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: 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 November 14, 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 September 30, 2000
<PAGE>
The schedule attached, headed Rockefeller Financial Services, Inc.
/Rockefeller & Co., Inc. / The Rockefeller Trust Company, includes 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
September 30, 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).)
<PAGE>
Form 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 2
Form 13F Information Table Entry Total: 531
Form 13F Information Table Value Total: $3,162,695 (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
<PAGE>
<TABLE>
<CAPTION>
FORM 13F (09-30-00) NAME OF REPORTING MANAGER
ROCKEFELLER FINANCIAL SERVICES/ROCKEFELLER & CO., INC.
Title of Value Shares or Shr/P Put Call Investment Other Voting Authority Shares
Name of Issuer Class Cusip (x$1,000) Principal rn Discretion Mgrs. A.Sole B.Shared C.None
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
ABN AMRO Holding NV - Spon ADR ADR 000937102 19 807 Shared-Defined 1 807 0 0
Aflac, Inc. Common 001055102 25,570 395,670 Shared-Defined 1 395,670 0 0
Aes Corp. Common 00130H105 34,629 505,390 Shared-Defined 1 505,390 0 0
AT & T Corp. Common 001957109 9,477 326,800 Shared-Defined 1 326,800 0 0
AT&T Corp. - Liberty Media
Grp A Shs Class A 001957208 7,476 413,900 Shared-Defined 1 413,900 0 0
Abbott Laboratories Common 002824100 19,329 406,400 Shared-Defined 1 406,400 0 0
Adac Laboratories - New Common 005313200 10,683 513,291 Shared-Defined 1 513,291 0 0
Adaptec, Inc. Common 00651F108 40 2,000 Shared-Defined 1 2,000 0 0
Adelphia Communications Corp. Class A 006848105 3 100 Shared-Defined 1 100 0 0
Advantage Learning Systems, Common 00757K100 1,052 30,000 Shared-Defined 1 30,000 0 0
Advanced Micro Devices Inc. Common 007903107 24 1,000 Shared-Defined 1 1,000 0 0
Aetna Inc. Common 008117103 93 1,600 Shared-Defined 1 1,600 0 0
Affymetrix, Inc. Common 00826T108 499 10,000 Shared-Defined 1 10,000 0 0
Agilent Technologies, Inc. Common 00846U101 478 9,774 Shared-Defined 1 9,774 0 0
AgriBioTech, Inc. Common 008494106 0 30 Shared-Defined 1 30 0 0
Alaska Pacific Bancshares Common 011757101 54 4,750 Shared-Defined 1 4,750 0 0
Alcoa Inc. Common 013817101 11,917 470,796 Shared-Defined 1 470,796 0 0
Alcatel SA - Sponsored ADR Common 013904305 5,528 87,919 Shared-Defined 1 87,919 0 0
Alkermes, Inc. (New) Common 01642T108 2,129 55,122 Shared-Defined 1 55,122 0 0
Alpha Industries, Inc. Common 020753109 170 5,000 Shared-Defined 1 5,000 0 0
ALZA Corp. Common 022615108 6,470 74,800 Shared-Defined 1 74,800 0 0
America Online Inc. Common 02364J104 17,462 325,480 Shared-Defined 1 324,980 0 500
American Express Co. Common 025816109 1,829 30,100 Shared-Defined 1 30,100 0 0
American Home Products Corp. Common 026609107 226 4,000 Shared-Defined 1 4,000 0 0
American International Group Common 026874107 26,094 272,703 Shared-Defined 1 272,703 0 0
American Superconductor Corp. Common 030111108 6,394 130,081 Shared-Defined 1 130,081 0 0
AmeriVest Properties Inc. Common 03071L101 191 42,441 Shared-Defined 1 42,441 0 0
Amgen Inc. Common 031162100 5,104 73,100 Shared-Defined 1 73,100 0 0
Amkor Technology, Inc. Common 031652100 7,990 305,854 Shared-Defined 1 305,854 0 0
Anheuser-Busch Companies, Inc. Common 035229103 846 20,000 Shared-Defined 1 20,000 0 0
Apollo Group Common 037604105 8,089 202,870 Shared-Defined 1 202,870 0 0
Apple Computer Inc. Common 037833100 10,755 417,670 Shared-Defined 1 417,670 0 0
Applica Incorporated Common 03815A106 3,784 611,586 Shared-Defined 1 611,586 0 0
Applied Materials Common 038222105 8,456 142,560 Shared-Defined 1 142,560 0 0
Applied Micro Circuits Corp. Common 03822W109 1,242 6,000 Shared-Defined 1 6,000 0 0
Archer Daniels Midland Co. Common 039483102 153 17,707 Shared-Defined 1 17,707 0 0
Ariba, Inc. Common 04033V104 4,060 28,341 Shared-Defined 1 28,341 0 0
Artesyn Technologies, Inc. Common 043127109 11,784 404,600 Shared-Defined 1 404,600 0 0
Ask Jeeves, Inc. Common 045174109 220 11,450 Shared-Defined 1 11,450 0 0
AstroPower, Inc. Common 04644A101 991 25,000 Shared-Defined 1 25,000 0 0
Aura Systems, Inc. Common 051526101 0 285 Shared-Defined 1 285 0 0
Axa-Uap - ADR ADR 054536107 55 855 Shared-Defined 1 855 0 0
Axys Pharmaceuticals Inc. Common 054635107 95 13,904 Shared-Defined 1 13,904 0 0
BISYS Group Inc. Common 055472104 12,871 166,477 Shared-Defined 1 166,477 0 0
BP Amoco Plc - ADR Common 055622104 22,500 424,522 Shared-Defined 1 418,426 0 6,096
Ballard Power Systems Inc. Common 05858H104 2,950 27,000 Shared-Defined 1 27,000 0 0
Bank of America Corp. Common 060505104 12,701 242,500 Shared-Defined 1 242,500 0 0
Bank of New York Inc Common 064057102 463 8,200 Shared-Defined 1 8,200 0 0
Banknorth Group Inc. Common 06646R107 13 700 Shared-Defined 1 700 0 0
Banta Corp. Common 066821109 59 2,400 Shared-Defined 1 2,400 0 0
Belden, Inc. Common 077459105 489 20,700 Shared-Defined 1 20,700 0 0
Bellsouth Corp. Common 079860102 162 4,000 Shared-Defined 1 4,000 0 0
Berkshire Hathaway Inc - Cl B Common 084670207 62 30 Shared-Defined 1 30 0 0
Biochem Pharma Inc. Common 09058T108 154 7,000 Shared-Defined 1 7,000 0 0
Boeing Co. Common 097023105 252 3,900 Shared-Defined 1 3,900 0 0
Borg-Warner Automotive Common 099724106 497 15,000 Shared-Defined 1 15,000 0 0
Bowater Inc Common 102183100 7,625 164,200 Shared-Defined 1 164,200 0 0
Bristol Myers Squibb Co. Common 110122108 6,595 114,700 Shared-Defined 1 114,700 0 0
Buffets Inc. Common 119882108 6,900 501,813 Shared-Defined 1 501,813 0 0
Burlington Resources Inc. Common 122014103 101 2,742 Shared-Defined 1 2,742 0 0
Caliper Technolgies Corp. Common 130876105 4,489 77,486 Shared-Defined 1 73,311 0 4,175
Calpine Corp. Common 131347106 627 6,000 Shared-Defined 1 6,000 0 0
Caremark Rx, Inc. Common 141705103 30 2,656 Shared-Defined 1 2,656 0 0
Catalytica Inc. Common 148885106 1,114 90,000 Shared-Defined 1 90,000 0 0
Caterpillar Inc. Common 149123101 93 3,004 Shared-Defined 1 3,004 0 0
Central Pacific Minerals ADR ADR 154762306 8,429 2,386,864 Shared-Defined 1 2,386,864 0 0
Chase Manhattan Corp. Common 16161A108 58,665 1,270,152 Shared-Defined 1 1,270,152 0 0
Chevron Corp Common 166751107 31,071 364,466 Shared-Defined 1 364,466 0 0
Chiron Corp Common 170040109 1,350 30,000 Shared-Defined 1 30,000 0 0
ChoicePoint, Inc. Common 170388102 5,152 112,305 Shared-Defined 1 112,305 0 0
Chubb Corp. Common 171232101 47 600 Shared-Defined 1 600 0 0
Ciena Corp. Common 171779101 76,309 621,342 Shared-Defined 1 602,246 0 19,096
Cisco Systems, Inc. Common 17275R102 35,981 651,233 Shared-Defined 1 639,251 0 11,982
Citigroup Inc. Common 172967101 27,884 515,774 Shared-Defined 1 515,774 0 0
Citrix Systems Inc. Common 177376100 803 40,000 Shared-Defined 1 40,000 0 0
Clinichem Dev Inc. Cl A Class A 186906103 1 85 Shared-Defined 1 85 0 0
Cognex Corp. Common 192422103 1,878 47,609 Shared-Defined 1 47,609 0 0
Commerce One, Inc. Common 200693109 133 1,700 Shared-Defined 1 1,700 0 0
Compaq Computer Corp. Common 204493100 1,145 41,170 Shared-Defined 1 41,170 0 0
Computer Sciences Corp. Common 205363104 1,188 16,000 Shared-Defined 1 16,000 0 0
Computer Task Group Common 205477102 118 37,800 Shared-Defined 1 37,800 0 0
Com21 Inc. Common 205937105 34 2,500 Shared-Defined 1 2,500 0 0
Conexant Systems, Inc. Common 207142100 7,353 175,600 Shared-Defined 1 175,600 0 0
Conoco Inc. - Cl B Common 208251405 8 307 Shared-Defined 1 307 0 0
Continental Airlines Inc, Cl B Common 210795308 21,160 465,700 Shared-Defined 1 465,700 0 0
Convergys Corp. Common 212485106 18,993 488,560 Shared-Defined 1 488,560 0 0
CoreComm Limited Common 21869Q108 3 359 Shared-Defined 1 359 0 0
Cost Plus Inc./California Common 221485105 3,814 126,600 Shared-Defined 1 126,600 0 0
Costco Wholesale Corp. Common 22160K105 6,949 198,900 Shared-Defined 1 198,900 0 0
Cousins Properties Inc. Common 222795106 4,306 100,000 Shared-Defined 1 100,000 0 0
Cox Communications Inc Cl-A Class A 224044107 696 18,200 Shared-Defined 1 18,200 0 0
CRIIMI MAE, Inc. 12.00%
Series F Pfd Preferrd 226603306 0 1 Shared-Defined 1 1 0 0
Critical Path Inc. Common 22674V100 182 3,000 Shared-Defined 1 3,000 0 0
Cross Timbers Oil Company Common 227573102 8,493 442,650 Shared-Defined 1 442,650 0 0
Cymer Inc. Common 232572107 307 10,000 Shared-Defined 1 10,000 0 0
DQE, Inc. Common 23329J104 562 14,000 Shared-Defined 1 14,000 0 0
DVI, Inc. Common 233343102 7,032 361,794 Shared-Defined 1 361,794 0 0
Dal-Tile International,Inc. Common 23426R108 7,568 605,474 Shared-Defined 1 605,474 0 0
Delphi Automotive Systems Corp. Common 247126105 19,009 1,256,791 Shared-Defined 2 1,256,791 0 0
DeVry, Inc. Common 251893103 1,505 40,000 Shared-Defined 1 40,000 0 0
Dime Bancorp Inc. (New) Common 25429Q102 1,624 73,000 Shared-Defined 1 73,000 0 0
Disney, Walt Co. Common 254687106 7,605 198,830 Shared-Defined 1 198,830 0 0
Dollar General Corp. Common 256669102 1,394 83,250 Shared-Defined 1 83,250 0 0
DoubleClick, Inc. Common 258609304 3,337 104,279 Shared-Defined 1 104,279 0 0
Dover Corp. Common 260003108 2,065 44,000 Shared-Defined 1 44,000 0 0
Dupont, E.I. de Nemours & Co. Common 263534109 6 146 Shared-Defined 1 146 0 0
Duke Power Common 264399106 11,493 134,004 Shared-Defined 1 133,900 0 104
Dura Automotive Systems, Inc. Common 265903104 964 104,410 Shared-Defined 1 104,410 0 0
Emc Corp. Mass Common 268648102 249 2,510 Shared-Defined 1 2,510 0 0
Enron Oil & Gas Corp. Common 26875P101 2,488 64,000 Shared-Defined 1 64,000 0 0
E.Piphany, Inc. Common 26881V100 65 846 Shared-Defined 1 846 0 0
Earthlink, Inc. Common 270321102 44 4,845 Shared-Defined 1 4,845 0 0
Echelon Corp. - Common Common 27874N105 2,960 100,770 Shared-Defined 1 100,770 0 0
EchoStar Communications
Corporation Cl A Class A 278762109 11,691 221,628 Shared-Defined 1 221,628 0 0
Education Management Corp. Common 28139T101 2,155 80,000 Shared-Defined 1 80,000 0 0
Elan Corp PLC - ADR ADR 284131208 2,058 37,594 Shared-Defined 1 37,594 0 0
Emerson Electric Co. Common 291011104 295 4,400 Shared-Defined 1 4,400 0 0
Endesa S.A. - Sponsored ADR ADR 29258N107 188 10,000 Shared-Defined 1 10,000 0 0
Enron Corp. Common 293561106 4,558 52,000 Shared-Defined 1 52,000 0 0
Ericsson Tel - ADR (New) Common 294821400 22,826 1,541,000 Shared-Defined 1 1,541,000 0 0
Excelon Corp. Common 300691102 9,192 742,824 Shared-Defined 1 742,824 0 0
Exide Corp. Common 302051107 4,980 549,488 Shared-Defined 1 549,488 0 0
Exxon Mobil Corp. Common 30231G102 79,326 890,253 Shared-Defined 1 890,253 0 0
FEI Company Common 30241L109 10 465 Shared-Defined 1 465 0 0
F.Y.I. Incorporated Common 302712104 12,219 326,927 Shared-Defined 1 326,927 0 0
FactSet Research Systems, Inc. Common 303075105 14,568 387,450 Shared-Defined 1 387,450 0 0
Family Dollar Stores, Inc. Common 307000109 18,418 956,770 Shared-Defined 1 956,770 0 0
Farm Family Holdings Inc. Common 307901108 3 107 Shared-Defined 1 107 0 0
Federal National Mortgage Assoc. Common 313586109 2,202 30,800 Shared-Defined 1 30,800 0 0
F5 Networks, Inc. Common 315616102 170 5,000 Shared-Defined 1 5,000 0 0
Financial Federal Corp. Common 317492106 46 1,902 Shared-Defined 1 1,902 0 0
First Data Corp. Common 319963104 242 6,200 Shared-Defined 1 6,200 0 0
First Union Corp. Common 337358105 31 972 Shared-Defined 1 972 0 0
FleetBoston Financial Corp. Common 339030108 289 7,400 Shared-Defined 1 7,400 0 0
Florida Progress Corp. Common 341109106 87 1,650 Shared-Defined 1 1,350 0 300
Foundry Networks Inc. Common 35063R100 284 4,250 Shared-Defined 1 4,250 0 0
Fresenius Medical Care - ADR ADR 358029106 553 18,500 Shared-Defined 1 18,500 0 0
Galileo Intl Inc. Common 363547100 4 233 Shared-Defined 1 233 0 0
Gateway Inc. Common 367626108 1,192 24,700 Shared-Defined 1 24,700 0 0
Gemstar Int'l Group Ltd . Common 36866W106 2,999 34,400 Shared-Defined 1 34,400 0 0
General Electric Co. Common 369604103 75,687 1,309,184 Shared-Defined 1 1,309,184 0 0
General Growth Properties Common 370021107 3,547 110,200 Shared-Defined 1 110,200 0 0
General Motors Corp. Common 370442105 14,255 219,300 Shared-Defined 1 219,300 0 0
General Motors Corp - Class H Class H 370442832 14,698 395,328 Shared-Defined 1 395,328 0 0
Getty Images, Inc. Common 374276103 8,893 292,157 Shared-Defined 1 292,157 0 0
Gilead Sciences Inc. Common 375558103 2,218 20,222 Shared-Defined 1 20,222 0 0
Gillette Co. Common 375766102 124 4,000 Shared-Defined 1 4,000 0 0
Glaxo Wellcome Plc ADR ADR 37733W105 453 7,500 Shared-Defined 1 4,000 0 3,500
Global Telesystems Group, Inc. Common 37936U104 4 900 Shared-Defined 1 900 0 0
GOTO.COM Inc. Common 38348T107 1,008 61,083 Shared-Defined 1 61,083 0 0
Guidant Corp. Common 401698105 17 246 Shared-Defined 1 246 0 0
HCA-The Healthcare Corp. Common 404119109 1,622 43,700 Shared-Defined 1 43,700 0 0
The Hain Food Group, Inc. Common 405217100 1,777 50,600 Shared-Defined 1 50,600 0 0
Halliburton Co. Common 406216101 509 10,400 Shared-Defined 1 10,400 0 0
Hartford Financial Services Common 416515104 350 4,800 Shared-Defined 1 4,800 0 0
Healthcare Services Group. Common 421906108 2,688 544,458 Shared-Defined 1 544,458 0 0
Healthsouth Corp. Common 421924101 4 486 Shared-Defined 1 486 0 0
Healthcare Realty Trust Inc. Common 421946104 1,107 52,400 Shared-Defined 1 52,400 0 0
Hewlett Packard Co Common 428236103 3,758 38,740 Shared-Defined 1 38,740 0 0
Home Depot Inc. Common 437076102 8,179 154,500 Shared-Defined 1 153,750 0 750
Honeywell Inc. Common 438516106 242 6,800 Shared-Defined 1 6,800 0 0
IDEC Pharmaceuticals Corp. Common 449370105 7,169 40,882 Shared-Defined 1 40,882 0 0
Idexx Laboratories Inc. Common 45168D104 1,743 65,175 Shared-Defined 1 65,175 0 0
Incyte Genomics, Inc. Common 45337C102 128 3,118 Shared-Defined 1 3,118 0 0
Inktomi Corp. Common 457277101 1,850 16,224 Shared-Defined 1 16,224 0 0
Intel Corp. Common 458140100 15,408 370,722 Shared-Defined 1 369,922 0 800
Int'l Business Machines Corp. Common 459200101 36,831 327,025 Shared-Defined 1 326,825 0 200
Internet Capital Group Common 46059C106 5 285 Shared-Defined 1 285 0 0
The Interpublic Group of
Companies.,Inc. Common 460690100 9,401 276,000 Shared-Defined 1 276,000 0 0
InterWorld Corp. Common 46114Q108 248 65,000 Shared-Defined 1 65,000 0 0
Interwoven Inc. Common 46114T102 2,383 21,079 Shared-Defined 1 21,079 0 0
Iona Technologies Plc-ADR ADR 46206P109 23,581 339,300 Shared-Defined 1 339,300 0 0
Ionics Inc. Common 462218108 618 29,000 Shared-Defined 1 29,000 0 0
Iron Mountain Inc. Common 462846106 10,368 280,216 Shared-Defined 1 280,216 0 0
iShares Inc MSCI United Kingdom Common 464286699 2,405 134,539 Shared-Defined 1 134,539 0 0
iShares MSCI Japan Index Fund Common 464286848 41 3,100 Shared-Defined 1 3,100 0 0
I2 Technologies Inc. Common 465754109 26 200 Shared-Defined 1 200 0 0
iVillage Inc. Common 46588H105 59 15,139 Shared-Defined 1 15,139 0 0
JDS Uniphase Corp. Common 46612J101 568 6,000 Shared-Defined 1 6,000 0 0
Jabil Circuit, Inc. Common 466313103 1,510 26,600 Shared-Defined 1 26,600 0 0
Johnson & Johnson Common 478160104 6,342 67,514 Shared-Defined 1 67,514 0 0
Juniper Networks, Inc. Common 48203R104 303 1,386 Shared-Defined 1 1,386 0 0
Jupiter Media Metrix, Inc. Common 48206U104 1,059 66,420 Shared-Defined 1 64,953 0 1,467
Kana Communications, Inc. Common 483600102 159 7,152 Shared-Defined 1 7,152 0 0
Keycorp Common 493267108 4,556 180,000 Shared-Defined 1 180,000 0 0
KeySpan Corp. Common 49337W100 518 12,900 Shared-Defined 1 12,600 0 300
Kimberly-Clark Corp Common 494368103 5,226 93,633 Shared-Defined 1 93,633 0 0
Koninklijke Philips
Elect-N.V. NY Shs Common 500472303 34,599 814,101 Shared-Defined 1 814,101 0 0
Kopin Corp. Common 500600101 1,829 101,604 Shared-Defined 1 101,604 0 0
Kroger Co. Common 501044101 13 574 Shared-Defined 1 0 0 574
Kronos Inc. Common 501052104 8,876 295,866 Shared-Defined 1 295,866 0 0
Estee Lauder Companies - Cl A Class A 518439104 117 3,182 Shared-Defined 1 3,182 0 0
Estee Lauder Companies - Cl B Class B 518439104 117 3,182 Shared-Defined 1 3,182 0 0
Leggett & Platt Inc. Common 524660107 12,312 778,600 Shared-Defined 1 778,600 0 0
Ligand Pharmaceuticals, Inc. Common 53220K207 232 18,119 Shared-Defined 1 18,119 0 0
Lilly Eli & Co. Common 532457108 9,402 115,900 Shared-Defined 1 115,900 0 0
SCM Microsystems, Inc. Common 5333529 117 3,019 Shared-Defined 1 3,019 0 0
Littelfuse, Inc. Common 537008104 7,358 247,845 Shared-Defined 1 247,845 0 0
Lucent Technologies Common 549463107 1,601 52,484 Shared-Defined 1 52,484 0 0
Lycos Inc. Common 550818108 10,138 147,422 Shared-Defined 1 146,825 0 597
Mattel, Inc. Common 577081102 1,711 148,800 Shared-Defined 1 148,800 0 0
Maxygen Common 577776107 259 5,000 Shared-Defined 1 5,000 0 0
McDonalds Corp. Common 580135101 966 32,000 Shared-Defined 1 32,000 0 0
The McGraw-Hill Companies, Inc. Common 580645109 1,042 16,400 Shared-Defined 1 16,400 0 0
Medquist Inc. Common 584949101 5,085 251,907 Shared-Defined 1 251,907 0 0
Mentor Graphics Common 587200106 15,264 647,803 Shared-Defined 1 647,803 0 0
Merck & Co. Inc. Common 589331107 615,718 8,271,611 Shared-Defined 1 463,464 0 7,808,147
Metromedia Fiber Network Inc. Class A 591689104 92,076 3,787,208 Shared-Defined 1 0 0 3,787,208
Mettler-Toledo International Common 592688105 24 538 Shared-Defined 1 538 0 0
Microsoft Corp. Common 594918104 5,837 96,778 Shared-Defined 1 96,778 0 0
Microsemi Corp. Common 595137100 13,498 354,041 Shared-Defined 1 354,041 0 0
Millennium Pharmaceuticals Common 599902103 15,895 108,822 Shared-Defined 1 108,822 0 0
Herman Miller, Inc. Common 600544100 1,443 45,000 Shared-Defined 1 45,000 0 0
Minnesota Mining & Mfg. Co. Common 604059105 1,687 18,514 Shared-Defined 1 18,514 0 0
Montana Power Co. Common 612085100 548 16,400 Shared-Defined 1 14,800 0 1,600
J.P. Morgan Common 616880100 11,591 70,950 Shared-Defined 1 70,800 0 150
Morgan Stanley Dean Witter & Co. Common 617446448 2,185 23,900 Shared-Defined 1 23,900 0 0
Motorola Inc. Common 620076109 14,409 497,940 Shared-Defined 1 497,940 0 0
MyPoint.com Common 62855T102 322 58,509 Shared-Defined 1 58,509 0 0
NTL Incorporated Common 629407107 8,937 192,969 Shared-Defined 1 192,161 0 808
Nabisco Holdings Corp. Class A Class A 629526104 11,068 205,910 Shared-Defined 1 205,910 0 0
Neoforma.com, Inc. Common 640475109 498 133,936 Shared-Defined 1 119,395 0 14,541
Neomagic Corp. Common 640497103 19 5,000 Shared-Defined 1 5,000 0 0
Network Associates Inc. Common 640938106 20,673 913,703 Shared-Defined 1 913,703 0 0
Netcentives Inc. Common 64108P101 57 7,508 Shared-Defined 1 7,508 0 0
NetObjects, Inc. Common 64114L102 50 16,077 Shared-Defined 1 16,077 0 0
Network Appliance Inc. Common 64120L104 13,922 109,303 Shared-Defined 1 109,303 0 0
New Era of Networks, Inc. Common 644312100 7,281 299,273 Shared-Defined 1 299,273 0 0
Newpark Resources, Inc. Common 651718504 6,937 749,915 Shared-Defined 1 749,915 0 0
Nextel Communications Inc Cl A Class A 65332V103 8,797 188,180 Shared-Defined 1 188,180 0 0
Niku Corp. Common 654113109 6,056 248,453 Shared-Defined 1 233,535 0 14,918
Nokia - ADR A Class A 654902204 28,467 696,430 Shared-Defined 1 696,430 0 0
Norfolk Southern Corp. Common 655844108 710 48,939 Shared-Defined 1 48,939 0 0
Nortel Networks Corp. ADR 656568102 8,819 146,071 Shared-Defined 1 146,071 0 0
Northpoint Communications Common 666610100 15 1,666 Shared-Defined 1 1,666 0 0
Ocean Energy Inc. Common 67481E106 21 1,385 Shared-Defined 1 1,385 0 0
Office Depot, Inc. Common 676220106 8 1,000 Shared-Defined 1 1,000 0 0
On Assignment Inc. Common 682159108 15,273 486,800 Shared-Defined 1 486,800 0 0
Oracle Systems Common 68389X105 4,760 60,450 Shared-Defined 1 60,450 0 0
PartnerRe Ltd. Common 6852T105 152 3,200 Shared-Defined 1 3,200 0 0
PBOC Holdings, Inc. Common 69316G108 60 7,000 Shared-Defined 1 7,000 0 0
PE Corp-PE Biosystems Group Common 69332S102 11,115 95,390 Shared-Defined 1 95,390 0 0
PE Corp-PE Celera Genomics Grp Common 69332S201 581 5,832 Shared-Defined 1 5,832 0 0
Pall Corp. Common 696429307 16,510 828,080 Shared-Defined 1 828,080 0 0
Palm, Inc. Common 696642107 58 1,104 Shared-Defined 1 1,104 0 0
Peoplesoft Inc. Common 712713106 5,076 181,700 Shared-Defined 1 181,700 0 0
Pepsico, Inc Common 713448108 17,342 377,000 Shared-Defined 1 377,000 0 0
PerkinElmer, Inc. Common 714046109 3 25 Shared-Defined 1 25 0 0
Pharmacyclics Inc. Common 716933106 1,921 38,715 Shared-Defined 1 38,715 0 0
Pfizer Inc. Common 717081103 20,679 460,375 Shared-Defined 1 460,375 0 0
Pharmacia Corp. Common 71713U102 20,404 339,012 Shared-Defined 1 339,012 0 0
Portugal Telecom S.A. - ADR ADR 737273102 203 20,000 Shared-Defined 1 20,000 0 0
Powerwave Technologies Inc. Common 739363109 95 2,500 Shared-Defined 1 2,500 0 0
Priceline.com Inc Common 741503106 2 200 Shared-Defined 1 200 0 0
Primus Telecommunications Common 741929103 5,066 533,289 Shared-Defined 1 533,289 0 0
Procter & Gamble Co. Common 742718109 228 3,400 Shared-Defined 1 3,400 0 0
Project Software & Dev. Inc. Common 74339P101 4,252 273,477 Shared-Defined 1 273,477 0 0
Psinet Inc. Common 74437C101 52 5,382 Shared-Defined 1 5,382 0 0
Puma Technology, Inc. Common 745887109 81 3,974 Shared-Defined 1 3,974 0 0
PurchaseSoft, Inc Common 746145101 24,069 9,627,553 Shared-Defined 1 9,627,553 0 0
PurchaseSoft,Inc - Ser C Warrant 746992304 69 35,007 Shared-Defined 1 35,007 0 0
PurchaseSoft,Inc - Ser B Warrant 74699232 69 35,007 Shared-Defined 1 35,007 0 0
PurchaseSoft, Inc - Ser G Warrant 746992353 49 29,881 Shared-Defined 1 29,881 0 0
PurchaseSoft, Inc - Ser F Warrant 74699237 49 29,880 Shared-Defined 1 29,880 0 0
PurchaseSoft, Inc - Ser I Warrant 746992403 126 60,000 Shared-Defined 1 60,000 0 0
PurchaseSoft, Inc - Ser J Warrant 746992452 56 30,000 Shared-Defined 1 30,000 0 0
PurchaseSoft, Inc - Ser M Warrant 746992502 7 3,200 Shared-Defined 1 3,200 0 0
PurchaseSoft, Inc - Ser N Warrant 746992551 3 1,600 Shared-Defined 1 1,600 0 0
Qualcomm Inc. Common 747525103 4,247 59,600 Shared-Defined 1 59,600 0 0
Range Resources Corp. Common 75281A109 3,211 667,258 Shared-Defined 1 667,258 0 0
Rational Software Inc. Common 75409P202 82 1,188 Shared-Defined 1 1,188 0 0
The Reader's Digest Assoc., Inc. Common 755267101 373 10,550 Shared-Defined 1 10,550 0 0
Red Hat, Inc Common 756577102 34 2,000 Shared-Defined 1 2,000 0 0
Repsol YPF, S.A. ADR 76026T205 110 6,000 Shared-Defined 1 6,000 0 0
ResMed Inc. Common 761152107 1,142 36,540 Shared-Defined 1 36,540 0 0
Ribozyme Pharmaceuticals, Inc. Common 762567105 637 21,973 Shared-Defined 1 21,311 0 662
Royal Dutch Petroleum
Co.-NY Shrs ADR 780257804 1,822 30,390 Shared-Defined 1 24,150 0 6,240
SBC Communications, Inc. Common 78387G103 20,246 405,928 Shared-Defined 1 405,928 0 0
SCM Microsystems, Inc. Common 784018103 8,421 221,979 Shared-Defined 1 221,979 0 0
S&P 500 Depository Receipt Common 78462F103 7,181 50,000 Shared-Defined 1 50,000 0 0
Safeguard Scientifics, Inc. Common 786449108 40 2,000 Shared-Defined 1 2,000 0 0
Safeway Inc. Common 786514208 551 11,795 Shared-Defined 1 0 0 11,795
SAGA SYSTEMS, Inc. Common 786610105 5,155 490,913 Shared-Defined 1 490,913 0 0
St. Jude Medical Common 790849103 153 3,000 Shared-Defined 1 3,000 0 0
Sap AG - Sponsored ADR ADR 803054204 2,941 47,820 Shared-Defined 1 47,820 0 0
Schlumberger Ltd. Common 806857108 123 1,500 Shared-Defined 1 1,500 0 0
Scholastic Corp. Common 807066105 3,342 42,000 Shared-Defined 1 42,000 0 0
School Specialty, Inc. Common 807863105 533 25,000 Shared-Defined 1 25,000 0 0
Scottish Power Plc - ADR ADR 81013T705 416 13,852 Shared-Defined 1 13,388 0 464
Selectica, Inc. Common 816288104 322 8,075 Shared-Defined 1 8,075 0 0
Sepracor Inc. Common 817315104 1,227 10,000 Shared-Defined 1 10,000 0 0
Shaman Pharmaceuticals Common 819319500 0 133 Shared-Defined 1 133 0 0
SmartForce PLC - Sponsored ADR Common 83170A206 1,184 25,000 Shared-Defined 1 25,000 0 0
Smithkline Beecham PLC ADR ADR 832378301 1,235 18,000 Shared-Defined 1 18,000 0 0
Sotheby's Holdings Inc Class A Class A 835898107 191 7,685 Shared-Defined 1 7,685 0 0
Southern Pacific Petroleum ADR ADR 843581307 13,583 7,493,992 Shared-Defined 1 7,493,992 0 0
Spherion Corp. Common 848420105 955 80,000 Shared-Defined 1 80,000 0 0
Spieker Properties Common 848497103 23 400 Shared-Defined 1 400 0 0
Sprint Corp (PCS Group) Common 852061506 3,168 90,200 Shared-Defined 1 90,200 0 0
StarMedia Network, Inc. Common 855546107 8,013 1,068,334 Shared-Defined 1 1,068,334 0 0
STMicroelectronics-N.V. NY Shs Common 861012102 35,551 744,523 Shared-Defined 1 744,523 0 0
Strayer Education Inc. Common 863236105 410 18,750 Shared-Defined 1 18,750 0 0
Sun Microsystems Inc. Common 866810104 1,973 16,900 Shared-Defined 1 16,900 0 0
Sunrise Assisted Living Inc. Common 86768K106 12,743 587,556 Shared-Defined 1 587,556 0 0
Sykes Enterprises Common 871237103 3,460 643,752 Shared-Defined 1 643,752 0 0
Symbol Technologies Common 871508107 3,495 97,259 Shared-Defined 1 97,259 0 0
Symyx Technologies Common 87155S108 8,646 199,323 Shared-Defined 1 191,552 0 7,771
TDK Corp - ADR ADR 872351408 64 500 Shared-Defined 1 500 0 0
TXU Corp. Common 873168108 128 3,240 Shared-Defined 1 3,240 0 0
Telefonica S.A. - ADR ADR 879382208 6,358 106,973 Shared-Defined 1 106,973 0 0
Telefonos de Mexico SA Common 879403780 425 8,000 Shared-Defined 1 8,000 0 0
Telesp Celular Participacoes S.A. Common 87952L108 165 5,000 Shared-Defined 1 5,000 0 0
Texaco Inc. Common 881694103 11 200 Shared-Defined 1 200 0 0
Texas Instruments Inc. Common 882508104 33,577 706,892 Shared-Defined 1 706,212 0 680
Thermo Electron Corp Common 883556102 2,226 85,599 Shared-Defined 1 85,599 0 0
Thermolase Corp - Units Common 883556201 10 536 Shared-Defined 1 536 0 0
3Com Corp. Common 885535104 14 744 Shared-Defined 1 744 0 0
3DFX Interactive Inc. Common 88553X103 93 19,155 Shared-Defined 1 19,155 0 0
Time Warner Inc. Common 887315109 1,684 21,500 Shared-Defined 1 21,500 0 0
Total Fina Elf SA - Spons ADR ADR 89151E109 29 399 Shared-Defined 1 399 0 0
Transaction Systems
Architects, Inc. Common 893416107 374 23,000 Shared-Defined 1 23,000 0 0
Triangle Pharmaceuticals Inc. Common 89589H104 251 29,729 Shared-Defined 1 29,729 0 0
Triquint Semiconductor, Inc. Common 89674K103 267 7,340 Shared-Defined 1 7,340 0 0
TriPath Imaging, Inc. Common 896942109 83 11,854 Shared-Defined 1 11,854 0 0
Tumbleweed Communications Corp. Common 899690101 4,123 80,839 Shared-Defined 1 79,666 0 1,173
Tyco International Ltd Common 902124106 436 8,408 Shared-Defined 1 8,408 0 0
Unilever NV - NY Shares Common 904784709 27 550 Shared-Defined 1 550 0 0
Union Pacific Corp. Common 907818108 78 2,000 Shared-Defined 1 2,000 0 0
UnionBanCal Corp. Common 908906100 56 2,400 Shared-Defined 1 2,400 0 0
United Pan-Europe
Communications - ADR 911300200 6,830 351,400 Shared-Defined 1 351,400 0 0
United Parcel Service Common 911312106 9,646 171,109 Shared-Defined 1 171,109 0 0
United Technologies Corp. Common 913017109 701 10,100 Shared-Defined 1 10,100 0 0
UnitedGlobalCom Common 913247508 18,095 603,160 Shared-Defined 1 602,660 0 500
Univision Communications, Inc. Common 914906102 5,222 139,730 Shared-Defined 1 139,230 0 500
Unocal Corp. Common 915289102 418 11,800 Shared-Defined 1 11,800 0 0
USInternetworking, Inc. Common 917311805 3,790 568,038 Shared-Defined 1 553,473 0 14,565
Vail Resorts, Inc. Common 91879Q109 10 500 Shared-Defined 1 500 0 0
Verizon Communications Common 92343V104 1,331 27,478 Shared-Defined 1 27,172 0 306
Vical, Inc. Common 925602104 1,015 39,233 Shared-Defined 1 39,233 0 0
Vignette Corp. Common 926734104 224 7,500 Shared-Defined 1 7,500 0 0
Virginia Capital Bancshares, Common 927758102 53 3,100 Shared-Defined 1 3,100 0 0
Visual Networks, Inc. Common 928444108 863 131,456 Shared-Defined 1 131,456 0 0
Vodafone Group PLC - SP ADR Common 92857W100 5,289 142,941 Shared-Defined 1 142,941 0 0
Wal Mart Stores Inc. Common 931142103 7,878 163,700 Shared-Defined 1 163,700 0 0
WebTrends Corp. Common 94844D104 187 5,000 Shared-Defined 1 5,000 0 0
Wellpoint Health Networks Inc. Common 94973H108 10,458 108,940 Shared-Defined 1 108,940 0 0
Wells Fargo Company Common 949746101 13,297 289,450 Shared-Defined 1 288,950 0 500
Wesco International, Inc. Common 95082P105 6,131 766,395 Shared-Defined 1 766,395 0 0
Whole Foods Market, Inc. Common 966837106 1,356 25,265 Shared-Defined 1 25,265 0 0
Williams Co Inc. Common 969457100 761 18,000 Shared-Defined 1 18,000 0 0
Wind River Systems Common 973149107 15,863 330,917 Shared-Defined 1 330,917 0 0
Winstar Communications Inc. Common 975515107 5,582 360,100 Shared-Defined 1 359,500 0 600
Wit Soundview Group, Inc. Common 977383108 190 21,152 Shared-Defined 1 21,152 0 0
WorldGate Communications,Inc. Common 98156L307 93 4,451 Shared-Defined 1 4,451 0 0
Worldcom Inc. Common 98157D106 2,067 68,053 Shared-Defined 1 67,303 0 750
Xerox Corp. Common 984121103 908 60,501 Shared-Defined 1 60,501 0 0
Yahoo! Inc. Common 984332106 3,356 36,884 Shared-Defined 1 36,884 0 0
Lernout & Hauspie Speech Prods Common B5628B104 179 13,600 Shared-Defined 1 13,600 0 0
DaimlerChrysler AG Common D1668R123 83 1,870 Shared-Defined 1 1,870 0 0
Global Crossing Ltd Common G3921A100 2,814 90,787 Shared-Defined 1 90,787 0 0
OpenTV Corp. Common G67543101 60 1,795 Shared-Defined 1 1,795 0 0
Peak Int'l Ltd Common G69586108 6,191 773,822 Shared-Defined 1 773,822 0 0
Checkpoint Software Common M22465104 37,183 236,085 Shared-Defined 1 236,085 0 0
Gilat Satellite Networks Ltd. Common M51474100 12 150 Shared-Defined 1 150 0 0
ASM Lithography Hldgs NV Common N07059111 1,163 36,000 Shared-Defined 1 36,000 0 0
Bladex (Banco Latino
Americano De Common P16994132 804 28,980 Shared-Defined 1 28,980 0 0
Flextronics International Ltd. Common Y2573F102 9,732 118,500 Shared-Defined 1 118,500 0 0
367 2,733,131
FORM 13F(09-30-00) NAME OF REPORTING MANAGER
ROCKEFELLER FINANCIAL SERVICES/ROCKEFELLER & CO., INC./THE ROCKEFELLER TRUST COMPANY
Title of Cusip Value Shares or Shr/PPut Call Investment Other Voting Authority Shares
Name of Issuer Class (x$1,000) Principal rn Discretion Mgrs. A.Sole B.Shared C.None
ABN AMRO Holding NV-Spon ADR ADR 000937102 9 378 Shared-Defined 1-2 378 0 0
Aflac, Inc. Common 001055102 6,256 96,800 Shared-Defined 1-2 96,800 0 0
Aes Corp. Common 00130H105 18,726 273,300 Shared-Defined 1-2 273,300 0 0
AT & T Corp. Common 001957109 1,138 39,249 Shared-Defined 1-2 39,249 0 0
AT&T Corp.-Liberty
Media Grp A Shs Class A 001957208 3,486 193,000 Shared-Defined 1-2 153,000 0 40,000
Abbott Laboratories Common 002824100 13,522 284,308 Shared-Defined 1-2 260,308 0 24,000
Adaptec, Inc. Common 00651F108 22 1,100 Shared-Defined 1-2 1,100 0 0
Aetna Inc. Common 008117103 163 2,800 Shared-Defined 1-2 2,800 0 0
Agilent Technologies, Inc. Common 00846U101 709 14,491 Shared-Defined 1-2 14,491 0 0
Alcoa Inc. Common 013817101 1,544 61,000 Shared-Defined 1-2 61,000 0 0
Alcatel SA-Sponsored ADR Common 013904305 422 6,710 Shared-Defined 1-2 230 0 6,480
Altera Corp. Common 021441100 0 3 Shared-Defined 1-2 3 0 0
America Online Inc. Common 02364J104 5,687 106,000 Shared-Defined 1-2 106,000 0 0
American International Group Common 026874107 21,005 219,514 Shared-Defined 1-2 196,077 0 23,437
American Superconductor Corp. Common 030111108 66 1,333 Shared-Defined 1-2 1,333 0 0
Amgen Inc. Common 031162100 1,634 23,400 Shared-Defined 1-2 23,400 0 0
Apollo Group Common 037604105 489 12,270 Shared-Defined 1-2 12,270 0 0
Apple Computer Inc. Common 037833100 869 33,730 Shared-Defined 1-2 33,730 0 0
Applied Materials Common 038222105 5,358 90,340 Shared-Defined 1-2 59,340 0 31,000
At Home Corp.-Series A Series A 045919107 2 134 Shared-Defined 1-2 134 0 0
AstraZeneca Group Plc
-Spons ADR ADR 046353108 19 356 Shared-Defined 1-2 356 0 0
Avery Dennison Corp. Common 053611109 56 1,200 Shared-Defined 1-2 1,200 0 0
Axa-Uap-ADR ADR 054536107 140 2,165 Shared-Defined 1-2 2,165 0 0
BP Amoco Plc-ADR Common 055622104 3,948 74,492 Shared-Defined 1-2 74,492 0 0
Bank of America Corp. Common 060505104 4,033 77,000 Shared-Defined 1-2 77,000 0 0
Bank One Corp. Common 06423A103 41 1,086 Shared-Defined 1-2 1,086 0 0
Bell & Howell Co. Common 077852101 8 350 Shared-Defined 1-2 350 0 0
Bellsouth Corp. Common 079860102 1,134 28,000 Shared-Defined 1-2 28,000 0 0
Bowater Inc Common 102183100 585 12,600 Shared-Defined 1-2 12,600 0 0
Bristol Myers Squibb Co. Common 110122108 3,565 62,000 Shared-Defined 1-2 62,000 0 0
Caliper Technolgies Corp. Common 130876105 119 2,047 Shared-Defined 1-2 2,047 0 0
Celeritek, Inc. Common 150926103 6 162 Shared-Defined 1-2 162 0 0
Chase Manhattan Corp. Common 16161A108 2,926 63,342 Shared-Defined 1-2 63,342 0 0
Chevron Corp Common 166751107 12,805 150,200 Shared-Defined 1-2 122,200 0 28,000
Ciena Corp. Common 171779101 1,651 13,440 Shared-Defined 1-2 13,440 0 0
Cisco Systems, Inc. Common 17275R102 13,105 237,194 Shared-Defined 1-2 204,194 0 33,000
Citigroup Inc. Common 172967101 1,124 20,798 Shared-Defined 1-2 20,798 0 0
Clayton Homes, Inc. Common 184190106 31 3,100 Shared-Defined 1-2 3,100 0 0
Coca Cola Co. Common 191216100 61 1,100 Shared-Defined 1-2 1,100 0 0
Compuware Corp. Common 205638109 11 1,325 Shared-Defined 1-2 1,325 0 0
Continental Airlines Inc, Cl B Common 210795308 1,054 23,200 Shared-Defined 1-2 23,200 0 0
Convergys Corp. Common 212485106 5,062 130,200 Shared-Defined 1-2 130,200 0 0
Covad Communications Group, Common 222814204 13 1,000 Shared-Defined 1-2 1,000 0 0
Cox Communications Inc Cl-A Class A 224044107 1,825 47,700 Shared-Defined 1-2 47,700 0 0
CRIIMI MAE, Inc. 12.00%
Series F Pfd Preferred 226603306 0 5 Shared-Defined 1-2 5 0 0
Delphi Automotive Systems Corp Common 247126105 850 56,200 Shared-Defined 1-2 56,200 0 0
Disney, Walt Co. Common 254687106 1,446 37,800 Shared-Defined 1-2 37,800 0 0
DoubleClick, Inc. Common 258609304 1,391 43,476 Shared-Defined 1-2 43,476 0 0
Duke Power Common 264399106 5,618 65,500 Shared-Defined 1-2 65,500 0 0
Echelon Corp.-Common Common 27874N105 21 713 Shared-Defined 1-2 713 0 0
Ecolab Inc. Common 278865100 38 1,050 Shared-Defined 1-2 1,050 0 0
Elan Corp PLC-ADR ADR 284131208 63 1,144 Shared-Defined 1-2 1,144 0 0
Emerson Electric Co. Common 291011104 1,434 21,400 Shared-Defined 1-2 21,400 0 0
Enron Corp. Common 293561106 53 600 Shared-Defined 1-2 600 0 0
Ericsson Tel -ADR (New) Common 294821400 901 60,800 Shared-Defined 1-2 60,800 0 0
Exxon Mobil Corp. Common 30231G102 48,656 546,051 Shared-Defined 1-2 426,051 0 120,000
Family Dollar Stores, Inc. Common 307000109 1,003 52,100 Shared-Defined 1-2 52,100 0 0
Federal Realty Investment Tr. Common 313747206 50 2,600 Shared-Defined 1-2 2,600 0 0
Gabelli Convertible Securities
Fund Common 36240B109 43 4,400 Shared-Defined 1-2 4,400 0 0
Galileo Intl Inc. Common 363547100 0 30 Shared-Defined 1-2 30 0 0
Gemstar Int'l Group Ltd . Common 36866W106 1,212 13,900 Shared-Defined 1-2 13,900 0 0
General Dynamics Corp. Common 369550108 7 110 Shared-Defined 1-2 110 0 0
General Electric Co. Common 369604103 51,817 896,286 Shared-Defined 1-2 600,386 0 295,900
General Growth Properties Common 370021107 515 16,000 Shared-Defined 1-2 16,000 0 0
General Motors Corp. Common 370442105 24 375 Shared-Defined 1-2 375 0 0
General Motors Corp-Class H Class H 370442832 1,685 45,318 Shared-Defined 1-2 45,318 0 0
Gillette Co. Common 375766102 9 300 Shared-Defined 1-2 300 0 0
HCA-The Healthcare Corp. Common 404119109 1,109 29,860 Shared-Defined 1-2 29,860 0 0
HSBC Holdings plc-Spons ADR ADR 404280406 11 150 Shared-Defined 1-2 150 0 0
Hewlett Packard Co Common 428236103 3,686 38,000 Shared-Defined 1-2 38,000 0 0
Home Depot Inc. Common 437076102 318 6,000 Shared-Defined 1-2 6,000 0 0
Illinois Tool Works Inc. Common 452308109 28 500 Shared-Defined 1-2 500 0 0
Incyte Genomics, Inc. Common 45337C102 277 6,738 Shared-Defined 1-2 6,738 0 0
ING Groep N.V.-Sponsored ADR ADR 456837103 13 190 Shared-Defined 1-2 190 0 0
Intel Corp. Common 458140100 9,647 232,098 Shared-Defined 1-2 232,098 0 0
Int'l Business Machines Corp. Common 459200101 11,351 100,784 Shared-Defined 1-2 92,284 0 8,500
The Interpublic Group of
Companies, Inc. Common 460690100 5,487 161,100 Shared-Defined 1-2 138,100 0 23,000
Iona Technologies Plc-ADR ADR 46206P109 1,691 24,330 Shared-Defined 1-2 24,330 0 0
Johnson & Johnson Common 478160104 501 5,338 Shared-Defined 1-2 5,338 0 0
Jupiter Media Metrix, Inc. Common 48206U104 34 2,153 Shared-Defined 1-2 2,153 0 0
Kerr-McGee Corp Common 492386107 142 2,148 Shared-Defined 1-2 2,148 0 0
Kimberly-Clark Corp Common 494368103 1,585 28,400 Shared-Defined 1-2 28,400 0 0
Koninklijke Philips Elect-
N.V. NY Shs Common 500472303 3,362 79,116 Shared-Defined 1-2 79,116 0 0
Ligand Pharmaceuticals, Inc. Common 53220K207 18 1,421 Shared-Defined 1-2 1,421 0 0
Lilly Eli & Co. Common 532457108 1,420 17,500 Shared-Defined 1-2 17,500 0 0
SCM Microsystems, Inc. Common 5333529 61 1,578 Shared-Defined 1-2 1,578 0 0
Lucent Technologies Common 549463107 1,034 33,900 Shared-Defined 1-2 33,900 0 0
Lycos Inc. Common 550818108 1,649 23,977 Shared-Defined 1-2 23,977 0 0
McDonalds Corp. Common 580135101 18 600 Shared-Defined 1-2 600 0 0
The McGraw-Hill Companies, Inc. Common 580645109 216 3,400 Shared-Defined 1-2 3,400 0 0
Merck & Co. Inc. Common 589331107 11,322 152,100 Shared-Defined 1-2 148,100 0 4,000
Microsoft Corp. Common 594918104 27 450 Shared-Defined 1-2 450 0 0
Millennium Pharmaceuticals Common 599902103 1,243 8,510 Shared-Defined 1-2 8,510 0 0
Minnesota Mining & Mfg. Co. Common 604059105 1,841 20,200 Shared-Defined 1-2 20,200 0 0
J.P. Morgan Common 616880100 5,522 33,800 Shared-Defined 1-2 29,300 0 4,500
Motorola Inc. Common 620076109 1,016 35,100 Shared-Defined 1-2 35,100 0 0
NTL Incorporated Common 629407107 6,104 131,802 Shared-Defined 1-2 131,802 0 0
Nabisco Holdings Corp. Class A Class A 629526104 4,436 82,530 Shared-Defined 1-2 82,530 0 0
Neoforma.com, Inc. Common 640475109 11 3,009 Shared-Defined 1-2 3,009 0 0
Network Associates Inc. Common 640938106 4,444 196,400 Shared-Defined 1-2 196,400 0 0
New Era of Networks, Inc. Common 644312100 182 7,478 Shared-Defined 1-2 7,478 0 0
Nextel Communications Inc Cl A Class A 65332V103 1,333 28,520 Shared-Defined 1-2 28,520 0 0
Niku Corp. Common 654113109 111 4,559 Shared-Defined 1-2 4,559 0 0
Nippon Telegraph & Tel.Corp. ADR 654624105 5 100 Shared-Defined 1-2 100 0 0
Nokia-ADR A Class A 654902204 13,571 332,000 Shared-Defined 1-2 272,000 0 60,000
Norfolk Southern Corp. Common 655844108 638 44,000 Shared-Defined 1-2 24,000 0 20,000
Nortel Networks Corp. ADR 656568102 565 9,356 Shared-Defined 1-2 9,356 0 0
Oracle Systems Common 68389X105 3,150 40,000 Shared-Defined 1-2 40,000 0 0
PE Corp-PE Biosystems Group Common 69332S102 6,905 59,262 Shared-Defined 1-2 59,262 0 0
PE Corp-PE Celera Genomics Grp Common 69332S201 11 114 Shared-Defined 1-2 114 0 0
Pall Corp. Common 696429307 3,202 160,600 Shared-Defined 1-2 160,600 0 0
Pharmacyclics Inc. Common 716933106 15 307 Shared-Defined 1-2 307 0 0
Pfizer Inc. Common 717081103 828 18,425 Shared-Defined 1-2 18,425 0 0
Pharmacia Corp. Common 71713U102 2,070 34,400 Shared-Defined 1-2 34,400 0 0
Procter & Gamble Co. Common 742718109 20 300 Shared-Defined 1-2 300 0 0
Project Software & Dev. Inc. Common 74339P101 407 26,201 Shared-Defined 1-2 26,201 0 0
Psinet Inc. Common 74437C101 52 5,400 Shared-Defined 1-2 5,400 0 0
Qualcomm Inc. Common 747525103 143 2,000 Shared-Defined 1-2 2,000 0 0
Qwest Communications Int'l.Inc. Common 749121109 742 15,410 Shared-Defined 1-2 15,410 0 0
The Reader's Digest
Association, Inc. Common 755267101 1,404 39,750 Shared-Defined 1-2 39,750 0 0
Ribozyme Pharmaceuticals, Inc. Common 762567105 17 598 Shared-Defined 1-2 598 0 0
Royal Dutch Petroleum Co.
-NY Shrs ADR 780257804 46 765 Shared-Defined 1-2 765 0 0
SBC Communications, Inc. Common 78387G103 993 19,902 Shared-Defined 1-2 6,300 0 13,602
SCM Microsystems, Inc. Common 784018103 458 12,070 Shared-Defined 1-2 12,070 0 0
S3 Incorporated Common 784849101 13 1,275 Shared-Defined 1-2 1,275 0 0
Sangstat Medical Corp. Common 801003104 9 725 Shared-Defined 1-2 725 0 0
Sony Corp.-Spons ADR ADR 835699307 10 100 Shared-Defined 1-2 100 0 0
Southern Pacific Petroleum ADR ADR 843581307 185 102,300 Shared-Defined 1-2 102,300 0 0
Spieker Properties Common 848497103 115 2,000 Shared-Defined 1-2 2,000 0 0
StarMedia Network, Inc. Common 855546107 150 20,000 Shared-Defined 1-2 20,000 0 0
STMicroelectronics-N.V. NY Shs Common 861012102 13,951 292,174 Shared-Defined 1-2 241,174 0 51,000
Sun Microsystems Inc. Common 866810104 105 900 Shared-Defined 1-2 900 0 0
Symyx Technologies Common 87155S108 187 4,315 Shared-Defined 1-2 4,315 0 0
TDK Corp-ADR ADR 872351408 180 1,400 Shared-Defined 1-2 1,400 0 0
Target Corp. Common 87612E106 2,470 96,400 Shared-Defined 1-2 96,400 0 0
Texas Instruments Inc. Common 882508104 14,319 301,460 Shared-Defined 1-2 265,460 0 36,000
3Com Corp. Common 885535104 12 650 Shared-Defined 1-2 650 0 0
3DFX Interactive Inc. Common 88553X103 17 3,420 Shared-Defined 1-2 0 0 3,420
Tidewater Inc. Common 886423102 73 1,600 Shared-Defined 1-2 1,600 0 0
Total Fina Elf SA-Spons ADR ADR 89151E109 14 190 Shared-Defined 1-2 190 0 0
Triangle Pharmaceuticals Inc. Common 89589H104 14 1,669 Shared-Defined 1-2 1,669 0 0
Triquint Semiconductor, Inc. Common 89674K103 10 280 Shared-Defined 1-2 280 0 0
Tumbleweed Communications Corp. Common 899690101 60 1,167 Shared-Defined 1-2 1,167 0 0
Unilever Plc-Sponsored ADR ADR 904767704 5 187 Shared-Defined 1-2 187 0 0
United Dominion Realty
Trust, Inc. Common 910197102 16 1,500 Shared-Defined 1-2 1,500 0 0
United Parcel Service Common 911312106 5,258 93,262 Shared-Defined 1-2 78,002 0 15,260
UnitedGlobalCom Common 913247508 1,380 46,000 Shared-Defined 1-2 31,800 0 14,200
Univision Communications, Inc. Common 914906102 2,646 70,786 Shared-Defined 1-2 70,786 0 0
USInternetworking, Inc. Common 917311805 286 42,808 Shared-Defined 1-2 42,808 0 0
Verizon Communications Common 92343V104 964 19,900 Shared-Defined 1-2 6,000 0 13,900
Vical, Inc. Common 925602104 12 462 Shared-Defined 1-2 462 0 0
Visual Networks, Inc. Common 928444108 110 16,806 Shared-Defined 1-2 15,426 0 1,380
Vitesse Semiconductor Corp. Common 928497106 19 212 Shared-Defined 1-2 212 0 0
Vodafone Group PLC-SP ADR Common 92857W100 1,425 38,500 Shared-Defined 1-2 27,000 0 11,500
Waters Corp. Common 941848103 25 276 Shared-Defined 1-2 276 0 0
Wellpoint Health Networks Inc. Common 94973H108 601 6,260 Shared-Defined 1-2 6,260 0 0
Wells Fargo Co. Common 949746101 7,901 172,000 Shared-Defined 1-2 172,000 0 0
Winstar Communications Inc. Common 975515107 1,422 91,750 Shared-Defined 1-2 91,750 0 0
Worldcom Inc. Common 98157D106 2,287 75,300 Shared-Defined 1-2 61,350 0 13,950
Xerox Corp. Common 984121103 83 5,500 Shared-Defined 1-2 5,500 0 0
Checkpoint Software Common M22465104 3,053 19,384 Shared-Defined 1-2 19,384 0 0
Gilat Satellite Networks Ltd. Common M51474100 46 600 Shared-Defined 1-2 600 0 0
Bladex (Banco Latino
Americano De Common P16994132 342 12,330 Shared-Defined 1-2 12,330 0 0
Flextronics International Ltd. Common Y2573F102 2,037 24,800 Shared-Defined 1-2 24,800 0 0
164 429,564
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