<PAGE>
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 13F
Form 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: September 30, 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:
--------------------------------------------------
Phone: 212-644-2202
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Signature, Place, and Date of Signing:
/s/ James Morgan Rutman New York, New York 11/5/99
------------------------ ------------------------------ ----------
Page 1 of 22
<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 22
<PAGE>
Form 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 4
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Form 13F Information Table Entry Total: 303
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Form 13F Information Table Value Total: $756,740
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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 22
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<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 2,517 59,226 SH OTHER 01 02 03 59,226
- -----
2 AFC CABLE SYSTEMS INC COMMON STOCK 000950105 4,368 102,774 SH OTHER 01 02 03 04 102,774
- -----
3 AT&T CORP COMMON STOCK 001957109 4,741 108,998 SH OTHER 01 02 03 04 108,998
- -----
4 AT&T CORP CALL 0019578AJ 2,314 53,200 SH CALL OTHER 01 02 03 53,200
- -----
5 AT&T CORP CALL 0019578AJ 4,211 96,800 SH CALL OTHER 01 02 03 04 96,800
- -----
6 AT&T CORP CALL 0019579KJ 1,544 35,500 SH CALL OTHER 01 02 03 35,500
- -----
7 AT&T CORP CALL 0019579KJ 2,806 64,500 SH CALL OTHER 01 02 03 04 64,500
- -----
8 ***A T & T CANADA LTD FOREIGN COMMON 00207Q202 534 8,506 SH OTHER 01 02 03 8,506
- ----- STOCK
9 ***A T & T CANADA LTD FOREIGN COMMON 00207Q202 534 8,494 SH OTHER 01 02 03 04 8,494
- ----- STOCK
10 ABBOTT LABORATORIES PUT 0028249VG 939 25,600 SH PUT OTHER 01 02 03 25,600
- -----
11 ABBOTT LABORATORIES PUT 0028249VG 1,629 44,400 SH PUT OTHER 01 02 03 04 44,400
- -----
- -----------------------------------------------------------------------------------------------------------------------------------
Page 4 of 22
<PAGE>
12 ABBOTT LABORATORIES PUT 0028249VU 939 25,600 SH PUT OTHER 01 02 03 25,600
- -----
13 ABBOTT LABORATORIES PUT 0028249VU 1,629 44,400 SH PUT OTHER 01 02 03 04 44,400
- -----
14 ABBOTT LABORATORIES PUT 0028249WU 231 6,300 SH PUT OTHER 01 02 03 04 6,300
- -----
15 ACCLAIM ENTERTAINMENT COMMON STOCK 004325205 96 12,656 SH OTHER 01 02 03 12,656
- ----- INC NEW
16 ACCLAIM ENTERTAINMENT COMMON STOCK 004325205 94 12,344 SH OTHER 01 02 03 04 12,344
- ----- INC NEW
17 ADFORCE INC COMMON STOCK 006867105 928 36,564 SH OTHER 01 02 03 36,564
- -----
18 ADFORCE INC COMMON STOCK 006867105 1,610 63,436 SH OTHER 01 02 03 04 63,436
- -----
19 AERIAL COMMUNICATIONS COMMON STOCK 007655103 536 19,742 SH OTHER 01 02 03 19,742
- ----- INC
20 AERIAL COMMUNICATIONS COMMON STOCK 007655103 929 34,258 SH OTHER 01 02 03 04 34,258
- ----- INC
21 ALCOA INC PUT 0138179VL 664 10,700 SH PUT OTHER 01 02 03 10,700
- -----
22 ALCOA INC PUT 0138179VL 1,198 19,300 SH PUT OTHER 01 02 03 04 19,300
- -----
23 ***ALCATEL - SPONSORED COMMON STOCK 013904305 3,874 139,600 SH OTHER 01 02 03 04 139,600
- ----- ADR
24 ALLSTATE CORP CALL 0200029KF 506 20,300 SH CALL OTHER 01 02 03 20,300
- -----
25 ALLSTATE CORP CALL 0200029KF 491 19,700 SH CALL OTHER 01 02 03 04 19,700
- -----
26 ALZA CORP COMMON STOCK 022615108 9,114 212,872 SH OTHER 01 02 03 212,872
- -----
27 ALZA CORP COMMON STOCK 022615108 15,967 372,961 SH OTHER 01 02 03 04 372,961
- -----
28 ALZA CORP PUT 0226159VH 235 5,500 SH PUT OTHER 01 02 03 5,500
- -----
- -----------------------------------------------------------------------------------------------------------------------------------
Page 5 of 22
<PAGE>
29 ALZA CORP PUT 0226159VH 407 9,500 SH PUT OTHER 01 02 03 04 9,500
- -----
30 AMERICA ONLINE COMMON STOCK 02364J104 7,491 71,981 SH OTHER 01 02 03 04 71,981
- ----- INC-DEL
31 AMERICAN HERITAGE LIFE COMMON STOCK 026522102 5,346 168,365 SH OTHER 01 02 03 168,365
- -----
32 AMERICAN HERITAGE LIFE COMMON STOCK 026522102 9,351 294,535 SH OTHER 01 02 03 04 294,535
- -----
33 AMER INTERNATIONAL GROUP COMMON STOCK 026874107 11,976 137,755 SH OTHER 01 02 03 04 137,755
- ----- INC
34 AMERITECH CORP NEW COMMON STOCK 030954101 1,104 16,535 SH OTHER 01 02 03 16,535
- -----
35 AMERITECH CORP NEW COMMON STOCK 030954101 2,014 30,165 SH OTHER 01 02 03 04 30,165
- -----
36 ASARCO INC COMMON STOCK 043413103 2,680 99,256 SH OTHER 01 02 03 99,256
- -----
37 ASARCO INC COMMON STOCK 043413103 4,651 172,244 SH OTHER 01 02 03 04 172,244
- -----
38 ASARCO INC CALL 0434139JD 548 20,300 SH CALL OTHER 01 02 03 20,300
- -----
39 ASARCO INC CALL 0434139JD 937 34,700 SH CALL OTHER 01 02 03 04 34,700
- -----
40 ASARCO INC CALL 0434139JX 297 11,000 SH CALL OTHER 01 02 03 11,000
- -----
41 ASARCO INC CALL 0434139JX 513 19,000 SH CALL OTHER 01 02 03 04 19,000
- -----
42 EXCITE@HOME SERIES A COMMON STOCK 045919107 1,419 34,249 SH OTHER 01 02 03 04 34,249
- -----
43 AZTEC TECHNOLOGY COMMON STOCK 05480L101 86 49,832 SH OTHER 01 02 03 49,832
- ----- PARTNERS INC
44 AZTEC TECHNOLOGY COMMON STOCK 05480L101 86 50,168 SH OTHER 01 02 03 04 50,168
- ----- PARTNERS INC
45 BANK ONE CORP CALL 06423A8AO 1,591 45,700 SH CALL OTHER 01 02 03 45,700
- -----
- -----------------------------------------------------------------------------------------------------------------------------------
Page 6 of 22
<PAGE>
46 BANK ONE CORP CALL 06423A8AO 1,890 54,300 SH CALL OTHER 01 02 03 04 54,300
- -----
47 BANKBOSTON CORP COMMON STOCK 06605R106 4,919 113,407 SH OTHER 01 02 03 113,407
- -----
48 BANKBOSTON CORP COMMON STOCK 06605R106 8,536 196,793 SH OTHER 01 02 03 04 196,793
- -----
49 BAXTER INTERNATIONAL WARRANT OR 071813125 19 277,835 SH OTHER 01 02 03 277,835
- ----- INC RIGHT
50 BAXTER INTERNATIONAL WARRANT OR 071813125 23 324,165 SH OTHER 01 02 03 04 324,165
- ----- INC RIGHT
51 CNB BANCSHARES INC COMMON STOCK 126126101 2,919 55,074 SH OTHER 01 02 03 55,074
- -----
52 CNB BANCSHARES INC COMMON STOCK 126126101 5,111 96,426 SH OTHER 01 02 03 04 96,426
- -----
53 CASE CORP COMMON STOCK 14743R103 1,093 21,938 SH OTHER 01 02 03 21,938
- -----
54 CASE CORP COMMON STOCK 14743R103 1,896 38,062 SH OTHER 01 02 03 04 38,062
- -----
55 CENTOCOR INC COMMON STOCK 152342101 10,236 174,790 SH OTHER 01 02 03 174,790
- -----
56 CENTOCOR INC COMMON STOCK 152342101 17,763 303,310 SH OTHER 01 02 03 04 303,310
- -----
57 CENTOCOR INC CALL 1523429JJ 217 3,700 SH CALL OTHER 01 02 03 3,700
- -----
58 CENTOCOR INC CALL 1523429JJ 369 6,300 SH CALL OTHER 01 02 03 04 6,300
- -----
59 CENTURY COMMUNICATIONS COMMON STOCK 156503104 4,154 91,037 SH OTHER 01 02 03 91,037
- ----- CL A
60 CENTURY COMMUNICATIONS COMMON STOCK 156503104 7,380 161,763 SH OTHER 01 02 03 04 161,763
- ----- CL A
61 CHICAGO TITLE CORP COMMON STOCK 168228104 253 6,344 SH OTHER 01 02 03 04 6,344
- -----
- -----------------------------------------------------------------------------------------------------------------------------------
Page 7 of 22
<PAGE>
62 CHOCK FULL O NUTS CORP COMMON STOCK 170268106 770 70,790 SH OTHER 01 02 03 70,790
- -----
63 CHOCK FULL O NUTS CORP COMMON STOCK 170268106 1,339 123,110 SH OTHER 01 02 03 04 123,110
- -----
64 CHRIS-CRAFT INDUSTRIES COMMON STOCK 170520100 284 5,062 SH OTHER 01 02 03 5,062
- ----- INC
65 CHRIS-CRAFT INDUSTRIES COMMON STOCK 170520100 277 4,938 SH OTHER 01 02 03 04 4,938
- ----- INC
66 CINCINNATI BELL INC CALL 1718709JD 356 18,300 SH CALL OTHER 01 02 03 18,300
- -----
67 CINCINNATI BELL INC CALL 1718709JD 616 31,700 SH CALL OTHER 01 02 03 04 31,700
- -----
68 CITRIX SYSTEMS INC COMMON STOCK 177376100 3,515 56,744 SH OTHER 01 02 03 04 56,744
- -----
69 COLEMAN CO INC NEW COMMON STOCK 193559101 702 73,872 SH OTHER 01 02 03 73,872
- -----
70 COLEMAN CO INC NEW COMMON STOCK 193559101 613 64,538 SH OTHER 01 02 03 04 64,538
- -----
71 COLUMBIA ENERGY GROUP COMMON STOCK 197648108 405 7,312 SH OTHER 01 02 03 7,312
- -----
72 COLUMBIA ENERGY GROUP COMMON STOCK 197648108 703 12,688 SH OTHER 01 02 03 04 12,688
- -----
73 COMSAT CORP-SERIES 1 COMMON STOCK 20564D107 334 11,284 SH OTHER 01 02 03 11,284
- -----
74 COMSAT CORP-SERIES 1 COMMON STOCK 20564D107 833 28,116 SH OTHER 01 02 03 04 28,116
- -----
75 CONOCO INC-CL B COMMON STOCK 208251405 2,942 107,474 SH OTHER 01 02 03 04 107,474
- -----
76 CONSOLIDATED NATURAL COMMON STOCK 209615103 4,781 76,650 SH OTHER 01 02 03 76,650
- ----- GAS CO
77 CONSOLIDATED NATURAL COMMON STOCK 209615103 8,318 133,350 SH OTHER 01 02 03 04 133,350
- ----- GAS CO
- -----------------------------------------------------------------------------------------------------------------------------------
Page 8 of 22
<PAGE>
78 COOPER TIRE & RUBBER CO CALL 2168319GW 224 12,700 SH CALL OTHER 01 02 03 04 12,700
- -----
79 COOPER TIRE & RUBBER CO CALL 2168319KD 257 14,600 SH CALL OTHER 01 02 03 14,600
- -----
80 COOPER TIRE & RUBBER CO CALL 2168319KD 448 25,400 SH CALL OTHER 01 02 03 04 25,400
- -----
81 CORPORATE EXPRESS INC COMMON STOCK 219888104 1,034 109,955 SH OTHER 01 02 03 109,955
- -----
82 CORPORATE EXPRESS INC COMMON STOCK 219888104 1,794 190,745 SH OTHER 01 02 03 04 190,745
- -----
83 CYPRUS AMAX MINERALS CO COMMON STOCK 232809103 2,511 127,961 SH OTHER 01 02 03 127,961
- -----
84 CYPRUS AMAX MINERALS CO COMMON STOCK 232809103 4,358 222,039 SH OTHER 01 02 03 04 222,039
- -----
85 D R HORTON INC COMMON STOCK 23331A109 440 34,002 SH OTHER 01 02 03 04 34,002
- -----
86 DATA GENERAL CORP-W/RTS COMMON STOCK 237688106 4,410 209,359 SH OTHER 01 02 03 209,359
- -----
87 DATA GENERAL CORP-W/RTS COMMON STOCK 237688106 7,701 365,641 SH OTHER 01 02 03 04 365,641
- -----
88 DATA GENERAL CORP-W/RTS PUT 2376889XC 2,271 107,800 SH PUT OTHER 01 02 03 107,800
- -----
89 DATA GENERAL CORP-W/RTS PUT 2376889XC 4,048 192,200 SH PUT OTHER 01 02 03 04 192,200
- -----
90 DELTA & PINE LAND CO COMMON STOCK 247357106 836 32,318 SH OTHER 01 02 03 32,318
- -----
91 DELTA & PINE LAND CO COMMON STOCK 247357106 1,451 56,082 SH OTHER 01 02 03 04 56,082
- -----
92 DELTA & PINE LAND CO CALL 2473579JD 329 12,700 SH CALL OTHER 01 02 03 04 12,700
- -----
93 DESTIA COMMUNICATIONS COMMON STOCK 25063E100 446 35,686 SH OTHER 01 02 03 35,686
- ----- INC
94 DESTIA COMMUNICATIONS COMMON STOCK 25063E100 756 60,514 SH OTHER 01 02 03 04 60,514
- ----- INC
95 EMC CORP-MASS CALL 2686486JN 221 3,100 SH CALL OTHER 01 02 03 04 3,100
- -----
- -----------------------------------------------------------------------------------------------------------------------------------
Page 9 of 22
<PAGE>
96 EMC CORP-MASS PUT 2686486VN 892 12,500 SH PUT OTHER 01 02 03 12,500
- -----
97 EMC CORP-MASS PUT 2686486VN 1,606 22,500 SH PUT OTHER 01 02 03 04 22,500
- -----
98 EMC CORP-MASS PUT 2686488VG 236 3,300 SH PUT OTHER 01 02 03 04 3,300
- -----
99 EVEREN CAPITAL CORP COMMON STOCK 299761106 322 10,905 SH OTHER 01 02 03 04 10,905
- -----
100 EXCEL SWITCHING CORP COMMON STOCK 30067V108 2,219 61,849 SH OTHER 01 02 03 61,849
- -----
101 EXCEL SWITCHING CORP COMMON STOCK 30067V108 3,848 107,251 SH OTHER 01 02 03 04 107,251
- -----
102 FILENES BASEMENT CORP COMMON STOCK 316866102 172 189,818 SH OTHER 01 02 03 189,818
- -----
103 FILENES BASEMENT CORP COMMON STOCK 316866102 127 140,182 SH OTHER 01 02 03 04 140,182
- -----
104 FIRST AMERICAN CORP-TENN COMMON STOCK 318900107 4,236 97,373 SH OTHER 01 02 03 97,373
- -----
105 FIRST AMERICAN CORP-TENN COMMON STOCK 318900107 7,338 168,688 SH OTHER 01 02 03 04 168,688
- -----
106 FIRST SECURITY CORP-DEL COMMON STOCK 336294103 261 10,961 SH OTHER 01 02 03 04 10,961
- -----
107 FLORIDA PROGRESS CORP COMMON STOCK 341109106 339 7,319 SH OTHER 01 02 03 7,319
- -----
108 FLORIDA PROGRESS CORP COMMON STOCK 341109106 586 12,681 SH OTHER 01 02 03 04 12,681
- -----
109 FLYCAST COMMUNICATIONS COMMON STOCK 344067103 705 15,501 SH OTHER 01 02 03 15,501
- ----- CORP
110 FLYCAST COMMUNICATIONS COMMON STOCK 344067103 1,224 26,899 SH OTHER 01 02 03 04 26,899
- ----- CORP
111 FRONTIER CORP PUT 35906P9VG 792 14,600 SH PUT OTHER 01 02 03 14,600
- -----
112 FRONTIER CORP PUT 35906P9VG 1,378 25,400 SH PUT OTHER 01 02 03 04 25,400
- -----
113 FURON CO COMMON STOCK 361106107 1,070 42,920 SH OTHER 01 02 03 42,920
- -----
114 FURON CO COMMON STOCK 361106107 1,925 77,180 SH OTHER 01 02 03 04 77,180
- -----
- -----------------------------------------------------------------------------------------------------------------------------------
Page 10 of 22
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115 GTE CORP COMMON STOCK 362320103 1,153 15,004 SH OTHER 01 02 03 15,004
- -----
116 GTE CORP COMMON STOCK 362320103 1,998 25,996 SH OTHER 01 02 03 04 25,996
- -----
117 GENERAL INSTRUMENT COMMON STOCK 370120107 5,162 107,538 SH OTHER 01 02 03 107,538
- ----- CORP-DEL
118 GENERAL INSTRUMENT COMMON STOCK 370120107 8,998 187,462 SH OTHER 01 02 03 04 187,462
- ----- CORP-DEL
119 GENERAL INSTRUMENT PUT 3701209VJ 442 9,200 SH PUT OTHER 01 02 03 9,200
- ----- CORP-DEL
120 GENERAL INSTRUMENT PUT 3701209VJ 758 15,800 SH PUT OTHER 01 02 03 04 15,800
- ----- CORP-DEL
121 GENERAL SURGICAL COMMON STOCK 371013103 942 135,175 SH OTHER 01 02 03 135,175
- ----- INNOVATIONS
122 GENERAL SURGICAL COMMON STOCK 371013103 1,636 234,825 SH OTHER 01 02 03 04 234,825
- ----- INNOVATIONS
123 GENESYS COMMON STOCK 371931106 1,253 27,421 SH OTHER 01 02 03 27,421
- ----- TELECOMMUNICATIONS
124 GENESYS COMMON STOCK 371931106 2,174 47,579 SH OTHER 01 02 03 04 47,579
- ----- TELECOMMUNICATIONS
125 HAMBRECHT & QUIST GROUP COMMON STOCK 406545103 891 18,279 SH OTHER 01 02 03 18,279
- ----- INC
126 HAMBRECHT & QUIST GROUP COMMON STOCK 406545103 1,546 31,721 SH OTHER 01 02 03 04 31,721
- ----- INC
127 HANNAFORD BROS CO COMMON STOCK 410550107 5,923 84,085 SH OTHER 01 02 03 84,085
- -----
128 HANNAFORD BROS CO COMMON STOCK 410550107 10,278 145,915 SH OTHER 01 02 03 04 145,915
- -----
129 HERBALIFE INTERNATIONAL COMMON STOCK 426908307 183 12,681 SH OTHER 01 02 03 04 12,681
- ----- INC
- -----------------------------------------------------------------------------------------------------------------------------------
Page 11 of 22
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130 HONEYWELL INC COMMON STOCK 438506107 7,830 70,340 SH OTHER 01 02 03 70,340
- -----
131 HONEYWELL INC COMMON STOCK 438506107 13,587 122,060 SH OTHER 01 02 03 04 122,060
- -----
132 WTS IMC GLOBAL INC WARRANT OR 449669118 3 19,957 SH OTHER 01 02 03 19,957
- ----- RIGHT
133 WTS IMC GLOBAL INC WARRANT OR 449669118 6 33,540 SH OTHER 01 02 03 04 33,540
- ----- RIGHT
134 ***INCO LTD-CL VBN COMMON STOCK 453258709 610 78,747 SH OTHER 01 02 03 78,747
- -----
135 ***INCO LTD-CL VBN COMMON STOCK 453258709 98 12,603 SH OTHER 01 02 03 04 12,603
- -----
136 INTEGRA LIFESCIENCES COMMON STOCK 457985208 192 30,465 SH OTHER 01 02 03 30,465
- ----- HOLDINGS
137 INTEGRA LIFESCIENCES COMMON STOCK 457985208 114 18,035 SH OTHER 01 02 03 04 18,035
- ----- HOLDINGS
138 INTERNATIONAL NETWORK COMMON STOCK 460053101 3,970 73,010 SH OTHER 01 02 03 73,010
- ----- SERVICES
139 INTERNATIONAL NETWORK COMMON STOCK 460053101 6,927 127,390 SH OTHER 01 02 03 04 127,390
- ----- SERVICES
140 INTERNATIONAL PAPER CO COMMON STOCK 460146103 2,184 45,445 SH OTHER 01 02 03 04 45,445
- -----
141 INTERNEURON PHARM. INC COMMON STOCK 460573108 84 67,195 SH OTHER 01 02 03 67,195
- -----
142 INTERNEURON PHARM. INC COMMON STOCK 460573108 72 57,805 SH OTHER 01 02 03 04 57,805
- -----
143 JSB FINANCIAL INC COMMON STOCK 46624M100 314 5,490 SH OTHER 01 02 03 5,490
- -----
144 JSB FINANCIAL INC COMMON STOCK 46624M100 544 9,510 SH OTHER 01 02 03 04 9,510
- -----
145 JOHNS MANVILLE CORP NEW COMMON STOCK 478129109 590 44,934 SH OTHER 01 02 03 44,934
- -----
146 JOHNS MANVILLE CORP NEW COMMON STOCK 478129109 591 45,066 SH OTHER 01 02 03 04 45,066
- -----
- -----------------------------------------------------------------------------------------------------------------------------------
Page 12 of 22
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147 JONES INTERCABLE INC COMMON STOCK 480206200 890 16,470 SH OTHER 01 02 03 16,470
- ----- CL A
148 JONES INTERCABLE INC COMMON STOCK 480206200 1,542 28,530 SH OTHER 01 02 03 04 28,530
- ----- CL A
149 KING WORLD PRODUCTIONS COMMON STOCK 495667107 2,620 69,876 SH OTHER 01 02 03 69,876
- ----- INC
150 KING WORLD PRODUCTIONS COMMON STOCK 495667107 4,576 122,024 SH OTHER 01 02 03 04 122,024
- ----- INC
151 KOS PHARMACEUTICALS COMMON STOCK 500648100 233 48,118 SH OTHER 01 02 03 48,118
- ----- INC
152 KOS PHARMACEUTICALS COMMON STOCK 500648100 222 45,882 SH OTHER 01 02 03 04 45,882
- ----- INC
153 KROGER CO COMMON STOCK 501044101 2,233 101,200 SH OTHER 01 02 03 04 101,200
- -----
154 LOCKHEED MARTIN CORP PUT 5398309VG 307 9,400 SH PUT OTHER 01 02 03 04 9,400
- -----
155 LOCKHEED MARTIN CORP PUT 5398309VH 209 6,400 SH PUT OTHER 01 02 03 04 6,400
- -----
156 ***LOEWEN GROUP INC COMMON STOCK 54042L100 20 36,117 SH OTHER 01 02 03 04 36,117
- -----
157 LONE STAR INDUSTRIES COMMON STOCK 542290408 266 5,328 SH OTHER 01 02 03 5,328
- ----- INC NEW
158 LONE STAR INDUSTRIES COMMON STOCK 542290408 482 9,672 SH OTHER 01 02 03 04 9,672
- ----- INC NEW
159 LUCENT TECHNOLOGIES INC COMMON STOCK 549463107 8,170 125,927 SH OTHER 01 02 03 04 125,927
- -----
160 MCI WORLDCOM INC COMMON STOCK 55268B106 9,415 130,988 SH OTHER 01 02 03 04 130,988
- -----
161 MCI WORLDCOM INC PUT 55268B8VO 633 8,800 SH PUT OTHER 01 02 03 8,800
- -----
162 MCI WORLDCOM INC PUT 55268B8VO 1,164 16,200 SH PUT OTHER 01 02 03 04 16,200
- -----
- -----------------------------------------------------------------------------------------------------------------------------------
Page 13 of 22
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163 *** MACMILLAN BLOEDEL COMMON STOCK 554783209 199 12,687 SH OTHER 01 02 03 04 12,687
- ----- LTD
164 MARK SOLUTIONS INC COMMON STOCK 570418202 17 10,103 SH OTHER 01 02 03 10,103
- -----
165 MARK SOLUTIONS INC COMMON STOCK 570418202 22 13,153 SH OTHER 01 02 03 04 13,153
- -----
166 MARSHALL INDUSTRIES COMMON STOCK 572393106 3,882 106,356 SH OTHER 01 02 03 106,356
- -----
167 MARSHALL INDUSTRIES COMMON STOCK 572393106 7,115 194,944 SH OTHER 01 02 03 04 194,944
- -----
168 MATTEL INC COMMON STOCK 577081102 1,684 88,640 SH OTHER 01 02 03 04 88,640
- -----
169 MEDIA GENERAL INC CL A COMMON STOCK 584404107 519 10,123 SH OTHER 01 02 03 10,123
- -----
170 MEDIA GENERAL INC CL A COMMON STOCK 584404107 506 9,877 SH OTHER 01 02 03 04 9,877
- -----
171 MEDIAONE GROUP INC COMMON STOCK 58440J104 10,352 151,540 SH OTHER 01 02 03 151,540
- -----
172 MEDIAONE GROUP INC COMMON STOCK 58440J104 17,963 262,960 SH OTHER 01 02 03 04 262,960
- -----
173 MEDIMMUNE INC PUT 5846999XR 727 7,300 SH PUT OTHER 01 02 03 7,300
- -----
174 MEDIMMUNE INC PUT 5846999XR 1,266 12,700 SH PUT OTHER 01 02 03 04 12,700
- -----
175 MEDTRONIC INC PUT 5850558WF 519 14,600 SH PUT OTHER 01 02 03 14,600
- -----
176 MEDTRONIC INC PUT 5850558WF 903 25,400 SH PUT OTHER 01 02 03 04 25,400
- -----
177 MEDTRONIC INC PUT 5850558WZ 2,593 72,900 SH PUT OTHER 01 02 03 72,900
- -----
178 MEDTRONIC INC PUT 5850558WZ 4,520 127,100 SH PUT OTHER 01 02 03 04 127,100
- -----
179 MERRILL CORPORATION COMMON STOCK 590175105 300 15,043 SH OTHER 01 02 03 15,043
- -----
180 MERRILL CORPORATION COMMON STOCK 590175105 520 26,057 SH OTHER 01 02 03 04 26,057
- -----
181 MOTIVEPOWER INDUSTRIES COMMON STOCK 61980K101 121 10,968 SH OTHER 01 02 03 10,968
- ----- INC
- -----------------------------------------------------------------------------------------------------------------------------------
Page 14 of 22
<PAGE>
182 MOTIVEPOWER INDUSTRIES COMMON STOCK 61980K101 209 19,032 SH OTHER 01 02 03 04 19,032
- ----- INC
183 NALCO CHEMICAL CO COMMON STOCK 629853102 472 9,356 SH OTHER 01 02 03 9,356
- -----
184 NALCO CHEMICAL CO COMMON STOCK 629853102 891 17,644 SH OTHER 01 02 03 04 17,644
- -----
185 NATIONAL PROCESSING COMMON STOCK 637229105 111 12,368 SH OTHER 01 02 03 04 12,368
- ----- INC
186 ***NATIONAL WESTMINSTER COMMON STOCK 638539403 559 4,022 SH OTHER 01 02 03 4,022
- ----- BANK
187 ***NATIONAL WESTMINSTER COMMON STOCK 638539403 970 6,978 SH OTHER 01 02 03 04 6,978
- ----- BANK
188 NAVIGANT CONSULTING INC COMMON STOCK 63935N107 232 5,009 SH OTHER 01 02 03 5,009
- -----
189 NAVIGANT CONSULTING INC COMMON STOCK 63935N107 231 4,991 SH OTHER 01 02 03 04 4,991
- -----
190 NAVIGANT INTL INC COMMON STOCK 63935R108 736 101,449 SH OTHER 01 02 03 101,449
- -----
191 NAVIGANT INTL INC COMMON STOCK 63935R108 617 85,051 SH OTHER 01 02 03 04 85,051
- -----
192 NETGRAVITY INC COMMON STOCK 641114103 863 26,103 SH OTHER 01 02 03 26,103
- -----
193 NETGRAVITY INC COMMON STOCK 641114103 1,498 45,297 SH OTHER 01 02 03 04 45,297
- -----
194 ***NEWCOURT CREDIT FOREIGN COMMON 650905102 1,194 91,396 SH OTHER 01 02 03 91,396
- ----- GROUP INC STOCK
195 ***NEWCOURT CREDIT FOREIGN COMMON 650905102 2,072 158,604 SH OTHER 01 02 03 04 158,604
- ----- GROUP INC STOCK
196 NEWPARK RESOURCES COMMON STOCK 651718504 105 13,571 SH OTHER 01 02 03 13,571
- ----- INC NEW
197 NEWPARK RESOURCES COMMON STOCK 651718504 166 21,429 SH OTHER 01 02 03 04 21,429
- ----- INC NEW
- -----------------------------------------------------------------------------------------------------------------------------------
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198 NIELSEN MEDIA RESEARCH COMMON STOCK 653929307 340 9,130 SH OTHER 01 02 03 9,130
- ----- INC
199 NIELSEN MEDIA RESEARCH COMMON STOCK 653929307 590 15,870 SH OTHER 01 02 03 04 15,870
- ----- INC
200 NORTEL NETWORKS CORP PUT 6565699VI 469 9,200 SH PUT OTHER 01 02 03 9,200
- -----
201 NORTEL NETWORKS CORP PUT 6565699VI 806 15,800 SH PUT OTHER 01 02 03 04 15,800
- -----
202 NORTHROP GRUMMAN CORP COMMON STOCK 666807102 625 9,826 SH OTHER 01 02 03 9,826
- -----
203 NORTHROP GRUMMAN CORP COMMON STOCK 666807102 634 9,974 SH OTHER 01 02 03 04 9,974
- -----
204 NORTHROP GRUMMAN CORP PUT 6668079VL 318 5,000 SH PUT OTHER 01 02 03 5,000
- -----
205 NORTHROP GRUMMAN CORP PUT 6668079VL 318 5,000 SH PUT OTHER 01 02 03 04 5,000
- -----
206 OEC MEDICAL SYSTEMS INC COMMON STOCK 670828102 938 26,716 SH OTHER 01 02 03 26,716
- -----
207 OEC MEDICAL SYSTEMS INC COMMON STOCK 670828102 1,626 46,284 SH OTHER 01 02 03 04 46,284
- -----
208 OLSTEN CORP COMMON STOCK 681385100 132 12,681 SH OTHER 01 02 03 04 12,681
- -----
209 OMNIPOINT CORP COMMON STOCK 68212D102 402 7,200 SH OTHER 01 02 03 7,200
- -----
210 OMNIPOINT CORP COMMON STOCK 68212D102 704 12,600 SH OTHER 01 02 03 04 12,600
- -----
211 ORION CAPITAL CORP COMMON STOCK 686268103 5,542 116,992 SH OTHER 01 02 03 116,992
- -----
212 ORION CAPITAL CORP COMMON STOCK 686268103 9,618 203,008 SH OTHER 01 02 03 04 203,008
- -----
213 ORION CAPITAL CORP PUT 6862689WH 469 9,900 SH PUT OTHER 01 02 03 9,900
- -----
214 ORION CAPITAL CORP PUT 6862689WH 810 17,100 SH PUT OTHER 01 02 03 04 17,100
- -----
215 OUTDOOR SYSTEMS INC COMMON STOCK 690057104 3,541 99,041 SH OTHER 01 02 03 99,041
- -----
216 OUTDOOR SYSTEMS INC COMMON STOCK 690057104 6,144 171,859 SH OTHER 01 02 03 04 171,859
- -----
- -----------------------------------------------------------------------------------------------------------------------------------
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217 PERCLOSE INC COMMON STOCK 71361C107 4,256 91,395 SH OTHER 01 02 03 91,395
- -----
218 PERCLOSE INC COMMON STOCK 71361C107 7,385 158,605 SH OTHER 01 02 03 04 158,605
- -----
219 PERIPHONICS CORP COMMON STOCK 714005105 2,473 78,821 SH OTHER 01 02 03 78,821
- -----
220 PERIPHONICS CORP COMMON STOCK 714005105 4,291 136,779 SH OTHER 01 02 03 04 136,779
- -----
221 PHARMACIA & UPJOHN INC PUT 7169419VJ 337 6,800 SH PUT OTHER 01 02 03 04 6,800
- -----
222 PHELPS DODGE CORP PUT 7172659VK 204 3,700 SH PUT OTHER 01 02 03 3,700
- -----
223 PHELPS DODGE CORP PUT 7172659VK 347 6,300 SH PUT OTHER 01 02 03 04 6,300
- -----
224 PIONEER HI-BRED COMMON STOCK 723686101 5,884 148,246 SH OTHER 01 02 03 148,246
- ----- INTERNATIONAL
225 PIONEER HI-BRED COMMON STOCK 723686101 10,210 257,254 SH OTHER 01 02 03 04 257,254
- ----- INTERNATIONAL
226 PREMARK INTERNATIONAL COMMON STOCK 740459102 1,617 32,014 SH OTHER 01 02 03 32,014
- ----- INC
227 PREMARK INTERNATIONAL COMMON STOCK 740459102 2,928 57,986 SH OTHER 01 02 03 04 57,986
- ----- INC
228 PROMUS HOTEL CORP COMMON STOCK 74342P106 893 27,419 SH OTHER 01 02 03 27,419
- ----- (HOLDING CO)
229 PROMUS HOTEL CORP COMMON STOCK 74342P106 1,549 47,581 SH OTHER 01 02 03 04 47,581
- ----- (HOLDING CO)
230 PUBLICARD INC COMMON STOCK 744627100 157 18,450 SH OTHER 01 02 03 18,450
- -----
231 PUBLICARD INC COMMON STOCK 744627100 251 29,500 SH OTHER 01 02 03 04 29,500
- -----
232 QWEST COMMUNICATIONS PUT 7491219MD 541 18,300 SH PUT OTHER 01 02 03 18,300
- -----
233 QWEST COMMUNICATIONS PUT 7491219MD 937 31,700 SH PUT OTHER 01 02 03 04 31,700
- -----
- -----------------------------------------------------------------------------------------------------------------------------------
Page 17 of 22
<PAGE>
234 RATIONAL SOFTWARE COMMON STOCK 75409P202 2,330 79,576 SH OTHER 01 02 03 04 79,576
- ----- CORP NEW
235 REPUBLIC NEW YORK CORP COMMON STOCK 760719104 7,060 114,909 SH OTHER 01 02 03 114,909
- -----
236 REPUBLIC NEW YORK CORP COMMON STOCK 760719104 12,250 199,391 SH OTHER 01 02 03 04 199,391
- -----
237 REPUBLIC NEW YORK CORP CALL 7607199JM 203 3,300 SH CALL OTHER 01 02 03 04 3,300
- -----
238 REPUBLIC NEW YORK CORP CALL 7607199KL 1,321 21,500 SH CALL OTHER 01 02 03 21,500
- -----
239 REPUBLIC NEW YORK CORP CALL 7607199KL 2,365 38,500 SH CALL OTHER 01 02 03 04 38,500
- -----
240 REPUBLIC NEW YORK CORP PUT 7607199VK 645 10,500 SH PUT OTHER 01 02 03 10,500
- -----
241 REPUBLIC NEW YORK CORP PUT 7607199VK 1,198 19,500 SH PUT OTHER 01 02 03 04 19,500
- -----
242 REYNOLDS METALS CO COMMON STOCK 761763101 5,628 93,225 SH OTHER 01 02 03 93,225
- -----
243 REYNOLDS METALS CO COMMON STOCK 761763101 9,767 161,775 SH OTHER 01 02 03 04 161,775
- -----
244 RITE AID CORP COMMON STOCK 767754104 175 12,654 SH OTHER 01 02 03 12,654
- -----
245 RITE AID CORP COMMON STOCK 767754104 171 12,346 SH OTHER 01 02 03 04 12,346
- -----
246 E W SCRIPPS CO NEW-CL A COMMON STOCK 811054204 1,098 22,349 SH OTHER 01 02 03 04 22,349
- -----
247 SKYTEL COMMUNICATIOS COMMON STOCK 83087Q104 6,942 379,072 SH OTHER 01 02 03 379,072
- ----- INC
248 SKYTEL COMMUNICATIOS COMMON STOCK 83087Q104 12,671 691,928 SH OTHER 01 02 03 04 691,928
- ----- INC
249 SMART MODULAR COMMON STOCK 831690102 596 17,496 SH OTHER 01 02 03 17,496
- ----- TECHNOLOGIES INC
250 SMART MODULAR COMMON STOCK 831690102 1,032 30,304 SH OTHER 01 02 03 04 30,304
- ----- TECHNOLOGIES INC
251 SONAT INC COMMON STOCK 835415100 995 25,083 SH OTHER 01 02 03 25,083
- -----
- -----------------------------------------------------------------------------------------------------------------------------------
Page 18 of 22
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252 SONAT INC COMMON STOCK 835415100 1,727 43,517 SH OTHER 01 02 03 04 43,517
- -----
253 STANDARD PRODUCTS CO COMMON STOCK 853836104 3,394 95,858 SH OTHER 01 02 03 95,858
- -----
254 STANDARD PRODUCTS CO COMMON STOCK 853836104 5,890 166,342 SH OTHER 01 02 03 04 166,342
- -----
255 TERADYNE INC COMMON STOCK 880770102 6,899 195,722 SH OTHER 01 02 03 04 195,722
- -----
256 3COM CORP COMMON STOCK 885535104 6,495 225,916 SH OTHER 01 02 03 04 225,916
- -----
257 TOPPS CO INC COMMON STOCK 890786106 180 23,985 SH OTHER 01 02 03 23,985
- -----
258 TOPPS CO INC COMMON STOCK 890786106 195 26,015 SH OTHER 01 02 03 04 26,015
- -----
259 TRANSACTION NETWORK COMMON STOCK 893414102 1,163 29,641 SH OTHER 01 02 03 29,641
- ----- SERVICES,
260 TRANSACTION NETWORK COMMON STOCK 893414102 2,864 72,959 SH OTHER 01 02 03 04 72,959
- ----- SERVICES
261 TRINET CORPORATE REALTY COMMON STOCK 896287109 359 15,069 SH OTHER 01 02 03 15,069
- ----- TRUST
262 TRINET CORPORATE REALTY COMMON STOCK 896287109 594 24,931 SH OTHER 01 02 03 04 24,931
- ----- TRUST
263 ***TYCO INTERNATIONAL PUT 9021249VR 1,507 14,600 SH PUT OTHER 01 02 03 14,600
- ----- LTD
264 ***TYCO INTERNATIONAL PUT 9021249VR 2,623 25,400 SH PUT OTHER 01 02 03 04 25,400
- ----- LTD
265 U S T CORP COMMON STOCK 902900109 1,413 45,964 SH OTHER 01 02 03 45,964
- -----
266 U S T CORP COMMON STOCK 902900109 2,277 74,036 SH OTHER 01 02 03 04 74,036
- -----
267 UNION CARBIDE CORP COMMON STOCK 905581104 6,683 117,625 SH OTHER 01 02 03 117,625
- -----
268 UNION CARBIDE CORP COMMON STOCK 905581104 11,583 203,875 SH OTHER 01 02 03 04 203,875
- -----
- -----------------------------------------------------------------------------------------------------------------------------------
Page 19 of 22
<PAGE>
269 U S BIOSCIENCE INC NEW COMMON STOCK 911646206 2,344 164,519 SH OTHER 01 02 03 164,519
- -----
270 U S BIOSCIENCE INC NEW COMMON STOCK 911646206 4,068 285,481 SH OTHER 01 02 03 04 285,481
- -----
271 U S OFFICE PRODUCTS CO COMMON STOCK 912325305 64 18,345 SH OTHER 01 02 03 18,345
- ----- (NEW)
272 U S OFFICE PRODUCTS CO COMMON STOCK 912325305 41 11,655 SH OTHER 01 02 03 04 11,655
- ----- (NEW)
273 U S WEST INC NEW COMMON STOCK 91273H101 3,651 63,980 SH OTHER 01 02 03 63,980
- -----
274 U S WEST INC NEW COMMON STOCK 91273H101 6,335 111,020 SH OTHER 01 02 03 04 111,020
- -----
275 U S WEST INC NEW PUT 91273H8VK 2,437 42,700 SH PUT OTHER 01 02 03 42,700
- -----
276 U S WEST INC NEW PUT 91273H8VK 4,411 77,300 SH PUT OTHER 01 02 03 04 77,300
- -----
277 UNITRODE CORP COMMON STOCK 913283107 4,119 98,078 SH OTHER 01 02 03 98,078
- -----
278 UNITRODE CORP COMMON STOCK 913283107 7,145 170,122 SH OTHER 01 02 03 04 170,122
- -----
279 UNITRODE CORP PUT 9132839VI 269 6,400 SH PUT OTHER 01 02 03 04 6,400
- -----
280 VISIO CORP COMMON STOCK 927914101 212 5,391 SH OTHER 01 02 03 04 5,391
- -----
281 ***VODAFONE AIRTOUCH PLC COMMON STOCK 92857T107 5,598 23,547 SH OTHER 01 02 03 04 2,3547
- -----
282 WELLS FARGO & CO-NEW COMMON STOCK 949746101 9,956 251,260 SH OTHER 01 02 03 04 25,1260
- -----
283 WESTWOOD ONE INC COMMON STOCK 961815107 413 9,158 SH OTHER 01 02 03 9,158
- -----
284 WESTWOOD ONE INC COMMON STOCK 961815107 602 13,341 SH OTHER 01 02 03 04 13,341
- -----
285 WILLIAMS COMPANIES INC COMMON STOCK 969457100 449 11,927 SH OTHER 01 02 03 11,927
- -----
286 WILLIAMS COMPANIES INC COMMON STOCK 969457100 1,464 38,912 SH OTHER 01 02 03 04 38,912
- -----
- -----------------------------------------------------------------------------------------------------------------------------------
Page 20 of 22
<PAGE>
287 WILLIAMS COMPANIES INC CALL 9694579JG 207 5,500 SH CALL OTHER 01 02 03 5,500
- -----
288 WILLIAMS COMPANIES INC CALL 9694579JG 357 9,500 SH CALL OTHER 01 02 03 04 9,500
- -----
289 WORLD COLOR PRESS COMMON STOCK 981443104 1,602 43,002 SH OTHER 01 02 03 43,002
- ----- INC-DEL
290 WORLD COLOR PRESS COMMON STOCK 981443104 2,775 74,498 SH OTHER 01 02 03 04 74,498
- ----- INC-DEL
291 WYMAN-GORDON CO COMMON STOCK 983085101 1,086 58,130 SH OTHER 01 02 03 58,130
- -----
292 WYMAN-GORDON CO COMMON STOCK 983085101 1,885 100,870 SH OTHER 01 02 03 04 100,870
- -----
293 XOMED SURGICAL PRODUCTS COMMON STOCK 98412V107 2,499 43,834 SH OTHER 01 02 03 43,834
- ----- INC
294 XOMED SURGICAL PRODUCTS COMMON STOCK 98412V107 4,353 76,366 SH OTHER 01 02 03 04 76,366
- ----- INC
295 YAHOO INC COMMON STOCK 984332106 3,502 19,511 SH OTHER 01 02 03 04 19,511
- -----
296 YANKEE ENERGY SYSTEM INC COMMON STOCK 984779108 331 7,756 SH OTHER 01 02 03 7,756
- -----
297 YANKEE ENERGY SYSTEM INC COMMON STOCK 984779108 523 12,244 SH OTHER 01 02 03 04 12,244
- -----
298 GLOBAL CROSSING LTD COMMON STOCK G3921A100 10,631 401,163 SH OTHER 01 02 03 401,163
- -----
299 GLOBAL CROSSING LTD COMMON STOCK G3921A100 18,733 706,906 SH OTHER 01 02 03 04 706,906
- -----
300 GLOBAL CROSSING LTD CALL G3921A8JE 249 9,400 SH CALL OTHER 01 02 03 04 9,400
- -----
- -----------------------------------------------------------------------------------------------------------------------------------
Page 21 of 22
<PAGE>
301 GLOBAL CROSSING LTD PUT G3921A8VE 970 36,600 SH PUT OTHER 01 02 03 36,600
- -----
302 GLOBAL CROSSING LTD PUT G3921A8VE 1,680 63,400 SH PUT OTHER 01 02 03 04 63,400
- -----
303 ***TERRA NOVA BERMUDA COMMON STOCK G87615103 459 14,381 SH OTHER 01 02 03 04 14,381
- ----- HOLDINGS
- -----------------------------------------------------------------------------------------------------------------------------------
756,740 No. of Other Managers 4
- -----------------------------------------------------------------------------------------------------------------------------------
Page 22 of 22
<PAGE>
</TABLE>
