2 84,900 0 0
Home Depot Inc. COM 437076102 258 4,000 Shared-Defined 1-2 4,000 0 0
Idexx Laboratories Inc. COM 45168D104 35 1,500 Shared-Defined 1-2 1,500 0 0
Illinois Tool Works Inc. COM 452308109 270 3,300 Shared-Defined 1-2 3,300 0 0
Incyte Pharmaceuticals Inc. COM 45337C102 123 4,662 Shared-Defined 1-2 4,662 0 0
Int'l Business Machines Corp. COM 459200101 26,120 202,092 Shared-Defined 1-2 193,592 0 8,500
Intel Corp. COM 458140100 11,055 185,800 Shared-Defined 1-2 185,800 0 0
Iona Technologies Plc-ADR COM 46206P109 222 14,010 Shared-Defined 1-2 14,010 0 0
J.P. Morgan COM 616880100 7,643 54,400 Shared-Defined 1-2 49,900 0 4,500
Johnson & Johnson COM 478160104 3,599 36,728 Shared-Defined 1-2 36,728 0 0
Kerr-McGee Corp COM 492386107 43 848 Shared-Defined 1-2 848 0 0
KeySpan Corporation COM 49337W100 70 2,640 Shared-Defined 1-2 2,640 0 0
Kimberly-Clark Corp COM 494368103 2,890 50,700 Shared-Defined 1-2 50,700 0 0
Komag Inc. COM 500453105 17 5,000 Shared-Defined 1-2 5,000 0 0
Koninklijke Philips Elect- COM 500472204 2,580 25,576 Shared-Defined 1-2 25,576 0 0
N.V.NY shs
Landstar Systems Inc. COM 515098101 192 5,332 Shared-Defined 1-2 5,332 0 0
Leap Wireless Intl Inc. COM 521863100 11 550 Shared-Defined 1-2 550 0 0
Libbey Inc. COM 529898108 58 2,000 Shared-Defined 1-2 2,000 0 0
LifePoint Hospitals, Inc. COM 53219L109 23 1,723 Shared-Defined 1-2 777 0 946
Lucent Technologies COM 549463107 551 8,170 Shared-Defined 1-2 8,170 0 0
Lycos Inc - Restricted Rule S3 COM 550818108 1,532 16,679 Shared-Defined 1-2 16,679 0 0
McDonalds Corp. COM 580135101 831 20,200 Shared-Defined 1-2 20,200 0 0
MCI Worldcom Inc. COM 55268B106 8,127 94,428 Shared-Defined 1-2 85,128 0 9,300
MediaOne Group Inc. COM 58440J104 1,190 16,000 Shared-Defined 1-2 16,000 0 0
Mellon Bank Corp. COM 585509102 51 1,400 Shared-Defined 1-2 1,400 0 0
Merck & Co. Inc. COM 589331107 9,912 134,628 Shared-Defined 1-2 130,628 0 4,000
Millennium Pharmaceuticals COM 599902103 214 5,946 Shared-Defined 1-2 5,946 0 0
Minnesota Mining & Mfg. Co. COM 604059105 1,939 22,300 Shared-Defined 1-2 22,300 0 0
Mobil Corp. COM 607059102 7,821 79,200 Shared-Defined 1-2 79,200 0 0
Montana Power Co. COM 612085100 550 7,800 Shared-Defined 1-2 7,800 0 0
Motorola Inc. COM 620076109 114 1,200 Shared-Defined 1-2 1,200 0 0
Network Associates Inc. COM 640938106 6,394 435,340 Shared-Defined 1-2 426,340 0 9,000
New Era Of Networks Inc. COM 644312100 456 10,388 Shared-Defined 1-2 10,388 0 0
Newbridge Networks Corp. COM 650901101 7,903 274,900 Shared-Defined 1-2 258,900 0 16,000
Nextel Communications Inc Cl A COM 65332V103 2,369 47,210 Shared-Defined 1-2 47,210 0 0
Nokia - ADR A COM 654902204 13,936 152,200 Shared-Defined 1-2 137,200 0 15,000
Norfolk Southern Corp. COM 655844108 1,931 64,100 Shared-Defined 1-2 44,100 0 20,000
Nortel Networks Corp. COM 656569100 1,456 16,771 Shared-Defined 1-2 16,771 0 0
NTL Incorporated COM 629407107 14,630 169,740 Shared-Defined 1-2 169,740 0 0
Office Depot, Inc. COM 676220106 4,342 196,800 Shared-Defined 1-2 196,800 0 0
Paxar Corp. COM 704227107 53 6,000 Shared-Defined 1-2 6,000 0 0
PE Corp-PE Biosystems Group COM 69332S102 25 214 Shared-Defined 1-2 214 0 0
PE Corp-PE Celera Genomics Grp COM 69332S201 2 107 Shared-Defined 1-2 107 0 0
Peoples Heritage Fin'l Group COM 711147108 8,703 462,580 Shared-Defined 1-2 462,580 0 0
Pepsico, Inc COM 713448108 693 17,925 Shared-Defined 1-2 17,925 0 0
Pfizer COM 717081103 1,199 11,000 Shared-Defined 1-2 11,000 0 0
Pharmacyclics Inc. COM 716933106 66 2,351 Shared-Defined 1-2 2,351 0 0
Procter & Gamble Co. COM 742718109 2,285 25,600 Shared-Defined 1-2 25,600 0 0
Psinet Inc. COM 74437C101 6,278 143,500 Shared-Defined 1-2 131,300 0 12,200
Qualcomm Inc. COM 747525103 517 3,600 Shared-Defined 1-2 3,600 0 0
Republic Services Inc. Cl A COM 760759100 1,575 63,640 Shared-Defined 1-2 63,640 0 0
Reynolds Metals Co. COM 761763101 667 11,300 Shared-Defined 1-2 11,300 0 0
Royal Dutch Pete NY Reg COM 780257804 584 9,700 Shared-Defined 1-2 9,700 0 0
Shs Par NG5
SBC Communications, Inc. COM 78387G103 877 15,114 Shared-Defined 1-2 8,618 0 6,496
Schering-Plough Corp. COM 806605101 231 4,400 Shared-Defined 1-2 4,400 0 0
SCM Microsystems, Inc. COM 784018103 269 5,800 Shared-Defined 1-2 5,800 0 0
Scudder New Europe Fund COM 810905109 763 37,000 Shared-Defined 1-2 20,000 0 17,000
Inc Common
Sequent Computer Systems COM 817338106 77 4,332 Shared-Defined 1-2 4,332 0 0
Sonoco Products Co. COM 835495102 202 6,735 Shared-Defined 1-2 6,735 0 0
Southern Pacific Petroleum ADR COM 843581307 330 110,000 Shared-Defined 1-2 110,000 0 0
Spieker Properties COM 848497103 78 2,000 Shared-Defined 1-2 2,000 0 0
Stewart Enterprises Inc. Cl A COM 860370105 2,257 155,000 Shared-Defined 1-2 155,000 0 0
STMicroelectronics-N.V. NY Shs COM 861012102 15,845 228,600 Shared-Defined 1-2 208,600 0 20,000
TDK Corp - ADR COM 872351408 138 1,500 Shared-Defined 1-2 1,500 0 0
Tele Danmark As - Spons ADR COM 879242105 288 11,200 Shared-Defined 1-2 11,200 0 0
Teligent, Inc Cl A COM 87959Y103 484 8,100 Shared-Defined 1-2 8,100 0 0
Texas Instruments Inc COM 882508104 26,168 181,720 Shared-Defined 1-2 172,720 0 9,000
Thermo Opportunity Fund Inc. COM 883580102 27 3,332 Shared-Defined 1-2 3,332 0 0
Thermotrex Corp. COM 883666109 3 394 Shared-Defined 1-2 394 0 0
Triad Hospitals, Inc. COM 89579K109 23 1,723 Shared-Defined 1-2 777 0 946
Triangle Pharmaceuticals Inc. COM 89589H104 14 795 Shared-Defined 1-2 795 0 0
Triquint Semiconductor, Inc. COM 89674K103 3 47 Shared-Defined 1-2 47 0 0
U.S. WEST, Inc. COM 91273H101 966 16,435 Shared-Defined 1-2 16,435 0 0
Unilever NV - NY Shares COM 904784709 354 5,075 Shared-Defined 1-2 5,075 0 0
UnitedGlobalCom COM 910734102 2,725 40,300 Shared-Defined 1-2 33,200 0 7,100
Univision Communications, Inc. COM 914906102 12,259 188,600 Shared-Defined 1-2 188,600 0 0
Unocal Corp. COM 915289102 1,847 46,600 Shared-Defined 1-2 46,600 0 0
UnumProvident Corp. COM 903192102 4,507 82,320 Shared-Defined 1-2 82,320 0 0
Visual Networks, Inc. COM 928444108 1,372 42,862 Shared-Defined 1-2 42,862 0 0
Vodafone AirTouch Plc-Spon ADR COM 92857T107 3,812 19,350 Shared-Defined 1-2 17,050 0 2,300
Wal Mart Stores Inc. COM 931142103 772 16,000 Shared-Defined 1-2 16,000 0 0
Walgreen Co. COM 931422109 470 15,984 Shared-Defined 1-2 15,984 0 0
Warner Lambert COM 934488107 373 5,400 Shared-Defined 1-2 5,400 0 0
Wellpoint Health Networks Inc. COM 94973H108 6,640 78,230 Shared-Defined 1-2 70,430 0 7,800
Wells Fargo Company COM 949746101 7,451 174,300 Shared-Defined 1-2 174,300 0 0
Winstar Communications Inc. COM 975515107 4,183 85,800 Shared-Defined 1-2 83,800 0 2,000
Xerox Corp. COM 984121103 13,325 225,600 Shared-Defined 1-2 225,600 0 0
154 560,855
</TABLE>
