UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 13F
Form 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: December 31, 1999
Check here if Amendment [ ]; Amendment Number: ____
This Amendment (Check only one.): [ ] is a restatement.
[ ] adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: 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 February 11, 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.
<PAGE>
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
December 31, 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: 545
Form 13F Information Table Value Total: $3,280,978 (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(12-31-99) NAME OF REPORTING MANAGER
ROCKEFELLER FINANCIAL SERVICES/ROCKEFELLER & CO., INC.
<CAPTION>
Shares or Shr/ Put Call Investment Other Voting Authority Shares
Title of Cusip Value Principal Prn Discretion Mgrs. A. Sole B.Shared C.None
Name of Issuer Class (x$1,000)
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
3-Com Corp. - Restricted COM 885535104 35 744 Shared-Defined 1 744 0 0
3DFX Interactive Inc. COM 88553X103 692 70,551 Shared-Defined 1 70,551 0 0
Abbott Laboratories COM 002824100 13,832 380,900 Shared-Defined 1 376,900 0 4,000
Adac Laboratories - New COM 005313200 5,238 487,223 Shared-Defined 1 487,223 0 0
Adelphia Communications Corp. COM 006848105 7 100 Shared-Defined 1 100 0 0
Class A
Advanced Micro Devices Inc. COM 007903107 14 500 Shared-Defined 1 500 0 0
Advantage Learning Systems, Inc. COM 00757K100 671 60,000 Shared-Defined 1 60,000 0 0
Aes Corp. COM 00130H105 39,667 530,668 Shared-Defined 1 517,468 0 13,200
Aetna Inc. COM 008117103 1,599 28,653 Shared-Defined 1 28,653 0 0
Aflac, Inc. COM 001055102 18,655 395,342 Shared-Defined 1 395,342 0 0
AGENCY.COM Inc. COM 008447104 255 5,000 Shared-Defined 1 0 0 5,000
Alcatel Althsom ADR COM 013904305 2,097 46,600 Shared-Defined 1 46,600 0 0
Alkermes, Inc. (New) COM 01642T108 2,656 54,061 Shared-Defined 1 54,061 0 0
Amazon.Com Inc COM 023135106 14 180 Shared-Defined 1 180 0 0
America Online Inc. COM 02364J104 1,141 15,040 Shared-Defined 1 14,540 0 500
American Express Co. COM 025816109 748 4,500 Shared-Defined 1 500 0 4,000
American International Group COM 026874107 24,633 227,821 Shared-Defined 1 224,071 0 3,750
American Superconductor Corp. COM 030111108 4,182 149,366 Shared-Defined 1 149,366 0 0
Amerivest Properties Inc.
Restricted:Lock-Up Exp 8/ COM 03071L101 181 40,441 Shared-Defined 1 40,441 0 0
Amgen Inc. COM 031162100 6,433 107,100 Shared-Defined 1 107,100 0 0
Amkor Technology Inc. 01/17/00 COM 031999295 31 180,000 Shared-Defined 1 180,000 0 0
22.053 Puts
Amkor Technology Inc. 01/17/00 COM 031999303 -203 -180,000 Shared-Defined 1 -180,000 0 0
30.148 Calls
Amkor Technology, Inc. COM 031652100 19,182 678,993 Shared-Defined 1 678,993 0 0
AMR Corporation COM 001765106 121 1,800 Shared-Defined 1 1,800 0 0
Apollo Group COM 037604105 10,865 541,544 Shared-Defined 1 541,544 0 0
Apple Computer Inc. COM 037833100 25,454 247,577 Shared-Defined 1 247,577 0 0
Applied Materials COM 038222105 17,678 139,540 Shared-Defined 1 139,540 0 0
AppNet, Inc. COM 03831Q101 88 2,000 Shared-Defined 1 2,000 0 0
Archer Daniels Midland Co. COM 039483102 204 16,864 Shared-Defined 1 16,864 0 0
Ariba, Inc. COM 04033V104 355 2,000 Shared-Defined 1 0 0 2,000
Artesyn Technologies, Inc. COM 043127109 4,876 232,200 Shared-Defined 1 232,200 0 0
ASM Lithography Hldgs NV COM N07059111 910 8,000 Shared-Defined 1 8,000 0 0
AT & T Corp. COM 001957109 10,660 209,789 Shared-Defined 1 209,239 0 550
At Home Corporation - Series A COM 045919107 43 1,000 Shared-Defined 1 1,000 0 0
AT&T Corp. - Liberty Media COM 001957208 2,932 51,600 Shared-Defined 1 51,600 0 0
GrpA Shs
Axa-Uap - ADR COM 054536107 1,257 17,700 Shared-Defined 1 9,700 0 8,000
Aztec Energy Corp/Utah COM 054805106 0 43 Shared-Defined 1 43 0 0
Ballard Power Systems Inc. COM 05858H104 1,438 51,000 Shared-Defined 1 25,000 0 26,000
Banco Bilbao Vizcaya, S.A. ADR COM 059458208 2,077 146,425 Shared-Defined 1 146,425 0 0
Bank of America Corporation COM 060505104 9,061 180,551 Shared-Defined 1 178,151 0 2,400
Bank Of NY Inc COM 064057102 600 15,000 Shared-Defined 1 0 0 15,000
Banta Corp. COM 066821109 310 13,725 Shared-Defined 1 13,725 0 0
Bay View Capital Corp. COM 07262L101 55 3,878 Shared-Defined 1 3,878 0 0
BCE Inc. COM 05534B109 1,218 13,500 Shared-Defined 1 13,500 0 0
Bear Stearns Cos. COM 073902108 108 2,535 Shared-Defined 1 2,535 0 0
Belden, Inc. COM 077459105 435 20,700 Shared-Defined 1 20,700 0 0
Bell Atlantic Corp. COM 077853109 3,101 50,378 Shared-Defined 1 50,378 0 0
Bellsouth Corp. COM 079860102 187 4,000 Shared-Defined 1 4,000 0 0
Bellsystems24 01/17/00 COM 079990149 -27 -2,000 Shared-Defined 1 -2,000 0 0
Calls 127,600 Strike
Bellsystems24 01/17/00 COM 079990131 53 2,000 Shared-Defined 1 2,000 0 0
Puts 104,400 Strike
Ben & Jerrys Homemade Inc Cl A COM 081465106 100 4,000 Shared-Defined 1 4,000 0 0
Berkshire Hathaway Inc - Cl B COM 084670207 18 10 Shared-Defined 1 10 0 0
Biochem Pharma Inc. COM 09058T108 226 10,400 Shared-Defined 1 7,000 0 3,400
Biogen COM 090597105 1,251 14,800 Shared-Defined 1 14,800 0 0
BioReliance Corp. COM 090951104 2 420 Shared-Defined 1 420 0 0
BISYS Group Inc. COM 055472104 11,070 169,661 Shared-Defined 1 169,661 0 0
Bladex (Banco Latinoamericano COM P16994132 1,882 79,678 Shared-Defined 1 78,478 0 1,200
De Exp)
BMC Software Inc. COM 055921100 1,511 18,900 Shared-Defined 1 18,900 0 0
Boeing Co. COM 097023105 667 16,100 Shared-Defined 1 16,100 0 0
Borders Group Inc. COM 099709107 213 13,100 Shared-Defined 1 13,100 0 0
Borg-Warner Automotive COM 099724106 608 15,000 Shared-Defined 1 15,000 0 0
Bowater Inc COM 102183100 9,550 175,834 Shared-Defined 1 175,834 0 0
BP Amoco Plc - ADR COM 055622104 26,318 443,719 Shared-Defined 1 429,623 0 14,096
Bristol Myers Squibb Co. COM 110122108 3,980 62,000 Shared-Defined 1 52,000 0 10,000
Broadcom Corp - Class A COM 111320107 1,090 4,000 Shared-Defined 1 1,000 0 3,000
BroadVision, Inc. COM 111412102 1,020 6,000 Shared-Defined 1 0 0 6,000
Brooktrout Inc. COM 114580103 19 1,000 Shared-Defined 1 1,000 0 0
Buffets Inc. COM 119882108 4,618 461,826 Shared-Defined 1 461,826 0 0
Burlington Resources Inc. COM 122014103 91 2,742 Shared-Defined 1 2,742 0 0
Calico Commerce Inc. COM 129897104 742 14,000 Shared-Defined 1 0 0 14,000
Campbell Soup Co. COM 134429109 85 2,200 Shared-Defined 1 2,200 0 0
Caremark RX Inc. COM 141705103 13 2,656 Shared-Defined 1 2,656 0 0
Catalytica Inc. COM 148885106 1,221 90,000 Shared-Defined 1 90,000 0 0
Caterpillar Inc. COM 149123101 245 5,196 Shared-Defined 1 5,196 0 0
CBT Group Plc - ADR COM 124853300 1,675 50,000 Shared-Defined 1 50,000 0 0
Celestial Seasonings Inc. COM 151016102 930 50,000 Shared-Defined 1 50,000 0 0
Cell Genesys COM 150921104 10,827 845,000 Shared-Defined 1 845,000 0 0
Central Pacific Minerals ADR COM 154762306 14,371 2,276,490 Shared-Defined 1 2,276,490 0 0
Centura Software Corp. COM 15640W103 6 1,117 Shared-Defined 1 1,117 0 0
Chase Manhattan Corp. COM 16161A108 68,628 883,377 Shared-Defined 1 883,102 0 275
Chevron Corp COM 166751107 32,447 374,572 Shared-Defined 1 365,972 0 8,600
Chiron Corp COM 170040109 2,109 49,760 Shared-Defined 1 49,760 0 0
Chubb Corp. COM 171232101 293 5,200 Shared-Defined 1 5,200 0 0
Ciena Corp. - Restricted S3 COM 171779101 16,635 289,308 Shared-Defined 1 280,606 0 8,702
Cinergy Corp. COM 172474108 128 5,350 Shared-Defined 1 5,350 0 0
Cisco Systems, Inc-Restricted COM 17275R102 47,109 439,756 Shared-Defined 1 421,906 0 17,850
Rule 144
Citigroup Inc. COM 172967101 19,626 352,434 Shared-Defined 1 352,434 0 0
CKE Restaurants, Inc. COM 12561E105 294 50,000 Shared-Defined 1 50,000 0 0
Clinichem Dev Inc. Cl A COM 186906103 2 260 Shared-Defined 1 175 0 85
Cognex Corp. COM 192422103 1,754 44,984 Shared-Defined 1 41,984 0 3,000
Columbia/HCA Healthcare Corp. COM 197677107 1,096 37,400 Shared-Defined 1 37,400 0 0
Com21 Inc. COM 205937105 79 3,500 Shared-Defined 1 3,500 0 0
Compaq Computer Corp. COM 204493100 1,114 41,170 Shared-Defined 1 41,170 0 0
Computer Sciences Corp. COM 205363104 132 1,400 Shared-Defined 1 1,400 0 0
Computer Task Group COM 205477102 8,272 558,441 Shared-Defined 1 558,441 0 0
Concentric Network Corp. COM 20589R107 31 1,000 Shared-Defined 1 1,000 0 0
Conoco Inc. - Cl B COM 208251405 695 27,929 Shared-Defined 1 27,929 0 0
Continental Airlines Inc, Cl B COM 210795308 15,368 346,320 Shared-Defined 1 346,320 0 0
Convergys Corp. COM 212485106 11,758 382,364 Shared-Defined 1 382,364 0 0
Cousins Properties Inc. COM 222795106 3,394 100,000 Shared-Defined 1 100,000 0 0
Cox Communications Inc Cl-A COM 224044107 4,959 96,300 Shared-Defined 1 96,300 0 0
Cummins Engine Inc. COM 231021106 580 12,000 Shared-Defined 1 12,000 0 0
DaimlerChrysler AG COM D1668R123 146 1,870 Shared-Defined 1 1,870 0 0
Dal-Tile International,Inc. COM 23426R108 4,966 490,500 Shared-Defined 1 490,500 0 0
Dayton Hudson Corp. COM 239753106 13,872 188,900 Shared-Defined 1 188,900 0 0
DBT Online Inc. COM 233044106 5,062 208,200 Shared-Defined 1 208,200 0 0
DDI Corp. 01/17/00 COM 232993239 -148 0 Shared-Defined 1 0 0 0
Puts 1,041,824.70 Strike
Delphi Automotive Sys. Corp. COM 247126105 10,400 660,291 Shared-Defined 1 660,291 0 0
Dime Bancorp Inc. (New) COM 25429Q102 1,447 95,700 Shared-Defined 1 95,700 0 0
Disney, Walt Co. COM 254687106 4,289 146,630 Shared-Defined 1 146,630 0 0
Dollar General Corp. COM 256669102 751 33,000 Shared-Defined 1 33,000 0 0
DoubleClick, Inc. - Restricted COM 258609304 25,861 102,193 Shared-Defined 1 101,278 0 915
Rule 144
Dover Corp. COM 260003108 1,997 44,000 Shared-Defined 1 44,000 0 0
Duke Power COM 264399106 5 104 Shared-Defined 1 104 0 0
Dupont, E.I. de Nemours & Co. COM 263534109 3,584 54,400 Shared-Defined 1 52,400 0 2,000
DVI, Inc. COM 233343102 5,582 367,509 Shared-Defined 1 367,509 0 0
E-Trade Group Inc. COM 269246104 3 100 Shared-Defined 1 100 0 0
Earthlink Network Inc. COM 270322100 213 5,000 Shared-Defined 1 5,000 0 0
Echelon Corporation-Restricted COM 27874N105 2,955 151,039 Shared-Defined 1 150,710 0 329
Rule 144
EchoStar Communications Corp. COM 278990379 7 55,000 Shared-Defined 1 55,000 0 0
01/17/00 72.5475 Puts
EchoStar Communications Corp. COM 278990387 -255 -55,000 Shared-Defined 1 -55,000 0 0
01/17/00 99.8595 Call
EchoStar Communications Corp. COM 278762109 20,875 214,107 Shared-Defined 1 214,107 0 0
Cl A
Education Management Corp. COM 28139T101 1,120 80,000 Shared-Defined 1 80,000 0 0
Elan Corp PLC - ADR COM 284131208 1,035 35,084 Shared-Defined 1 35,084 0 0
Emc Corp. Mass COM 268648102 137 1,255 Shared-Defined 1 1,255 0 0
Emerson Electric Co. COM 291011104 367 6,400 Shared-Defined 1 5,000 0 1,400
Enron Corp. COM 293561106 2,929 66,000 Shared-Defined 1 66,000 0 0
EOG Resources Inc. COM 26875P101 1,124 64,000 Shared-Defined 1 64,000 0 0
Ericsson Tel - ADR (New) COM 294821400 30,654 466,668 Shared-Defined 1 466,668 0 0
Estee Lauder Companies - Cl A COM 518439104 160 3,182 Shared-Defined 1 3,182 0 0
(Loan/Pledge Agmt Dtd)
Exide Corp. COM 302051107 4,628 556,685 Shared-Defined 1 556,685 0 0
Exodus Communications, Inc. COM 302088109 888 10,000 Shared-Defined 1 0 0 10,000
Extreme Networks Inc. COM 30226D106 167 2,000 Shared-Defined 1 2,000 0 0
Exxon Mobil Corp. COM 30231G102 74,410 923,620 Shared-Defined 1 917,680 0 5,940
F.Y.I. Incorporated COM 302712104 4,731 139,161 Shared-Defined 1 139,161 0 0
Family Dollar Stores, Inc. COM 307000109 15,844 971,262 Shared-Defined 1 971,262 0 0
Farm Family Holdings Inc. COM 307901108 5 107 Shared-Defined 1 107 0 0
Federal National Mortgage Assoc. COM 313586109 3,777 60,500 Shared-Defined 1 60,500 0 0
FEI Company COM 30241L109 7 465 Shared-Defined 1 465 0 0
Financial Federal Corp. COM 317492106 34 1,502 Shared-Defined 1 1,502 0 0
Fleetwood COM 339099103 31 1,500 Shared-Defined 1 1,500 0 0
Florida Progress Corp. COM 341109106 70 1,650 Shared-Defined 1 1,650 0 0
Fuji Bank Step Up 9.87% COM 359577AA1 174 175,000 Shared-Defined 1 175,000 0 0
Pfd 144 A 12/31/49
Galileo Intl Inc. COM 363547100 15,715 524,934 Shared-Defined 1 524,934 0 0
Gap, Inc. COM 364760108 2,267 49,275 Shared-Defined 1 49,275 0 0
General Electric Co. COM 369604103 69,711 450,473 Shared-Defined 1 448,073 0 2,400
General Growth Properties COM 370021107 3,074 109,800 Shared-Defined 1 109,800 0 0
General Motors Corp - Class H COM 370442832 6,019 62,700 Shared-Defined 1 62,700 0 0
General Motors Corp. COM 370442105 363 5,000 Shared-Defined 1 5,000 0 0
Getty Images, Inc. COM 374276103 14,552 297,729 Shared-Defined 1 297,729 0 0
Gilead Sciences Inc. COM 375558103 1,095 20,222 Shared-Defined 1 14,998 0 5,224
Gillette Co. COM 375766102 165 4,000 Shared-Defined 1 4,000 0 0
Glaxo Wellcome Plc ADR COM 37733W105 754 13,500 Shared-Defined 1 10,000 0 3,500
Global Crossing Ltd COM G3921A100 2,089 41,787 Shared-Defined 1 41,787 0 0
go.com COM 254687205 77 3,250 Shared-Defined 1 3,250 0 0
GoTo.com Inc. Rest 144 COM 38348T107 725 12,348 Shared-Defined 1 7,938 0 4,410
Guidant Corp. COM 401698105 6 123 Shared-Defined 1 123 0 0
Halliburton Co. COM 406216101 419 10,400 Shared-Defined 1 10,400 0 0
Hartford Financial Svcs COM 416515104 687 14,500 Shared-Defined 1 14,500 0 0
Group, Inc.
Healthcare Services Group. COM 421906108 3,903 557,511 Shared-Defined 1 557,511 0 0
Healtheon/WebMD Corp. COM 422209106 56 1,500 Shared-Defined 1 1,500 0 0
Healthsouth Corp. COM 421924101 6 1,126 Shared-Defined 1 1,126 0 0
Heinz (H.J.) Co. COM 423074103 8 200 Shared-Defined 1 200 0 0
Hershey Foods Corp. COM 427866108 204 4,300 Shared-Defined 1 4,300 0 0
Hewlett Packard Co COM 428236103 3,201 28,140 Shared-Defined 1 28,140 0 0
Home Depot Inc. COM 437076102 14,438 210,000 Shared-Defined 1 209,250 0 750
IDEC Pharmaceuticals Corp. COM 449370105 4,017 40,882 Shared-Defined 1 40,882 0 0
Idexx Laboratories Inc. COM 45168D104 1,622 100,596 Shared-Defined 1 100,596 0 0
Imperial Credit Inds. Inc. COM 452729106 37 5,900 Shared-Defined 1 5,900 0 0
Incyte Pharmaceuticals Inc. COM 45337C102 94 1,559 Shared-Defined 1 1,559 0 0
India Fund Inc. COM 454089103 168 10,000 Shared-Defined 1 0 0 10,000
Information Resources Inc. COM 456905108 4,262 460,805 Shared-Defined 1 460,805 0 0
Infoseek Corporation COM 45678M107 57 1,500 Shared-Defined 1 1,500 0 0
Inktomi Corp. - Restricted COM 457277101 1,440 16,224 Shared-Defined 1 12,438 0 3,786
Exp - 09/25/99
Int'l Business Machines Corp. COM 459200101 41,088 380,883 Shared-Defined 1 378,083 0 2,800
Integrated Systems Inc. COM 45812M104 15,784 470,288 Shared-Defined 1 470,288 0 0
Intel Corp. COM 458140100 14,360 174,452 Shared-Defined 1 170,452 0 4,000
Interliant Inc. COM 458742103 26 1,000 Shared-Defined 1 1,000 0 0
Interspeed, Inc. COM 46070W107 18 1,000 Shared-Defined 1 1,000 0 0
Iona Technologies Plc-ADR COM 46206P109 3,551 65,150 Shared-Defined 1 65,150 0 0
Ionics Inc. COM 462218108 900 32,000 Shared-Defined 1 32,000 0 0
Iron Mountain Inc. COM 46284P104 10,544 268,209 Shared-Defined 1 268,209 0 0
J.P. Morgan COM 616880100 9,656 76,260 Shared-Defined 1 75,110 0 1,150
Johnson & Johnson COM 478160104 6,590 70,672 Shared-Defined 1 63,766 0 6,906
Juniper Networks, Inc. COM 48203R104 292 860 Shared-Defined 1 860 0 0
Jupiter Communications, Inc. COM 482050101 12 400 Shared-Defined 1 400 0 0
Kemper New Europe Fund - M COM 48841Y404 45 1,800 Shared-Defined 1 1,800 0 0
Kerr-McGee Corp COM 492386107 37 590 Shared-Defined 1 590 0 0
Keycorp COM 493267108 3,983 180,000 Shared-Defined 1 180,000 0 0
KeySpan Corporation COM 49337W100 299 12,900 Shared-Defined 1 12,900 0 0
Kimberly-Clark Corp COM 494368103 9,818 150,042 Shared-Defined 1 149,842 0 200
Komag Inc. COM 500453105 16 5,026 Shared-Defined 1 5,026 0 0
Koninklijke Philips Elect- COM 500472204 32,782 242,831 Shared-Defined 1 242,831 0 0
N.V.NY shs
Kopin Corporation COM 500600101 2,134 50,802 Shared-Defined 1 50,802 0 0
Korea Electric Power Corp. - COM 500631106 419 25,000 Shared-Defined 1 0 0 25,000
Spons. ADR
Kronos Inc. COM 501052104 14,786 246,427 Shared-Defined 1 246,427 0 0
Leggett & Platt Inc. COM 524660107 1,784 83,200 Shared-Defined 1 83,200 0 0
Lilly Eli & Co. COM 532457108 22,188 333,659 Shared-Defined 1 333,659 0 0
Liposome Corp - COM 536310105 366 30,000 Shared-Defined 1 30,000 0 0
Affiliate Status
Lucent Technologies COM 549463107 831 11,086 Shared-Defined 1 1,086 0 10,000
Lycos Inc - Restricted COM 550818108 13,271 166,797 Shared-Defined 1 165,108 0 1,689
Rule S3
Madge Networks, N.V. COM N5424G106 8 1,066 Shared-Defined 1 1,066 0 0
Mannesmann AG- COM 563775303 183 750 Shared-Defined 1 750 0 0
Sponsored ADR
Mattel, Inc. COM 577081102 977 74,400 Shared-Defined 1 74,400 0 0
Maxygen COM 577776107 355 5,000 Shared-Defined 1 5,000 0 0
McDonalds Corp. COM 580135101 45 1,116 Shared-Defined 1 1,116 0 0
MCI Worldcom Inc. COM 55268B106 13,009 245,165 Shared-Defined 1 244,415 0 750
MCK Communications, Inc. COM 581243102 338 15,000 Shared-Defined 1 0 0 15,000
Media Metrix Inc. COM 58440X103 2,176 60,855 Shared-Defined 1 58,243 0 2,612
Mentor Graphics COM 587200106 9,796 742,811 Shared-Defined 1 742,811 0 0
Merck & Co. Inc. COM 589331107 578,266 8,606,680 Shared-Defined 1 518,420 0 8,088,260
Mettler-Toledo International COM 592688105 21 538 Shared-Defined 1 538 0 0
Microsemi Corp. COM 595137100 3,691 415,849 Shared-Defined 1 415,849 0 0
Microsoft Corp - Restricted COM 594918104 9,121 78,128 Shared-Defined 1 59,320 0 18,808
Rule S3
MidAmerican Energy Hldgs, Co. COM 59562V107 128 3,808 Shared-Defined 1 3,808 0 0
Millennium Pharmaceuticals COM 599902103 7,168 58,754 Shared-Defined 1 58,754 0 0
Miller, Herman Inc. COM 600544100 1,035 45,000 Shared-Defined 1 45,000 0 0
MindSpring Enterprises, Inc. COM 602683104 26 1,000 Shared-Defined 1 1,000 0 0
Minnesota Mining & Mfg. Co. COM 604059105 891 9,100 Shared-Defined 1 7,900 0 1,200
Momentum Business COM 60877P108 4 475 Shared-Defined 1 475 0 0
ApplicationsInc.
Monsanto Co. COM 611662107 1,205 34,000 Shared-Defined 1 34,000 0 0
Montana Power Co. COM 612085100 591 16,400 Shared-Defined 1 16,400 0 0
Morgan Stanley Emerging COM 61744G107 57 3,500 Shared-Defined 1 3,500 0 0
Mkts Fund
Motorola Inc. COM 620076109 15,078 102,396 Shared-Defined 1 102,396 0 0
National City Corp. COM 635405103 38 1,600 Shared-Defined 1 1,600 0 0
Neomagic Corp. COM 640497103 55 5,000 Shared-Defined 1 5,000 0 0
NetObjects Inc. COM 64114L102 1,058 64,105 Shared-Defined 1 61,422 0 2,683
Network Appliance Inc. COM 64120L104 21,985 264,676 Shared-Defined 1 264,676 0 0
Network Appliance Inc. COM 641999943 63 94,000 Shared-Defined 1 94,000 0 0
01/17/00 65.98125 Puts
Network Appliance Inc. COM 641999945 -240 -94,000 Shared-Defined 1 -94,000 0 0
01/17/00 91.05415 Calls
Network Associates Inc. COM 640938106 12,143 454,992 Shared-Defined 1 454,992 0 0
NetZero, Inc. COM 64122R109 54 2,000 Shared-Defined 1 2,000 0 0
New Era of Networks Inc. COM 644312100 5,162 108,387 Shared-Defined 1 97,030 0 11,357
S-3 Restriction
Newbridge Networks Corp. COM 650901101 4,000 177,265 Shared-Defined 1 177,265 0 0
Newpark Resources, Inc. COM 651718504 3,408 556,413 Shared-Defined 1 556,413 0 0
Nextel Communications Inc Cl A COM 65332V103 30,065 291,542 Shared-Defined 1 286,542 0 5,000
Nokia - ADR A COM 654902204 57,263 299,707 Shared-Defined 1 299,707 0 0
Norfolk Southern Corp. COM 655844108 1,418 69,185 Shared-Defined 1 69,185 0 0
Nortel Networks Corp. COM 656569100 30,111 298,132 Shared-Defined 1 298,132 0 0
Northpoint Communications COM 666610100 120 5,000 Shared-Defined 1 5,000 0 0
Group, Inc.
NTL Incorporated COM 629407107 30,203 242,105 Shared-Defined 1 238,980 0 3,125
NTT Docomo 01/17/00 Calls COM 669994170 -1,780 -131 Shared-Defined 1 -131 0 0
2,539,700 Strike
NTT Docomo 01/17/00 COM 669994162 0 131 Shared-Defined 1 131 0 0
Puts 2,097,000 Strike
Object Design, Inc. COM 674416102 18,684 1,288,552 Shared-Defined 1 1,288,552 0 0
Ocean Energy Inc. COM 67481E106 11 1,385 Shared-Defined 1 1,385 0 0
Office Depot, Inc. COM 676220106 1,379 125,400 Shared-Defined 1 125,400 0 0
On Assignment Inc. COM 682159108 1,793 60,000 Shared-Defined 1 60,000 0 0
Oracle Systems COM 68389X105 146 1,300 Shared-Defined 1 1,300 0 0
Oxford Health Plans COM 691471106 634 50,000 Shared-Defined 1 50,000 0 0
Pacific Gateway Exchange Inc. COM 694327107 33 1,933 Shared-Defined 1 1,933 0 0
Pacificorp. COM 695114108 89 4,400 Shared-Defined 1 4,400 0 0
PartnerRe Ltd. COM 2671932 104 3,200 Shared-Defined 1 3,200 0 0
PE Corp-PE Biosystems Group COM 69332S102 1,404 11,670 Shared-Defined 1 11,670 0 0
PE Corp-PE Celera Genomics Grp COM 69332S201 434 2,916 Shared-Defined 1 2,916 0 0
Peak Int'l Ltd COM G69586108 11,949 1,165,769 Shared-Defined 1 1,165,769 0 0
Peoples Heritage Fin'l Group COM 711147108 3,364 223,300 Shared-Defined 1 223,300 0 0
Peoplesoft Inc. COM 712713106 4,463 209,400 Shared-Defined 1 209,400 0 0
Pepsiamericas Inc. COM 71343P101 2 590 Shared-Defined 1 590 0 0
Pepsico, Inc COM 713448108 10,130 287,384 Shared-Defined 1 287,384 0 0
Pfizer COM 717081103 905 27,900 Shared-Defined 1 27,900 0 0
Pharmacyclics Inc. COM 716933106 1,857 45,016 Shared-Defined 1 45,016 0 0
Pohang Iron & Steel-Spons ADR COM 730450103 350 10,000 Shared-Defined 1 0 0 10,000
Portugal Telecom S.A. - ADR COM 737273102 761 70,000 Shared-Defined 1 70,000 0 0
Powertel, Inc. COM 73936C109 803 8,000 Shared-Defined 1 0 0 8,000
Preview Travel Inc. COM 74137R101 104 2,000 Shared-Defined 1 2,000 0 0
Primus Telecommunications COM 741929103 15,570 407,057 Shared-Defined 1 407,057 0 0
Group, Inc.
Procter & Gamble Co. COM 742718109 1,946 17,758 Shared-Defined 1 17,758 0 0
Project Software & Development COM 74339P101 991 17,860 Shared-Defined 1 17,860 0 0
Psinet Inc. COM 74437C101 11,875 192,304 Shared-Defined 1 192,304 0 0
PurchasePro.Com Inc. COM 746144104 55 400 Shared-Defined 1 400 0 0
PurchaseSoft, Inc COM 746145101 3,802 1,970,000 Shared-Defined 1 1,970,000 0 0
PurchaseSoft, Inc (Restr) COM 746992205 11,823 7,657,553 Shared-Defined 1 7,657,553 0 0
PurchaseSoft, Inc - Ser F Wts COM 74699237 14 29,880 Shared-Defined 1 29,880 0 0
Ex Prc -$1.47 Exp-05/1
PurchaseSoft, Inc - Ser G Wts COM 746992353 14 29,881 Shared-Defined 1 29,881 0 0
Ex Prc1-$1.47 Exp-05/
PurchaseSoft, Inc - Ser I Wts COM 746992403 54 60,000 Shared-Defined 1 60,000 0 0
Ex Prc-$1.03 Exp-10/2
PurchaseSoft, Inc - Ser J Wts COM 746992452 20 30,000 Shared-Defined 1 30,000 0 0
Ex Prc-$1.27 Exp-10/2
PurchaseSoft, Inc - Ser M Wts COM 746992502 3 3,200 Shared-Defined 1 3,200 0 0
Ex Prc-$1.03 Exp-10/2
PurchaseSoft, Inc - Ser N Wts COM 746992551 1 1,600 Shared-Defined 1 1,600 0 0
Ex Prc-$1.28 Exp-10/2
PurchaseSoft,Inc - Ser B Wts COM 74699232 27 35,007 Shared-Defined 1 35,007 0 0
Ex Prc-$1.16 Exp-12/5/
PurchaseSoft,Inc - Ser C Wts COM 746992304 27 35,007 Shared-Defined 1 35,007 0 0
Ex Prc-$1.16 Exp-12/5/
Qualcomm Inc. COM 747525103 28,777 163,392 Shared-Defined 1 163,392 0 0
Range Resources Corp. COM 75281A109 2,147 673,524 Shared-Defined 1 673,524 0 0
Rational Software Inc. COM 75409P202 34 694 Shared-Defined 1 694 0 0
Readers Digest Assn Inc. COM 755267101 696 23,800 Shared-Defined 1 23,800 0 0
CL A Non Vtg
Real del Monte Mining Corp. COM 760991AB5 0 500,000 Shared-Defined 1 500,000 0 0
Unsec Conv Debs
RealNetworks, Inc. COM 75605L104 7 60 Shared-Defined 1 60 0 0
Repsol S.A. ADR COM 76026T205 140 6,000 Shared-Defined 1 6,000 0 0
ResMed Inc. COM 761152107 718 17,200 Shared-Defined 1 17,200 0 0
Rexall Sundown Inc. COM 761648104 639 62,000 Shared-Defined 1 62,000 0 0
Reynolds Metals Co. COM 761763101 8,802 114,876 Shared-Defined 1 114,876 0 0
Royal Dutch Pete NY Reg COM 780257804 814 13,440 Shared-Defined 1 7,200 0 6,240
Shs Par NG5
Rural/Metro Corporation COM 781748108 321 74,998 Shared-Defined 1 74,998 0 0
S&P 500 Depository Receipt COM 78462F103 4,994 34,000 Shared-Defined 1 34,000 0 0
SAGA SOFTWARE,Inc. COM 786610105 4,134 207,355 Shared-Defined 1 207,355 0 0
SBC Communications, Inc. COM 78387G103 1,100 22,563 Shared-Defined 1 22,563 0 0
Scana Corp. COM 805898103 269 10,000 Shared-Defined 1 0 0 10,000
Schering-Plough Corp. COM 806605101 678 16,000 Shared-Defined 1 16,000 0 0
Schlumberger Ltd. COM 806857108 84 1,500 Shared-Defined 1 1,500 0 0
Scholastic Corporation COM 807066105 2,923 47,000 Shared-Defined 1 47,000 0 0
SCM Microsystems, Inc. COM 784018103 21,435 335,249 Shared-Defined 1 335,249 0 0
SCM Microsystems, Inc. (EU) COM 5333529 762 12,995 Shared-Defined 1 12,995 0 0
Scottish Power Plc - ADR COM 81013T705 316 11,300 Shared-Defined 1 11,300 0 0
Sepracor Inc. COM 817315104 496 5,000 Shared-Defined 1 5,000 0 0
Shaman Pharmaceuticals COM 819319401 0 6,670 Shared-Defined 1 3,335 0 3,335
Silknet Software, Inc. COM 827094103 23 140 Shared-Defined 1 140 0 0
Smithkline Beecham PLC ADR COM 832378301 385 6,000 Shared-Defined 1 0 0 6,000
Representing Ord ADRS
Solectron Corporation COM 834182107 571 6,000 Shared-Defined 1 0 0 6,000
Sonera Corp. Sponsored ADR COM 835433202 6,766 97,700 Shared-Defined 1 97,700 0 0
Sonoco Products Co. COM 835495102 350 15,366 Shared-Defined 1 15,366 0 0
Sotheby's Holdings Inc Class A COM 835898107 315 10,490 Shared-Defined 1 10,490 0 0
Southern Pacific Petroleum ADR COM 843581307 19,635 6,980,187 Shared-Defined 1 6,806,687 0 1 73,500
SportsLine.com, Inc. COM 848934105 50 1,000 Shared-Defined 1 1,000 0 0
Sprint Corp (PCS Group) COM 852061506 2,317 22,600 Shared-Defined 1 15,600 0 7,000
St. Jude Medical COM 790849103 92 3,000 Shared-Defined 1 3,000 0 0
StarMedia Network, Inc.-Restr. COM 855546107 42,705 1,065,934 Shared-Defined 1 1,065,934 0 0
Sterling Software Inc. COM 859547101 8,960 284,436 Shared-Defined 1 284,436 0 0
STMicroelectronics-N.V. NY Shs COM 861012102 59,763 394,638 Shared-Defined 1 390,638 0 4,000
Strayer Education Inc. COM 863236105 1,827 92,500 Shared-Defined 1 92,500 0 0
Structural Dynamics Research COM 863555108 51 4,000 Shared-Defined 1 4,000 0 0
Sun Microsystems Inc. COM 866810104 1,928 24,900 Shared-Defined 1 16,900 0 8,000
Sunrise Assisted Living Inc. COM 86768K106 8,354 607,599 Shared-Defined 1 607,599 0 0
Sykes Enterprises COM 871237103 16,479 375,598 Shared-Defined 1 375,598 0 0
Symbol Technologies COM 871508107 4,219 66,375 Shared-Defined 1 66,375 0 0
Symx Technologies, Inc. COM 87155S108 150 5,000 Shared-Defined 1 5,000 0 0
TDK Corp - ADR COM 872351408 68 500 Shared-Defined 1 500 0 0
Tele Danmark As - Spons ADR COM 879242105 378 10,000 Shared-Defined 1 10,000 0 0
Telecomunicacoes de Sao COM 87952K100 6,647 272,000 Shared-Defined 1 272,000 0 0
Paulo SA - ADR
Telefonica S.A. - ADR COM 879382208 1,003 12,732 Shared-Defined 1 12,732 0 0
Telescan, Inc. COM 879516102 4,868 197,179 Shared-Defined 1 197,179 0 0
Teligent, Inc Cl A COM 87959Y103 695 11,250 Shared-Defined 1 11,250 0 0
Texas Instruments 01/20/00 COM 872999793 -67 -14,000 Shared-Defined 1 -14,000 0 0
Calls 99.28 Strike
Texas Instruments 01/20/00 COM 872999784 10 14,000 Shared-Defined 1 14,000 0 0
Puts 78.54 Strike
Texas Instruments Inc COM 882508104 35,038 362,620 Shared-Defined 1 352,680 0 9,940
Texas Utilities Co. COM 882848104 115 3,240 Shared-Defined 1 3,240 0 0
Thermedics, Inc. COM 883901100 95 17,550 Shared-Defined 1 17,550 0 0
Thermo Electron Corp COM 883556102 1,554 103,625 Shared-Defined 1 103,625 0 0
Thermotrex Corp. COM 883666109 4 517 Shared-Defined 1 517 0 0
Time Warner Inc. COM 887315109 506 7,000 Shared-Defined 1 0 0 7,000
Transaction Systems COM 893416107 1,288 46,000 Shared-Defined 1 46,000 0 0
Architects, Inc.
Trex Medical Corp. COM 89531R101 894 317,695 Shared-Defined 1 317,695 0 0
Triangle Pharmaceuticals Inc. COM 89589H104 1,266 98,828 Shared-Defined 1 97,927 0 901
TriPath Imaging, Inc. COM 896942109 49 11,854 Shared-Defined 1 11,854 0 0
Triquint Semiconductor, Inc. COM 89674K103 121 1,085 Shared-Defined 1 1,085 0 0
Tyco International Ltd COM 902124106 328 8,408 Shared-Defined 1 8,408 0 0
U.S. WEST, Inc. COM 91273H101 576 8,000 Shared-Defined 1 0 0 8,000
uBid, Inc. COM 903469104 119 4,500 Shared-Defined 1 4,500 0 0
Unilever NV - NY Shares COM 904784709 759 13,942 Shared-Defined 1 13,942 0 0
Union Pacific Corp. COM 907818108 87 2,000 Shared-Defined 1 2,000 0 0
United Pan-Europe Communications - COM 911300200 14,198 111,357 Shared-Defined 1 111,357 0 0
Spons ADR
United Parcel Service, Inc. COM 911312106 5,499 79,694 Shared-Defined 1 77,8700 824 0
Class B
United Technologies Corp. COM 913017109 377 5,800 Shared-Defined 1 5,800 0 0
UnitedGlobalCom COM 913247508 36,962 523,358 Shared-Defined 1 522,858 0 500
Univision - January 2000 Calls COM 914996707 -33 -5,000 Shared-Defined 1 -5,000 0 0
97.17 Strike
Univision - January 2000 Puts COM 914996699 0 5,000 Shared-Defined 1 5,000 0 0
76.87 Strike
Univision Communications, Inc. COM 914906102 28,422 278,135 Shared-Defined 1 277,885 0 250
Unocal Corp. COM 915289102 2,004 59,710 Shared-Defined 1 59,710 0 0
UnumProvident Corp. COM 91529Y106 7,430 231,740 Shared-Defined 1 231,740 0 0
USInternetworking Inc. - COM 917311805 19,008 272,024 Shared-Defined 1 267,306 0 4,718
Restricted Rule 144
Visual Networks, Inc. COM 928444108 15,360 193,817 Shared-Defined 1 193,817 0 0
Vivid Technologies, Inc. COM 928538107 1 165 Shared-Defined 1 165 0 0
Vodafone AirTouch PLC- COM 92857T107 15,537 313,875 Shared-Defined 1 313,875 0 0
Spon ADR
Wal Mart Stores Inc. COM 931142103 207 3,000 Shared-Defined 1 3,000 0 0
Warner Lambert COM 934488107 11,832 144,400 Shared-Defined 1 144,400 0 0
WebTrends Corporation COM 94844D104 122 1,500 Shared-Defined 1 1,500 0 0
Wellpoint Health Networks Inc. COM 94973H108 7,671 116,340 Shared-Defined 1 116,340 0 0
Wells Fargo Company COM 949746101 4,602 113,800 Shared-Defined 1 110,500 0 3,300
Westpac Banking Sponsored ADR COM 961214301 138 4,000 Shared-Defined 1 0 0 4,000
Whole Foods Market, Inc. COM 966837106 1,887 40,700 Shared-Defined 1 40,700 0 0
Williams Co Inc. COM 969457100 550 18,000 Shared-Defined 1 18,000 0 0
Windmere-Durable Holdings, Inc COM 973411101 9,638 566,934 Shared-Defined 1 566,934 0 0
Winstar Communications Inc. COM 975515107 21,183 281,505 Shared-Defined 1 281,105 0 400
Wit Capital Group, Inc. COM 97737K309 227 13,351 Shared-Defined 1 13,351 0 0
WorldGate Communications,Inc. COM 98156L307 21 451 Shared-Defined 1 451 0 0
Xerox Corp. COM 984121103 10,467 461,335 Shared-Defined 1 458,135 0 3,200
Yahoo! Inc. COM 984332106 26 60 Shared-Defined 1 60 0 0
375 2,637,261
<CAPTION>
FORM 13F(12-31-99) NAME OF REPORTING MANAGER
ROCKEFELLER FINANCIAL SERVICES/ROCKEFELLER & CO., INC./THE ROCKEFELLER TRUST COMPANY
Title of Value Shares or Shr/ Put Call Investment Other Voting Authority Shares
Name of Issuer Class Cusip (x $1,000) Principal Prn Discretion Mgrs. A.Sole B.Shared C.None
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
3DFX Interactive Inc. COM 88553X103 101 10,319 Shared-Defined 1-2 10,319 0 0
Abbott Laboratories COM 002824100 10,578 291,308 Shared-Defined 1-2 267,308 0 24,000
Adac Laboratories - New COM 005313200 493 45,826 Shared-Defined 1-2 45,826 0 0
Aes Corp. COM 00130H105 20,123 269,200 Shared-Defined 1-2 269,200 0 0
Aetna Inc. COM 008117103 1,323 23,700 Shared-Defined 1-2 23,700 0 0
Aflac, Inc. COM 001055102 9,348 198,100 Shared-Defined 1-2 198,100 0 0
American Home Products Corp. COM 026609107 1,327 33,800 Shared-Defined 1-2 33,800 0 0
American International Group COM 026874107 22,709 210,027 Shared-Defined 1-2 194,402 0 15,625
American Superconductor Corp. COM 030111108 45 1,605 Shared-Defined 1-2 1,605 0 0
Amgen Inc. COM 031162100 2,036 33,900 Shared-Defined 1-2 33,900 0 0
Amkor Technology, Inc. COM 031652100 1,680 59,476 Shared-Defined 1-2 59,476 0 0
Apollo Group COM 037604105 688 34,300 Shared-Defined 1-2 34,300 0 0
Apple Computer Inc. COM 037833100 3,259 31,700 Shared-Defined 1-2 31,700 0 0
Applied Materials COM 038222105 5,837 46,070 Shared-Defined 1-2 30,570 0 15,500
AT & T Corp. COM 001957109 1,080 21,245 Shared-Defined 1-2 21,245 0 0
Atlantic Richfield COM 048825103 268 3,100 Shared-Defined 1-2 3,100 0 0
Autozone Inc. COM 053332102 32 1,000 Shared-Defined 1-2 1,000 0 0
Avery Dennison Corp. COM 053611109 87 1,200 Shared-Defined 1-2 1,200 0 0
Axa-Uap - ADR COM 054536107 142 2,000 Shared-Defined 1-2 2,000 0 0
Bank of America Corporation COM 060505104 5,230 104,200 Shared-Defined 1-2 104,200 0 0
Bell Atlantic Corp. COM 077853109 2,056 33,400 Shared-Defined 1-2 19,500 0 13,900
Bellsouth Corp. COM 079860102 3,885 83,000 Shared-Defined 1-2 83,000 0 0
BISYS Group Inc. COM 055472104 970 14,861 Shared-Defined 1-2 14,861 0 0
Bladex (Banco Latinoamericano COM P16994132 991 41,951 Shared-Defined 1-2 41,951 0 0
De Exp)
Boeing Co. COM 097023105 3,543 85,500 Shared-Defined 1-2 85,500 0 0
Borders Group Inc. COM 099709107 722 44,400 Shared-Defined 1-2 44,400 0 0
Bowater Inc COM 102183100 717 13,200 Shared-Defined 1-2 13,200 0 0
BP Amoco Plc - ADR COM 055622104 8,273 139,482 Shared-Defined 1-2 139,482 0 0
Bristol Myers Squibb Co. COM 110122108 5,572 86,800 Shared-Defined 1-2 86,800 0 0
Buffets Inc. COM 119882108 418 41,785 Shared-Defined 1-2 41,785 0 0
Celeritek, Inc. COM 150926103 3 162 Shared-Defined 1-2 162 0 0
Chase Manhattan Corp. COM 16161A108 3,566 45,898 Shared-Defined 1-2 45,898 0 0
Chevron Corp COM 166751107 15,211 175,600 Shared-Defined 1-2 147,600 0 28,000
Ciena Corp. - Restricted S3 COM 171779101 1,946 33,839 Shared-Defined 1-2 33,839 0 0
Cisco Systems, Inc-Restricted COM 17275R102 17,265 161,168 Shared-Defined 1-2 144,668 0 16,500
Rule 144
Citigroup Inc. COM 172967101 924 16,600 Shared-Defined 1-2 16,600 0 0
Coca Cola Company COM 191216100 1,258 21,600 Shared-Defined 1-2 21,600 0 0
Cognex Corp. COM 192422103 117 3,000 Shared-Defined 1-2 3,000 0 0
Columbia/HCA Healthcare Corp. COM 197677107 1,309 44,660 Shared-Defined 1-2 44,660 0 0
Computer Task Group COM 205477102 760 51,340 Shared-Defined 1-2 51,340 0 0
Conoco Inc. - Cl B COM 208251405 1,836 73,811 Shared-Defined 1-2 73,811 0 0
Continental Airlines Inc, Cl B COM 210795308 1,096 24,700 Shared-Defined 1-2 24,700 0 0
Convergys Corp. COM 212485106 1,085 35,300 Shared-Defined 1-2 35,300 0 0
Cox Communications Inc Cl-A COM 224044107 5,754 111,733 Shared-Defined 1-2 111,733 0 0
Dal-Tile International,Inc. COM 23426R108 361 35,689 Shared-Defined 1-2 35,689 0 0
Dayton Hudson Corp. COM 239753106 3,687 50,200 Shared-Defined 1-2 50,200 0 0
Delphi Automotive Systems Corp COM 247126105 748 47,500 Shared-Defined 1-2 47,500 0 0
Disney, Walt Co. COM 254687106 1,112 38,000 Shared-Defined 1-2 38,000 0 0
DoubleClick, Inc. - Restricted COM 258609304 9,058 35,792 Shared-Defined 1-2 35,792 0 0
Rule 144
Dupont, E.I. de Nemours & Co. COM 263534109 6,243 94,769 Shared-Defined 1-2 94,769 0 0
DVI, Inc. COM 233343102 501 32,996 Shared-Defined 1-2 32,996 0 0
Echelon Corporation-Restricted COM 27874N105 58 2,957 Shared-Defined 1-2 2,957 0 0
Rule 144
EchoStar Communications Corp. COM 278762109 1,967 20,173 Shared-Defined 1-2 20,173 0 0
Cl A
Elan Corp PLC - ADR COM 284131208 118 4,008 Shared-Defined 1-2 4,008 0 0
Emerson Electric Co. COM 291011104 1,343 23,400 Shared-Defined 1-2 23,400 0 0
Ericsson Tel - ADR (New) COM 294821400 1,248 19,000 Shared-Defined 1-2 19,000 0 0
Exide Corp. COM 302051107 327 39,302 Shared-Defined 1-2 39,302 0 0
Exxon Mobil Corp. COM 30231G102 46,933 582,563 Shared-Defined 1-2 462,563 0 120,000
F.Y.I. Incorporated COM 302712104 385 11,336 Shared-Defined 1-2 11,336 0 0
Family Dollar Stores, Inc. COM 307000109 1,232 75,500 Shared-Defined 1-2 75,500 0 0
Federal Realty Investment Tr. COM 313747206 49 2,600 Shared-Defined 1-2 2,600 0 0
Fleetwood COM 339099103 21 1,000 Shared-Defined 1-2 1,000 0 0
Galileo Intl Inc. COM 363547100 1,986 66,330 Shared-Defined 1-2 66,330 0 0
Gannett Inc. COM 364730101 936 11,480 Shared-Defined 1-2 11,480 0 0
Gap, Inc. COM 364760108 31 675 Shared-Defined 1-2 675 0 0
General Electric Co. COM 369604103 59,833 386,642 Shared-Defined 1-2 275,342 0 111,300
General Growth Properties COM 370021107 510 18,200 Shared-Defined 1-2 18,200 0 0
Getty Images, Inc. COM 374276103 1,196 24,473 Shared-Defined 1-2 24,473 0 0
Grainger W W Inc. COM 384802104 669 14,000 Shared-Defined 1-2 14,000 0 0
Gulf Canada Resources Ltd Ord COM 40218L305 54 15,998 Shared-Defined 1-2 15,998 0 0
Healthcare Services Group. COM 421906108 402 57,366 Shared-Defined 1-2 57,366 0 0
Healthsouth Corp. COM 421924101 3 520 Shared-Defined 1-2 520 0 0
Hershey Foods Corp. COM 427866108 787 16,600 Shared-Defined 1-2 14,100 0 2,500
Hewlett Packard Co COM 428236103 9,657 84,900 Shared-Defined 1-2 84,900 0 0
Home Depot Inc. COM 437076102 413 6,000 Shared-Defined 1-2 6,000 0 0
Idexx Laboratories Inc. COM 45168D104 24 1,500 Shared-Defined 1-2 1,500 0 0
Incyte Pharmaceuticals Inc. COM 45337C102 280 4,662 Shared-Defined 1-2 4,662 0 0
Information Resources Inc. COM 456905108 407 44,014 Shared-Defined 1-2 44,014 0 0
Int'l Business Machines Corp. COM 459200101 21,628 200,492 Shared-Defined 1-2 191,992 0 8,500
Integrated Systems Inc. COM 45812M104 1,690 50,343 Shared-Defined 1-2 50,343 0 0
Intel Corp. COM 458140100 14,997 182,200 Shared-Defined 1-2 182,200 0 0
Iona Technologies Plc-ADR COM 46206P109 485 8,900 Shared-Defined 1-2 8,900 0 0
Iron Mountain Inc. COM 46284P104 690 17,544 Shared-Defined 1-2 17,544 0 0
J.P. Morgan COM 616880100 6,521 51,500 Shared-Defined 1-2 47,000 0 4,500
Johnson & Johnson COM 478160104 3,425 36,728 Shared-Defined 1-2 36,728 0 0
Kemper New Europe Fund - M COM 48841Y404 926 37,000 Shared-Defined 1-2 20,000 0 17,000
Kerr-McGee Corp COM 492386107 53 848 Shared-Defined 1-2 848 0 0
KeySpan Corporation COM 49337W100 61 2,640 Shared-Defined 1-2 2,640 0 0
Kimberly-Clark Corp COM 494368103 2,925 44,700 Shared-Defined 1-2 44,700 0 0
Komag Inc. COM 500453105 1 250 Shared-Defined 1-2 250 0 0
Koninklijke Philips Elect- COM 500472204 2,894 21,436 Shared-Defined 1-2 21,436 0 0
N.V.NY shs
Kronos Inc. COM 501052104 1,268 21,129 Shared-Defined 1-2 21,129 0 0
Lilly Eli & Co. COM 532457108 1,077 16,200 Shared-Defined 1-2 16,200 0 0
Lycos Inc - Restricted Rule S3 COM 550818108 2,839 35,683 Shared-Defined 1-2 35,683 0 0
McDonalds Corp. COM 580135101 814 20,200 Shared-Defined 1-2 20,200 0 0
MCI Worldcom Inc. COM 55268B106 6,871 129,495 Shared-Defined 1-2 115,545 0 13,950
Media Metrix Inc. COM 58440X103 226 6,310 Shared-Defined 1-2 6,310 0 0
MediaOne Group Inc. COM 58440J104 1,229 16,000 Shared-Defined 1-2 16,000 0 0
Mentor Graphics COM 587200106 927 70,303 Shared-Defined 1-2 70,303 0 0
Merck & Co. Inc. COM 589331107 10,575 157,400 Shared-Defined 1-2 153,400 0 4,000
Microsemi Corp. COM 595137100 343 38,688 Shared-Defined 1-2 38,688 0 0
Millennium Pharmaceuticals COM 599902103 725 5,946 Shared-Defined 1-2 5,946 0 0
Minnesota Mining & Mfg. Co. COM 604059105 2,183 22,300 Shared-Defined 1-2 22,300 0 0
Motorola Inc. COM 620076109 1,841 12,500 Shared-Defined 1-2 12,500 0 0
NetObjects Inc. COM 64114L102 107 6,499 Shared-Defined 1-2 6,499 0 0
Network Appliance Inc. COM 64120L104 2,171 26,136 Shared-Defined 1-2 26,136 0 0
Network Associates Inc. COM 640938106 14,081 527,600 Shared-Defined 1-2 523,600 0 4,000
New Era Of Networks Inc. COM 644312100 393 8,256 Shared-Defined 1-2 8,256 0 0
Newbridge Networks Corp. COM 650901101 4,118 182,500 Shared-Defined 1-2 174,500 0 8,000
Newpark Resources, Inc. COM 651718504 188 30,737 Shared-Defined 1-2 30,737 0 0
Nextel Communications Inc COM 65332V103 4,167 40,410 Shared-Defined 1-2 40,410 0 0
Cl A
Nokia - ADR A COM 654902204 28,889 151,200 Shared-Defined 1-2 136,200 0 15,000
Norfolk Southern Corp. COM 655844108 1,210 59,000 Shared-Defined 1-2 39,000 0 20,000
Nortel Networks Corp. COM 656569100 2,733 27,064 Shared-Defined 1-2 27,064 0 0
NTL Incorporated COM 629407107 24,256 194,438 Shared-Defined 1-2 194,438 0 0
Object Design, Inc. COM 674416102 1,849 127,498 Shared-Defined 1-2 127,498 0 0
Office Depot, Inc. COM 676220106 164 14,900 Shared-Defined 1-2 14,900 0 0
Pacific Gateway Exchange Inc. COM 694327107 145 8,489 Shared-Defined 1-2 8,489 0 0
PE Corp-PE Biosystems Group COM 69332S102 51 428 Shared-Defined 1-2 428 0 0
PE Corp-PE Celera Genomics Grp COM 69332S201 16 107 Shared-Defined 1-2 107 0 0
Peak Int'l Ltd COM G69586108 398 38,812 Shared-Defined 1-2 38,812 0 0
Peoples Heritage Fin'l Group COM 711147108 1,690 112,180 Shared-Defined 1-2 112,180 0 0
Pepsico, Inc COM 713448108 287 8,150 Shared-Defined 1-2 8,150 0 0
Pfizer COM 717081103 1,070 33,000 Shared-Defined 1-2 33,000 0 0
Pharmacyclics Inc. COM 716933106 97 2,351 Shared-Defined 1-2 2,351 0 0
Primus Telecommunications
Group, Inc. COM 741929103 1,246 32,569 Shared-Defined 1-2 32,569 0 0
Procter & Gamble Co. COM 742718109 3,238 29,550 Shared-Defined 1-2 29,550 0 0
Project Software & Development COM 74339P101 258 4,640 Shared-Defined 1-2 4,640 0 0
Psinet Inc. COM 74437C101 7,212 116,800 Shared-Defined 1-2 104,600 0 12,200
Qualcomm Inc. COM 747525103 1,409 8,000 Shared-Defined 1-2 8,000 0 0
Range Resources Corp. COM 75281A109 196 61,348 Shared-Defined 1-2 61,348 0 0
Readers Digest Assn Inc. COM 755267101 3,060 104,600 Shared-Defined 1-2 104,600 0 0
CL A Non Vtg
Reynolds Metals Co. COM 761763101 475 6,200 Shared-Defined 1-2 6,200 0 0
Rural/Metro Corporation COM 781748108 94 21,954 Shared-Defined 1-2 21,954 0 0
SAGA SOFTWARE,Inc. COM 786610105 399 19,996 Shared-Defined 1-2 19,996 0 0
SBC Communications, Inc. COM 78387G103 663 13,602 Shared-Defined 1-2 0 0 13,602
Schering-Plough Corp. COM 806605101 110 2,600 Shared-Defined 1-2 2,600 0 0
SCM Microsystems, Inc. COM 784018103 1,238 19,370 Shared-Defined 1-2 19,370 0 0
SCM Microsystems, Inc. (EU) COM 5333529 95 1,622 Shared-Defined 1-2 1,622 0 0
Southern Pacific Petroleum COM 843581307 309 110,000 Shared-Defined 1-2 110,000 0 0
ADR
Spieker Properties COM 848497103 73 2,000 Shared-Defined 1-2 2,000 0 0
StarMedia Network, Inc.- COM 855546107 1,242 31,000 Shared-Defined 1-2 31,000 0 0
Restricted
Sterling Software Inc. COM 859547101 821 26,079 Shared-Defined 1-2 26,079 0 0
STMicroelectronics- COM 861012102 32,703 215,950 Shared-Defined 1-2 195,950 0 20,000
N.V. NY Shs
Sunrise Assisted Living Inc. COM 86768K106 576 41,905 Shared-Defined 1-2 41,905 0 0
Sykes Enterprises COM 871237103 1,339 30,515 Shared-Defined 1-2 30,515 0 0
TDK Corp - ADR COM 872351408 189 1,400 Shared-Defined 1-2 1,400 0 0
Telescan, Inc. COM 879516102 457 18,520 Shared-Defined 1-2 18,520 0 0
Teligent, Inc Cl A COM 87959Y103 124 2,000 Shared-Defined 1-2 2,000 0 0
Texas Instruments Inc COM 882508104 31,475 325,748 Shared-Defined 1-2 307,748 0 18,000
Thermotrex Corp. COM 883666109 3 346 Shared-Defined 1-2 346 0 0
Trex Medical Corp. COM 89531R101 161 57,238 Shared-Defined 1-2 57,238 0 0
Triangle Pharmaceuticals Inc. COM 89589H104 69 5,371 Shared-Defined 1-2 5,371 0 0
Triquint Semiconductor, Inc. COM 89674K103 8 70 Shared-Defined 1-2 70 0 0
U.S. WEST, Inc. COM 91273H101 1,183 16,435 Shared-Defined 1-2 16,435 0 0
United Parcel Service, Inc. COM 911312106 4,101 59,439 Shared-Defined 1-2 44,179 0 15,260
Class B
UnitedGlobalCom COM 913247508 4,212 59,640 Shared-Defined 1-2 45,440 0 14,200
Univision Communications, Inc. COM 914906102 17,658 172,800 Shared-Defined 1-2 172,800 0 0
Unocal Corp. COM 915289102 765 22,800 Shared-Defined 1-2 22,800 0 0
UnumProvident Corp. COM 91529Y106 394 12,300 Shared-Defined 1-2 12,300 0 0
USInternetworking Inc. - COM 917311805 1,956 27,999 Shared-Defined 1-2 27,999 0 0
Restricted Rule 144
Visual Networks, Inc. COM 928444108 3,078 38,839 Shared-Defined 1-2 38,839 0 0
Vodafone AirTouch PLC- COM 92857T107 3,131 63,250 Shared-Defined 1-2 51,750 0 11,500
Spon ADR
Wal Mart Stores Inc. COM 931142103 1,106 16,000 Shared-Defined 1-2 16,000 0 0
Warner Lambert COM 934488107 787 9,600 Shared-Defined 1-2 9,600 0 0
Wellpoint Health Networks Inc. COM 94973H108 808 12,260 Shared-Defined 1-2 12,260 0 0
Wells Fargo Company COM 949746101 7,016 173,500 Shared-Defined 1-2 173,500 0 0
Windmere-Durable Holdings, Inc COM 973411101 649 38,195 Shared-Defined 1-2 38,195 0 0
Winstar Communications Inc. COM 975515107 6,321 84,000 Shared-Defined 1-2 82,000 0 2,000
Xerox Corp. COM 984121103 7,773 342,600 Shared-Defined 1-2 342,600 0 0
170 643,717
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