UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 13F
Form 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: June 30, 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 August 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 June 30, 2000.
<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 June
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).)
Form 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 2
Form 13F Information Table Entry Total: 562
Form 13F Information Table Value Total: $3,292,235 (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(06-30-00) NAME OF REPORTING MANAGER
ROCKEFELLER FINANCIAL SERVICES/ROCKEFELLER & CO., INC.
Title of Cusip Value Shares or Shr/ Investment Other Voting Authority Shares
Name of Issuer Class (x$1,000) Principal Prn Put Call Discretion Mgrs. A.Sole B.Shared C.None
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Aflac, Inc. Common 001055102 17,910 389,882 Shared-Defined 1 389,882 0 0
Aes Corp. Common 00130H105 41,052 899,768 Shared-Defined 1 899,768 0 0
AT & T Corp. Common 001957109 2,741 86,159 Shared-Defined 1 86,159 0 0
AT&T Corp. - Liberty Media Class A 001957208 6,858 283,000 Shared-Defined 1 283,000 0 0
Grp A Shs
Abbott Laboratories Common 002824100 17,812 399,700 Shared-Defined 1 399,700 0 0
Adac Laboratories - New Common 005313200 12,319 513,291 Shared-Defined 1 513,291 0 0
Adaptec, Inc. Common 00651F108 46 2,000 Shared-Defined 1 2,000 0 0
Adelphia Communications Corp. Class A 006848105 5 100 Shared-Defined 1 100 0 0
Advantage Learning Systems, Common 00757K100 923 60,000 Shared-Defined 1 60,000 0 0
Advanced Micro Devices Inc. Common 007903107 39 500 Shared-Defined 1 500 0 0
Aetna Inc. Common 008117103 205 3,200 Shared-Defined 1 3,200 0 0
Affymetrix, Inc. Common 00826T108 826 5,000 Shared-Defined 1 5,000 0 0
Agilent Technologies, Inc. Common 00846U101 1,089 14,769 Shared-Defined 1 14,769 0 0
AgriBioTech, Inc. Common 008494106 0 30 Shared-Defined 1 30 0 0
Alaska Pacific Bancshares Common 011757101 47 4,750 Shared-Defined 1 4,750 0 0
Alcoa Inc. Common 013817101 7,895 272,244 Shared-Defined 1 272,244 0 0
Alcatel SA - Sponsored ADR Common 013904305 7,070 106,319 Shared-Defined 1 106,319 0 0
Alkermes, Inc. (New) Common 01642T108 2,598 55,122 Shared-Defined 1 55,122 0 0
Allstate Corporation Common 020002101 97 4,378 Shared-Defined 1 4,378 0 0
Alpha Industries, Inc. Common 020753109 220 5,000 Shared-Defined 1 5,000 0 0
ALZA Corporation Common 022615108 10,063 170,200 Shared-Defined 1 170,200 0 0
America Online Inc. Common 02364J104 17,511 331,180 Shared-Defined 1 330,680 0 500
American Express Co. Common 025816109 1,220 23,400 Shared-Defined 1 23,400 0 0
American Home Products Corp. Common 026609107 294 5,000 Shared-Defined 1 5,000 0 0
American International Group Common 026874107 21,376 181,921 Shared-Defined 1 181,921 0 0
American Superconductor Corp. Common 030111108 6,276 130,081 Shared-Defined 1 130,081 0 0
AmeriVest Properties Inc. Common 03071L101 186 42,441 Shared-Defined 1 42,441 0 0
Amgen Inc. Common 031162100 9,104 129,600 Shared-Defined 1 129,600 0 0
Amkor Technology, Inc. Common 031652100 10,094 285,854 Shared-Defined 1 285,854 0 0
Anheuser-Busch Companies, Inc. Common 035229103 373 5,000 Shared-Defined 1 5,000 0 0
Apollo Group Common 037604105 15,316 547,014 Shared-Defined 1 547,014 0 0
Apple Computer Inc. Common 037833100 23,011 439,354 Shared-Defined 1 439,354 0 0
Applica Incorporated Common 03815A106 6,612 584,486 Shared-Defined 1 584,486 0 0
Applied Materials Common 038222105 12,068 133,160 Shared-Defined 1 133,160 0 0
Applied Micro Circuits Corporation Common 03822W109 593 6,000 Shared-Defined 1 6,000 0 0
AppNet, Inc. Common 03831Q101 144 4,000 Shared-Defined 1 4,000 0 0
Archer Daniels Midland Co. Common 039483102 165 16,864 Shared-Defined 1 16,864 0 0
Ariba, Inc. Common 04033V104 2,779 28,341 Shared-Defined 1 28,341 0 0
Artesyn Technologies, Inc. Common 043127109 11,253 404,600 Shared-Defined 1 404,600 0 0
AstraZeneca Group Plc - Spons ADR ADR 046353108 35 760 Shared-Defined 1 760 0 0
Axa-Uap - ADR ADR 054536107 68 855 Shared-Defined 1 855 0 0
Axys Pharmaceuticals Inc. Common 054635107 83 13,904 Shared-Defined 1 13,904 0 0
BISYS Group Inc. Common 055472104 10,238 166,477 Shared-Defined 1 166,477 0 0
BP Amoco Plc - ADR Common 055622104 25,127 443,743 Shared-Defined 1 437,647 0 6,096
BMC Software Inc. Common 055921100 690 18,900 Shared-Defined 1 18,900 0 0
Ballard Power Systems Inc. Common 05858H104 2,425 27,000 Shared-Defined 1 27,000 0 0
Bank of America Corporation Common 060505104 17,639 410,200 Shared-Defined 1 410,200 0 0
Bank of New York Inc Common 064057102 381 8,200 Shared-Defined 1 8,200 0 0
Banknorth Group Inc. Common 06646R107 11 700 Shared-Defined 1 700 0 0
Banta Corp. Common 066821109 45 2,400 Shared-Defined 1 2,400 0 0
Bay View Capital Corp. Common 07262L101 38 3,877 Shared-Defined 1 3,877 0 0
BEA Systems, Inc. Common 073325102 198 4,000 Shared-Defined 1 4,000 0 0
Bear Stearns Cos. Common 073902108 106 2,535 Shared-Defined 1 2,535 0 0
Belden, Inc. Common 077459105 530 20,700 Shared-Defined 1 20,700 0 0
Bellsouth Corp. Common 079860102 171 4,000 Shared-Defined 1 4,000 0 0
Berkshire Hathaway Inc - Cl B Common 084670207 53 30 Shared-Defined 1 30 0 0
Biochem Pharma Inc. Common 09058T108 172 7,000 Shared-Defined 1 7,000 0 0
Boeing Co. Common 097023105 163 3,900 Shared-Defined 1 3,900 0 0
Borders Group Inc. Common 099709107 31 2,000 Shared-Defined 1 2,000 0 0
Borg-Warner Automotive Common 099724106 527 15,000 Shared-Defined 1 15,000 0 0
Boston Scientific Co. Common 101137107 9 390 Shared-Defined 1 390 0 0
Bowater Inc Common 102183100 8,549 193,734 Shared-Defined 1 193,734 0 0
Bristol Myers Squibb Co. Common 110122108 3,204 55,000 Shared-Defined 1 55,000 0 0
Broadcom Corp - Class A Class A 111320107 328 1,500 Shared-Defined 1 1,500 0 0
Buffets Inc. Common 119882108 6,367 501,813 Shared-Defined 1 501,813 0 0
Burlington Resources Inc. Common 122014103 105 2,742 Shared-Defined 1 2,742 0 0
Cadbury Schweppes Plc - Sp ADR ADR 127209302 17 640 Shared-Defined 1 640 0 0
Canon Inc. - Sponsored ADR ADR 138006309 22 440 Shared-Defined 1 440 0 0
Caremark Rx, Inc. Common 141705103 18 2,656 Shared-Defined 1 2,656 0 0
Catalytica Inc. Common 148885106 990 90,000 Shared-Defined 1 90,000 0 0
Caterpillar Inc. Common 149123101 102 3,004 Shared-Defined 1 3,004 0 0
Central Pacific Minerals ADR ADR 154762306 11,487 2,386,864 Shared-Defined 1 2,386,864 0 0
Chase Manhattan Corp. Common 16161A108 59,160 1,284,337 Shared-Defined 1 1,284,337 0 0
Chevron Corp Common 166751107 31,038 365,966 Shared-Defined 1 365,966 0 0
Chiron Corp Common 170040109 1,425 30,000 Shared-Defined 1 30,000 0 0
ChoicePoint, Inc. Common 170388102 4,955 112,305 Shared-Defined 1 112,305 0 0
Chubb Corp. Common 171232101 37 600 Shared-Defined 1 600 0 0
Ciena Corp. Common 171779101 52,481 314,845 Shared-Defined 1 305,297 0 9,548
Cinergy Corp. Common 172474108 136 5,350 Shared-Defined 1 5,050 0 300
Cisco Systems, Inc. Common 17275R102 40,810 642,038 Shared-Defined 1 630,056 0 11,982
Citigroup Inc. Common 172967101 22,008 365,284 Shared-Defined 1 365,284 0 0
Citrix Systems Inc. Common 177376100 95 5,000 Shared-Defined 1 5,000 0 0
Clinichem Dev Inc. Cl A Class A 186906103 3 260 Shared-Defined 1 260 0 0
Cognex Corp. Common 192422103 2,328 44,984 Shared-Defined 1 44,984 0 0
Cohoes Bancorp Inc. Common 192513109 77 5,600 Shared-Defined 1 5,600 0 0
Compaq Computer Corp. Common 204493100 1,052 41,170 Shared-Defined 1 41,170 0 0
Computer Associates Common 204912109 8,046 57,185 Shared-Defined 1 157,185 0 0
International, Inc.
Computer Sciences Corp. Common 205363104 1,195 16,000 Shared-Defined 1 16,000 0 0
Computer Task Group Common 205477102 2,572 508,056 Shared-Defined 1 508,056 0 0
Com21 Inc. Common 205937105 63 2,500 Shared-Defined 1 2,500 0 0
Conexant Systems, Inc. Common 207142100 146 3,000 Shared-Defined 1 3,000 0 0
Conoco Inc. - Cl B Common 208251405 68 2,762 Shared-Defined 1 2,762 0 0
Continental Airlines Inc, Cl B Common 210795308 16,954 360,600 Shared-Defined 1 360,600 0 0
Convergys Corp. Common 212485106 26,753 515,724 Shared-Defined 1 515,724 0 0
Cost Plus Inc./California Common 221485105 100 3,500 Shared-Defined 1 3,500 0 0
Cousins Properties Inc. Common 222795106 3,848 100,000 Shared-Defined 1 100,000 0 0
Cox Communications Inc Cl-A Class A 224044107 688 15,100 Shared-Defined 1 15,100 0 0
CRIIMI MAE, Inc. 12.00% Preferred 226603306 0 1 Shared-Defined 1 1 0 0
Series F Pfd
Critical Path Inc. Common 22674V100 175 3,000 Shared-Defined 1 3,000 0 0
Cymer Inc. Common 232572107 478 10,000 Shared-Defined 1 10,000 0 0
DQE, Inc. Common 23329J104 553 14,000 Shared-Defined 1 14,000 0 0
DVI, Inc. Common 233343102 5,789 361,794 Shared-Defined 1 361,794 0 0
Dal-Tile International,Inc. Common 23426R108 5,001 605,074 Shared-Defined 1 605,074 0 0
Delphi Automotive Systems Corp Common 247126105 13,228 908,391 Shared-Defined 1 908,391 0 0
DeVry, Inc. Common 251893103 1,058 40,000 Shared-Defined 1 40,000 0 0
Dime Bancorp Inc. (New) Common 25429Q102 1,150 73,000 Shared-Defined 1 73,000 0 0
Disney, Walt Co. Common 254687106 7,861 202,530 Shared-Defined 1 202,530 0 0
Dollar General Corp. Common 256669102 1,623 83,250 Shared-Defined 1 83,250 0 0
DoubleClick, Inc. Common 258609304 3,956 103,775 Shared-Defined 1 103,775 0 0
Dover Corp. Common 260003108 1,785 44,000 Shared-Defined 1 44,000 0 0
Dupont, E.I. de Nemours & Co. Common 263534109 216 4,932 Shared-Defined 1 4,932 0 0
Duke Power Common 264399106 6 104 Shared-Defined 1 0 0 104
Dura Automotive Systems, Inc. Common 265903104 1,129 104,410 Shared-Defined 1 104,410 0 0
Emc Corp. Mass Common 268648102 193 2,510 Shared-Defined 1 2,510 0 0
Enron Oil & Gas Corp. Common 26875P101 2,138 64,000 Shared-Defined 1 64,000 0 0
E.Piphany, Inc. Common 26881V100 91 846 Shared-Defined 1 846 0 0
Earthlink, Inc. Common 270321102 75 4,845 Shared-Defined 1 4,845 0 0
Echelon Corporation - Common Common 27874N105 6,949 119,944 Shared-Defined 1 119,944 0 0
EchoStar Communications Corp. Cl A Class A 278762109 7,338 221,628 Shared-Defined 1 221,628 0 0
Education Management Corp. Common 28139T101 1,445 80,000 Shared-Defined 1 80,000 0 0
Elan Corp PLC - ADR ADR 284131208 1,699 35,084 Shared-Defined 1 35,084 0 0
Emerson Electric Co. Common 291011104 266 4,400 Shared-Defined 1 4,400 0 0
Endesa S.A. - Sponsored ADR ADR 29258N107 195 10,000 Shared-Defined 1 10,000 0 0
Enron Corp. Common 293561106 3,354 52,000 Shared-Defined 1 52,000 0 0
Equant N.V.- NY Registered Shs Common 294409107 602 14,000 Shared-Defined 1 14,000 0 0
Ericsson Tel - ADR (New) Common 294821400 31,360 1,568,000 Shared-Defined 1 1,568,000 0 0
Excelon Corporation Common 300691102 5,748 724,124 Shared-Defined 1 724,124 0 0
Exide Corp. Common 302051107 4,396 549,488 Shared-Defined 1 549,488 0 0
Extreme Networks Inc. Common 30226D106 211 2,000 Shared-Defined 1 2,000 0 0
Exxon Mobil Corporation Common 30231G102 69,324 883,113 Shared-Defined 1 882,813 0 300
FEI Company Common 30241L109 14 465 Shared-Defined 1 465 0 0
F.Y.I. Incorporated Common 302712104 10,003 296,927 Shared-Defined 1 296,927 0 0
FactSet Research Systems, Inc. Common 303075105 10,945 387,450 Shared-Defined 1 387,450 0 0
Family Dollar Stores, Inc. Common 307000109 16,904 864,092 Shared-Defined 1 864,092 0 0
Farm Family Holdings Inc. Common 307901108 3 107 Shared-Defined 1 107 0 0
Federal National Mortgage Common 313586109 3,486 66,800 Shared-Defined 1 66,800 0 0
Association
F5 Networks, Inc. Common 315616102 218 4,000 Shared-Defined 1 4,000 0 0
Financial Federal Corp. Common 317492106 33 1,902 Shared-Defined 1 1,902 0 0
First Data Corporation Common 319963104 308 6,200 Shared-Defined 1 6,200 0 0
First Union Corp. Common 337358105 32 1,296 Shared-Defined 1 1,296 0 0
FleetBoston Financial Corporation Common 339030108 252 7,400 Shared-Defined 1 7,400 0 0
Florida Progress Corp. Common 341109106 77 1,650 Shared-Defined 1 1,350 0 300
Foundry Networks Inc. Common 35063R100 110 1,000 Shared-Defined 1 1,000 0 0
Fresenius Medical Care - ADR ADR 358029106 484 18,500 Shared-Defined 1 18,500 0 0
Galileo Intl Inc. Common 363547100 5 233 Shared-Defined 1 233 0 0
Gannett Inc. Common 364730101 233 3,900 Shared-Defined 1 3,900 0 0
Gateway Inc. Common 367626108 1,402 24,700 Shared-Defined 1 24,700 0 0
General Electric Co. Common 369604103 69,125 1,304,253 Shared-Defined 1 1,304,253 0 0
General Growth Properties Common 370021107 3,501 110,200 Shared-Defined 1 110,200 0 0
General Motors Corp. Common 370442105 4,476 77,090 Shared-Defined 1 77,090 0 0
General Motors Corp - Class H Class H 370442832 8,137 92,471 Shared-Defined 1 92,471 0 0
Getty Images, Inc. Common 374276103 10,828 292,157 Shared-Defined 1 292,157 0 0
Gilead Sciences Inc. Common 375558103 1,438 20,222 Shared-Defined 1 20,222 0 0
Gillette Co. Common 375766102 140 4,000 Shared-Defined 1 4,000 0 0
Glaxo Wellcome Plc ADR ADR 37733W105 434 7,500 Shared-Defined 1 4,000 0 3,500
Global Telesystems Group, Inc. Common 37936U104 18 1,500 Shared-Defined 1 1,500 0 0
GOTO.COM Inc. Common 38348T107 964 62,961 Shared-Defined 1 62,961 0 0
Guidant Corporation Common 401698105 12 246 Shared-Defined 1 246 0 0
HCA-The Healthcare Corporation Common 404119109 1,327 43,700 Shared-Defined 1 43,700 0 0
HSBC Holdings plc - Spons ADR ADR 404280406 19 330 Shared-Defined 1 330 0 0
The Hain Food Group, Inc. Common 405217100 1,856 50,600 Shared-Defined 1 50,600 0 0
Halliburton Co. Common 406216101 491 10,400 Shared-Defined 1 10,400 0 0
Hartford Financial Services Common 416515104 269 4,800 Shared-Defined 1 4,800 0 0
Healthcare Services Group. Common 421906108 2,450 544,458 Shared-Defined 1 544,458 0 0
Healthsouth Corp. Common 421924101 3 486 Shared-Defined 1 486 0 0
Healthcare Realty Trust Inc. Common 421946104 895 52,400 Shared-Defined 1 52,400 0 0
Hellenic Telecommunications Common 423325307 5,817 477,298 Shared-Defined 1 477,298 0 0
Hershey Foods Corp. Common 427866108 73 1,500 Shared-Defined 1 1,500 0 0
Hewlett Packard Co Common 428236103 4,838 38,740 Shared-Defined 1 38,740 0 0
Home Depot Inc. Common 437076102 7,566 151,500 Shared-Defined 1 150,750 0 750
Honeywell Inc. Common 438516106 229 6,800 Shared-Defined 1 6,800 0 0
IDEC Pharmaceuticals Corp. Common 449370105 4,796 40,882 Shared-Defined 1 40,882 0 0
Idexx Laboratories Inc. Common 45168D104 1,465 64,056 Shared-Defined 1 64,056 0 0
Imperial Credit Inds. Inc. Common 452729106 21 4,900 Shared-Defined 1 4,900 0 0
Incyte Genomics, Inc. Common 45337C102 128 1,559 Shared-Defined 1 1,559 0 0
Infospace.com Inc. Common 45678T102 0 2 Shared-Defined 1 2 0 0
ING Groep N.V. - Sponsored ADR ADR 456837103 27 405 Shared-Defined 1 405 0 0
Information Resources Inc. Common 456905108 1,444 366,832 Shared-Defined 1 366,832 0 0
Inktomi Corp. Common 457277101 1,918 16,224 Shared-Defined 1 16,224 0 0
Intel Corp. Common 458140100 24,500 183,261 Shared-Defined 1 182,861 0 400
Int'l Business Machines Corp. Common 459200101 35,496 323,975 Shared-Defined 1 323,775 0 200
Internet Capital Group Common 46059C106 11 285 Shared-Defined 1 285 0 0
The Interpublic Group of Common 460690100 5,564 129,400 Shared-Defined 1 129,400 0 0
Companies, Inc.
InterWorld Corp. Common 46114Q108 1,333 65,000 Shared-Defined 1 65,000 0 0
Interwoven Inc. Common 46114T102 1,100 9,997 Shared-Defined 1 9,997 0 0
Iona Technologies Plc-ADR ADR 46206P109 22,679 359,980 Shared-Defined 1 359,980 0 0
Ionics Inc. Common 462218108 61 2,000 Shared-Defined 1 2,000 0 0
Iron Mountain Inc. Common 462846106 9,489 279,916 Shared-Defined 1 279,916 0 0
iShares Inc MSCI United Kingdom Common 464286699 2,581 134,539 Shared-Defined 1 134,539 0 0
iShares MSCI Japan Index Fund Common 464286848 47 3,100 Shared-Defined 1 3,100 0 0
I2 Technologies Inc. Common 465754109 87 672 Shared-Defined 1 672 0 0
iVillage Inc. Common 46588H105 128 15,139 Shared-Defined 1 15,139 0 0
JDS Uniphase Corporation Common 46612J101 719 6,000 Shared-Defined 1 6,000 0 0
Johnson & Johnson Common 478160104 6,811 66,856 Shared-Defined 1 66,856 0 0
Juniper Networks, Inc. Common 48203R104 202 1,386 Shared-Defined 1 1,386 0 0
Jupiter Communications, Inc. Common 482050101 9 400 Shared-Defined 1 400 0 0
Kana Communications, Inc. Common 483600102 35 564 Shared-Defined 1 564 0 0
Keycorp Common 493267108 3,173 180,000 Shared-Defined 1 180,000 0 0
KeySpan Corporation Common 49337W100 397 12,900 Shared-Defined 1 12,600 0 300
Kimberly-Clark Corp Common 494368103 5,851 101,983 Shared-Defined 1 101,783 0 200
Komag Inc. Common 500453105 4 2,000 Shared-Defined 1 2,000 0 0
Koninklijke Philips Elect- Common 500472303 39,660 835,492 Shared-Defined 1 835,492 0 0
N.V. NY Shs
Kopin Corporation Common 500600101 3,518 50,802 Shared-Defined 1 50,802 0 0
Kroger Co. Common 501044101 13 574 Shared-Defined 1 0 0 574
Kronos Inc. Common 501052104 7,693 295,866 Shared-Defined 1 295,866 0 0
Estee Lauder Companies - Cl A Class A 518439104 157 3,182 Shared-Defined 1 3,182 0 0
Estee Lauder Companies - Cl B Class B 518439104 157 3,182 Shared-Defined 1 3,182 0 0
Leggett & Platt Inc. Common 524660107 10,542 638,900 Shared-Defined 1 638,900 0 0
Ligand Pharmaceuticals, Inc. Common 53220K207 246 18,655 Shared-Defined 1 18,655 0 0
Lilly Eli & Co. Common 532457108 16,164 161,839 Shared-Defined 1 161,839 0 0
SCM Microsystems, Inc. Common 5333529 234 4,067 Shared-Defined 1 4,067 0 0
Littelfuse, Inc. Common 537008104 10,439 213,050 Shared-Defined 1 213,050 0 0
Lucent Technologies Common 549463107 13,842 237,384 Shared-Defined 1 237,384 0 0
Lycos Inc. Common 550818108 8,061 149,287 Shared-Defined 1 148,690 0 597
Mattel, Inc. Common 577081102 981 74,400 Shared-Defined 1 74,400 0 0
Maxygen Common 577776107 284 5,000 Shared-Defined 1 5,000 0 0
McDonalds Corp. Common 580135101 1,054 32,000 Shared-Defined 1 32,000 0 0
The McGraw-Hill Companies, Inc. Common 580645109 918 17,000 Shared-Defined 1 17,000 0 0
Media Metrix, Inc. Common 58440X103 1,725 67,813 Shared-Defined 1 66,346 0 1,467
Medquist Inc. Common 584949101 4,073 119,798 Shared-Defined 1 119,798 0 0
Mentor Graphics Common 587200106 14,465 727,803 Shared-Defined 1 727,803 0 0
Merck & Co. Inc. Common 589331107642,225 8,381,401 Shared-Defined 1 524,854 0 7,856,547
Metromedia Fiber Network Inc. Class A 591689104150,305 3,787,208 Shared-Defined 1 0 0 3,787,208
Mettler-Toledo International Common 592688105 22 538 Shared-Defined 1 538 0 0
Microsoft Corp. Common 594918104 7,742 96,778 Shared-Defined 1 96,778 0 0
Microsemi Corp. Common 595137100 12,015 354,041 Shared-Defined 1 354,041 0 0
Millennium Pharmaceuticals Common 599902103 11,843 105,860 Shared-Defined 1 105,860 0 0
Herman Miller, Inc. Common 600544100 1,164 45,000 Shared-Defined 1 45,000 0 0
Minnesota Mining & Mfg. Co. Common 604059105 1,469 17,700 Shared-Defined 1 17,700 0 0
Montana Power Co. Common 612085100 579 16,400 Shared-Defined 1 14,800 0 1,600
J.P. Morgan Common 616880100 7,731 70,200 Shared-Defined 1 70,050 0 150
Motorola Inc. Common 620076109 13,070 431,189 Shared-Defined 1 431,189 0 0
MyPoint.com Common 62855T102 1,109 58,509 Shared-Defined 1 58,509 0 0
NTL Incorporated Common 629407107 10,320 172,360 Shared-Defined 1 172,360 0 0
Nabisco Holdings Corp. Class A Class A 629526104 11,369 216,400 Shared-Defined 1 216,400 0 0
Neomagic Corp. Common 640497103 15 5,000 Shared-Defined 1 5,000 0 0
Network Associates Inc. Common 640938106 12,900 633,142 Shared-Defined 1 633,142 0 0
Netcentives Inc. Common 64108P101 140 7,508 Shared-Defined 1 7,508 0 0
NetObjects, Inc. Common 64114L102 255 27,979 Shared-Defined 1 27,979 0 0
Network Appliance Inc. Common 64120L104 15,190 188,698 Shared-Defined 1 188,698 0 0
New Era of Networks, Inc. Common 644312100 3,191 75,071 Shared-Defined 1 75,071 0 0
Newpark Resources, Inc. Common 651718504 7,077 749,915 Shared-Defined 1 749,915 0 0
Nextel Communications Inc Cl A Class A 65332V103 11,798 192,824 Shared-Defined 1 192,824 0 0
Nippon Telegraph & ADR 654624105 15 220 Shared-Defined 1 220 0 0
Telephone Corporation
Nokia - ADR A Class A 654902204 35,473 702,430 Shared-Defined 1 702,430 0 0
Norfolk Southern Corp. Common 655844108 728 48,939 Shared-Defined 1 48,939 0 0
Nortel Networks Corp. ADR 656568102 9,960 145,964 Shared-Defined 1 145,964 0 0
Northpoint Communications Common 666610100 19 1,666 Shared-Defined 1 1,666 0 0
Ocean Energy Inc. Common 67481E106 20 1,385 Shared-Defined 1 1,385 0 0
Office Depot, Inc. Common 676220106 16 2,500 Shared-Defined 1 2,500 0 0
On Assignment Inc. Common 682159108 14,963 490,600 Shared-Defined 1 490,600 0 0
Open Market, Inc. Common 68370M100 9 631 Shared-Defined 1 631 0 0
Oracle Systems Common 68389X105 7,595 90,350 Shared-Defined 1 90,350 0 0
Oxford Health Plans Common 691471106 1,191 50,000 Shared-Defined 1 50,000 0 0
PBOC Holdings, Inc. Common 69316G108 60 7,000 Shared-Defined 1 7,000 0 0
PE Corp-PE Biosystems Group Common 69332S102 7,249 110,040 Shared-Defined 1 110,040 0 0
PE Corp-PE Celera Genomics Grp Common 69332S201 545 5,832 Shared-Defined 1 5,832 0 0
Pall Corporation Common 696429307 15,558 840,960 Shared-Defined 1 840,960 0 0
Peoplesoft Inc. Common 712713106 3,043 181,700 Shared-Defined 1 181,700 0 0
Pepsiamericas Inc. Common 71343P101 2 590 Shared-Defined 1 590 0 0
Pepsico, Inc Common 713448108 17,054 383,768 Shared-Defined 1 383,768 0 0
PerkinElmer, Inc. Common 714046109 2 25 Shared-Defined 1 25 0 0
Pharmacyclics Inc. Common 716933106 2,252 36,926 Shared-Defined 1 36,926 0 0
Pfizer Inc. Common 717081103 21,408 446,000 Shared-Defined 1 446,000 0 0
Pharmacia Corporation Common 71713U102 17,523 339,012 Shared-Defined 1 339,012 0 0
Portugal Telecom S.A. - ADR ADR 737273102 225 20,000 Shared-Defined 1 20,000 0 0
Powewave Technologies Inc. Common 739363109 66 1,500 Shared-Defined 1 1,500 0 0
Priceline.com Inc Common 741503106 8 200 Shared-Defined 1 200 0 0
Primus Telecommunications Common 741929103 10,031 403,239 Shared-Defined 1 403,239 0 0
Procter & Gamble Co. Common 742718109 384 6,758 Shared-Defined 1 6,758 0 0
Project Software & Development Inc. Common 74339P101 6,386 354,769 Shared-Defined 1 354,769 0 0
Psinet Inc. Common 74437C101 14,305 569,358 Shared-Defined 1 569,358 0 0
PurchaseSoft, Inc Common 746145101 18,292 9,627,553 Shared-Defined 1 9,627,553 0 0
PurchaseSoft,Inc - Ser C Warrant 746992304 43 35,007 Shared-Defined 1 35,007 0 0
PurchaseSoft,Inc - Ser B Warrant 74699232 43 35,007 Shared-Defined 1 35,007 0 0
PurchaseSoft, Inc - Ser G Warrant 746992353 27 29,881 Shared-Defined 1 29,881 0 0
PurchaseSoft, Inc - Ser F Warrant 74699237 27 29,880 Shared-Defined 1 29,880 0 0
PurchaseSoft, Inc - Ser I Warrant 746992403 81 60,000 Shared-Defined 1 60,000 0 0
PurchaseSoft, Inc - Ser J Warrant 746992452 33 30,000 Shared-Defined 1 30,000 0 0
PurchaseSoft, Inc - Ser M Warrant 746992502 4 3,200 Shared-Defined 1 3,200 0 0
PurchaseSoft, Inc - Ser N Warrant 746992551 2 1,600 Shared-Defined 1 1,600 0 0
Qualcomm Inc. Common 747525103 5,131 85,510 Shared-Defined 1 85,510 0 0
Range Resources Corp. Common 75281A109 2,069 662,058 Shared-Defined 1 662,058 0 0
Rational Software Inc. Common 75409P202 64 694 Shared-Defined 1 694 0 0
The Reader's Digest Common 755267101 332 8,350 Shared-Defined 1 8,350 0 0
Association, Inc.
Red Hat, Inc Common 756577102 54 2,000 Shared-Defined 1 2,000 0 0
Repsol S.A. ADR ADR 76026T205 119 6,000 Shared-Defined 1 6,000 0 0
ResMed Inc. Common 761152107 966 36,100 Shared-Defined 1 36,100 0 0
Royal Dutch Petroleum Company ADR 780257804 1,870 30,390 Shared-Defined 1 24,150 0 6,240
- NY Shrs
SBC Communications, Inc. Common 78387G103 17,878 406,328 Shared-Defined 1 406,328 0 0
SCM Microsystems, Inc. Common 784018103 20,425 337,252 Shared-Defined 1 337,252 0 0
S&P 500 Depository Receipt Common 78462F103 10,620 73,100 Shared-Defined 1 73,100 0 0
Safeguard Scientifics, Inc. Common 786449108 64 2,000 Shared-Defined 1 2,000 0 0
Safeway Inc. Common 786514208 532 11,795 Shared-Defined 1 0 0 11,795
SAGA SYSTEMS, Inc. Common 786610105 4,831 388,453 Shared-Defined 1 388,453 0 0
St. Jude Medical Common 790849103 138 3,000 Shared-Defined 1 3,000 0 0
Sap AG - Sponsored ADR ADR 803054204 5,552 119,074 Shared-Defined 1 119,074 0 0
Schlumberger Ltd. Common 806857108 112 1,500 Shared-Defined 1 1,500 0 0
Scholastic Corporation Common 807066105 2,567 42,000 Shared-Defined 1 42,000 0 0
School Specialty, Inc. Common 807863105 464 25,000 Shared-Defined 1 25,000 0 0
Scottish Power Plc - ADR ADR 81013T705 463 13,852 Shared-Defined 1 13,388 0 464
Sepracor Inc. Common 817315104 1,206 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 1,680 35,000 Shared-Defined 1 35,000 0 0
Smithkline Beecham PLC ADR ADR 832378301 1,173 18,000 Shared-Defined 1 18,000 0 0
Sonera Corp. Sponsored ADR ADR 835433202 5,644 122,700 Shared-Defined 1 122,700 0 0
Sony Corporation - Spons ADR ADR 835699307 19 200 Shared-Defined 1 200 0 0
Sotheby's Holdings Inc Class A Class A 835898107 125 7,120 Shared-Defined 1 7,120 0 0
Southern Pacific Petroleum ADR ADR 843581307 15,388 7,461,052 Shared-Defined 1 7,461,052 0 0
Spherion Corporation Common 848420105 1,775 100,000 Shared-Defined 1 100,000 0 0
Spieker Properties Common 848497103 18 400 Shared-Defined 1 400 0 0
Sprint Corp (PCS Group) Common 852061506 4,326 72,700 Shared-Defined 1 72,700 0 0
Spyglass Inc. Common 852192103 78 2,482 Shared-Defined 1 2,482 0 0
StarMedia Network, Inc. Common 855546107 20,231 1,071,834 Shared-Defined 1 1,071,834 0 0
STMicroelectronics-N.V. NY Shs Common 861012102 47,600 741,573 Shared-Defined 1 741,573 0 0
Strayer Education Inc. Common 863236105 1,500 62,500 Shared-Defined 1 62,500 0 0
Structural Dynamics Research Common 863555108 60 4,000 Shared-Defined 1 4,000 0 0
Sun Microsystems Inc. Common 866810104 1,537 16,900 Shared-Defined 1 16,900 0 0
Sunrise Assisted Living Inc. Common 86768K106 11,425 617,556 Shared-Defined 1 617,556 0 0
Sykes Enterprises Common 871237103 7,762 602,903 Shared-Defined 1 602,903 0 0
Symbol Technologies Common 871508107 5,256 97,259 Shared-Defined 1 97,259 0 0
Symyx Technologies Common 87155S108 3,229 75,771 Shared-Defined 1 73,741 0 2,030
TDK Corp - ADR ADR 872351408 72 500 Shared-Defined 1 500 0 0
TXU Corporation Common 873168108 96 3,240 Shared-Defined 1 3,240 0 0
Tele Danmark As - Spons ADR ADR 879242105 340 10,000 Shared-Defined 1 10,000 0 0
Telefonica S.A. - ADR ADR 879382208 7,947 124,054 Shared-Defined 1 124,054 0 0
Telefonos de Mexico SA Common 879403780 458 8,000 Shared-Defined 1 8,000 0 0
Telescan, Inc. Common 879516102 2,670 365,063 Shared-Defined 1 365,063 0 0
Telesp Celular Participacoes S.A. Common 87952L108 224 5,000 Shared-Defined 1 5,000 0 0
Teligent, Inc Cl A Class A 87959Y103 396 16,750 Shared-Defined 1 16,750 0 0
Texaco Inc. Common 881694103 11 200 Shared-Defined 1 200 0 0
Texas Instruments Inc. Common 882508104 48,317 703,436 Shared-Defined 1 702,756 0 680
Thermo Electron Corp Common 883556102 1,632 77,500 Shared-Defined 1 77,500 0 0
Thermolase Corp. Common 883624108 1 193 Shared-Defined 1 193 0 0
Thermolase Corp - Units Common 883624207 10 536 Shared-Defined 1 536 0 0
Thermotrex Corp. Common 883666109 4 323 Shared-Defined 1 323 0 0
Thermedics, Inc. Common 883901100 174 17,550 Shared-Defined 1 17,550 0 0
3-Com Corp. - Restricted Common 885535104 43 744 Shared-Defined 1 744 0 0
3DFX Interactive Inc. Common 88553X103 164 21,022 Shared-Defined 1 21,022 0 0
Time Warner Inc. Common 887315109 251 3,300 Shared-Defined 1 3,300 0 0
Total Fina Elf SA - Spons ADR ADR 89151E109 31 399 Shared-Defined 1 399 0 0
Transaction Systems Architects, Inc Common 893416107 394 23,000 Shared-Defined 1 23,000 0 0
Trex Medical Corp. Common 89531R101 422 211,063 Shared-Defined 1 211,063 0 0
Triangle Pharmaceuticals Inc. Common 89589H104 331 36,544 Shared-Defined 1 36,544 0 0
Triquint Semiconductor, Inc. Common 89674K103 351 3,670 Shared-Defined 1 3,670 0 0
TriPath Imaging, Inc. Common 896942109 73 11,854 Shared-Defined 1 11,854 0 0
Tumbleweed Communications Common 899690101 4,113 80,839 Shared-Defined 1 79,666 0 1,173
Corporation
Tyco International Ltd Common 902124106 398 8,408 Shared-Defined 1 8,408 0 0
Unilever plc - Sponsored ADR ADR 904767704 10 406 Shared-Defined 1 406 0 0
Unilever NV - NY Shares Common 904784709 24 550 Shared-Defined 1 550 0 0
Union Pacific Corp. Common 907818108 74 2,000 Shared-Defined 1 2,000 0 0
United Pan-Europe Communications - ADR 911300200 8,105 300,200 Shared-Defined 1 300,200 0 0
United Parcel Service Common 911312106 9,832 166,939 Shared-Defined 1 166,939 0 0
United Technologies Corp. Common 913017109 595 10,100 Shared-Defined 1 10,100 0 0
UnitedGlobalCom Common 913247508 27,422 586,558 Shared-Defined 1 586,058 0 500
Univision Communications, Inc. Common 914906102 16,903 163,256 Shared-Defined 1 163,006 0 250
Unocal Corp. Common 915289102 477 14,400 Shared-Defined 1 14,400 0 0
UnumProvident Corp. Common 91529Y106 68 3,400 Shared-Defined 1 3,400 0 0
USInternetworking Inc. Common 917311805 13,297 650,624 Shared-Defined 1 644,377 0 6,247
Vail Resorts, Inc. Common 91879Q109 8 500 Shared-Defined 1 500 0 0
Verizon Communications Common 92343V104 2,357 46,378 Shared-Defined 1 46,072 0 306
Vical, Inc. Common 925602104 755 39,233 Shared-Defined 1 39,233 0 0
Vignette Corp. Common 926734104 390 7,500 Shared-Defined 1 7,500 0 0
Virginia Capital Bancshares, Common 927758102 70 4,600 Shared-Defined 1 4,600 0 0
Visual Networks, Inc. Common 928444108 5,046 177,051 Shared-Defined 1 177,051 0 0
Vodafone Group PLC - SP ADR Common 92857W100 6,427 153,941 Shared-Defined 1 153,941 0 0
Wal Mart Stores Inc. Common 931142103 8,396 145,700 Shared-Defined 1 145,700 0 0
Warwick Community Bancorp Common 936559103 17 1,400 Shared-Defined 1 1,400 0 0
WebTrends Corporation Common 94844D104 193 5,000 Shared-Defined 1 5,000 0 0
Wellpoint Health Networks Inc. Common 94973H108 7,768 107,240 Shared-Defined 1 107,240 0 0
Wells Fargo Company Common 949746101 11,179 288,500 Shared-Defined 1 288,000 0 500
Wesco International, Inc. Common 95082P105 7,490 781,950 Shared-Defined 1 781,950 0 0
Westpac Banking Sponsored Common 961214301 143 4,000 Shared-Defined 1 0 0 4,000
Whole Foods Market, Inc. Common 966837106 1,062 25,700 Shared-Defined 1 25,700 0 0
Williams Co Inc. Common 969457100 750 18,000 Shared-Defined 1 18,000 0 0
Wind River Systems Common 973149107 15,041 397,117 Shared-Defined 1 397,117 0 0
Winstar Communications Inc. Common 975515107 16,279 480,558 Shared-Defined 1 479,958 0 600
Wit Soundview Group, Inc. Common 977383108 227 21,152 Shared-Defined 1 21,152 0 0
WorldGate Communications,Inc. Common 98156L307 79 4,451 Shared-Defined 1 4,451 0 0
Worldcom Inc. Common 98157D106 5,720 124,689 Shared-Defined 1 123,939 0 750
Xerox Corp. Common 984121103 7,702 371,202 Shared-Defined 1 371,202 0 0
Yahoo! Inc. Common 984332106 4,569 36,884 Shared-Defined 1 36,884 0 0
DaimlerChrysler AG Common D1668R123 97 1,870 Shared-Defined 1 1,870 0 0
Global Crossing Ltd Common G3921A100 2,389 90,787 Shared-Defined 1 90,787 0 0
Peak Int'l Ltd Common G69586108 6,988 998,325 Shared-Defined 1 998,325 0 0
ASM Lithography Hldgs NV Common N07059111 1,589 36,000 Shared-Defined 1 36,000 0 0
Bladex (Banco Latino Americano De Common P16994132 1,460 52,720 Shared-Defined 1 52,720 0 0
387 2,837,634
<PAGE>
<CAPTION>
FORM 13F (06-30-00) NAME OF REPORTING MANAGER
ROCKEFELLER FINANCIAL SERVICES/ROCKEFELLER & CO., INC./THE ROCKEFELLER TRUST COMPANY
Title of Cusip Value Shares or Put Call Other Voting Authority Shares
Name of Issuer Class (x$1,000) Principal Shr/P Invest. Discr Mgrs A.Sole B.Shared C.None
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Aflac, Inc. Common 001055102 4,562 99,300 Shared-Defined 1-2 99,300 0 0
Aes Corp. Common 00130H105 16,462 360,800 Shared-Defined 1-2 352,800 0 8,000
AT & T Corp. Common 001957109 484 15,217 Shared-Defined 1-2 14,355 0 862
AT&T Corp. - Liberty Media Class A 001957208 1,672 69,000 Shared-Defined 1-2 39,000 0 30,000
Grp A Shs
Abbott Laboratories Common 002824100 12,981 291,308 Shared-Defined 1-2 261,308 0 30,000
Adaptec, Inc. Common 00651F108 25 1,100 Shared-Defined 1-2 0 0 1,100
Adelphia Communications Corp. Class A 006848105 2 45 Shared-Defined 1-2 0 0 45
Aetna Inc. Common 008117103 295 4,600 Shared-Defined 1-2 4,600 0 0
Agilent Technologies, Inc. Common 00846U101 1,069 14,491 Shared-Defined 1-2 14,491 0 0
Alcatel SA - Sponsored ADR Common 013904305 446 6,710 Shared-Defined 1-2 230 0 6,480
Altera Corporation Common 021441100 12 114 Shared-Defined 1-2 0 0 114
America Online Inc. Common 02364J104 3,347 63,300 Shared-Defined 1-2 63,300 0 0
American Home Products Corp. Common 026609107 176 3,000 Shared-Defined 1-2 3,000 0 0
American International Group Common 026874107 17,566 149,502 Shared-Defined 1-2 127,965 0 21,537
American Power Conversion Common 029066107 8 187 Shared-Defined 1-2 0 0 187
American Superconductor Corp. Common 030111108 64 1,333 Shared-Defined 1-2 1,106 0 227
Amgen Inc. Common 031162100 2,381 33,900 Shared-Defined 1-2 33,900 0 0
Apollo Group Common 037604105 1,882 67,220 Shared-Defined 1-2 67,220 0 0
Apple Computer Inc. Common 037833100 2,755 52,600 Shared-Defined 1-2 51,800 0 800
Applied Materials Common 038222105 8,187 90,340 Shared-Defined 1-2 59,340 0 31,000
At Home Corporation-Series A Series A 045919107 3 134 Shared-Defined 1-2 0 0 134
AstraZeneca Group Plc-Spons ADR ADR 046353108 17 356 Shared-Defined 1-2 356 0 0
Avery Dennison Corp. Common 053611109 81 1,200 Shared-Defined 1-2 1,200 0 0
Axa-Uap - ADR ADR 054536107 172 2,165 Shared-Defined 1-2 2,165 0 0
BP Amoco Plc - ADR Common 055622104 4,218 74,492 Shared-Defined 1-2 74,492 0 0
Bank of America Corp. Common 060505104 5,655 131,500 Shared-Defined 1-2 131,500 0 0
Bank One Corporation Common 06423A103 29 1,086 Shared-Defined 1-2 0 0 1,086
Bell & Howell Company Common 077852101 8 350 Shared-Defined 1-2 0 0 350
Bellsouth Corp. Common 079860102 1,194 28,000 Shared-Defined 1-2 28,000 0 0
Bowater Inc Common 102183100 556 12,600 Shared-Defined 1-2 12,600 0 0
Bristol Myers Squibb Co. Common 110122108 3,693 63,400 Shared-Defined 1-2 63,400 0 0
Cadbury Schweppes Plc-Sp ADR ADR 127209302 8 300 Shared-Defined 1-2 300 0 0
Canon Inc. - Sponsored ADR ADR 138006309 10 200 Shared-Defined 1-2 200 0 0
Celeritek, Inc. Common 150926103 7 162 Shared-Defined 1-2 162 0 0
Chase Manhattan Corp. Common 16161A108 3,106 67,437 Shared-Defined 1-2 66,687 0 750
Chevron Corp Common 166751107 12,993 153,200 Shared-Defined 1-2 122,700 0 30,500
Ciena Corp. Common 171779101 1,120 6,720 Shared-Defined 1-2 6,720 0 0
Cisco Systems, Inc. Common 17275R102 15,177 238,770 Shared-Defined 1-2 205,770 0 33,000
Citigroup Inc. Common 172967101 940 15,600 Shared-Defined 1-2 15,600 0 0
Clayton Homes, Inc. Common 184190106 25 3,100 Shared-Defined 1-2 0 0 3,100
Coca Cola Co. Common 191216100 63 1,100 Shared-Defined 1-2 800 0 300
Cognex Corp. Common 192422103 136 2,625 Shared-Defined 1-2 2,625 0 0
Comdsico, Inc. Common 200336105 16 725 Shared-Defined 1-2 0 0 725
Computer Associates Intl., Inc. Common 204912109 5 103 Shared-Defined 1-2 0 0 103
Compuware Corporation Common 205638109 14 1,325 Shared-Defined 1-2 0 0 1,325
Continental Airlines Inc, Cl B Common 210795308 235 5,000 Shared-Defined 1-2 5,000 0 0
Convergys Corp. Common 212485106 7,247 139,700 Shared-Defined 1-2 139,700 0 0
Covad Communications Group, Common 222814204 5 337 Shared-Defined 1-2 0 0 337
Cox Communications Inc Cl-A Class A 224044107 2,314 50,800 Shared-Defined 1-2 50,800 0 0
CRIIMI MAE, Inc. 12.00% Series Preferred 226603306 0 5 Shared-Defined 1-2 0 0 5
F Pfd
Delphi Automotive Systems Corp Common 247126105 667 45,800 Shared-Defined 1-2 45,800 0 0
Disney, Walt Co. Common 254687106 749 19,300 Shared-Defined 1-2 18,300 0 1,000
DoubleClick, Inc. Common 258609304 1,743 45,720 Shared-Defined 1-2 45,156 0 564
Dupont, E.I. de Nemours & Co. Common 263534109 639 14,600 Shared-Defined 1-2 13,100 0 1,500
Echelon Corporation-Common Common 27874N105 41 713 Shared-Defined 1-2 713 0 0
Ecolab Inc. Common 278865100 41 1,050 Shared-Defined 1-2 0 0 1,050
Elan Corp PLC - ADR ADR 284131208 177 3,654 Shared-Defined 1-2 3,654 0 0
Emerson Electric Co. Common 291011104 1,292 21,400 Shared-Defined 1-2 21,400 0 0
Enron Corp. Common 293561106 39 600 Shared-Defined 1-2 0 0 600
Ericsson Tel - ADR (New) Common 294821400 1,416 70,800 Shared-Defined 1-2 70,800 0 0
Exxon Mobil Corporation Common 30231G102 43,493 554,051 Shared-Defined 1-2 430,051 0 124,000
Family Dollar Stores, Inc. Common 307000109 1,019 52,100 Shared-Defined 1-2 48,100 0 4,000
Federal Realty Investment Tr. Common 313747206 52 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 1 30 Shared-Defined 1-2 30 0 0
General Dynamics Corporation Common 369550108 6 110 Shared-Defined 1-2 0 0 110
General Electric Co. Common 369604103 48,604 917,066 Shared-Defined 1-2 612,166 0 304,900
General Growth Properties Common 370021107 578 18,200 Shared-Defined 1-2 18,200 0 0
General Motors Corp. Common 370442105 22 375 Shared-Defined 1-2 0 0 375
General Motors Corp - Class H Class H 370442832 9 106 Shared-Defined 1-2 0 0 106
Genzyme Corporation Common 372917104 4 69 Shared-Defined 1-2 0 0 69
Gillette Co. Common 375766102 10 300 Shared-Defined 1-2 0 0 300
HCA-The Healthcare Corp. Common 404119109 907 29,860 Shared-Defined 1-2 29,860 0 0
HSBC Holdings plc - Spons ADR ADR 404280406 9 150 Shared-Defined 1-2 150 0 0
Hershey Foods Corp. Common 427866108 291 6,000 Shared-Defined 1-2 3,500 0 2,500
Hewlett Packard Co Common 428236103 4,745 38,000 Shared-Defined 1-2 38,000 0 0
Home Depot Inc. Common 437076102 300 6,000 Shared-Defined 1-2 6,000 0 0
Idexx Laboratories Inc. Common 45168D104 30 1,313 Shared-Defined 1-2 1,313 0 0
Illinois Tool Works Inc. Common 452308109 29 500 Shared-Defined 1-2 0 0 500
Incyte Genomics, Inc. Common 45337C102 405 4,932 Shared-Defined 1-2 4,662 0 270
ING Groep N.V. - Sponsored ADR ADR 456837103 13 190 Shared-Defined 1-2 190 0 0
Intel Corp. Common 458140100 15,795 118,149 Shared-Defined 1-2 115,549 0 2,600
Int'l Business Machines Corp. Common 459200101 11,278 102,934 Shared-Defined 1-2 92,142 0 10,792
The Interpublic Group of Common 460690100 1,548 36,000 Shared-Defined 1-2 36,000 0 0
Companies, Inc.
Iona Technologies Plc-ADR ADR 46206P109 1,848 29,330 Shared-Defined 1-2 29,330 0 0
iShares MSCI Japan Index Fund Common 464286848 1,063 70,000 Shared-Defined 1-2 70,000 0 0
Johnson & Johnson Common 478160104 672 6,599 Shared-Defined 1-2 4,599 0 2,000
Kaydon Corporation Common 486587108 17 800 Shared-Defined 1-2 0 0 800
Kerr-McGee Corp Common 492386107 127 2,148 Shared-Defined 1-2 2,148 0 0
KeySpan Corporation Common 49337W100 81 2,640 Shared-Defined 1-2 2,640 0 0
Kimberly-Clark Corp Common 494368103 1,704 29,700 Shared-Defined 1-2 29,700 0 0
Koninklijke Philips Elect-N.V. Common 500472303 4,082 85,984 Shared-Defined 1-2 83,408 0 2,576
NY Shs
Ligand Pharmaceuticals, Inc. Common 53220K207 19 1,421 Shared-Defined 1-2 964 0 457
Lilly Eli & Co. Common 532457108 1,748 17,500 Shared-Defined 1-2 17,500 0 0
Lincare Holdings Inc. Common 532791100 5 203 Shared-Defined 1-2 0 0 203
SCM Microsystems, Inc. Common 5333529 98 1,693 Shared-Defined 1-2 1,606 0 87
Lucent Technologies Common 549463107 2,878 49,350 Shared-Defined 1-2 48,700 0 650
Lycos Inc. Common 550818108 1,365 25,281 Shared-Defined 1-2 24,953 0 328
McDonalds Corp. Common 580135101 20 600 Shared-Defined 1-2 0 0 600
The McGraw-Hill Companies, Inc. Common 580645109 184 3,400 Shared-Defined 1-2 2,700 0 700
MediaOne Group Inc. Common 58440J104 1,058 16,000 Shared-Defined 1-2 16,000 0 0
Media Metrix, Inc. Common 58440X103 55 2,153 Shared-Defined 1-2 2,153 0 0
Merck & Co. Inc. Common 589331107 11,655 152,100 Shared-Defined 1-2 145,300 0 6,800
Microsoft Corp. Common 594918104 36 450 Shared-Defined 1-2 0 0 450
Millennium Pharmaceuticals Common 599902103 1,283 11,472 Shared-Defined 1-2 11,472 0 0
Minnesota Mining & Mfg. Co. Common 604059105 1,744 21,014 Shared-Defined 1-2 19,714 0 1,300
J.P. Morgan Common 616880100 3,887 35,300 Shared-Defined 1-2 29,300 0 6,000
Motorola Inc. Common 620076109 1,064 35,100 Shared-Defined 1-2 35,100 0 0
NTL Incorporated Common 629407107 8,141 135,966 Shared-Defined 1-2 133,466 0 2,500
Nabisco Holdings Corp. Class A Class A 629526104 4,443 84,560 Shared-Defined 1-2 83,040 0 1,520
Network Associates Inc. Common 640938106 5,104 250,500 Shared-Defined 1-2 243,500 0 7,000
New Era of Networks, Inc. Common 644312100 345 8,122 Shared-Defined 1-2 7,916 0 206
Nextel Communications Inc Cl A Class A 65332V103 2,363 38,620 Shared-Defined 1-2 38,620 0 0
Nippon Telegraph & Telephone Corp. ADR 654624105 7 100 Shared-Defined 1-2 100 0 0
Nokia - ADR A Class A 654902204 17,170 340,000 Shared-Defined 1-2 276,000 0 64,000
Norfolk Southern Corp. Common 655844108 655 44,000 Shared-Defined 1-2 24,000 0 20,000
Nortel Networks Corp. ADR 656568102 736 10,784 Shared-Defined 1-2 10,264 0 520
Oracle Systems Common 68389X105 3,875 46,100 Shared-Defined 1-2 45,600 0 500
PE Corp-PE Biosystems Group Common 69332S102 2,863 43,462 Shared-Defined 1-2 42,506 0 956
PE Corp-PE Celera Genomics Grp Common 69332S201 11 114 Shared-Defined 1-2 26 0 88
Pall Corporation Common 696429307 2,930 158,400 Shared-Defined 1-2 156,600 0 1,800
Pepsico, Inc Common 713448108 336 7,550 Shared-Defined 1-2 7,550 0 0
Pharmacyclics Inc. Common 716933106 128 2,096 Shared-Defined 1-2 2,096 0 0
Pfizer Inc. Common 717081103 884 18,425 Shared-Defined 1-2 18,425 0 0
Pharmacia Corporation Common 71713U102 1,778 34,400 Shared-Defined 1-2 33,700 0 700
Procter & Gamble Co. Common 742718109 17 300 Shared-Defined 1-2 0 0 300
Project Software & Development Inc. Common 74339P101 624 34,674 Shared-Defined 1-2 34,674 0 0
Psinet Inc. Common 74437C101 4,678 186,200 Shared-Defined 1-2 159,800 0 26,400
Qualcomm Inc. Common 747525103 264 4,400 Shared-Defined 1-2 4,400 0 0
Qwest Communications Int'l. Inc. Common 749121109 60 1,200 Shared-Defined 1-2 0 0 1,200
The Reader's Digest Assoc., Inc. Common 755267101 1,667 41,950 Shared-Defined 1-2 40,650 0 1,300
Royal Dutch Petroleum Company - ADR 780257804 47 765 Shared-Defined 1-2 165 0 600
NY Shrs
SBC Communications, Inc. Common 78387G103 876 19,902 Shared-Defined 1-2 6,300 0 13,602
SCM Microsystems, Inc. Common 784018103 1,569 25,900 Shared-Defined 1-2 25,170 0 730
S3 Incorporated Common 784849101 19 1,275 Shared-Defined 1-2 0 0 1,275
Sangstat Medical Corporation Common 801003104 21 725 Shared-Defined 1-2 0 0 725
Sony Corporation - Spons ADR ADR 835699307 9 100 Shared-Defined 1-2 100 0 0
Southern Pacific Petroleum ADR ADR 843581307 211 102,300 Shared-Defined 1-2 102,300 0 0
Spieker Properties Common 848497103 92 2,000 Shared-Defined 1-2 2,000 0 0
StarMedia Network, Inc. Common 855546107 378 20,000 Shared-Defined 1-2 20,000 0 0
STMicroelectronics-N.V. NY Shs Common 861012102 21,649 337,274 Shared-Defined 1-2 272,274 0 65,000
Sun Microsystems Inc. Common 866810104 82 900 Shared-Defined 1-2 0 0 900
Symyx Technologies Common 87155S108 60 1,410 Shared-Defined 1-2 1,410 0 0
TDK Corp - ADR ADR 872351408 201 1,400 Shared-Defined 1-2 1,400 0 0
Target Corporation Common 87612E106 2,912 50,200 Shared-Defined 1-2 50,200 0 0
Teligent, Inc Cl A Class A 87959Y103 402 17,000 Shared-Defined 1-2 17,000 0 0
Texas Instruments Inc. Common 882508104 24,237 352,860 Shared-Defined 1-2 312,860 0 40,000
3Com Corporation Common 885535104 37 650 Shared-Defined 1-2 0 0 650
3DFX Interactive Inc. Common 88553X103 27 3,420 Shared-Defined 1-2 0 0 3,420
Tidewater Inc. Common 886423102 58 1,600 Shared-Defined 1-2 1,600 0 0
Total Fina Elf SA - Spons ADR ADR 89151E109 15 190 Shared-Defined 1-2 190 0 0
Triangle Pharmaceuticals Inc. Common 89589H104 15 1,669 Shared-Defined 1-2 1,669 0 0
Triquint Semiconductor, Inc. Common 89674K103 13 140 Shared-Defined 1-2 140 0 0
Tumbleweed Communications Corp. Common 899690101 59 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 17 1,500 Shared-Defined 1-2 1,500 0 0
United Parcel Service Common 911312106 4,786 81,262 Shared-Defined 1-2 66,002 0 15,260
U.S. WEST, Inc. Common 91273H101 352 4,109 Shared-Defined 1-2 4,109 0 0
UnitedGlobalCom Common 913247508 2,151 46,000 Shared-Defined 1-2 31,800 0 14,200
Univision Communications, Inc. Common 914906102 4,938 47,693 Shared-Defined 1-2 47,693 0 0
US Internetworking Inc. Common 917311805 1,408 68,875 Shared-Defined 1-2 68,875 0 0
Verizon Communications Common 92343V104 1,011 19,900 Shared-Defined 1-2 6,000 0 13,900
Vical, Inc. Common 925602104 9 462 Shared-Defined 1-2 0 0 462
Visual Networks, Inc. Common 928444108 1,019 35,760 Shared-Defined 1-2 33,928 0 1,832
Vitesse Semiconductor Corporation Common 928497106 16 212 Shared-Defined 1-2 0 0 212
Vodafone Group PLC - SP ADR Common 92857W100 1,712 41,000 Shared-Defined 1-2 29,500 0 11,500
Waters Corporation Common 941848103 17 138 Shared-Defined 1-2 0 0 138
Wellpoint Health Networks Inc. Common 94973H108 736 10,160 Shared-Defined 1-2 10,160 0 0
Wells Fargo Company Common 949746101 6,733 173,750 Shared-Defined 1-2 173,750 0 0
Winstar Communications Inc. Common 975515107 4,421 130,500 Shared-Defined 1-2 122,500 0 8,000
Worldcom Inc. Common 98157D106 3,929 85,650 Shared-Defined 1-2 71,700 0 13,950
Xerox Corp. Common 984121103 2,563 123,500 Shared-Defined 1-2 123,500 0 0
Zebra Technologies Corp - CL A Class A 989207105 7 162 Shared-Defined 1-2 0 0 162
Peak Int'l Ltd Common G69586108 154 22,062 Shared-Defined 1-2 22,062 0 0
Bladex (Banco Latino Americano De Common P16994132 444 16,030 Shared-Defined 1-2 16,030 0 0
175 454,601
</TABLE>
