UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 13F
Form 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: March 31, 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: 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 May 15, 2000
[Signature] [City, State] [Date]
The schedule 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 December 31, 1999.
-2-
The schedule 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 March
31, 2000.
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).)
Form 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 2
Form 13F Information Table Entry Total: 470
Form 13F Information Table Value Total: $3,000,814 (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
<TABLE>
FORM 13F(03-31-00) NAME OF REPORTING MANAGER
ROCKEFELLER FINANCIAL SERVICES/ROCKEFELLER & CO., INC.
<CAPTION>
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Title Cusip Value Shares or Shr/P PutCall Investment Other Voting Authority
Name of Issuer of Class (x$1,000) Discretion Mgrs. A.Sole B.Shared C.None
Aflac, Inc. Common 001055102 17,450 382,982 Shared-Defined 1-2 382,982 0 0
Aes Corp. Common 00130H105 37,666 478,294 Shared-Defined 1-2 478,294 0 0
AMR Corporation Common 001765106 57 1,800 Shared-Defined 1-2 1,800 0 0
AT & T Corp. Common 001957109 5,086 90,309 Shared-Defined 1-2 89,759 0 550
AT&T Corp.-Liberty Media
Grp A Shs Class A 001957208 3,476 58,600 Shared-Defined 1-2 58,600 0 0
Abbott Laboratories Common 002824100 14,064 399,700 Shared-Defined 1-2 399,700 0 0
Adac Laboratories - New Common 005313200 6,962 506,291 Shared-Defined 1-2 506,291 0 0
Adaptec, Inc. Common 00651F108 39 1,000 Shared-Defined 1-2 1,000 0 0
Adelphia Communications Corp. Class A 006848105 5 100 Shared-Defined 1-2 100 0 0
Advantage Learning Systems, Common 00757K100 998 60,000 Shared-Defined 1-2 60,000 0 0
Advanced Micro Devices Inc. Common 007903107 29 500 Shared-Defined 1-2 500 0 0
Aetna Inc. Common 008117103 194 3,500 Shared-Defined 1-2 3,500 0 0
Alaska Pacific Bancshares Common 011757101 42 4,750 Shared-Defined 1-2 4,750 0 0
Alcoa Inc. Common 013817101 1,686 24,000 Shared-Defined 1-2 24,000 0 0
Alkermes, Inc. (New) Common 01642T108 2,549 27,561 Shared-Defined 1-2 27,561 0 0
Allstate Corporation Common 020002101 104 4,378 Shared-Defined 1-2 4,378 0 0
Alpha Industries, Inc. Common 020753109 143 1,500 Shared-Defined 1-2 1,500 0 0
Amazon.Com Inc Common 023135106 8 120 Shared-Defined 1-2 120 0 0
America Online Inc. Common 02364J104 16,672 245,180 Shared-Defined 1-2 244,680 0 500
American Express Co. Common 025816109 74 500 Shared-Defined 1-2 500 0 0
American Home Products Corp. Common 026609107 269 5,000 Shared-Defined 1-2 5,000 0 0
American International Group Common 026874107 21,920 200,186 Shared-Defined 1-2 200,186 0 0
American Superconductor Corp. Common 030111108 5,789 130,081 Shared-Defined 1-2 130,081 0 0
Amerivest Properties Inc. Common 03071L101 162 40,441 Shared-Defined 1-2 40,441 0 0
Amgen Inc. Common 031162100 7,727 125,900 Shared-Defined 1-2 125,900 0 0
Amkor Technology, Inc. Common 031652100 17,938 338,054 Shared-Defined 1-2 338,054 0 0
Anheuser-Busch Companies, Inc. Common 035229103 311 5,000 Shared-Defined 1-2 5,000 0 0
Apollo Group Common 037604105 18,345 650,814 Shared-Defined 1-2 650,814 0 0
Apple Computer Inc. Common 037833100 31,625 232,857 Shared-Defined 1-2 232,857 0 0
Applied Materials Common 038222105 17,291 183,460 Shared-Defined 1-2 183,460 0 0
Applied Micro Circuits Corp. Common 03822W109 900 6,000 Shared-Defined 1-2 6,000 0 0
AppNet, Inc. Common 03831Q101 94 2,000 Shared-Defined 1-2 2,000 0 0
Archer Daniels Midland Co. Common 039483102 174 16,864 Shared-Defined 1-2 16,864 0 0
Artesyn Technologies, Inc. Common 043127109 7,047 372,100 Shared-Defined 1-2 372,100 0 0
At Home Corporation - Series A Series A 045919107 66 2,000 Shared-Defined 1-2 2,000 0 0
Axa-Uap - ADR ADR 054536107 36 500 Shared-Defined 1-2 500 0 0
Axys Pharmaceuticals Inc. Common 054635107 107 13,904 Shared-Defined 1-2 13,904 0 0
Aztec Energy Corp/Utah Common 054805106 0 43 Shared-Defined 1-2 43 0 0
BISYS Group Inc. Common 055472104 11,071 166,477 Shared-Defined 1-2 166,477 0 0
BMC Software Inc. Common 055921100 933 18,900 Shared-Defined 1-2 18,900 0 0
Bank of America Corporation Common 060505104 12,769 243,500 Shared-Defined 1-2 243,500 0 0
Bank of New York Inc Common 064057102 341 8,200 Shared-Defined 1-2 8,200 0 0
Banta Corp. Common 066821109 44 2,400 Shared-Defined 1-2 2,400 0 0
Bay View Capital Corp. Common 07262L101 29 3,877 Shared-Defined 1-2 3,877 0 0
BEA Systems, Inc. Common 073325102 73 1,000 Shared-Defined 1-2 1,000 0 0
Bear Stearns Cos. Common 073902108 116 2,535 Shared-Defined 1-2 2,535 0 0
Belden, Inc. Common 077459105 569 20,700 Shared-Defined 1-2 20,700 0 0
Bell Atlantic Corp. Common 077853109 2,554 41,778 Shared-Defined 1-2 41,472 0 306
Bellsouth Corp. Common 079860102 188 4,000 Shared-Defined 1-2 4,000 0 0
Ben & Jerrys Homemade Inc Cl A Class A 081465106 134 4,000 Shared-Defined 1-2 4,000 0 0
Berkshire Hathaway Inc - Cl B Common 084670207 55 30 Shared-Defined 1-2 30 0 0
BioReliance Corp. Common 090951104 2 420 Shared-Defined 1-2 420 0 0
Boeing Co. Common 097023105 268 7,100 Shared-Defined 1-2 7,100 0 0
Borders Group Inc. Common 099709107 41 2,400 Shared-Defined 1-2 2,400 0 0
Borg-Warner Automotive Common 099724106 591 15,000 Shared-Defined 1-2 15,000 0 0
Boston Scientific Co. Common 101137107 15 722 Shared-Defined 1-2 722 0 0
Bowater Inc Common 102183100 9,769 183,034 Shared-Defined 1-2 183,034 0 0
Bristol Myers Squibb Co. Common 110122108 3,187 55,000 Shared-Defined 1-2 55,000 0 0
Broadcom Corp - Class A Class A 111320107 364 1,500 Shared-Defined 1-2 1,500 0 0
Brooktrout, Inc. Common 114580103 145 5,000 Shared-Defined 1-2 5,000 0 0
Buffets Inc. Common 119882108 4,532 501,813 Shared-Defined 1-2 501,813 0 0
Burlington Resources Inc. Common 122014103 101 2,742 Shared-Defined 1-2 2,134 0 608
Cadbury Schweppes Plc-Sp ADR ADR 127209302 284 10,000 Shared-Defined 1-2 10,000 0 0
Campbell Soup Co. Common 134429109 68 2,200 Shared-Defined 1-2 2,200 0 0
Caremark Rx, Inc. Common 141705103 11 2,656 Shared-Defined 1-2 2,656 0 0
Catalytica Inc. Common 148885106 1,311 90,000 Shared-Defined 1-2 90,000 0 0
Caterpillar Inc. Common 149123101 187 4,736 Shared-Defined 1-2 4,736 0 0
Celestial Seasonings Inc. Common 151016102 1,719 50,000 Shared-Defined 1-2 50,000 0 0
Central Pacific ADR 154762306 12,267 2,423,164 Shared-Defined 1-2 2,423,164 0 0
Chase Manhattan Corp. Common 16161A108 74,467 854,105 Shared-Defined 1-2 853,830 0 275
Chevron Corp Common 166751107 34,142 369,352 Shared-Defined 1-2 369,352 0 0
Chiron Corp Common 170040109 1,496 30,000 Shared-Defined 1-2 30,000 0 0
ChoicePoint, Inc. Common 170388102 112 3,000 Shared-Defined 1-2 3,000 0 0
Chubb Corp. Common 171232101 41 600 Shared-Defined 1-2 600 0 0
Ciena Corp. Common 171779101 36,024 285,621 Shared-Defined 1-2 276,919 0 8,702
Cinergy Corp. Common 172474108 115 5,350 Shared-Defined 1-2 5,050 0 300
Cisco Systems, Inc. Common 17275R102 58,685 759,062 Shared-Defined 1-2 741,680 0 17,382
Citigroup Inc. Common 172967101 20,967 350,184 Shared-Defined 1-2 350,184 0 0
Citrix Systems Inc. Common 177376100 663 10,000 Shared-Defined 1-2 10,000 0 0
Cognex Corp. Common 192422103 2,595 44,984 Shared-Defined 1-2 44,984 0 0
Cohoes Bancorp Inc. Common 192513109 56 5,600 Shared-Defined 1-2 5,600 0 0
Columbia/HCA Healthcare Corp. Common 197677107 947 37,400 Shared-Defined 1-2 37,400 0 0
Compaq Computer Corp. Common 204493100 1,338 49,570 Shared-Defined 1-2 49,570 0 0
Computer Sciences Corp. Common 205363104 237 3,000 Shared-Defined 1-2 3,000 0 0
Computer Task Group Common 205477102 6,029 548,056 Shared-Defined 1-2 548,056 0 0
Com21 Inc. Common 205937105 118 2,500 Shared-Defined 1-2 2,500 0 0
Conexant Systems, Inc. Common 207142100 142 2,000 Shared-Defined 1-2 2,000 0 0
Conoco Inc. - Cl B Common 208251405 140 5,460 Shared-Defined 1-2 5,460 0 0
Continental Airlines Inc, Cl B Common 210795308 9,814 240,100 Shared-Defined 1-2 240,100 0 0
Convergys Corp. Common 212485106 20,103 519,624 Shared-Defined 1-2 518,824 0 800
Cousins Properties Inc. Common 222795106 3,681 100,000 Shared-Defined 1-2 100,000 0 0
Cox Communications Inc Cl-A Class A 224044107 1,848 38,100 Shared-Defined 1-2 38,100 0 0
Critical Path Inc. Common 22674V100 170 2,000 Shared-Defined 1-2 2,000 0 0
Cymer Inc. Common 232572107 500 10,000 Shared-Defined 1-2 10,000 0 0
DBT Online Inc. Common 233044106 3,865 208,200 Shared-Defined 1-2 208,200 0 0
Diageo plc - sponsored ADR ADR 24243Q205 166 5,500 Shared-Defined 1-2 5,500 0 0
DVI, Inc. Common 233343102 5,156 361,794 Shared-Defined 1-2 361,794 0 0
Dal-Tile International,Inc. Common 23426R108 4,275 538,574 Shared-Defined 1-2 538,574 0 0
Delphi Automotive Systems Corp Common 247126105 13,616 850,991 Shared-Defined 1-2 850,991 0 0
DeVry, Inc. Common 251893103 1,220 40,000 Shared-Defined 1-2 40,000 0 0
Dime Bancorp Inc. (New) Common 25429Q102 1,351 73,000 Shared-Defined 1-2 73,000 0 0
Disney, Walt Co. Common 254687106 7,995 193,830 Shared-Defined 1-2 193,030 0 800
Dollar General Corp. Common 256669102 1,790 66,600 Shared-Defined 1-2 66,600 0 0
DoubleClick, Inc. Common 258609304 14,635 156,319 Shared-Defined 1-2 155,719 0 600
Dover Corp. Common 260003108 2,107 44,000 Shared-Defined 1-2 44,000 0 0
Dupont, E.I. de Nemours & Co. Common 263534109 1,077 20,353 Shared-Defined 1-2 20,353 0 0
Duke Power Common 264399106 5 104 Shared-Defined 1-2 0 0 104
Dura Automotive Systems, Inc. Common 265903104 1,795 104,410 Shared-Defined 1-2 104,410 0 0
Dynex Capital Inc. Common 26817Q506 30 5,250 Shared-Defined 1-2 5,250 0 0
Elan Corp PLC - ADR ADR 284131208 1,666 35,084 Shared-Defined 1-2 35,084 0 0
Emc Corp. Mass Common 268648102 162 1,255 Shared-Defined 1-2 1,255 0 0
Endesa S.A. - Sponsored ADR ADR 29258N107 352 15,000 Shared-Defined 1-2 15,000 0 0
Enron Oil & Gas Corp. Common 26875P101 1,356 64,000 Shared-Defined 1-2 64,000 0 0
E.Piphany, Inc. Common 26881V100 32 239 Shared-Defined 1-2 239 0 0
Earthlink, Inc. Common 270321102 151 7,771 Shared-Defined 1-2 7,771 0 0
Echelon Corporation - Common Common 27874N105 6,466 98,711 Shared-Defined 1-2 98,711 0 0
Echelon Corporation-Restricted Common 27874N105 3,110 47,475 Shared-Defined 1-2 47,146 0 329
EchoStar Communications Corp. Class A 278762109 22,004 278,528 Shared-Defined 1-2 278,528 0 0
Education Management Corp. Common 28139T101 1,155 80,000 Shared-Defined 1-2 80,000 0 0
Emerson Electric Co. Common 291011104 234 4,400 Shared-Defined 1-2 4,400 0 0
Enron Corp. Common 293561106 4,268 57,000 Shared-Defined 1-2 57,000 0 0
Excelon Corporation Common 300691102 8,146 724,124 Shared-Defined 1-2 724,124 0 0
Exide Corp. Common 302051107 6,491 549,488 Shared-Defined 1-2 549,488 0 0
Extreme Networks Inc. Common 30226D106 158 2,000 Shared-Defined 1-2 2,000 0 0
Exxon Mobil Corporation Common 30231G102 70,153 900,121 Shared-Defined 1-2 895,821 0 4,300
FEI Company Common 30241L109 14 465 Shared-Defined 1-2 465 0 0
F.Y.I. Incorporated Common 302712104 7,919 291,927 Shared-Defined 1-2 291,927 0 0
Factset Research Systems, Inc. Common 303075105 1,353 50,000 Shared-Defined 1-2 50,000 0 0
Family Dollar Stores, Inc. Common 307000109 18,015 865,592 Shared-Defined 1-2 865,592 0 0
Farm Family Holdings Inc. Common 307901108 3 107 Shared-Defined 1-2 107 0 0
Federal National Mortgage Common 313586109 3,761 66,500 Shared-Defined 1-2 66,100 0 400
Federated Department Stores, Inc. Common 31410H101 262 6,200 Shared-Defined 1-2 6,200 0 0
F5 Networks, Inc. Common 315616102 136 2,000 Shared-Defined 1-2 2,000 0 0
Financial Federal Corp. Common 317492106 35 1,902 Shared-Defined 1-2 1,902 0 0
First Data Corporation Common 319963104 275 6,200 Shared-Defined 1-2 6,200 0 0
First Union Corp. Common 337358105 48 1,296 Shared-Defined 1-2 1,296 0 0
FleetBoston Financial Corp. Common 339030108 271 7,400 Shared-Defined 1-2 7,400 0 0
Florida Progress Corp. Common 341109106 76 1,650 Shared-Defined 1-2 1,350 0 300
Fresenius Medical Care - ADR ADR 358029106 449 18,500 Shared-Defined 1-2 18,500 0 0
Galileo Intl Inc. Common 363547100 6 233 Shared-Defined 1-2 233 0 0
Gannett Inc. Common 364730101 274 3,900 Shared-Defined 1-2 3,900 0 0
General Electric Co. Common 369604103 69,749 448,188 Shared-Defined 1-2 448,188 0 0
General Growth Properties Common 370021107 3,354 110,200 Shared-Defined 1-2 110,200 0 0
General Motors Corp. Common 370442105 6,435 77,700 Shared-Defined 1-2 77,700 0 0
General Motors Corp - Class H Class H 370442832 8,304 66,700 Shared-Defined 1-2 66,700 0 0
Getty Images, Inc. Common 374276103 10,499 292,157 Shared-Defined 1-2 292,157 0 0
Gilead Sciences Inc. Common 375558103 1,282 20,222 Shared-Defined 1-2 20,222 0 0
Gillette Co. Common 375766102 151 4,000 Shared-Defined 1-2 4,000 0 0
Glaxo Wellcome Plc ADR ADR 37733W105 430 7,500 Shared-Defined 1-2 4,000 0 3,500
Global Telesystems Group, Inc. Common 37936U104 22,288 1,087,200 Shared-Defined 1-2 1,087,200 0 0
GOTO.COM Inc. Common 38348T107 1,521 37,044 Shared-Defined 1-2 37,044 0 0
Guidant Corporation Common 401698105 15 246 Shared-Defined 1-2 246 0 0
Halliburton Co. Common 406216101 428 10,400 Shared-Defined 1-2 10,400 0 0
Hartford Financial Services Common 416515104 253 4,800 Shared-Defined 1-2 4,800 0 0
Healthcare Services Group. Common 421906108 2,960 544,458 Shared-Defined 1-2 544,458 0 0
Healthsouth Corp. Common 421924101 4 776 Shared-Defined 1-2 776 0 0
Healthcare Realty Trust Inc. Common 421946104 878 52,400 Shared-Defined 1-2 52,400 0 0
Healtheon Corp. Common 422209106 46 2,000 Shared-Defined 1-2 2,000 0 0
Heinz (H.J.) Co. Common 423074103 7 200 Shared-Defined 1-2 200 0 0
Hershey Foods Corp. Common 427866108 73 1,500 Shared-Defined 1-2 1,500 0 0
Hewlett Packard Co Common 428236103 5,148 38,740 Shared-Defined 1-2 37,140 0 1,600
Home Depot Inc. Common 437076102 9,772 151,500 Shared-Defined 1-2 150,750 0 750
Honeywell Inc. Common 438516106 358 6,800 Shared-Defined 1-2 6,800 0 0
IDEC Pharmaceuticals Corp. Common 449370105 4,017 40,882 Shared-Defined 1-2 40,882 0 0
Idexx Laboratories Inc. Common 45168D104 2,309 99,056 Shared-Defined 1-2 99,056 0 0
Imperial Credit Inds. Inc. Common 452729106 22 4,900 Shared-Defined 1-2 4,900 0 0
Iona Technologies Plc-ADR ADR 46206P109 19,823 267,880 Shared-Defined 1-2 267,880 0 0
Incyte Pharmaceuticals Inc. Common 45337C102 136 1,559 Shared-Defined 1-2 1,559 0 0
Information Resources Inc. Common 456905108 3,624 453,032 Shared-Defined 1-2 453,032 0 0
Inktomi Corp. Common 457277101 3,164 16,224 Shared-Defined 1-2 16,224 0 0
Intel Corp. Common 458140100 24,915 188,836 Shared-Defined 1-2 188,436 0 400
Interim Services, Inc. Common 45868P100 1,856 100,000 Shared-Defined 1-2 100,000 0 0
Int'l Business Machines Corp. Common 459200101 50,942 431,716 Shared-Defined 1-2 431,516 0 200
Internet Capital Group Common 46059C106 15 170 Shared-Defined 1-2 170 0 0
The Interpublic Group of
Companies, Inc. Common 460690100 2,741 58,000 Shared-Defined 1-2 58,000 0 0
Interspeed, Inc. Common 46070W107 53 2,500 Shared-Defined 1-2 2,500 0 0
InterWorld Corp. Common 46114Q108 3,673 65,000 Shared-Defined 1-2 65,000 0 0
Ionics Inc. Common 462218108 51 2,000 Shared-Defined 1-2 2,000 0 0
Iron Mountain Inc. Common 462846106 9,432 276,916 Shared-Defined 1-2 276,916 0 0
I2 Technologies Inc. Common 465754109 122 1,000 Shared-Defined 1-2 1,000 0 0
iVillage Inc. Common 46588H105 237 15,139 Shared-Defined 1-2 15,139 0 0
JDS Uniphase Corporation Common 46612J101 723 6,000 Shared-Defined 1-2 6,000 0 0
Johnson & Johnson Common 478160104 4,767 67,856 Shared-Defined 1-2 67,856 0 0
Juniper Networks, Inc. Common 48203R104 183 693 Shared-Defined 1-2 693 0 0
Jupiter Communications, Inc. Common 482050101 9 400 Shared-Defined 1-2 400 0 0
Kerr-McGee Corp Common 492386107 34 590 Shared-Defined 1-2 590 0 0
Keycorp Common 493267108 3,420 180,000 Shared-Defined 1-2 180,000 0 0
KeySpan Corporation Common 49337W100 356 12,900 Shared-Defined 1-2 12,600 0 300
Kimberly-Clark Corp Common 494368103 5,252 93,683 Shared-Defined 1-2 93,483 0 200
Komag Inc. Common 500453105 8 2,000 Shared-Defined 1-2 2,000 0 0
Kopin Corporation Common 500600101 3,493 50,802 Shared-Defined 1-2 50,802 0 0
Kroger Co. Common 501044101 10 574 Shared-Defined 1-2 0 0 574
Kronos Inc. Common 501052104 8,617 290,866 Shared-Defined 1-2 290,866 0 0
Estee Lauder Companies - Cl A Class A 518439104 159 3,182 Shared-Defined 1-2 3,182 0 0
Estee Lauder Companies - Cl B Class B 518439104 159 3,182 Shared-Defined 1-2 3,182 0 0
Leggett & Platt Inc. Common 524660107 2,004 93,200 Shared-Defined 1-2 93,200 0 0
Ligand Pharmaceuticals, Inc. Common 53220K207 331 18,655 Shared-Defined 1-2 18,655 0 0
Lilly Eli & Co. Common 532457108 10,448 166,839 Shared-Defined 1-2 166,839 0 0
SCM Microsystems, Inc. Common 5333529 631 6,507 Shared-Defined 1-2 6,507 0 0
Liposome Corp Common 536310105 524 30,000 Shared-Defined 1-2 30,000 0 0
Littlefuse, Inc. Common 537008104 7,695 209,750 Shared-Defined 1-2 209,750 0 0
Lucent Technologies Common 549463107 133 2,184 Shared-Defined 1-2 2,184 0 0
Lycos Inc. Common 550818108 11,652 165,867 Shared-Defined 1-2 164,322 0 1,545
Mattel, Inc. Common 577081102 781 74,400 Shared-Defined 1-2 74,400 0 0
Maxygen Common 577776107 328 5,030 Shared-Defined 1-2 5,030 0 0
McDonalds Corp. Common 580135101 1,238 33,116 Shared-Defined 1-2 33,116 0 0
Media Metrix, Inc. Common 58440X103 1,354 32,231 Shared-Defined 1-2 32,215 0 16
Medquist Inc. Common 584949101 8,363 307,600 Shared-Defined 1-2 307,600 0 0
Mentor Graphics Common 587200106 11,008 727,803 Shared-Defined 1-2 727,803 0 0
Merck & Co. Inc. Common 589331107 525,593 8,460,243 Shared-Defined 1-2 1,287,723 07172,520
Metamor Worldwide, Inc. Common 59133P100 113 4,000 Shared-Defined 1-2 4,000 0 0
Metromedia Fiber Network Inc. Class A 591689104 183,206 1,893,604 Shared-Defined 1-2 0 01893,604
Mettler-Toledo International Common 592688105 22 538 Shared-Defined 1-2 538 0 0
Microsoft Corp. Common 594918104 8,301 78,128 Shared-Defined 1-2 78,128 0 0
Microsemi Corp. Common 595137100 12,126 354,041 Shared-Defined 1-2 354,041 0 0
Millennium Pharmaceuticals Common 599902103 6,874 52,930 Shared-Defined 1-2 52,930 0 0
Herman Miller, Inc. Common 600544100 1,260 45,000 Shared-Defined 1-2 45,000 0 0
Minnesota Mining & Mfg. Co. Common 604059105 1,222 13,800 Shared-Defined 1-2 13,800 0 0
Momentum Business Applications Common 60877P108 3 337 Shared-Defined 1-2 337 0 0
Montana Power Co. Common 612085100 1,050 16,400 Shared-Defined 1-2 11,600 0 4,800
J.P. Morgan Common 616880100 9,526 72,300 Shared-Defined 1-2 72,150 0 150
Motorola Inc. Common 620076109 14,282 99,963 Shared-Defined 1-2 99,963 0 0
MyPoint.com Common 62855T102 1,569 58,509 Shared-Defined 1-2 58,509 0 0
Nasdaq 100 Shares Common 631100104 1,555 14,200 Shared-Defined 1-2 14,200 0 0
Neomagic Corp. Common 640497103 25 5,000 Shared-Defined 1-2 5,000 0 0
Network Associates Inc. Common 640938106 25,956 804,842 Shared-Defined 1-2 804,842 0 0
NetObjects, Inc. Common 64114L102 762 33,505 Shared-Defined 1-2 33,489 0 16
Network Appliance Inc. Common 64120L104 15,615 188,698 Shared-Defined 1-2 188,698 0 0
NetZero, Inc. Common 64122R109 31 2,000 Shared-Defined 1-2 2,000 0 0
New Era of Networks, Inc. Common 644312100 3,511 89,462 Shared-Defined 1-2 89,462 0 0
Newpark Resources, Inc. Common 651718504 5,999 749,915 Shared-Defined 1-2 749,915 0 0
Nextel Communications Inc Cl A Class A 65332V103 23,069 155,612 Shared-Defined 1-2 155,612 0 0
Norfolk Southern Corp. Common 655844108 736 51,684 Shared-Defined 1-2 51,684 0 0
Northpoint Communications Common 666610100 38 1,666 Shared-Defined 1-2 1,666 0 0
Ocean Energy Inc. Common 67481E106 20 1,385 Shared-Defined 1-2 1,385 0 0
Office Depot, Inc. Common 676220106 363 31,400 Shared-Defined 1-2 31,400 0 0
On Assignment Inc. Common 682159108 11,556 256,800 Shared-Defined 1-2 256,800 0 0
Open Market, Inc. Common 68370m100 35 631 Shared-Defined 1-2 631 0 0
Oracle Systems Common 68389X105 6,955 89,100 Shared-Defined 1-2 89,100 0 0
Oxford Health Plans Common 691471106 763 50,000 Shared-Defined 1-2 50,000 0 0
PBOC Holdings, Inc. Common 69316G108 63 7,000 Shared-Defined 1-2 7,000 0 0
PE Corp-PE Biosystems Group Common 69332S102 2,252 23,340 Shared-Defined 1-2 23,340 0 0
PE Corp-PE Celera Genomics Grp Common 69332S201 537 5,832 Shared-Defined 1-2 5,832 0 0
PIMCO Advisors Holdings L.P. Common 69338P102 152 3,975 Shared-Defined 1-2 0 0 3,975
Pall Corporation Common 696429307 9,222 411,000 Shared-Defined 1-2 411,000 0 0
Palm, Inc. Common 696642107 2 40 Shared-Defined 1-2 40 0 0
Peak International Limited Common G69586108 10,296 1,042,691 Shared-Defined 1-2 1,042,691 0 0
Peoples Heritage Fin'l Group Common 711147108 11 700 Shared-Defined 1-2 700 0 0
Peoplesoft Inc. Common 712713106 5,171 258,550 Shared-Defined 1-2 258,550 0 0
Pepsiamericas Inc. Common 71343P101 2 590 Shared-Defined 1-2 590 0 0
Pepsico, Inc Common 713448108 13,228 379,284 Shared-Defined 1-2 379,284 0 0
PerkinElmer, Inc. Common 714046109 2 25 Shared-Defined 1-2 25 0 0
Pharmacyclics Inc. Common 716933106 2,056 36,926 Shared-Defined 1-2 36,926 0 0
Pfizer Common 717081103 2,230 61,000 Shared-Defined 1-2 61,000 0 0
Pharmacia Corporation Common 71713U102 2,783 55,100 Shared-Defined 1-2 55,100 0 0
Phoenix International Life Common 718919103 1 108 Shared-Defined 1-2 108 0 0
Pivotal Corporation Common 72581R106 96 3,000 Shared-Defined 1-2 3,000 0 0
Portugal Telecom S.A. - ADR ADR 737273102 903 72,600 Shared-Defined 1-2 72,600 0 0
Powewave Technologies Inc. Common 739363109 63 500 Shared-Defined 1-2 500 0 0
Priceline.com Inc Common 741503106 16 200 Shared-Defined 1-2 200 0 0
Primus Telecommunications Common 741929103 20,139 389,639 Shared-Defined 1-2 389,639 0 0
Procter & Gamble Co. Common 742718109 1,043 18,458 Shared-Defined 1-2 18,458 0 0
Project Software & Dev.Inc. Common 74339P101 11,265 199,387 Shared-Defined 1-2 199,387 0 0
Psinet Inc. Common 74437C101 19,484 572,790 Shared-Defined 1-2 572,790 0 0
PurchasePro.Com Inc. Common 746144104 22 300 Shared-Defined 1-2 300 0 0
PurchaseSoft, Inc Common 746145101 45,731 9,627,553 Shared-Defined 1-2 9,627,553 0 0
PurchaseSoft,Inc - Ser C Warrant 746992304 167 35,007 Shared-Defined 1-2 35,007 0 0
PurchaseSoft,Inc - Ser B Warrant 74699232 167 35,007 Shared-Defined 1-2 35,007 0 0
PurchaseSoft, Inc - Ser G Warrant 746992353 133 29,881 Shared-Defined 1-2 29,881 0 0
PurchaseSoft, Inc - Ser F Warrant 74699237 133 29,880 Shared-Defined 1-2 29,880 0 0
PurchaseSoft, Inc - Ser I Warrant 746992403 294 60,000 Shared-Defined 1-2 60,000 0 0
PurchaseSoft, Inc - Ser J Warrant 746992452 140 30,000 Shared-Defined 1-2 30,000 0 0
PurchaseSoft, Inc - Ser M Warrant 746992502 16 3,200 Shared-Defined 1-2 3,200 0 0
PurchaseSoft, Inc - Ser N Warrant 746992551 7 1,600 Shared-Defined 1-2 1,600 0 0
Qualcomm Inc. Common 747525103 17,123 114,680 Shared-Defined 1-2 114,010 0 670
Range Resources Corp. Common 75281A109 1,407 662,058 Shared-Defined 1-2 662,058 0 0
Rational Software Inc. Common 75409P202 53 694 Shared-Defined 1-2 694 0 0
The Reader's Digest Assoc., Inc. Common 755267101 212 6,000 Shared-Defined 1-2 6,000 0 0
RealNetworks, Inc. Common 75605L104 7 120 Shared-Defined 1-2 120 0 0
Red Hat, Inc Common 756577102 85 2,000 Shared-Defined 1-2 2,000 0 0
Repsol S.A. ADR ADR 76026T205 128 6,000 Shared-Defined 1-2 6,000 0 0
ResMed Inc. Common 761152107 1,288 18,050 Shared-Defined 1-2 18,050 0 0
SBC Communications, Inc. Common 78387G103 17,184 407,928 Shared-Defined 1-2 406,524 0 1,404
SCM Microsystems, Inc. Common 784018103 33,761 348,052 Shared-Defined 1-2 348,052 0 0
Sabre Holdings Corporation - CL A Common 785905100 47 1,300 Shared-Defined 1-2 1,300 0 0
Safeway Inc. Common 786514208 534 11,795 Shared-Defined 1-2 0 0 11,795
SAGA SYSTEMS, Inc. Common 786610105 7,744 216,603 Shared-Defined 1-2 216,603 0 0
Sap AG - Sponsored ADR ADR 803054204 11,552 193,334 Shared-Defined 1-2 193,334 0 0
St. Jude Medical Common 790849103 77 3,000 Shared-Defined 1-2 3,000 0 0
Scholastic Corporation Common 807066105 2,265 42,000 Shared-Defined 1-2 42,000 0 0
Scottish Power Plc - ADR ADR 81013T705 358 11,300 Shared-Defined 1-2 10,900 0 400
Sepracor Inc. Common 817315104 728 10,000 Shared-Defined 1-2 10,000 0 0
Shaman Pharmaceuticals Common 819319500 0 133 Shared-Defined 1-2 133 0 0
Silknet Software, Inc. Common 827094103 25 240 Shared-Defined 1-2 240 0 0
Smithkline Beecham PLC ADR ADR 832378301 1,189 18,000 Shared-Defined 1-2 18,000 0 0
Sotheby's Holdings Inc Class A Class A 835898107 207 11,055 Shared-Defined 1-2 11,055 0 0
Southern Pacific Petroleum ADR ADR 843581307 16,279 7,336,852 Shared-Defined 1-2 7,336,852 0 0
Spieker Properties Common 848497103 18 400 Shared-Defined 1-2 400 0 0
Sprint Corp (PCS Group) Common 852061506 2,044 31,200 Shared-Defined 1-2 31,200 0 0
Spyglass Inc. Common 852192103 301 3,884 Shared-Defined 1-2 3,884 0 0
StarMedia Network, Inc. Common 855546107 32,345 1,075,934 Shared-Defined 1-2 1,075,934 0 0
Strayer Education Inc. Common 863236105 1,625 62,500 Shared-Defined 1-2 62,500 0 0
Structural Dynamics Research Common 863555108 54 4,000 Shared-Defined 1-2 4,000 0 0
Sun Microsystems Inc. Common 866810104 1,584 16,900 Shared-Defined 1-2 16,900 0 0
Sunrise Assisted Living Inc. Common 86768K106 8,183 617,556 Shared-Defined 1-2 617,556 0 0
Sykes Enterprises Common 871237103 11,493 602,903 Shared-Defined 1-2 602,903 0 0
Symbol Technologies Common 871508107 5,337 64,840 Shared-Defined 1-2 64,840 0 0
Symyx Technologies Common 87155S108 216 5,000 Shared-Defined 1-2 5,000 0 0
Target Corporation Common 87612E106 13,597 181,900 Shared-Defined 1-2 181,900 0 0
TDK Corp - ADR ADR 872351408 66 500 Shared-Defined 1-2 500 0 0
Tele Danmark As - Spons ADR ADR 879242105 464 10,000 Shared-Defined 1-2 10,000 0 0
Telefonica S.A. - ADR ADR 879382208 478 6,432 Shared-Defined 1-2 6,432 0 0
Telefonos de Mexico SA Common 879403780 533 8,000 Shared-Defined 1-2 8,000 0 0
Telescan, Inc. Common 879516102 7,694 325,663 Shared-Defined 1-2 325,663 0 0
Telesp Celular Participacoes S.A. Common 87952L108 283 5,000 Shared-Defined 1-2 5,000 0 0
Teligent, Inc Cl A Class A 87959Y103 752 11,250 Shared-Defined 1-2 11,250 0 0
Texaco Inc. Common 881694103 11 200 Shared-Defined 1-2 200 0 0
Texas Instruments Inc. Common 882508104 52,179 326,118 Shared-Defined 1-2 325,778 0 340
Texas Utilities Co. Common 882848104 96 3,240 Shared-Defined 1-2 2,880 0 360
Thermo Electron Corp Common 883556102 1,579 77,500 Shared-Defined 1-2 77,500 0 0
Thermolase Corp. Common 883624108 0 193 Shared-Defined 1-2 193 0 0
Thermolase Corp - Units Common 883624207 10 536 Shared-Defined 1-2 536 0 0
Thermotrex Corp. Common 883666109 5 517 Shared-Defined 1-2 517 0 0
Thermedics, Inc. Common 883901100 144 17,550 Shared-Defined 1-2 17,550 0 0
3-Com Corp. - Restricted Common 885535104 41 744 Shared-Defined 1-2 744 0 0
3DFX Interactive Inc. Common 88553X103 292 24,469 Shared-Defined 1-2 24,469 0 0
Transaction Systems
Architects, Inc. Common 893416107 664 23,000 Shared-Defined 1-2 23,000 0 0
Travelocity.com Inc. Common 893953109 59 2,000 Shared-Defined 1-2 2,000 0 0
Trex Medical Corp. Common 89531R101 914 304,663 Shared-Defined 1-2 304,663 0 0
Triangle Pharmaceuticals Inc. Common 89589H104 1,038 65,883 Shared-Defined 1-2 65,126 0 757
Triquint Semiconductor, Inc. Common 89674K103 233 3,170 Shared-Defined 1-2 3,170 0 0
TriPath Imaging, Inc. Common 896942109 106 11,854 Shared-Defined 1-2 11,854 0 0
Tyco International Ltd Common 902124106 421 8,408 Shared-Defined 1-2 7,784 0 624
uBid, Inc. Common 903469104 117 4,000 Shared-Defined 1-2 4,000 0 0
Union Pacific Corp. Common 907818108 78 2,000 Shared-Defined 1-2 2,000 0 0
United Pan-Europe ADR 911300200 10,021 202,180 Shared-Defined 1-2 202,180 0 0
United Parcel Service Common 911312106 7,990 127,839 Shared-Defined 1-2 127,839 0 0
United Technologies Corp. Common 913017109 638 10,100 Shared-Defined 1-2 10,100 0 0
UnitedGlobalCom Common 913247508 37,611 501,058 Shared-Defined 1-2 500,558 0 500
Univision Communications, Inc. Common 914906102 20,017 177,141 Shared-Defined 1-2 176,891 0 250
Unocal Corp. Common 915289102 443 14,900 Shared-Defined 1-2 14,900 0 0
UnumProvident Corp. Common 91529Y106 58 3,400 Shared-Defined 1-2 3,400 0 0
USInternetworking Inc. Common 917311805 27,907 720,168 Shared-Defined 1-2 707,892 0 12,276
Vail Resorts, Inc. Common 91879Q109 8 500 Shared-Defined 1-2 500 0 0
Vical, Inc. Common 925602104 1,314 39,233 Shared-Defined 1-2 39,233 0 0
Vignette Corp. Common 926734104 401 2,500 Shared-Defined 1-2 2,500 0 0
Virginia Capital Bancshares, Common 927758102 67 4,600 Shared-Defined 1-2 4,600 0 0
Visual Networks, Inc. Common 928444108 10,511 185,212 Shared-Defined 1-2 185,212 0 0
Wal Mart Stores Inc. Common 931142103 1,062 18,800 Shared-Defined 1-2 18,800 0 0
Warner Lambert Common 934488107 15,239 156,000 Shared-Defined 1-2 156,000 0 0
Warwick Community Bancorp Common 936559103 14 1,400 Shared-Defined 1-2 1,400 0 0
Waters Corporation Common 941848103 1,048 11,000 Shared-Defined 1-2 11,000 0 0
WebTrends Corporation Common 94844D104 360 5,000 Shared-Defined 1-2 5,000 0 0
Wellpoint Health Networks Inc. Common 94973H108 7,535 107,840 Shared-Defined 1-2 107,840 0 0
Wells Fargo Company Common 949746101 3,016 74,000 Shared-Defined 1-2 73,500 0 500
Wesco International, Inc. Common 95082P105 4,702 606,750 Shared-Defined 1-2 606,750 0 0
Whole Foods Market, Inc. Common 966837106 1,687 40,700 Shared-Defined 1-2 40,700 0 0
Williams Co Inc. Common 969457100 791 18,000 Shared-Defined 1-2 18,000 0 0
Wind River Systems Common 973149107 14,395 397,117 Shared-Defined 1-2 397,117 0 0
Windmere-Durable Holdings, Inc Common 973411101 8,474 574,486 Shared-Defined 1-2 574,486 0 0
Winstar Communications Inc. Common 975515107 27,867 464,457 Shared-Defined 1-2 463,857 0 600
Wit Capital Group Common 97737K309 686 40,081 Shared-Defined 1-2 40,081 0 0
WorldGate Communications,Inc. Common 98156L307 74 2,451 Shared-Defined 1-2 2,451 0 0
Worldcom Inc. Common 98157D106 9,353 206,414 Shared-Defined 1-2 205,664 0 750
Xerox Corp. Common 984121103 10,480 403,082 Shared-Defined 1-2 403,082 0 0
Yahoo! Inc. Common 984332106 6,321 36,884 Shared-Defined 1-2 36,884 0 0
Transocean Sedco Forex Inc. Common G90078009 15 290 Shared-Defined 1-2 290 0 0
358 2,598,505
</TABLE>
<TABLE>
<CAPTION>
FORM 13F (03-31-00) NAME OF REPORTING MANAGER
ROCKEFELLER FINANCIAL SERVICES/ROCKEFELLER & CO., INC./THE ROCKEFELLER TRUST COMPANY
Title Value Shares Put Call Investment Other Voting Authority Shares
Name of Issuer of Class Cusip (x$1,000) or Shr/P Discretion Managers A.Sole B.Shared C.None
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
3DFX Interactive Inc. Common 88553X103 44 3,672 Shared-Defined 1-2 252 0 3,420
Abbott Laboratories Common 002824100 10,250 291,308 Shared-Defined 1-2 261,308 0 30,000
Aes Corp. Common 00130H105 13,931 176,900 Shared-Defined 1-2 172,900 0 4,000
Aetna Inc. Common 008117103 416 7,500 Shared-Defined 1-2 7,500 0 0
Aflac, Inc. Common 001055102 4,524 99,300 Shared-Defined 1-2 99,300 0 0
America Online Inc. Common 02364J104 2,101 30,900 Shared-Defined 1-2 30,900 0 0
American Home Products Corp. Common 026609107 161 3,000 Shared-Defined 1-2 3,000 0 0
American International Group Common 026874107 16,416 149,915 Shared-Defined 1-2 128,665 0 21,250
American Superconductor Corp. Common 030111108 59 1,333 Shared-Defined 1-2 1,106 0 227
Amgen Inc. Common 031162100 2,081 33,900 Shared-Defined 1-2 33,900 0 0
Apollo Group Common 037604105 2,707 96,020 Shared-Defined 1-2 96,020 0 0
Apple Computer Inc. Common 037833100 3,518 25,900 Shared-Defined 1-2 25,900 0 0
Applied Materials Common 038222105 8,684 92,140 Shared-Defined 1-2 61,140 0 31,000
AT & T Corp. Common 001957109 808 14,355 Shared-Defined 1-2 14,355 0 0
Avery Dennison Corp. Common 053611109 73 1,200 Shared-Defined 1-2 1,200 0 0
Axa-Uap - ADR ADR 054536107 143 2,000 Shared-Defined 1-2 2,000 0 0
Bank of America Corporation Common 060505104 2,910 55,500 Shared-Defined 1-2 55,500 0 0
Bell Atlantic Corp. Common 077853109 1,216 19,900 Shared-Defined 1-2 6,000 0 13,900
Bellsouth Corp. Common 079860102 1,313 28,000 Shared-Defined 1-2 28,000 0 0
Bowater Inc Common 102183100 673 12,600 Shared-Defined 1-2 12,600 0 0
Bristol Myers Squibb Co. Common 110122108 3,673 63,400 Shared-Defined 1-2 63,400 0 0
Celeritek, Inc. Common 150926103 10 162 Shared-Defined 1-2 162 0 0
Chase Manhattan Corp. Common 16161A108 3,907 44,808 Shared-Defined 1-2 44,808 0 0
Chevron Corp Common 166751107 13,884 150,200 Shared-Defined 1-2 119,700 0 30,500
Ciena Corp. Common 171779101 770 6,105 Shared-Defined 1-2 6,105 0 0
Cisco Systems, Inc. Common 17275R102 18,560 240,070 Shared-Defined 1-2 207,070 0 33,000
Citigroup Inc. Common 172967101 934 15,600 Shared-Defined 1-2 15,600 0 0
Cognex Corp. Common 192422103 151 2,625 Shared-Defined 1-2 2,625 0 0
Columbia/HCA Healthcare Corp. Common 197677107 1,130 44,660 Shared-Defined 1-2 44,660 0 0
Continental Airlines Inc, Cl B Common 210795308 204 5,000 Shared-Defined 1-2 5,000 0 0
Convergys Corp. Common 212485106 5,559 143,700 Shared-Defined 1-2 143,700 0 0
Cox Communications Inc Cl-A Class A 224044107 4,158 85,733 Shared-Defined 1-2 85,733 0 0
Delphi Automotive Systems Corp Common 247126105 733 45,800 Shared-Defined 1-2 45,800 0 0
Disney, Walt Co. Common 254687106 755 18,300 Shared-Defined 1-2 18,300 0 0
DoubleClick, Inc. Common 258609304 4,281 45,720 Shared-Defined 1-2 45,156 0 564
Dupont, E.I. de Nemours & Co. Common 263534109 1,853 35,000 Shared-Defined 1-2 33,500 0 1,500
Echelon Corporation-Restricted Common 27874N105 47 713 Shared-Defined 1-2 713 0 0
Elan Corp PLC - ADR ADR 284131208 174 3,654 Shared-Defined 1-2 3,654 0 0
Emerson Electric Co. Common 291011104 1,137 21,400 Shared-Defined 1-2 21,400 0 0
Exxon Mobil Corporation Common 30231G102 42,276 542,429 Shared-Defined 1-2 422,429 0 120,000
Family Dollar Stores, Inc. Common 307000109 1,084 52,100 Shared-Defined 1-2 48,100 0 4,000
Federal Realty Investment Tr. Common 313747206 50 2,600 Shared-Defined 1-2 2,600 0 0
Galileo Intl Inc. Common 363547100 1 30 Shared-Defined 1-2 30 0 0
General Electric Co. Common 369604103 48,966 314,642 Shared-Defined 1-2 200,542 0 114,100
General Growth Properties Common 370021107 554 18,200 Shared-Defined 1-2 18,200 0 0
Global Telesystems Group, Inc. Common 37936U104 2,843 138,700 Shared-Defined 1-2 138,700 0 0
Hershey Foods Corp. Common 427866108 293 6,000 Shared-Defined 1-2 3,500 0 2,500
Hewlett Packard Co Common 428236103 4,863 36,600 Shared-Defined 1-2 36,600 0 0
Home Depot Inc. Common 437076102 387 6,000 Shared-Defined 1-2 6,000 0 0
Idexx Laboratories Inc. Common 45168D104 31 1,313 Shared-Defined 1-2 1,313 0 0
Incyte Pharmaceuticals Inc. Common 45337C102 431 4,932 Shared-Defined 1-2 4,662 0 270
Int'l Business Machines Corp. Common 459200101 18,660 158,134 Shared-Defined 1-2 147,542 0 10,592
Intel Corp. Common 458140100 15,555 117,900 Shared-Defined 1-2 115,900 0 2,000
Iona Technologies Plc-ADR ADR 46206P109 2,170 29,330 Shared-Defined 1-2 29,330 0 0
J.P. Morgan Common 616880100 4,387 33,300 Shared-Defined 1-2 27,300 0 6,000
Johnson & Johnson Common 478160104 221 3,149 Shared-Defined 1-2 3,149 0 0
Kerr-McGee Corp Common 492386107 49 848 Shared-Defined 1-2 848 0 0
KeySpan Corporation Common 49337W100 73 2,640 Shared-Defined 1-2 2,640 0 0
Kimberly-Clark Corp Common 494368103 1,665 29,700 Shared-Defined 1-2 29,700 0 0
Ligand Pharmaceuticals, Inc. Common 53220K207 25 1,421 Shared-Defined 1-2 964 0 457
Lilly Eli & Co. Common 532457108 1,015 16,200 Shared-Defined 1-2 16,200 0 0
Lycos Inc. Common 550818108 1,776 25,281 Shared-Defined 1-2 24,953 0 328
Media Metrix, Inc. Common 58440X103 46 1,099 Shared-Defined 1-2 1,099 0 0
MediaOne Group Inc. Common 58440J104 1,296 16,000 Shared-Defined 1-2 16,000 0 0
Merck & Co. Inc. Common 589331107 10,772 173,400 Shared-Defined 1-2 166,600 0 6,800
Millennium Pharmaceuticals Common 599902103 745 5,736 Shared-Defined 1-2 5,736 0 0
Minnesota Mining & Mfg. Co. Common 604059105 1,861 21,014 Shared-Defined 1-2 19,714 0 1,300
Motorola Inc. Common 620076109 1,672 11,700 Shared-Defined 1-2 11,700 0 0
NetObjects, Inc. Common 64114L102 26 1,162 Shared-Defined 1-2 1,162 0 0
Network Associates Inc. Common 640938106 8,401 260,500 Shared-Defined 1-2 253,500 0 7,000
New Era of Networks, Inc. Common 644312100 332 8,462 Shared-Defined 1-2 8,256 0 206
Nextel Communications Inc Cl A Class A 65332V103 2,863 19,310 Shared-Defined 1-2 19,310 0 0
Norfolk Southern Corp. Common 655844108 627 44,000 Shared-Defined 1-2 24,000 0 20,000
Office Depot, Inc. Common 676220106 161 13,900 Shared-Defined 1-2 13,900 0 0
Oracle Systems Common 68389X105 2,115 27,100 Shared-Defined 1-2 27,100 0 0
PE Corp-PE Biosystems Group Common 69332S102 117 1,212 Shared-Defined 1-2 856 0 356
PE Corp-PE Celera Genomics Grp Common 69332S201 28 302 Shared-Defined 1-2 214 0 88
Pepsico, Inc Common 713448108 263 7,550 Shared-Defined 1-2 7,550 0 0
Pharmacyclics Inc. Common 716933106 117 2,096 Shared-Defined 1-2 2,096 0 0
Procter & Gamble Co. Common 742718109 223 3,950 Shared-Defined 1-2 3,950 0 0
Project Software & Dev. Inc. Common 74339P101 1,959 34,674 Shared-Defined 1-2 34,674 0
Psinet Inc. Common 74437C101 6,283 184,700 Shared-Defined 1-2 160,300 0 24,400
Qualcomm Inc. Common 747525103 1,090 7,300 Shared-Defined 1-2 7,300 0 0
SBC Communications, Inc. Common 78387G103 838 19,902 Shared-Defined 1-2 6,300 0 13,602
SCM Microsystems, Inc. Common 784018103 2,512 25,900 Shared-Defined 1-2 25,170 0 730
SCM Microsystems, Inc. Common 5333529 164 1,693 Shared-Defined 1-2 1,606 0 87
Smithkline Beecham PLC ADR ADR 832378301 8 125 Shared-Defined 1-2 125 0 0
Southern Pacific Petroleum ADR ADR 843581307 227 102,300 Shared-Defined 1-2 102,300 0 0
Spieker Properties Common 848497103 89 2,000 Shared-Defined 1-2 2,000 0 0
StarMedia Network, Inc. Common 855546107 601 20,000 Shared-Defined 1-2 20,000 0 0
Target Corporation Common 87612E106 3,752 50,200 Shared-Defined 1-2 50,200 0 0
TDK Corp - ADR ADR 872351408 184 1,400 Shared-Defined 1-2 1,400 0 0
Teligent, Inc Cl A Class A 87959Y103 134 2,000 Shared-Defined 1-2 2,000 0 0
Texas Instruments Inc. Common 882508104 29,453 184,080 Shared-Defined 1-2 163,080 0 21,000
The Interpublic Group
of Companies, Inc. Common 460690100 1,323 28,000 Shared-Defined 1-2 28,000 0 0
The Reader's Digest Assoc.,Inc. Common 755267101 1,426 40,300 Shared-Defined 1-2 40,300 0 0
Thermotrex Corp. Common 883666109 4 346 Shared-Defined 1-2 346 0 0
Triangle Pharmaceuticals Inc. Common 89589H104 31 1,989 Shared-Defined 1-2 1,669 0 320
Triquint Semiconductor, Inc. Common 89674K103 10 140 Shared-Defined 1-2 140 0 0
U.S. WEST, Inc. Common 91273H101 298 4,109 Shared-Defined 1-2 4,109 0 0
United Parcel Service Common 911312106 3,712 59,386 Shared-Defined 1-2 44,126 0 15,260
UnitedGlobalCom Common 913247508 3,453 46,000 Shared-Defined 1-2 31,800 0 14,200
Univision Communications, Inc. Common 914906102 6,328 56,000 Shared-Defined 1-2 56,000 0 0
USInternetworking Inc. Common 917311805 2,669 68,876 Shared-Defined 1-2 68,876 0 0
Vical, Inc. Common 925602104 48 1,429 Shared-Defined 1-2 967 0 462
Visual Networks, Inc. Common 928444108 1,926 33,932 Shared-Defined 1-2 32,100 0 1,832
Warner Lambert Common 934488107 938 9,600 Shared-Defined 1-2 9,600 0 0
Wellpoint Health Networks Inc. Common 94973H108 710 10,160 Shared-Defined 1-2 10,160 0 0
Wells Fargo Company Common 949746101 3,091 75,850 Shared-Defined 1-2 75,850 0 0
Winstar Communications Inc. Common 975515107 7,530 125,500 Shared-Defined 1-2 122,500 0 3,000
Worldcom Inc. Common 98157D106 3,881 85,650 Shared-Defined 1-2 71,700 0 13,950
Xerox Corp. Common 984121103 4,646 178,700 Shared-Defined 1-2 178,700 0 0
112 402,309
</TABLE>
