UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 13F
Form 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: March 31, 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: James Morgan Rutman
--------------------------------------------------
Address: c/o Harvest Management, L.L.C.
--------------------------------------------------
600 Madison Avenue, 11th Floor
--------------------------------------------------
New York, New York 10022
--------------------------------------------------
Form 13F File Number: 28-2854
------------------
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: James Morgan Rutman
--------------------------------------------------
Title:
--------------------------------------------------
Phone: 212-644-2202
--------------------------------------------------
Signature, Place, and Date of Signing:
/s/ James Morgan Rutman New York, New York 5/14/99
------------------------ ------------------------------ ----------
Page 1 of 17
<PAGE>
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 2 of 17
<PAGE>
Form 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 4
-------------
Form 13F Information Table Entry Total: 228
-------------
Form 13F Information Table Value Total: $699,598
-------------
(thousands)
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- Laurence D. Belfer
--- ----------- ------------------------------
2 28-7384 Nathaniel Bohrer
--- ----------- ------------------------------
3 28-7750 Marjorie Gochberg Kellner
--- ----------- ------------------------------
4 28-7748 Harvest Advisors, L.L.C.
--- ----------- ------------------------------
Page 3 of 17
<PAGE>
<TABLE>
<CAPTION>
Form 13F INFORMATION TABLE
<C> <C> <C> <C> <C> <C> <C> <C>
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8
- ------------------------------ -------------- --------- -------- ----------------- ---- --------- -------- ------------------------
VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE
- ------------------------------ -------------- --------- -------- ----------------- ---- --------- -------- ------------------------
AEGON NV-ORD AMERICAN REGD PUT 0079249SP 5,123 57,000 SH PUT OTHER 01 02 03 04 57,000
- -----------------------------------------------------------------------------------------------------------------------------------
AEGON NV-ORD AMERICAN REGD PUT 0079249SP 3,865 43,000 SH PUT OTHER 01 02 03 43,000
- -----------------------------------------------------------------------------------------------------------------------------------
ALCATEL - SPONSORED ADR COMMON STOCK 013904305 3,185 139,600 SH OTHER 01 02 03 04 139,600
- -----------------------------------------------------------------------------------------------------------------------------------
ELAN CORP PLC-ADR COMMON STOCK 284131208 2,714 38,908 SH OTHER 01 02 03 04 38,908
- -----------------------------------------------------------------------------------------------------------------------------------
GUCCI GROUP NV (NY LISTED) COMMON STOCK 401566104 530 6,578 SH OTHER 01 02 03 6,578
- -----------------------------------------------------------------------------------------------------------------------------------
GUCCI GROUP NV (NY LISTED) COMMON STOCK 401566104 678 8,422 SH OTHER 01 02 03 04 8,422
- -----------------------------------------------------------------------------------------------------------------------------------
INCO LTD-CL VBN COMMON STOCK 453258709 551 78,747 SH OTHER 01 02 03 78,747
- -----------------------------------------------------------------------------------------------------------------------------------
INCO LTD-CL VBN COMMON STOCK 453258709 88 12,603 SH OTHER 01 02 03 04 12,603
- -----------------------------------------------------------------------------------------------------------------------------------
ING GROEP NV-SPONSORED ADR COMMON STOCK 456837103 324 5,900 SH OTHER 01 02 03 04 5,900
- -----------------------------------------------------------------------------------------------------------------------------------
LOEWEN GROUP INC COMMON STOCK 54042L100 65 36,117 SH OTHER 01 02 03 04 36,117
- -----------------------------------------------------------------------------------------------------------------------------------
METRONET COMMUNICATIONS COMMON STOCK 59169Y108 468 8,506 SH OTHER 01 02 03 8,506
- -----------------------------------------------------------------------------------------------------------------------------------
METRONET COMMUNICATIONS COMMON STOCK 59169Y108 467 8,494 SH OTHER 01 02 03 04 8,494
- -----------------------------------------------------------------------------------------------------------------------------------
Page 4 of 17
<PAGE>
NEWCOURT CREDIT GROUP INC FOREIGN COMMON 650905102 1,124 41,532 SH OTHER 01 02 03 41,532
- -----------------------------------------------------------------------------------------------------------------------------------
NEWCOURT CREDIT GROUP INC FOREIGN COMMON 650905102 1,122 41,468 SH OTHER 01 02 03 04 41,468
- -----------------------------------------------------------------------------------------------------------------------------------
TELECOM ITALIA SPA COMMON STOCK 87927W106 1,447 13,866 SH OTHER 01 02 03 13,866
- -----------------------------------------------------------------------------------------------------------------------------------
TELECOM ITALIA SPA COMMON STOCK 87927W106 1,684 16,134 SH OTHER 01 02 03 04 16,134
- -----------------------------------------------------------------------------------------------------------------------------------
3COM CORP COMMON STOCK 885535104 5,209 223,448 SH OTHER 01 02 03 04 223,448
- -----------------------------------------------------------------------------------------------------------------------------------
AEROQUIP-VICKERS INC COMMON STOCK 007869100 1,384 24,143 SH OTHER 01 02 03 24,143
- -----------------------------------------------------------------------------------------------------------------------------------
AEROQUIP-VICKERS INC COMMON STOCK 007869100 1,482 25,857 SH OTHER 01 02 03 04 25,857
- -----------------------------------------------------------------------------------------------------------------------------------
AGOURON PHARMACEUTICALS INC COMMON STOCK 008488108 7,412 131,047 SH OTHER 01 02 03 131,047
- -----------------------------------------------------------------------------------------------------------------------------------
AGOURON PHARMACEUTICALS INC COMMON STOCK 008488108 9,375 165,753 SH OTHER 01 02 03 04 165,753
- -----------------------------------------------------------------------------------------------------------------------------------
AIRTOUCH COMMUNICATIONS INC COMMON STOCK 00949T100 12,266 126,948 SH OTHER 01 02 03 126,948
- -----------------------------------------------------------------------------------------------------------------------------------
AIRTOUCH COMMUNICATIONS INC COMMON STOCK 00949T100 16,074 166,352 SH OTHER 01 02 03 04 166,352
- -----------------------------------------------------------------------------------------------------------------------------------
ALLIED WASTE INDUSTRIES INC COMMON STOCK 019589308 220 15,242 SH OTHER 01 02 03 15,242
- -----------------------------------------------------------------------------------------------------------------------------------
ALLIED WASTE INDUSTRIES INC COMMON STOCK 019589308 271 18,758 SH OTHER 01 02 03 04 18,758
- -----------------------------------------------------------------------------------------------------------------------------------
AMER INTERNATIONAL GROUP INC COMMON STOCK 026874107 13,293 110,204 SH OTHER 01 02 03 04 110,204
- -----------------------------------------------------------------------------------------------------------------------------------
AMERICA ONLINE INC-DEL COMMON STOCK 02364J104 10,581 71,981 SH OTHER 01 02 03 04 71,981
- -----------------------------------------------------------------------------------------------------------------------------------
AMERICAN BANKERS INSURANCE COMMON STOCK 024456105 2,059 39,589 SH OTHER 01 02 03 39,589
- -----------------------------------------------------------------------------------------------------------------------------------
AMERICAN BANKERS INSURANCE COMMON STOCK 024456105 2,621 50,411 SH OTHER 01 02 03 04 50,411
- -----------------------------------------------------------------------------------------------------------------------------------
AMERICAN STORES CO-NEW COMMON STOCK 030096101 7,947 240,810 SH OTHER 01 02 03 240,810
- -----------------------------------------------------------------------------------------------------------------------------------
Page 5 of 17
<PAGE>
AMERICAN STORES CO-NEW COMMON STOCK 030096101 10,055 304,690 SH OTHER 01 02 03 04 304,690
- -----------------------------------------------------------------------------------------------------------------------------------
AMERIN CORP COMMON STOCK 03070X106 208 10,234 SH OTHER 01 02 03 04 10,234
- -----------------------------------------------------------------------------------------------------------------------------------
AMP INC COMMON STOCK 031897101 19,438 363,327 SH OTHER 01 02 03 363,327
- -----------------------------------------------------------------------------------------------------------------------------------
AMP INC COMMON STOCK 031897101 25,224 471,473 SH OTHER 01 02 03 04 471,473
- -----------------------------------------------------------------------------------------------------------------------------------
ASCEND COMMUNICATIONS INC COMMON STOCK 043491109 14,384 171,881 SH OTHER 01 02 03 171,881
- -----------------------------------------------------------------------------------------------------------------------------------
ASCEND COMMUNICATIONS INC COMMON STOCK 043491109 18,613 222,409 SH OTHER 01 02 03 04 222,409
- -----------------------------------------------------------------------------------------------------------------------------------
AT&T CORP COMMON STOCK 001957109 8,813 110,421 SH OTHER 01 02 03 04 110,421
- -----------------------------------------------------------------------------------------------------------------------------------
ATLANTIC RICHFIELD CO COMMON STOCK 048825103 4,519 61,800 SH OTHER 01 02 03 61,800
- -----------------------------------------------------------------------------------------------------------------------------------
ATLANTIC RICHFIELD CO COMMON STOCK 048825103 5,353 73,200 SH OTHER 01 02 03 04 73,200
- -----------------------------------------------------------------------------------------------------------------------------------
AVONDALE INDUSTRIES INC COMMON STOCK 054350103 1,491 50,558 SH OTHER 01 02 03 50,558
- -----------------------------------------------------------------------------------------------------------------------------------
AVONDALE INDUSTRIES INC COMMON STOCK 054350103 1,836 62,242 SH OTHER 01 02 03 04 62,242
- -----------------------------------------------------------------------------------------------------------------------------------
AZTEC TECHNOLOGY PARTNERS INC COMMON STOCK 05480L101 346 208,748 SH OTHER 01 02 03 208,748
- -----------------------------------------------------------------------------------------------------------------------------------
AZTEC TECHNOLOGY PARTNERS INC COMMON STOCK 05480L101 284 171,252 SH OTHER 01 02 03 04 171,252
- -----------------------------------------------------------------------------------------------------------------------------------
BA MERCHANT SERVICES INC-CL A COMMON STOCK 055239107 1,598 78,426 SH OTHER 01 02 03 78,426
- -----------------------------------------------------------------------------------------------------------------------------------
BA MERCHANT SERVICES INC-CL A COMMON STOCK 055239107 1,968 96,574 SH OTHER 01 02 03 04 96,574
- -----------------------------------------------------------------------------------------------------------------------------------
BALLARD MEDICAL PRODUCTS COMMON STOCK 058566100 954 39,123 SH OTHER 01 02 03 39,123
- -----------------------------------------------------------------------------------------------------------------------------------
BALLARD MEDICAL PRODUCTS COMMON STOCK 058566100 1,167 47,877 SH OTHER 01 02 03 04 47,877
- -----------------------------------------------------------------------------------------------------------------------------------
BANK ONE CORP CALL 06423A5AO 2,516 45,700 SH CALL OTHER 01 02 03 45,700
- -----------------------------------------------------------------------------------------------------------------------------------
Page 6 of 17
<PAGE>
BANK ONE CORP CALL 06423A5AO 2,990 54,300 SH CALL OTHER 01 02 03 04 54,300
- -----------------------------------------------------------------------------------------------------------------------------------
BANKBOSTON CORP COMMON STOCK 06605R106 303 7,001 SH OTHER 01 02 03 7,001
- -----------------------------------------------------------------------------------------------------------------------------------
BANKBOSTON CORP COMMON STOCK 06605R106 346 7,999 SH OTHER 01 02 03 04 7,999
- -----------------------------------------------------------------------------------------------------------------------------------
BANKERS TRUST CORP COMMON STOCK 066365107 7,581 85,900 SH OTHER 01 02 03 85,900
- -----------------------------------------------------------------------------------------------------------------------------------
BANKERS TRUST CORP COMMON STOCK 066365107 9,628 109,100 SH OTHER 01 02 03 04 109,100
- -----------------------------------------------------------------------------------------------------------------------------------
BAXTER INTERNATIONAL INC WARRANT OR RIGHT 071813125 26 277,835 SH OTHER 01 02 03 277,835
- -----------------------------------------------------------------------------------------------------------------------------------
BAXTER INTERNATIONAL INC WARRANT OR RIGHT 071813125 30 324,165 SH OTHER 01 02 03 04 324,165
- -----------------------------------------------------------------------------------------------------------------------------------
BELL ATLANTIC CORP COMMON STOCK 077853109 4,523 87,514 SH OTHER 01 02 03 04 87,514
- -----------------------------------------------------------------------------------------------------------------------------------
BMC SOFTWARE INC COMMON STOCK 055921100 223 6,010 SH OTHER 01 02 03 6,010
- -----------------------------------------------------------------------------------------------------------------------------------
BMC SOFTWARE INC COMMON STOCK 055921100 272 7,352 SH OTHER 01 02 03 04 7,352
- -----------------------------------------------------------------------------------------------------------------------------------
BORDEN CHEMICALS & PLASTICS LP COMMON STOCK 099541203 123 15,885 SH OTHER 01 02 03 15,885
- -----------------------------------------------------------------------------------------------------------------------------------
BOSTON SCIENTIFIC CORP COMMON STOCK 101137107 5,738 141,234 SH OTHER 01 02 03 04 141,234
- -----------------------------------------------------------------------------------------------------------------------------------
BROWNING FERRIS INDUSTRIES INC COMMON STOCK 115885105 243 6,295 SH OTHER 01 02 03 6,295
- -----------------------------------------------------------------------------------------------------------------------------------
BROWNING FERRIS INDUSTRIES INC COMMON STOCK 115885105 297 7,705 SH OTHER 01 02 03 04 7,705
- -----------------------------------------------------------------------------------------------------------------------------------
BROWNING FERRIS INDUSTRIES INC PUT 1158859RG 382 9,900 SH PUT OTHER 01 02 03 9,900
- -----------------------------------------------------------------------------------------------------------------------------------
BROWNING FERRIS INDUSTRIES INC PUT 1158859RG 389 10,100 SH PUT OTHER 01 02 03 04 10,100
- -----------------------------------------------------------------------------------------------------------------------------------
CAPSTAR BROADCASTING CORP-CL COMMON STOCK 14067G105 5,208 227,040 SH OTHER 01 02 03 227,040
- -----------------------------------------------------------------------------------------------------------------------------------
CAPSTAR BROADCASTING CORP-CL COMMON STOCK 14067G105 6,738 293,760 SH OTHER 01 02 03 04 293,760
- -----------------------------------------------------------------------------------------------------------------------------------
Page 7 of 17
<PAGE>
CITIGROUP INC COMMON STOCK 172967101 11,936 186,863 SH OTHER 01 02 03 04 186,863
- -----------------------------------------------------------------------------------------------------------------------------------
CITRIX SYSTEMS INC COMMON STOCK 177376100 1,599 41,952 SH OTHER 01 02 03 41,952
- -----------------------------------------------------------------------------------------------------------------------------------
CITRIX SYSTEMS INC COMMON STOCK 177376100 3,423 89,792 SH OTHER 01 02 03 04 89,792
- -----------------------------------------------------------------------------------------------------------------------------------
CLEAR CHANNEL COMMUNICATIONS COMMON STOCK 184502102 3,805 56,738 SH OTHER 01 02 03 04 56,738
- -----------------------------------------------------------------------------------------------------------------------------------
COLEMAN CO INC NEW COMMON STOCK 193559101 609 73,872 SH OTHER 01 02 03 73,872
- -----------------------------------------------------------------------------------------------------------------------------------
COLEMAN CO INC NEW COMMON STOCK 193559101 532 64,538 SH OTHER 01 02 03 04 64,538
- -----------------------------------------------------------------------------------------------------------------------------------
COLTEC INDUSTRIES INC COMMON STOCK 196879100 1,090 59,911 SH OTHER 01 02 03 59,911
- -----------------------------------------------------------------------------------------------------------------------------------
COLTEC INDUSTRIES INC COMMON STOCK 196879100 1,384 76,089 SH OTHER 01 02 03 04 76,089
- -----------------------------------------------------------------------------------------------------------------------------------
COMPAQ COMPUTER CORP COMMON STOCK 204493100 9,600 302,944 SH OTHER 01 02 03 04 302,944
- -----------------------------------------------------------------------------------------------------------------------------------
COMSAT CORP-SERIES 1 COMMON STOCK 20564D107 2,660 91,907 SH OTHER 01 02 03 91,907
- -----------------------------------------------------------------------------------------------------------------------------------
COMSAT CORP-SERIES 1 COMMON STOCK 20564D107 3,417 118,093 SH OTHER 01 02 03 04 118,093
- -----------------------------------------------------------------------------------------------------------------------------------
D R HORTON INC COMMON STOCK 23331A109 570 34,002 SH OTHER 01 02 03 04 34,002
- -----------------------------------------------------------------------------------------------------------------------------------
DANAHER CORP COMMON STOCK 235851102 1,296 24,806 SH OTHER 01 02 03 04 24,806
- -----------------------------------------------------------------------------------------------------------------------------------
DELTA & PINE LAND CO COMMON STOCK 247357106 891 28,977 SH OTHER 01 02 03 28,977
- -----------------------------------------------------------------------------------------------------------------------------------
DELTA & PINE LAND CO COMMON STOCK 247357106 1,477 48,023 SH OTHER 01 02 03 04 48,023
- -----------------------------------------------------------------------------------------------------------------------------------
E W SCRIPPS CO NEW-CL A COMMON STOCK 811054204 989 22,349 SH OTHER 01 02 03 04 22,349
- -----------------------------------------------------------------------------------------------------------------------------------
EAGLE HARDWARE & GARDEN INC COMMON STOCK 26959B101 2,021 52,911 SH OTHER 01 02 03 52,911
- -----------------------------------------------------------------------------------------------------------------------------------
EAGLE HARDWARE & GARDEN INC COMMON STOCK 26959B101 2,184 57,189 SH OTHER 01 02 03 04 57,189
- -----------------------------------------------------------------------------------------------------------------------------------
Page 8 of 17
<PAGE>
EL PASO ENERGY CORP COMMON STOCK 283905107 1,242 37,997 SH OTHER 01 02 03 37,997
- -----------------------------------------------------------------------------------------------------------------------------------
EL PASO ENERGY CORP COMMON STOCK 283905107 1,210 37,003 SH OTHER 01 02 03 04 37,003
- -----------------------------------------------------------------------------------------------------------------------------------
EXCITE INC COMMON STOCK 300904109 7,043 50,306 SH OTHER 01 02 03 50,306
- -----------------------------------------------------------------------------------------------------------------------------------
EXCITE INC COMMON STOCK 300904109 7,895 56,394 SH OTHER 01 02 03 04 56,394
- -----------------------------------------------------------------------------------------------------------------------------------
EXECUTIVE RISK INC COMMON STOCK 301586103 4,932 69,466 SH OTHER 01 02 03 69,466
- -----------------------------------------------------------------------------------------------------------------------------------
EXECUTIVE RISK INC COMMON STOCK 301586103 6,286 88,534 SH OTHER 01 02 03 04 88,534
- -----------------------------------------------------------------------------------------------------------------------------------
FILENES BASEMENT CORP COMMON STOCK 316866102 411 215,702 SH OTHER 01 02 03 215,702
- -----------------------------------------------------------------------------------------------------------------------------------
FILENES BASEMENT CORP COMMON STOCK 316866102 304 159,298 SH OTHER 01 02 03 04 159,298
- -----------------------------------------------------------------------------------------------------------------------------------
FIRST UNION CORP COMMON STOCK 337358105 8,296 155,256 SH OTHER 01 02 03 04 155,256
- -----------------------------------------------------------------------------------------------------------------------------------
FOAMEX INTERNATIONAL INC COMMON STOCK 344123104 91 16,154 SH OTHER 01 02 03 16,154
- -----------------------------------------------------------------------------------------------------------------------------------
FOAMEX INTERNATIONAL INC COMMON STOCK 344123104 106 18,846 SH OTHER 01 02 03 04 18,846
- -----------------------------------------------------------------------------------------------------------------------------------
FRED MEYER INC-DEL NEW COMMON STOCK 592907109 16,027 272,221 SH OTHER 01 02 03 272,221
- -----------------------------------------------------------------------------------------------------------------------------------
FRED MEYER INC-DEL NEW COMMON STOCK 592907109 20,317 345,079 SH OTHER 01 02 03 04 345,079
- -----------------------------------------------------------------------------------------------------------------------------------
FRONTIER CORP COMMON STOCK 35906P105 3,831 73,852 SH OTHER 01 02 03 73,852
- -----------------------------------------------------------------------------------------------------------------------------------
FRONTIER CORP COMMON STOCK 35906P105 4,469 86,148 SH OTHER 01 02 03 04 86,148
- -----------------------------------------------------------------------------------------------------------------------------------
FRONTIER CORP PUT 35906P9PJ 809 15,600 SH PUT OTHER 01 02 03 04 15,600
- -----------------------------------------------------------------------------------------------------------------------------------
FRONTIER CORP PUT 35906P9PJ 747 14,400 SH PUT OTHER 01 02 03 14,400
- -----------------------------------------------------------------------------------------------------------------------------------
FRONTIER CORP PUT 35906P9SI 254 4,900 SH PUT OTHER 01 02 03 04 4,900
- -----------------------------------------------------------------------------------------------------------------------------------
Page 9 of 17
<PAGE>
FRONTIER CORP PUT 35906P9SI 265 5,100 SH PUT OTHER 01 02 03 5,100
- -----------------------------------------------------------------------------------------------------------------------------------
GEOCITIES COMMON STOCK 37247V106 6,105 55,726 SH OTHER 01 02 03 55,726
- -----------------------------------------------------------------------------------------------------------------------------------
GEOCITIES COMMON STOCK 37247V106 7,754 70,774 SH OTHER 01 02 03 04 70,774
- -----------------------------------------------------------------------------------------------------------------------------------
GETCHELL GOLD CORP COMMON STOCK 374265106 3,706 141,501 SH OTHER 01 02 03 141,501
- -----------------------------------------------------------------------------------------------------------------------------------
GETCHELL GOLD CORP COMMON STOCK 374265106 4,151 158,499 SH OTHER 01 02 03 04 158,499
- -----------------------------------------------------------------------------------------------------------------------------------
GILLETTE CO COMMON STOCK 375766102 8,320 139,974 SH OTHER 01 02 03 04 139,974
- -----------------------------------------------------------------------------------------------------------------------------------
GLOBAL INDUSTRIAL TECH COMMON STOCK 379335102 702 67,678 SH OTHER 01 02 03 67,678
- -----------------------------------------------------------------------------------------------------------------------------------
GLOBAL INDUSTRIAL TECH COMMON STOCK 379335102 922 88,922 SH OTHER 01 02 03 04 88,922
- -----------------------------------------------------------------------------------------------------------------------------------
HOUSEHOLD INTERNATIONAL INC COMMON STOCK 441815107 3,440 75,389 SH OTHER 01 02 03 04 75,389
- -----------------------------------------------------------------------------------------------------------------------------------
INTEGRA LIFESCIENCES CORP COMMON STOCK 457985208 198 45,362 SH OTHER 01 02 03 45,362
- -----------------------------------------------------------------------------------------------------------------------------------
INTEGRA LIFESCIENCES CORP COMMON STOCK 457985208 152 34,638 SH OTHER 01 02 03 04 34,638
- -----------------------------------------------------------------------------------------------------------------------------------
INTERNATIONAL PAPER CO PUT 4601469PI 1,692 40,100 SH PUT OTHER 01 02 03 40,100
- -----------------------------------------------------------------------------------------------------------------------------------
INTERNATIONAL PAPER CO PUT 4601469PI 1,810 42,900 SH PUT OTHER 01 02 03 04 42,900
- -----------------------------------------------------------------------------------------------------------------------------------
INTERNEURON PHARM. INC COMMON STOCK 460573108 896 311,762 SH OTHER 01 02 03 311,762
- -----------------------------------------------------------------------------------------------------------------------------------
INTERNEURON PHARM. INC COMMON STOCK 460573108 638 221,838 SH OTHER 01 02 03 04 221,838
- -----------------------------------------------------------------------------------------------------------------------------------
IXC COMMUNICATIONS INC COMMON STOCK 450713102 535 11,654 SH OTHER 01 02 03 11,654
- -----------------------------------------------------------------------------------------------------------------------------------
IXC COMMUNICATIONS INC COMMON STOCK 450713102 498 10,846 SH OTHER 01 02 03 04 10,846
- -----------------------------------------------------------------------------------------------------------------------------------
J RAY MCDERMOTT SA COMMON STOCK P64658100 446 14,916 SH OTHER 01 02 03 14,916
- -----------------------------------------------------------------------------------------------------------------------------------
Page 10 of 17
<PAGE>
J RAY MCDERMOTT SA COMMON STOCK P64658100 510 17,084 SH OTHER 01 02 03 04 17,084
- -----------------------------------------------------------------------------------------------------------------------------------
JOHNS MANVILLE CORP NEW COMMON STOCK 478129109 827 47,920 SH OTHER 01 02 03 47,920
- -----------------------------------------------------------------------------------------------------------------------------------
JOHNS MANVILLE CORP NEW COMMON STOCK 478129109 674 39,080 SH OTHER 01 02 03 04 39,080
- -----------------------------------------------------------------------------------------------------------------------------------
K N ENERGY INC COMMON STOCK 482620101 423 21,231 SH OTHER 01 02 03 21,231
- -----------------------------------------------------------------------------------------------------------------------------------
K N ENERGY INC COMMON STOCK 482620101 474 23,769 SH OTHER 01 02 03 04 23,769
- -----------------------------------------------------------------------------------------------------------------------------------
KIMBERLY CLARK CORP COMMON STOCK 494368103 1,944 40,550 SH OTHER 01 02 03 04 40,550
- -----------------------------------------------------------------------------------------------------------------------------------
KNOLL INC COMMON STOCK 498904101 217 8,811 SH OTHER 01 02 03 8,811
- -----------------------------------------------------------------------------------------------------------------------------------
KNOLL INC COMMON STOCK 498904101 276 11,189 SH OTHER 01 02 03 04 11,189
- -----------------------------------------------------------------------------------------------------------------------------------
KOS PHARMACEUTICALS INC COMMON STOCK 500648100 294 53,464 SH OTHER 01 02 03 53,464
- -----------------------------------------------------------------------------------------------------------------------------------
KOS PHARMACEUTICALS INC COMMON STOCK 500648100 256 46,536 SH OTHER 01 02 03 04 46,536
- -----------------------------------------------------------------------------------------------------------------------------------
KTI INC NEW CALL 4826899EV 117 11,300 SH CALL OTHER 01 02 03 04 11,300
- -----------------------------------------------------------------------------------------------------------------------------------
LEARNING CO INC COMMON STOCK 522008101 5,427 187,131 SH OTHER 01 02 03 187,131
- -----------------------------------------------------------------------------------------------------------------------------------
LEARNING CO INC COMMON STOCK 522008101 7,043 242,869 SH OTHER 01 02 03 04 242,869
- -----------------------------------------------------------------------------------------------------------------------------------
LEVEL ONE COMMUNICATIONS INC COMMON STOCK 527295109 462 9,500 SH OTHER 01 02 03 9,500
- -----------------------------------------------------------------------------------------------------------------------------------
LEVEL ONE COMMUNICATIONS INC COMMON STOCK 527295109 511 10,500 SH OTHER 01 02 03 04 10,500
- -----------------------------------------------------------------------------------------------------------------------------------
MARK SOLUTIONS INC COMMON STOCK 570418103 38 40,414 SH OTHER 01 02 03 40,414
- -----------------------------------------------------------------------------------------------------------------------------------
MARK SOLUTIONS INC COMMON STOCK 570418103 49 52,614 SH OTHER 01 02 03 04 52,614
- -----------------------------------------------------------------------------------------------------------------------------------
MATTEL INC PUT 5770819PD 541 21,700 SH PUT OTHER 01 02 03 04 21,700
- -----------------------------------------------------------------------------------------------------------------------------------
Page 11 of 17
<PAGE>
MATTEL INC PUT 5770819PD 456 18,300 SH PUT OTHER 01 02 03 18,300
- -----------------------------------------------------------------------------------------------------------------------------------
MATTEL INC PUT 5770819PX 1,768 70,900 SH PUT OTHER 01 02 03 04 70,900
- -----------------------------------------------------------------------------------------------------------------------------------
MATTEL INC PUT 5770819PX 1,349 54,100 SH PUT OTHER 01 02 03 54,100
- -----------------------------------------------------------------------------------------------------------------------------------
MATTEL INC PUT 5770819QE 357 14,300 SH PUT OTHER 01 02 03 04 14,300
- -----------------------------------------------------------------------------------------------------------------------------------
MATTEL INC PUT 5770819QE 267 10,700 SH PUT OTHER 01 02 03 10,700
- -----------------------------------------------------------------------------------------------------------------------------------
MCI WORLDCOM INC COMMON STOCK 55268B106 11,601 130,988 SH OTHER 01 02 03 04 130,988
- -----------------------------------------------------------------------------------------------------------------------------------
MEDIAONE GROUP INC COMMON STOCK 58440J104 1,832 28,876 SH OTHER 01 02 03 28,876
- -----------------------------------------------------------------------------------------------------------------------------------
MEDIAONE GROUP INC COMMON STOCK 58440J104 2,292 36,124 SH OTHER 01 02 03 04 36,124
- -----------------------------------------------------------------------------------------------------------------------------------
MEDPARTNERS INC NEW COMMON STOCK 58503X107 714 150,364 SH OTHER 01 02 03 150,364
- -----------------------------------------------------------------------------------------------------------------------------------
MEDPARTNERS INC NEW COMMON STOCK 58503X107 521 109,636 SH OTHER 01 02 03 04 109,636
- -----------------------------------------------------------------------------------------------------------------------------------
MEDTRONIC INC COMMON STOCK 585055106 10,679 148,571 SH OTHER 01 02 03 04 148,571
- -----------------------------------------------------------------------------------------------------------------------------------
MID ATLANTIC MED SVCS INC COMMON STOCK 59523C107 231 22,990 SH OTHER 01 02 03 22,990
- -----------------------------------------------------------------------------------------------------------------------------------
MID ATLANTIC MED SVCS INC COMMON STOCK 59523C107 171 17,010 SH OTHER 01 02 03 04 17,010
- -----------------------------------------------------------------------------------------------------------------------------------
MORTON INTERNATIONAL INC-IND COMMON STOCK 619335102 5,342 145,351 SH OTHER 01 02 03 145,351
- -----------------------------------------------------------------------------------------------------------------------------------
MORTON INTERNATIONAL INC-IND COMMON STOCK 619335102 6,837 186,049 SH OTHER 01 02 03 04 186,049
- -----------------------------------------------------------------------------------------------------------------------------------
NAVIGANT INTL INC COMMON STOCK 63935R108 685 127,352 SH OTHER 01 02 03 127,352
- -----------------------------------------------------------------------------------------------------------------------------------
NAVIGANT INTL INC COMMON STOCK 63935R108 498 92,648 SH OTHER 01 02 03 04 92,648
- -----------------------------------------------------------------------------------------------------------------------------------
NEWPORT NEWS SHIPBUILDING INC COMMON STOCK 652228107 428 13,493 SH OTHER 01 02 03 13,493
- -----------------------------------------------------------------------------------------------------------------------------------
Page 12 of 17
<PAGE>
NEWPORT NEWS SHIPBUILDING INC COMMON STOCK 652228107 542 17,107 SH OTHER 01 02 03 04 17,107
- -----------------------------------------------------------------------------------------------------------------------------------
NEWPORT NEWS SHIPBUILDING INC CALL 6522289DF 345 10,900 SH CALL OTHER 01 02 03 04 10,900
- -----------------------------------------------------------------------------------------------------------------------------------
NEWPORT NEWS SHIPBUILDING INC CALL 6522289DF 288 9,100 SH CALL OTHER 01 02 03 9,100
- -----------------------------------------------------------------------------------------------------------------------------------
NORTHROP GRUMMAN CORP COMMON STOCK 666807102 516 8,616 SH OTHER 01 02 03 8,616
- -----------------------------------------------------------------------------------------------------------------------------------
NORTHROP GRUMMAN CORP COMMON STOCK 666807102 382 6,384 SH OTHER 01 02 03 04 6,384
- -----------------------------------------------------------------------------------------------------------------------------------
PIONEER HI-BRED INTERNATIONAL COMMON STOCK 723686101 905 24,045 SH OTHER 01 02 03 24,045
- -----------------------------------------------------------------------------------------------------------------------------------
PIONEER HI-BRED INTERNATIONAL COMMON STOCK 723686101 1,210 32,155 SH OTHER 01 02 03 04 32,155
- -----------------------------------------------------------------------------------------------------------------------------------
PIONEER HI-BRED INTERNATIONAL CALL 7236869FH 2,043 54,300 SH CALL OTHER 01 02 03 04 54,300
- -----------------------------------------------------------------------------------------------------------------------------------
PIONEER HI-BRED INTERNATIONAL CALL 7236869FH 1,719 45,700 SH CALL OTHER 01 02 03 45,700
- -----------------------------------------------------------------------------------------------------------------------------------
PLATINUM TECHNOLOGY INTL INC COMMON STOCK 72764T101 2,870 112,549 SH OTHER 01 02 03 112,549
- -----------------------------------------------------------------------------------------------------------------------------------
PLATINUM TECHNOLOGY INTL INC COMMON STOCK 72764T101 3,505 137,451 SH OTHER 01 02 03 04 137,451
- -----------------------------------------------------------------------------------------------------------------------------------
PUBLICARD INC COMMON STOCK 744627100 171 18,450 SH OTHER 01 02 03 18,450
- -----------------------------------------------------------------------------------------------------------------------------------
PUBLICARD INC COMMON STOCK 744627100 273 29,500 SH OTHER 01 02 03 04 29,500
- -----------------------------------------------------------------------------------------------------------------------------------
QUICKTURN DESIGN SYSTEMS INC COMMON STOCK 74838E102 1,399 99,060 SH OTHER 01 02 03 99,060
- -----------------------------------------------------------------------------------------------------------------------------------
QUICKTURN DESIGN SYSTEMS INC COMMON STOCK 74838E102 1,773 125,540 SH OTHER 01 02 03 04 125,540
- -----------------------------------------------------------------------------------------------------------------------------------
QUINTILES TRANSNATIONAL CORP COMMON STOCK 748767100 3,177 84,166 SH OTHER 01 02 03 84,166
- -----------------------------------------------------------------------------------------------------------------------------------
QUINTILES TRANSNATIONAL CORP COMMON STOCK 748767100 4,002 106,005 SH OTHER 01 02 03 04 106,005
- -----------------------------------------------------------------------------------------------------------------------------------
RATIONAL SOFTWARE CORP NEW COMMON STOCK 75409P202 2,134 79,576 SH OTHER 01 02 03 04 79,576
- -----------------------------------------------------------------------------------------------------------------------------------
Page 13 of 17
<PAGE>
REYNOLDS METALS CO COMMON STOCK 761763101 1,089 22,542 SH OTHER 01 02 03 22,542
- -----------------------------------------------------------------------------------------------------------------------------------
REYNOLDS METALS CO COMMON STOCK 761763101 602 12,458 SH OTHER 01 02 03 04 12,458
- -----------------------------------------------------------------------------------------------------------------------------------
RJR NABISCO HOLDINGS CORP COMMON STOCK 74960K876 730 29,213 SH OTHER 01 02 03 29,213
- -----------------------------------------------------------------------------------------------------------------------------------
RJR NABISCO HOLDINGS CORP COMMON STOCK 74960K876 520 20,787 SH OTHER 01 02 03 04 20,787
- -----------------------------------------------------------------------------------------------------------------------------------
SAFEWAY INC COMMON STOCK 786514208 4,105 80,006 SH OTHER 01 02 03 04 80,006
- -----------------------------------------------------------------------------------------------------------------------------------
ST JOHN KNITS INC COMMON STOCK 790289102 362 13,743 SH OTHER 01 02 03 13,743
- -----------------------------------------------------------------------------------------------------------------------------------
ST JOHN KNITS INC COMMON STOCK 790289102 429 16,257 SH OTHER 01 02 03 04 16,257
- -----------------------------------------------------------------------------------------------------------------------------------
SUNDSTRAND CORP COMMON STOCK 867323107 7,533 108,394 SH OTHER 01 02 03 108,394
- -----------------------------------------------------------------------------------------------------------------------------------
SUNDSTRAND CORP COMMON STOCK 867323107 9,807 141,106 SH OTHER 01 02 03 04 141,106
- -----------------------------------------------------------------------------------------------------------------------------------
SUPERIOR ENERGY SERVICES INC COMMON STOCK 868157108 46 12,866 SH OTHER 01 02 03 12,866
- -----------------------------------------------------------------------------------------------------------------------------------
SUPERIOR ENERGY SERVICES INC COMMON STOCK 868157108 45 12,634 SH OTHER 01 02 03 04 12,634
- -----------------------------------------------------------------------------------------------------------------------------------
TERADYNE INC COMMON STOCK 880770102 5,340 97,861 SH OTHER 01 02 03 04 97,861
- -----------------------------------------------------------------------------------------------------------------------------------
TOPPS CO INC COMMON STOCK 890786106 662 151,352 SH OTHER 01 02 03 151,352
- -----------------------------------------------------------------------------------------------------------------------------------
TOPPS CO INC COMMON STOCK 890786106 554 126,648 SH OTHER 01 02 03 04 126,648
- -----------------------------------------------------------------------------------------------------------------------------------
TOWER REALTY TRUST INC COMMON STOCK 89185E109 1,450 76,576 SH OTHER 01 02 03 76,576
- -----------------------------------------------------------------------------------------------------------------------------------
TOWER REALTY TRUST INC COMMON STOCK 89185E109 1,557 82,224 SH OTHER 01 02 03 04 82,224
- -----------------------------------------------------------------------------------------------------------------------------------
TOYS R US COMMON STOCK 892335100 827 43,940 SH OTHER 01 02 03 43,940
- -----------------------------------------------------------------------------------------------------------------------------------
TOYS R US COMMON STOCK 892335100 490 26,060 SH OTHER 01 02 03 04 26,060
- -----------------------------------------------------------------------------------------------------------------------------------
Page 14 of 17
<PAGE>
TRANSAMERICA CORP COMMON STOCK 893485102 6,079 85,619 SH OTHER 01 02 03 85,619
- -----------------------------------------------------------------------------------------------------------------------------------
TRANSAMERICA CORP COMMON STOCK 893485102 7,482 105,381 SH OTHER 01 02 03 04 105,381
- -----------------------------------------------------------------------------------------------------------------------------------
TRIATHLON BROADCASTING CO-DEP PREFERRED STOCK 89589P304 821 78,209 SH OTHER 01 02 03 78,209
- -----------------------------------------------------------------------------------------------------------------------------------
TRIATHLON BROADCASTING CO-DEP PREFERRED STOCK 89589P304 1,069 101,791 SH OTHER 01 02 03 04 101,791
- -----------------------------------------------------------------------------------------------------------------------------------
TYCO INTERNATIONAL LTD COMMON STOCK 902124106 16,560 230,806 SH OTHER 01 02 03 04 230,806
- -----------------------------------------------------------------------------------------------------------------------------------
TYCO INTERNATIONAL LTD PUT 9021249PN 402 5,600 SH PUT OTHER 01 02 03 04 5,600
- -----------------------------------------------------------------------------------------------------------------------------------
TYCO INTERNATIONAL LTD PUT 9021249PN 316 4,400 SH PUT OTHER 01 02 03 4,400
- -----------------------------------------------------------------------------------------------------------------------------------
TYCO INTERNATIONAL LTD PUT 9021249PO 4,205 58,600 SH PUT OTHER 01 02 03 04 58,600
- -----------------------------------------------------------------------------------------------------------------------------------
TYCO INTERNATIONAL LTD PUT 9021249PO 3,329 46,400 SH PUT OTHER 01 02 03 46,400
- -----------------------------------------------------------------------------------------------------------------------------------
U S OFFICE PRODUCTS CO (NEW) COMMON STOCK 912325305 226 56,419 SH OTHER 01 02 03 56,419
- -----------------------------------------------------------------------------------------------------------------------------------
U S OFFICE PRODUCTS CO (NEW) COMMON STOCK 912325305 159 39,697 SH OTHER 01 02 03 04 39,697
- -----------------------------------------------------------------------------------------------------------------------------------
UNION CAMP CORP COMMON STOCK 905530101 7,484 111,487 SH OTHER 01 02 03 111,487
- -----------------------------------------------------------------------------------------------------------------------------------
UNION CAMP CORP COMMON STOCK 905530101 9,083 135,313 SH OTHER 01 02 03 04 135,313
- -----------------------------------------------------------------------------------------------------------------------------------
UNISOURCE WORLDWIDE INC COMMON STOCK 909208100 238 33,463 SH OTHER 01 02 03 33,463
- -----------------------------------------------------------------------------------------------------------------------------------
UNISOURCE WORLDWIDE INC COMMON STOCK 909208100 296 41,537 SH OTHER 01 02 03 04 41,537
- -----------------------------------------------------------------------------------------------------------------------------------
UNITED STATES FILTER CORP NEW COMMON STOCK 911843209 3,244 105,917 SH OTHER 01 02 03 105,917
- -----------------------------------------------------------------------------------------------------------------------------------
UNITED STATES FILTER CORP NEW COMMON STOCK 911843209 3,800 124,083 SH OTHER 01 02 03 04 124,083
- -----------------------------------------------------------------------------------------------------------------------------------
VLSI TECHNOLOGY INC COMMON STOCK 918270109 2,863 147,774 SH OTHER 01 02 03 147,774
- -----------------------------------------------------------------------------------------------------------------------------------
Page 15 of 17
<PAGE>
VLSI TECHNOLOGY INC COMMON STOCK 918270109 4,306 222,226 SH OTHER 01 02 03 04 222,226
- -----------------------------------------------------------------------------------------------------------------------------------
WARNER-LAMBERT CO PUT 9344889PL 908 13,700 SH PUT OTHER 01 02 03 13,700
- -----------------------------------------------------------------------------------------------------------------------------------
WARNER-LAMBERT CO PUT 9344889PL 1,080 16,300 SH PUT OTHER 01 02 03 04 16,300
- -----------------------------------------------------------------------------------------------------------------------------------
WARNER-LAMBERT CO PUT 9344889PM 5,804 87,600 SH PUT OTHER 01 02 03 87,600
- -----------------------------------------------------------------------------------------------------------------------------------
WARNER-LAMBERT CO PUT 9344889PM 7,579 114,400 SH PUT OTHER 01 02 03 04 114,400
- -----------------------------------------------------------------------------------------------------------------------------------
WARNER-LAMBERT CO PUT 9344889PN 1,272 19,200 SH PUT OTHER 01 02 03 04 19,200
- -----------------------------------------------------------------------------------------------------------------------------------
WARNER-LAMBERT CO PUT 9344889PN 1,047 15,800 SH PUT OTHER 01 02 03 15,800
- -----------------------------------------------------------------------------------------------------------------------------------
WASHINGTON MUTUAL INC COMMON STOCK 939322103 12,449 304,552 SH OTHER 01 02 03 04 304,552
- -----------------------------------------------------------------------------------------------------------------------------------
WEATHERFORD INTERNATIONAL INC COMMON STOCK 947074100 1,706 65,293 SH OTHER 01 02 03 04 65,293
- -----------------------------------------------------------------------------------------------------------------------------------
WELLS FARGO & CO-NEW COMMON STOCK 949746101 8,810 251,260 SH OTHER 01 02 03 04 251,260
- -----------------------------------------------------------------------------------------------------------------------------------
WHITMAN CORP COMMON STOCK 96647K102 885 51,480 SH OTHER 01 02 03 04 51,480
- -----------------------------------------------------------------------------------------------------------------------------------
WHITTAKER CORP NEW COMMON STOCK 966680407 307 13,986 SH OTHER 01 02 03 13,986
- -----------------------------------------------------------------------------------------------------------------------------------
WHITTAKER CORP NEW COMMON STOCK 966680407 307 14,014 SH OTHER 01 02 03 04 14,014
- -----------------------------------------------------------------------------------------------------------------------------------
WILLIAMS COMPANIES INC COMMON STOCK 969457100 1,285 32,539 SH OTHER 01 02 03 04 32,539
- -----------------------------------------------------------------------------------------------------------------------------------
WORKFLOW MANAGEMENT INC COMMON STOCK 98137N109 681 100,824 SH OTHER 01 02 03 100,824
- -----------------------------------------------------------------------------------------------------------------------------------
WORKFLOW MANAGEMENT INC COMMON STOCK 98137N109 568 84,176 SH OTHER 01 02 03 04 84,176
- -----------------------------------------------------------------------------------------------------------------------------------
WTS IMC GLOBAL INC WARRANT OR RIGHT 449669118 9 19,957 SH OTHER 01 02 03 19,957
- -----------------------------------------------------------------------------------------------------------------------------------
Page 16 of 17
<PAGE>
WTS IMC GLOBAL INC WARRANT OR RIGHT 449669118 15 33,540 SH OTHER 01 02 03 04 33,540
- -----------------------------------------------------------------------------------------------------------------------------------
Page 17 of 17
<PAGE>
</TABLE>
