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, 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
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Address: c/o Harvest Management, L.L.C.
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600 Madison Avenue, 11th Floor
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New York, New York 10022
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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
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Title:
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Phone: 212-644-2202
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Signature, Place, and Date of Signing:
/s/ James Morgan Rutman New York, New York 8/11/99
------------------------ ------------------------------ ----------
Page 1 of 19
<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 19
<PAGE>
Form 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 4
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Form 13F Information Table Entry Total: 254
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Form 13F Information Table Value Total: $706,284
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(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 28-6362 Laurence D. Belfer
--- ----------- ------------------------------
2 28-7384 Nathaniel Bohrer
--- ----------- ------------------------------
3 28-7750 Marjorie Gochberg Kellner
--- ----------- ------------------------------
4 28-7748 Harvest Advisors, L.L.C.
--- ----------- ------------------------------
Mr. Rutman shares investment discretion with and is reporting on behalf of Mr.
Belfer, Mr. Nathaniel Bohrer and Ms. Gochberg Kellner with respect to the
accounts holding the securities reported herein. With respect to certain of
the accounts holding the securities reported herein, Mr. Rutman, Mr. Belfer,
Mr. Nathaniel Bohrer and Ms. Gochberg Kellner exercise investment discretion
through one or more institutional investment managers, including Harvest
Management, L.L.C. and Harvest Advisors, L.L.C. Harvest Advisors, L.L.C is
filing a Form 13-F simultaneously herewith. Harvest Management, L.L.C. is not
required to report investment discretion over $100 million or more in Section
13(f) securities for purposes of this Form 13-F.
Page 3 of 19
<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
- ------------------------------ -------------- --------- -------- ----------------- ---- --------- -------- ------------------------
1 AFC CABLE SYSTEMS INC COMMON STOCK 000950105 2,605 53,781 SH OTHER 01 02 03 53,781
- -----
2 AFC CABLE SYSTEMS INC COMMON STOCK 000950105 2,999 84,919 SH OTHER 01 02 03 04 84,919
- -----
3 AT&T CORP COMMON STOCK 001957109 7,469 133,825 SH OTHER 01 02 03 04 133,825
- -----
4 AT&T CORP PUT 0019579SJ 960 17,200 SH PUT OTHER 01 02 03 17,200
- -----
5 AT&T CORP PUT 0019579SJ 1,273 22,800 SH PUT OTHER 01 02 03 04 22,800
- -----
6 ***A T & T CANADA LTD FOREIGN COMMON 00207Q202 545 8,506 SH OTHER 01 02 03 8,506
STOCK
- -----
7 ***A T & T CANADA LTD FOREIGN COMMON 00207Q202 544 8,494 SH OTHER 01 02 03 04 8,494
STOCK
- -----
8 ABBOTT LABORATORIES PUT 0028249SI 349 7,700 SH PUT OTHER 01 02 03 7,700
- -----
9 ABBOTT LABORATORIES PUT 0028249SI 558 12,300 SH PUT OTHER 01 02 03 04 12,300
- -----
10 ABOVNET COMMUNICATIONS COMMON STOCK 003743101 391 9,694 SH OTHER 01 02 03 9,694
INC
- -----
11 ABOVNET COMMUNICATIONS COMMON STOCK 003743101 618 15,306 SH OTHER 01 02 03 04 15,306
INC
- -----
12 ***AEGON NV-ORD PUT 0079249SN 274 3,700 SH PUT OTHER 01 02 03 3,700
AMERICAN REGD
- -----
- -----------------------------------------------------------------------------------------------------------------------------------
Page 4 of 19
<PAGE>
13 ***AEGON NV-ORD PUT 0079249SN 466 6,300 SH PUT OTHER 01 02 03 04 6,300
AMERICAN REGD
- -----
14 ***AEGON NV-ORD PUT 0079249SO 2,292 31,000 SH PUT OTHER 01 02 03 31,000
AMERICAN REGD
- -----
15 ***AEGON NV-ORD PUT 0079249SO 3,860 52,200 SH PUT OTHER 01 02 03 04 52,200
AMERICAN REGD
- -----
16 ***AEGON NV-ORD PUT 0079249SP 2,070 28,000 SH PUT OTHER 01 02 03 28,000
AMERICAN REGD
- -----
17 ***AEGON NV-ORD PUT 0079249SP 2,994 40,500 SH PUT OTHER 01 02 03 04 40,500
AMERICAN REGD
- -----
18 ALBERTSONS INC COMMON STOCK 013104104 10,872 210,845 SH OTHER 01 02 03 210,845
- -----
19 ALBERTSONS INC COMMON STOCK 013104104 15,817 306,759 SH OTHER 01 02 03 04 306,759
- -----
20 ***ALCATEL - SPONSORED COMMON STOCK 013904305 3,961 139,600 SH OTHER 01 02 03 04 139,600
ADR
- -----
21 ALZA CORP COMMON STOCK 022615108 2,170 42,653 SH OTHER 01 02 03 42,653
- -----
22 ALZA CORP COMMON STOCK 022615108 3,426 67,347 SH OTHER 01 02 03 04 67,347
- -----
23 AMERICA ONLINE INC-DEL COMMON STOCK 02364J104 7,918 71,981 SH OTHER 01 02 03 04 71,981
- -----
24 AMERICAN BANKERS COMMON STOCK 024456105 6,122 112,452 SH OTHER 01 02 03 112,452
INSURANCE
- -----
25 AMERICAN BANKERS COMMON STOCK 024456105 9,725 178,648 SH OTHER 01 02 03 04 178,648
INSURANCE
- -----
26 AMER INTERNATIONAL COMMON STOCK 026874107 12,921 110,204 SH OTHER 01 02 03 04 110,204
GROUP INC
- -----
27 AMERILINK CORP COMMON STOCK 03070N108 255 13,101 SH OTHER 01 02 03 04 13,101
- -----
- -----------------------------------------------------------------------------------------------------------------------------------
Page 5 of 19
<PAGE>
28 AMERITECH CORP NEW COMMON STOCK 030954101 285 3,878 SH OTHER 01 02 03 3,878
- -----
29 AMERITECH CORP NEW COMMON STOCK 030954101 450 6,122 SH OTHER 01 02 03 04 6,122
- -----
30 EXCITE@HOME SERIES A COMMON STOCK 045919107 1,775 32,900 SH OTHER 01 02 03 04 32,900
- -----
31 AVIALL INC NEW COMMON STOCK 05366B102 222 11,793 SH OTHER 01 02 03 11,793
- -----
32 AVIALL INC NEW COMMON STOCK 05366B102 222 11,793 SH OTHER 01 02 03 04 11,793
- -----
33 AVONDALE INDUSTRIES INC COMMON STOCK 054350103 3,201 82,068 SH OTHER 01 02 03 82,068
- -----
34 AVONDALE INDUSTRIES INC COMMON STOCK 054350103 5,122 131,332 SH OTHER 01 02 03 04 131,332
- -----
35 AZTEC TECHNOLOGY COMMON STOCK 05480L101 164 87,528 SH OTHER 01 02 03 87,528
PARTNERS INC
- -----
36 AZTEC TECHNOLOGY COMMON STOCK 05480L101 136 72,472 SH OTHER 01 02 03 04 72,472
PARTNERS INC
- -----
37 BALLARD MEDICAL COMMON STOCK 058566100 1,284 55,075 SH OTHER 01 02 03 55,075
PRODUCTS
- -----
38 BALLARD MEDICAL COMMON STOCK 058566100 2,029 87,025 SH OTHER 01 02 03 04 87,025
PRODUCTS
- -----
39 BANK ONE CORP CALL 06423A8AO 2,722 45,700 SH CALL OTHER 01 02 03 45,700
- -----
40 BANK ONE CORP CALL 06423A8AO 3,234 54,300 SH CALL OTHER 01 02 03 04 54,300
- -----
41 BAXTER INTERNATIONAL WARRANT OR 071813125 25 277,835 SH OTHER 01 02 03 277,835
INC RIGHT
- -----
42 BAXTER INTERNATIONAL WARRANT OR 071813125 29 324,165 SH OTHER 01 02 03 04 324,165
INC RIGHT
- -----
43 BOSTON SCIENTIFIC CORP COMMON STOCK 101137107 6,205 141,234 SH OTHER 01 02 03 04 141,234
- -----
44 BROADCAST COM INC COMMON STOCK 111310108 5,488 41,087 SH OTHER 01 02 03 41,087
- -----
- -----------------------------------------------------------------------------------------------------------------------------------
Page 6 of 19
<PAGE>
45 BROADCAST COM INC COMMON STOCK 111310108 9,164 68,613 SH OTHER 01 02 03 04 68,613
- -----
46 BROWNING FERRIS COMMON STOCK 115885105 9,167 213,194 SH OTHER 01 02 03 213,194
INDUSTRIES INC
- -----
47 BROWNING FERRIS COMMON STOCK 115885105 14,483 336,806 SH OTHER 01 02 03 04 336,806
INDUSTRIES INC
- -----
48 CBS CORP PUT 12490K9SH 357 8,200 SH PUT OTHER 01 02 03 8,200
- -----
49 CBS CORP PUT 12490K9SH 514 11,800 SH PUT OTHER 01 02 03 04 11,800
- -----
50 CAPSTAR BROADCASTING COMMON STOCK 14067G105 6,742 246,295 SH OTHER 01 02 03 246,295
CORP-CL
- -----
51 CAPSTAR BROADCASTING COMMON STOCK 14067G105 8,653 316,105 SH OTHER 01 02 03 04 316,105
CORP-CL
- -----
52 CAROLINA POWER & PUT 1441419SH 248 5,800 SH PUT OTHER 01 02 03 04 5,800
LIGHT CO
- -----
53 CASE CORP COMMON STOCK 14743R103 295 6,138 SH OTHER 01 02 03 6,138
- -----
54 CASE CORP COMMON STOCK 14743R103 426 8,862 SH OTHER 01 02 03 04 8,862
- -----
55 CELLULAR COMMUNICATIONS COMMON STOCK 15116N108 253 8,882 SH OTHER 01 02 03 8,882
P R
- -----
56 CELLULAR COMMUNICATIONS COMMON STOCK 15116N108 343 12,018 SH OTHER 01 02 03 04 12,018
P R
- -----
57 CENTURY COMMON STOCK 156503104 535 11,633 SH OTHER 01 02 03 11,633
COMMUNICATIONSCL A
- -----
58 CENTURY COMMON STOCK 156503104 845 18,367 SH OTHER 01 02 03 04 18,367
COMMUNICATIONSCL A
- -----
59 CHOCK FULL O NUTS COMMON STOCK 170268106 604 57,864 SH OTHER 01 02 03 57,864
CORP-W/RTS
- -----
- -----------------------------------------------------------------------------------------------------------------------------------
Page 7 of 19
<PAGE>
60 CHOCK FULL O NUTS COMMON STOCK 170268106 846 81,036 SH OTHER 01 02 03 04 81,036
CORP-W/RTS
- -----
61 CITRIX SYSTEMS INC COMMON STOCK 177376100 3,206 56,744 SH OTHER 01 02 03 04 56,744
- -----
62 COACH USA INC COMMON STOCK 18975L106 257 6,122 SH OTHER 01 02 03 04 6,122
- -----
63 COLEMAN CO INC NEW COMMON STOCK 193559101 693 73,872 SH OTHER 01 02 03 73,872
- -----
64 COLEMAN CO INC NEW COMMON STOCK 193559101 605 64,538 SH OTHER 01 02 03 04 64,538
- -----
65 COLTEC INDUSTRIES INC COMMON STOCK 196879100 2,856 131,684 SH OTHER 01 02 03 131,684
- -----
66 COLTEC INDUSTRIES INC COMMON STOCK 196879100 4,509 207,916 SH OTHER 01 02 03 04 207,916
- -----
67 COLUMBIA ENERGY GROUP COMMON STOCK 197648108 243 3,878 SH OTHER 01 02 03 3,878
- -----
68 COLUMBIA ENERGY GROUP COMMON STOCK 197648108 384 6,122 SH OTHER 01 02 03 04 6,122
- -----
69 COMSAT CORP-SERIES 1 COMMON STOCK 20564D107 2,331 71,732 SH OTHER 01 02 03 71,732
- -----
70 COMSAT CORP-SERIES 1 COMMON STOCK 20564D107 3,681 113,268 SH OTHER 01 02 03 04 113,268
- -----
71 COMSAT CORP-SERIES 1 CALL 20564D9JF 202 6,200 SH CALL OTHER 01 02 03 04 6,200
- -----
72 CONOCO INC CALL 2082519GF 811 29,100 SH CALL OTHER 01 02 03 29,100
- -----
73 CONOCO INC CALL 2082519GF 1,140 40,900 SH CALL OTHER 01 02 03 04 40,900
- -----
74 CONOCO INC CALL 2082519GG 588 21,100 SH CALL OTHER 01 02 03 21,100
- -----
75 CONOCO INC CALL 2082519GG 806 28,900 SH CALL OTHER 01 02 03 04 28,900
- -----
76 CONOCO INC CALL 2082519GZ 1,918 68,800 SH CALL OTHER 01 02 03 68,800
- -----
77 CONOCO INC CALL 2082519GZ 2,654 95,200 SH CALL OTHER 01 02 03 04 95,200
- -----
78 CONSOLIDATED NATURAL COMMON STOCK 209615103 1,178 19,386 SH OTHER 01 02 03 19,386
GAS CO
- -----
- -----------------------------------------------------------------------------------------------------------------------------------
Page 8 of 19
<PAGE>
79 CONSOLIDATED NATURAL COMMON STOCK 209615103 1,860 30,614 SH OTHER 01 02 03 04 30,614
GAS CO
- -----
80 D R HORTON INC COMMON STOCK 23331A109 565 34,002 SH OTHER 01 02 03 04 34,002
- -----
81 DANAHER CORP COMMON STOCK 235851102 1,442 24,806 SH OTHER 01 02 03 04 24,806
- -----
82 DELTA & PINE LAND CO COMMON STOCK 247357106 450 14,291 SH OTHER 01 02 03 14,291
- -----
83 DELTA & PINE LAND CO COMMON STOCK 247357106 775 24,609 SH OTHER 01 02 03 04 24,609
- -----
84 E I DU PONT DE NEMOURS COMMON STOCK 263534109 3,415 49,991 SH OTHER 01 02 03 49,991
& CO
- -----
85 E I DU PONT DE NEMOURS COMMON STOCK 263534109 4,441 65,009 SH OTHER 01 02 03 04 65,009
& CO
- -----
86 E I DU PONT DE NEMOURS CALL 2635349GN 745 10,900 SH CALL OTHER 01 02 03 10,900
& CO
- -----
87 E I DU PONT DE NEMOURS CALL 2635349GN 963 14,100 SH CALL OTHER 01 02 03 04 14,100
& CO
- -----
88 E I DU PONT DE NEMOURS PUT 2635349SM 1,489 21,800 SH PUT OTHER 01 02 03 21,800
& CO
- -----
89 E I DU PONT DE NEMOURS PUT 2635349SM 1,926 28,200 SH PUT OTHER 01 02 03 04 28,200
& CO
- -----
90 E I DU PONT DE NEMOURS PUT 2635349SN 915 13,400 SH PUT OTHER 01 02 03 13,400
& CO
- -----
91 E I DU PONT DE NEMOURS PUT 2635349SN 1,134 16,600 SH PUT OTHER 01 02 03 04 16,600
& CO
- -----
92 ***ELAN CORP PLC-ADR COMMON STOCK 284131208 2,159 77,816 SH OTHER 01 02 03 04 77,816
- -----
93 EXECUTIVE RISK INC COMMON STOCK 301586103 9,540 112,154 SH OTHER 01 02 03 112,154
- -----
- -----------------------------------------------------------------------------------------------------------------------------------
Page 9 of 19
<PAGE>
94 EXECUTIVE RISK INC COMMON STOCK 301586103 12,168 143,046 SH OTHER 01 02 03 04 143,046
- -----
95 FILENES BASEMENT CORP COMMON STOCK 316866102 310 215,702 SH OTHER 01 02 03 215,702
- -----
96 FILENES BASEMENT CORP COMMON STOCK 316866102 229 159,298 SH OTHER 01 02 03 04 159,298
- -----
97 FIRST AMERICAN COMMON STOCK 318900107 243 5,837 SH OTHER 01 02 03 04 5,837
CORP-TENN
- -----
98 FIRST SECURITY CORP-DEL COMMON STOCK 336294103 205 7,539 SH OTHER 01 02 03 7,539
- -----
99 FIRST SECURITY CORP-DEL COMMON STOCK 336294103 299 10,961 SH OTHER 01 02 03 04 10,961
- -----
100 FIRST UNION CORP COMMON STOCK 337358105 1,897 40,256 SH OTHER 01 02 03 04 40,256
- -----
101 FOAMEX INTERNATIONAL COMMON STOCK 344123104 64 11,538 SH OTHER 01 02 03 11,538
INC
- -----
102 FRONTIER CORP COMMON STOCK 35906P105 7,665 130,745 SH OTHER 01 02 03 130,745
- -----
103 FRONTIER CORP COMMON STOCK 35906P105 12,103 206,455 SH OTHER 01 02 03 04 206,455
- -----
104 FRONTIER CORP PUT 35906P9SI 299 5,100 SH PUT OTHER 01 02 03 5,100
- -----
105 FRONTIER CORP PUT 35906P9SI 287 4,900 SH PUT OTHER 01 02 03 04 4,900
- -----
106 GLOBAL INDUSTRIAL COMMON STOCK 379335102 533 44,200 SH OTHER 01 02 03 44,200
TECHNOLOGIES
- -----
107 GLOBAL INDUSTRIAL COMMON STOCK 379335102 747 61,900 SH OTHER 01 02 03 04 61,900
TECHNOLOGIES
- -----
108 ***GUCCI GROUP NV COMMON STOCK 401566104 1,243 17,750 SH OTHER 01 02 03 17,750
(NY LISTED)
- -----
109 ***GUCCI GROUP NV COMMON STOCK 401566104 1,558 22,250 SH OTHER 01 02 03 04 22,250
(NY LISTED)
- -----
- -----------------------------------------------------------------------------------------------------------------------------------
Page 10 of 19
<PAGE>
110 GULFSTREAM AEROSPACE COMMON STOCK 402734107 2,009 29,736 SH OTHER 01 02 03 29,736
CORP NEW
- -----
111 GULFSTREAM AEROSPACE COMMON STOCK 402734107 3,058 45,264 SH OTHER 01 02 03 04 45,264
CORP NEW
- -----
112 HOLOPHANE CORP COMMON STOCK 43645B106 370 9,694 SH OTHER 01 02 03 9,694
- -----
113 HOLOPHANE CORP COMMON STOCK 43645B106 584 15,306 SH OTHER 01 02 03 04 15,306
- -----
114 HONEYWELL INC COMMON STOCK 438506107 2,022 17,448 SH OTHER 01 02 03 17,448
- -----
115 HONEYWELL INC COMMON STOCK 438506107 3,193 27,552 SH OTHER 01 02 03 04 27,552
- -----
116 HOUSEHOLD INTERNATIONAL COMMON STOCK 441815107 3,572 75,389 SH OTHER 01 02 03 04 75,389
INC
- -----
117 WTS IMC GLOBAL INC WARRANT OR 449669118 11 19,957 SH OTHER 01 02 03 19,957
RIGHT
- -----
118 WTS IMC GLOBAL INC WARRANT OR 449669118 19 33,540 SH OTHER 01 02 03 04 33,540
RIGHT
- -----
119 ***INCO LTD-CL VBN COMMON STOCK 453258709 605 78,747 SH OTHER 01 02 03 78,747
- -----
120 ***INCO LTD-CL VBN COMMON STOCK 453258709 97 12,603 SH OTHER 01 02 03 04 12,603
- -----
121 INTEGRA LIFESCIENCES COMMON STOCK 457985208 292 45,362 SH OTHER 01 02 03 45,362
HOLDINGS
- -----
122 INTEGRA LIFESCIENCES COMMON STOCK 457985208 223 34,638 SH OTHER 01 02 03 04 34,638
HOLDINGS
- -----
123 INTERNATIONAL PAPER CO COMMON STOCK 460146103 2,284 45,445 SH OTHER 01 02 03 04 45,445
- -----
124 INTERNEURON PHARM. INC COMMON STOCK 460573108 857 311,762 SH OTHER 01 02 03 311,762
- -----
125 INTERNEURON PHARM. INC COMMON STOCK 460573108 679 246,838 SH OTHER 01 02 03 04 246,838
- -----
- -----------------------------------------------------------------------------------------------------------------------------------
Page 11 of 19
<PAGE>
126 JOHNS MANVILLE CORP NEW COMMON STOCK 478129109 776 55,928 SH OTHER 01 02 03 55,928
- -----
127 JOHNS MANVILLE CORP NEW COMMON STOCK 478129109 611 44,072 SH OTHER 01 02 03 04 44,072
- -----
128 KOS PHARMACEUTICALS INC COMMON STOCK 500648100 244 48,118 SH OTHER 01 02 03 48,118
- -----
129 KOS PHARMACEUTICALS INC COMMON STOCK 500648100 232 45,882 SH OTHER 01 02 03 04 45,882
- -----
130 KROGER CO COMMON STOCK 501044101 2,827 101,200 SH OTHER 01 02 03 04 101,200
- -----
131 LEVEL ONE COMMON STOCK 527295109 3,881 79,307 SH OTHER 01 02 03 79,307
COMMUNICATIONS INC
- -----
132 LEVEL ONE COMMON STOCK 527295109 5,588 114,193 SH OTHER 01 02 03 04 114,193
COMMUNICATIONS INC
- -----
133 LIFELINE SYSTEMS INC COMMON STOCK 532192101 196 10,166 SH OTHER 01 02 03 10,166
- -----
134 LIFELINE SYSTEMS INC COMMON STOCK 532192101 257 13,334 SH OTHER 01 02 03 04 13,334
- -----
135 ***LOEWEN GROUP INC COMMON STOCK 54042L100 23 36,117 SH OTHER 01 02 03 04 36,117
- -----
136 LONG BEACH FINANCIAL COMMON STOCK 542446109 612 41,661 SH OTHER 01 02 03 41,661
CORP
- -----
137 LONG BEACH FINANCIAL COMMON STOCK 542446109 857 58,339 SH OTHER 01 02 03 04 58,339
CORP
- -----
138 LUCENT TECHNOLOGIES INC COMMON STOCK 549463107 25,906 384,149 SH OTHER 01 02 03 384,149
- -----
139 LUCENT TECHNOLOGIES INC COMMON STOCK 549463107 39,042 578,935 SH OTHER 01 02 03 04 578,935
- -----
140 MCI WORLDCOM INC COMMON STOCK 55268B106 11,273 130,988 SH OTHER 01 02 03 04 130,988
- -----
141 MCI WORLDCOM INC PUT 55268B8SQ 2,014 23,400 SH PUT OTHER 01 02 03 23,400
- -----
142 MCI WORLDCOM INC PUT 55268B8SQ 3,150 36,600 SH PUT OTHER 01 02 03 04 36,600
- -----
- -----------------------------------------------------------------------------------------------------------------------------------
Page 12 of 19
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143 *** MACMILLAN BLOEDEL COMMON STOCK 554783209 276 15,306 SH OTHER 01 02 03 04 15,306
LTD
- -----
144 MARK SOLUTIONS INC COMMON STOCK 570418202 29 10,103 SH OTHER 01 02 03 10,103
- -----
145 MARK SOLUTIONS INC COMMON STOCK 570418202 37 13,153 SH OTHER 01 02 03 04 13,153
- -----
146 MARSHALL INDUSTRIES COMMON STOCK 572393106 1,811 50,406 SH OTHER 01 02 03 50,406
- -----
147 MARSHALL INDUSTRIES COMMON STOCK 572393106 2,860 79,594 SH OTHER 01 02 03 04 79,594
- -----
148 MATTEL INC COMMON STOCK 577081102 2,316 88,640 SH OTHER 01 02 03 04 88,640
- -----
149 MEDIAONE GROUP INC COMMON STOCK 58440J104 4,975 66,886 SH OTHER 01 02 03 66,886
- -----
150 MEDIAONE GROUP INC COMMON STOCK 58440J104 7,855 105,614 SH OTHER 01 02 03 04 105,614
- -----
151 MEDPARTNERS INC NEW COMMON STOCK 58503X107 568 75,687 SH OTHER 01 02 03 75,687
- -----
152 MEDPARTNERS INC NEW COMMON STOCK 58503X107 557 74,313 SH OTHER 01 02 03 04 74,313
- -----
153 METRO NETWORKS INC COMMON STOCK 591918107 326 6,106 SH OTHER 01 02 03 6,106
- -----
154 METRO NETWORKS INC COMMON STOCK 591918107 475 8,894 SH OTHER 01 02 03 04 8,894
- -----
155 NALCO CHEMICAL CO COMMON STOCK 629853102 1,861 35,882 SH OTHER 01 02 03 35,882
- -----
156 NALCO CHEMICAL CO COMMON STOCK 629853102 2,807 54,118 SH OTHER 01 02 03 04 54,118
- -----
157 NATIONAL PROCESSING INC COMMON STOCK 637229105 125 12,368 SH OTHER 01 02 03 04 12,368
- -----
158 NAVIGANT INTL INC COMMON STOCK 63935R108 1,089 138,227 SH OTHER 01 02 03 138,227
- -----
159 NAVIGANT INTL INC COMMON STOCK 63935R108 920 116,773 SH OTHER 01 02 03 04 116,773
- -----
160 ***NEWBRIDGE NETWORKS CALL 6509019GE 282 9,800 SH CALL OTHER 01 02 03 9,800
CORP
- -----
- -----------------------------------------------------------------------------------------------------------------------------------
Page 13 of 19
<PAGE>
161 ***NEWBRIDGE NETWORKS CALL 6509019GE 293 10,200 SH CALL OTHER 01 02 03 04 10,200
CORP
- -----
162 ***NEWCOURT CREDIT FOREIGN COMMON 650905102 198 15,340 SH OTHER 01 02 03 15,340
GROUP INC STOCK
- -----
163 ***NEWCOURT CREDIT FOREIGN COMMON 650905102 319 24,660 SH OTHER 01 02 03 04 24,660
GROUP INC STOCK
- -----
164 NEWPARK RESOURCES INC COMMON STOCK 651718504 120 13,571 SH OTHER 01 02 03 13,571
NEW
- -----
165 NEWPARK RESOURCES INC COMMON STOCK 651718504 190 21,429 SH OTHER 01 02 03 04 21,429
NEW
- -----
166 NEWPORT NEWS COMMON STOCK 652228107 690 23,396 SH OTHER 01 02 03 23,396
SHIPBUILDING INC
- -----
167 NEWPORT NEWS COMMON STOCK 652228107 1,003 34,004 SH OTHER 01 02 03 04 34,004
SHIPBUILDING INC
- -----
168 NEWPORT NEWS CALL 6522289GF 310 10,500 SH CALL OTHER 01 02 03 10,500
SHIPBUILDING INC
- -----
169 NEWPORT NEWS CALL 6522289GF 428 14,500 SH CALL OTHER 01 02 03 04 14,500
SHIPBUILDING INC
- -----
170 OMNIPOINT CORP COMMON STOCK 68212D102 224 7,756 SH OTHER 01 02 03 7,756
- -----
171 OMNIPOINT CORP COMMON STOCK 68212D102 354 12,244 SH OTHER 01 02 03 04 12,244
- -----
172 OUTDOOR SYSTEMS INC COMMON STOCK 690057104 928 25,429 SH OTHER 01 02 03 25,429
- -----
173 OUTDOOR SYSTEMS INC COMMON STOCK 690057104 1,262 34,571 SH OTHER 01 02 03 04 34,571
- -----
174 PENNZENERGY CO COMMON STOCK 70931Q109 720 43,296 SH OTHER 01 02 03 43,296
- -----
175 PENNZENERGY CO COMMON STOCK 70931Q109 860 51,704 SH OTHER 01 02 03 04 51,704
- -----
- -----------------------------------------------------------------------------------------------------------------------------------
Page 14 of 19
<PAGE>
176 PIONEER HI-BRED COMMON STOCK 723686101 1,956 50,229 SH OTHER 01 02 03 50,229
INTERNATIONAL
- -----
177 PIONEER HI-BRED COMMON STOCK 723686101 3,145 80,771 SH OTHER 01 02 03 04 80,771
INTERNATIONAL
- -----
178 PUBLICARD INC COMMON STOCK 744627100 188 18,450 SH OTHER 01 02 03 18,450
- -----
179 PUBLICARD INC COMMON STOCK 744627100 301 29,500 SH OTHER 01 02 03 04 29,500
- -----
180 QWEST COMMUNICATIONS COMMON STOCK 749121109 256 7,756 SH OTHER 01 02 03 7,756
- -----
181 QWEST COMMUNICATIONS COMMON STOCK 749121109 405 12,244 SH OTHER 01 02 03 04 12,244
- -----
182 QWEST COMMUNICATIONS CALL 7491218GG 304 9,200 SH CALL OTHER 01 02 03 04 9,200
- -----
183 QWEST COMMUNICATIONS CALL 7491218GZ 205 6,200 SH CALL OTHER 01 02 03 04 6,200
- -----
184 RATIONAL SOFTWARE COMMON STOCK 75409P202 2,621 79,576 SH OTHER 01 02 03 04 79,576
CORP NEW
- -----
185 RAYCHEM CORP COMMON STOCK 754603108 4,587 123,966 SH OTHER 01 02 03 123,966
- -----
186 RAYCHEM CORP COMMON STOCK 754603108 6,935 187,434 SH OTHER 01 02 03 04 187,434
- -----
187 RAYCHEM CORP CALL 7546039GG 307 8,300 SH CALL OTHER 01 02 03 8,300
- -----
188 RAYCHEM CORP CALL 7546039GG 433 11,700 SH CALL OTHER 01 02 03 04 11,700
- -----
189 RECKSON ASSOCS RLTY COMMON STOCK 75621K304 3,127 130,982 SH OTHER 01 02 03 130,982
CORP
- -----
190 RECKSON ASSOCS RLTY COMMON STOCK 75621K304 4,077 17,0750 SH OTHER 01 02 03 04 170,750
CORP
- -----
191 RENTAL SERVICE CORP COMMON STOCK 76009V102 2,290 80,010 SH OTHER 01 02 03 80,010
- -----
192 RENTAL SERVICE CORP COMMON STOCK 76009V102 3,183 111,190 SH OTHER 01 02 03 04 111,190
- -----
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Page 15 of 19
<PAGE>
193 REPUBLIC NEW YORK CORP COMMON STOCK 760719104 3,272 47,981 SH OTHER 01 02 03 47,981
- -----
194 REPUBLIC NEW YORK CORP COMMON STOCK 760719104 5,252 77,019 SH OTHER 01 02 03 04 77,019
- -----
195 REYNOLDS METALS CO CALL 7617639GJ 637 10,800 SH CALL OTHER 01 02 03 10,800
- -----
196 REYNOLDS METALS CO CALL 7617639GJ 543 9,200 SH CALL OTHER 01 02 03 04 9,200
- -----
197 RICHFOOD HOLDINGS INC COMMON STOCK 763408101 707 40,136 SH OTHER 01 02 03 40,136
- -----
198 RICHFOOD HOLDINGS INC COMMON STOCK 763408101 1,064 60,364 SH OTHER 01 02 03 04 60,364
- -----
199 ROHM & HAAS CO COMMON STOCK 775371107 2,251 52,490 SH OTHER 01 02 03 52,490
- -----
200 ROHM & HAAS CO COMMON STOCK 775371107 3,294 76,829 SH OTHER 01 02 03 04 76,829
- -----
201 E W SCRIPPS CO NEW-CL A COMMON STOCK 811054204 1,063 22,349 SH OTHER 01 02 03 04 22,349
- -----
202 SKYTEL COMMUNICATIOS COMMON STOCK 83087Q104 3,712 177,272 SH OTHER 01 02 03 177,272
INC
- -----
203 SKYTEL COMMUNICATIOS COMMON STOCK 83087Q104 5,815 277,728 SH OTHER 01 02 03 04 277,728
INC
- -----
204 SUGEN INC COMMON STOCK 865041107 686 23,263 SH OTHER 01 02 03 23,263
- -----
205 SUGEN INC COMMON STOCK 865041107 1,084 36,737 SH OTHER 01 02 03 04 36,737
- -----
206 SUPERIOR SERVICES INC COMMON STOCK 868316100 466 17,450 SH OTHER 01 02 03 17,450
- -----
207 SUPERIOR SERVICES INC COMMON STOCK 868316100 735 27,550 SH OTHER 01 02 03 04 27,550
- -----
208 TCA CABLE TV INC COMMON STOCK 872241104 981 17,681 SH OTHER 01 02 03 17,681
- -----
209 TCA CABLE TV INC COMMON STOCK 872241104 1,427 25,719 SH OTHER 01 02 03 04 25,719
- -----
210 TELEBANC FINANCIAL CORP COMMON STOCK 87925R109 210 5,429 SH OTHER 01 02 03 5,429
- -----
211 TELEBANC FINANCIAL CORP COMMON STOCK 87925R109 332 8,571 SH OTHER 01 02 03 04 8,571
- -----
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Page 16 of 19
<PAGE>
212 TERADYNE INC COMMON STOCK 880770102 7,022 97,861 SH OTHER 01 02 03 04 97,861
- -----
213 THOMAS & BETTS CORP PUT 8843159SI 964 20,400 SH PUT OTHER 01 02 03 20,400
- -----
214 THOMAS & BETTS CORP PUT 8843159SI 1,517 32,100 SH PUT OTHER 01 02 03 04 32,100
- -----
215 3COM CORP COMMON STOCK 885535104 5,963 223,448 SH OTHER 01 02 03 04 223,448
- -----
216 TOPPS CO INC COMMON STOCK 890786106 599 82,293 SH OTHER 01 02 03 82,293
- -----
217 TOPPS CO INC COMMON STOCK 890786106 493 67,707 SH OTHER 01 02 03 04 67,707
- -----
218 TRANSAMERICA CORP COMMON STOCK 893485102 11,076 147,686 SH OTHER 01 02 03 147,686
- -----
219 TRANSAMERICA CORP COMMON STOCK 893485102 17,559 234,114 SH OTHER 01 02 03 04 234,114
- -----
220 TRINET CORPORATE REALTY COMMON STOCK 896287109 537 19,389 SH OTHER 01 02 03 19,389
TRUST
- -----
221 TRINET CORPORATE REALTY COMMON STOCK 896287109 848 30,611 SH OTHER 01 02 03 04 30,611
TRUST
- -----
222 ***TYCO INTERNATIONAL COMMON STOCK 902124106 28,219 297,822 SH OTHER 01 02 03 04 297,822
LTD
- -----
223 U S T CORP COMMON STOCK 902900109 880 29,082 SH OTHER 01 02 03 29,082
- -----
224 U S T CORP COMMON STOCK 902900109 1,389 45,918 SH OTHER 01 02 03 04 45,918
- -----
225 U S OFFICE PRODUCTS CO COMMON STOCK 912325305 63 11,756 SH OTHER 01 02 03 11,756
(NEW)
- -----
226 U S WEST INC NEW COMMON STOCK 91273H101 1,275 21,705 SH OTHER 01 02 03 21,705
- -----
227 U S WEST INC NEW COMMON STOCK 91273H101 1,956 33,295 SH OTHER 01 02 03 04 33,295
- -----
228 VWR CORP COMMON STOCK 918435108 711 19,389 SH OTHER 01 02 03 19,389
- -----
229 VWR CORP COMMON STOCK 918435108 1,123 30,611 SH OTHER 01 02 03 04 30,611
- -----
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Page 17 of 19
<PAGE>
230 VARLEN CORP COMMON STOCK 922248109 755 18,646 SH OTHER 01 02 03 18,646
- -----
231 VARLEN CORP COMMON STOCK 922248109 1,152 28,454 SH OTHER 01 02 03 04 28,454
- -----
232 ***VODAFONE AIRTOUCH COMMON STOCK 92857T107 25,873 131,334 SH OTHER 01 02 03 131,334
PLC
- -----
233 ***VODAFONE AIRTOUCH COMMON STOCK 92857T107 38,672 196,305 SH OTHER 01 02 03 04 196,305
PLC
- -----
234 VOICESTREAM WIRELESS COMMON STOCK 928615103 313 11,022 SH OTHER 01 02 03 04 11,022
CORP
- -----
235 WASHINGTON MUTUAL INC COMMON STOCK 939322103 10,831 304,552 SH OTHER 01 02 03 04 304,552
- -----
236 WEATHERFORD COMMON STOCK 947074100 2,391 65,293 SH OTHER 01 02 03 04 65,293
INTERNATIONAL INC
- -----
237 WELLS FARGO & CO-NEW COMMON STOCK 949746101 10,741 251,260 SH OTHER 01 02 03 04 251,260
- -----
238 WHITMAN CORP COMMON STOCK 96647R107 927 51,480 SH OTHER 01 02 03 04 51,480
- -----
239 WHITTAKER CORP NEW COMMON STOCK 966680407 392 13,986 SH OTHER 01 02 03 13,986
- -----
240 WHITTAKER CORP NEW COMMON STOCK 966680407 392 14,014 SH OTHER 01 02 03 04 14,014
- -----
241 WILLIAMS COMPANIES INC COMMON STOCK 969457100 1,843 43,307 SH OTHER 01 02 03 43,307
- -----
242 WILLIAMS COMPANIES INC COMMON STOCK 969457100 3,159 74,232 SH OTHER 01 02 03 04 74,232
- -----
243 WYMAN-GORDON CO COMMON STOCK 983085101 622 32,186 SH OTHER 01 02 03 32,186
- -----
244 WYMAN-GORDON CO COMMON STOCK 983085101 730 37,814 SH OTHER 01 02 03 04 37,814
- -----
245 YANKEE ENERGY SYSTEM COMMON STOCK 984779108 308 7,756 SH OTHER 01 02 03 7,756
INC
- -----
246 YANKEE ENERGY SYSTEM COMMON STOCK 984779108 486 12,244 SH OTHER 01 02 03 04 12,244
INC
- -----
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Page 18 of 19
<PAGE>
247 GLOBAL CROSSING LTD COMMON STOCK G3921A100 846 19,852 SH OTHER 01 02 03 19,852
- -----
248 GLOBAL CROSSING LTD COMMON STOCK G3921A100 1,209 28,363 SH OTHER 01 02 03 04 28,363
- -----
249 GLOBAL CROSSING LTD PUT G3921A8SG 985 23,100 SH PUT OTHER 01 02 03 23,100
- -----
250 GLOBAL CROSSING LTD PUT G3921A8SG 1,147 26,900 SH PUT OTHER 01 02 03 04 26,900
- -----
251 GLOBAL CROSSING LTD PUT G3921A8SH 2,954 69,300 SH PUT OTHER 01 02 03 69,300
- -----
252 GLOBAL CROSSING LTD PUT G3921A8SH 4,974 116,700 SH PUT OTHER 01 02 03 04 116,700
- -----
253 GLOBAL CROSSING LTD PUT G3921A9ST 328 7,700 SH PUT OTHER 01 02 03 7,700
- -----
254 GLOBAL CROSSING LTD PUT G3921A9ST 524 12,300 SH PUT OTHER 01 02 03 04 12,300
- -----------------------------------------------------------------------------------------------------------------------------------
706,284 No. of Other Managers 4
- -----------------------------------------------------------------------------------------------------------------------------------
Page 19 of 19
<PAGE>
</TABLE>
