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, 2000
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Check here if Amendment [ ]; Amendment Number:
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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
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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 11/15/00
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Report Type (Check only one.):
[ X ] 13F HOLDINGS REPORT. (Check here if all holdings of this
reporting manager are reported in this report.)
[ ] 13F NOTICE. (Check here if no holdings reported are in this
report, and all holdings are reported by other reporting
manager(s).)
[ ] 13F COMBINATION REPORT. (Check here if a portion of the
holdings for this reporting manager are reported in this report
and a portion are reported by other reporting manager(s).)
Form 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 4
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Form 13F Information Table Entry Total: 308
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Form 13F Information Table Value Total: $879,805
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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
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2 28-7384 Nathaniel Bohrer
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3 28-7750 Marjorie Gochberg Kellner
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4 28-7748 Harvest Advisors, L.L.C.
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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.
<TABLE>
FORM 13F INFORMATION TABLE
VALUE SHRS SH/ PUT/ INVESTMENT
NAME OF ISSUER TITLE OF CLASS CUSIP x($1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE
----------------------------- ---------------- -------- -------- ------ --- ---- ---------- -------- ---- ------ ----
<C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
AT&T CANADA INC COM STK (CAD) COMMON STOCK 00207Q202 624 20459 SH SOLE 20459
AT&T CORP COMMON STOCK 001957109 1164 39621 SH OTHER 01 02 03 39621
AT&T CORP COMMON STOCK 001957109 4054 138010 SH DEFINED 01 02 03 04 138010
AT&T CORP COMMON STOCK 001957109 1866 63514 SH OTHER 01 02 03 04 63514
AT&T CORP COM COMMON STOCK 001957109 440 14963 SH SOLE 14963
***A T & T CDA INC FOREIGN COMMON STOCK 00207Q202 1650 54097 SH OTHER 01 02 03 54097
***A T & T CDA INC FOREIGN COMMON STOCK 00207Q202 2649 86844 SH OTHER 01 02 03 04 86844
AXA FINL INC COMMON STOCK 002451102 8229 161554 SH OTHER 01 02 03 161554
AXA FINL INC COMMON STOCK 002451102 21506 422205 SH OTHER 01 02 03 04 422205
ACUSON CORP COMMON STOCK 005113105 373 16406 SH OTHER 01 02 03 04 16406
AETNA INC COMMON STOCK 008117103 1070 18421 SH OTHER 01 02 03 18421
AETNA INC COMMON STOCK 008117103 1722 29665 SH OTHER 01 02 03 04 29665
AETNA INC COM COMMON STOCK 008117103 401 6914 SH SOLE 6914
ALLSTATE CORP COMMON STOCK 020002101 5291 152253 SH OTHER 01 02 03 04 152253
ALTEON WEBSYSTEMS INC COMMON STOCK 02145A109 8458 78033 SH OTHER 01 02 03 78033
ALTEON WEBSYSTEMS INC COMMON STOCK 02145A109 22169 204528 SH OTHER 01 02 03 04 204528
ALTEON WEBSYSTM SEE CUSIP 6565 COMMON STOCK 02145A109 3223 29739 SH SOLE 29739
AMERICA ONLINE INC-DEL COMMON STOCK 02364J104 7738 143962 SH OTHER 01 02 03 04 143962
AMER INTERNATIONAL GROUP INC COMMON STOCK 026874107 19772 206632 SH OTHER 01 02 03 04 206632
ASSOCIATES FIRST CAPITAL CORP COMMON STOCK 046008108 3759 98916 SH OTHER 01 02 03 98916
ASSOCIATES FIRST CAPITAL CORP COMMON STOCK 046008108 9873 259820 SH OTHER 01 02 03 04 259820
ASSOCIATES FIRST CAPITAL CORP COMMON STOCK 046008108 1435 37764 SH SOLE SOLE
ATPLAN INC COMMON STOCK 04962Q100 144 16404 SH OTHER 01 02 03 04 16404
AVIS GROUP HOLDINGS INC COMMON STOCK 053790101 230 7757 SH OTHER 01 02 03 7757
AVIS GROUP HOLDINGS INC COMMON STOCK 053790101 615 20743 SH OTHER 01 02 03 04 20743
AXA FINANCIAL INC COM STKUSD0. COMMON STOCK 002451102 3119 61241 SH SOLE 61241
AXA FINANCIAL INC COM STKUSD0. OPTIONS CALLS 0024510KJ 367 7200 SH CALL SOLE 7200
AXA FINANCIAL INC COM STKUSD0. OPTIONS PUTS 0024510VJ 245 4800 SH PUT SOLE 4800
AXENT TECHNOLOGIES INC COMMON STOCK 05459C108 615 28534 SH OTHER 01 02 03 28534
AXENT TECHNOLOGIES INC COMMON STOCK 05459C108 1535 71186 SH OTHER 01 02 03 04 71186
AXENT TECHNOLOGIES INC COMMON STOCK 05459C108 230 10680 SH SOLE 10680
BACOU USA INC COMMON STOCK 056439102 225 8676 SH OTHER 01 02 03 04 8676
BANK UNITED CORP-CL A COMMON STOCK 065412108 844 16642 SH OTHER 01 02 03 16642
BANK UNITED CORP-CL A COMMON STOCK 065412108 2133 42087 SH OTHER 01 02 03 04 42087
BANK UTD CORP CL A COM COMMON STOCK 065412108 318 6271 SH SOLE 6271
BAXTER INTERNATIONAL INC WARRANT OR RIGHT 071813125 16 202863 SH OTHER 01 02 03 202863
BAXTER INTERNATIONAL INC WARRANT OR RIGHT 071813125 24 297813 SH OTHER 01 02 03 04 297813
BESTFOODS COMMON STOCK 08658U101 15501 213076 SH OTHER 01 02 03 213076
BESTFOODS COMMON STOCK 08658U101 40403 555369 SH OTHER 01 02 03 04 555369
BESTFOODS INC COM COMMON STOCK 08658U101 5860 80555 SH SOLE 80555
BUSH BOAKE ALLEN INC COMMON STOCK 123162109 852 17821 SH OTHER 01 02 03 17821
BUSH BOAKE ALLEN INC COMMON STOCK 123162109 1228 25674 SH OTHER 01 02 03 04 25674
BUSH BOAKE ALLEN INC COM COMMON STOCK 123162109 311 6505 SH SOLE 6505
C-CUBE MICROSYSTEMS INC COMMON STOCK 12501N108 245 11961 SH OTHER 01 02 03 04 11961
CMGI INC COMMON STOCK 125750109 712 25503 SH DEFINED 01 02 03 04 25503
CMGI INC COMMON STOCK 125750109 1607 57508 SH OTHER 01 02 03 04 57508
CABOT CORP COMMON STOCK 127055101 1786 56351 SH OTHER 01 02 03 56351
CABOT CORP COMMON STOCK 127055101 2853 90051 SH OTHER 01 02 03 04 90051
CABOT CORP COM COMMON STOCK 127055101 665 20998 SH SOLE 20998
CAREMARK RX INC COMMON STOCK 141705103 373 33122 SH OTHER 01 02 03 33122
CAREMARK RX INC COMMON STOCK 141705103 607 53974 SH OTHER 01 02 03 04 53974
CAREMARK RX COMMON STOCK COMMON STOCK 141705103 145 12904 SH SOLE 12904
CHASE MANHATTAN CORP COM NEW OPTIONS CALLS 16161A0JK 439 9500 SH CALL SOLE 9500
CHRIS-CRAFT INDUSTRIES INC COMMON STOCK 170520100 207 2518 SH OTHER 01 02 03 2518
CHRIS-CRAFT INDUSTRIES INC COMMON STOCK 170520100 538 6532 SH OTHER 01 02 03 04 6532
CITRIX SYSTEMS INC COMMON STOCK 177376100 1837 91569 SH OTHER 01 02 03 04 91569
CLEAR CHANNEL COMMUNICATIONS COMMON STOCK 184502102 2816 49847 SH DEFINED 01 02 03 04 49847
CLEAR CHANNEL COMMUNICATIONS COMMON STOCK 184502102 4210 74522 SH OTHER 01 02 03 04 74522
***CLEARNET COMMUNICATIONS INC FOREIGN COMMON STOCK 184902104 890 20088 SH OTHER 01 02 03 20088
***CLEARNET COMMUNICATIONS INC FOREIGN COMMON STOCK 184902104 2315 52242 SH OTHER 01 02 03 04 52242
CLEARNET COMMUNICATIONS INC C COMMON STOCK 184902104 340 7670 SH SOLE 7670
COASTAL CORP COMMON STOCK 190441105 3182 42931 SH OTHER 01 02 03 42931
COASTAL CORP COMMON STOCK 190441105 8212 110783 SH OTHER 01 02 03 04 110783
COASTAL CORP COM COMMON STOCK 190441105 1215 16386 SH SOLE 16386
COLUMBIA ENERGY GROUP COMMON STOCK 197648108 9106 128219 SH OTHER 01 02 03 128219
COLUMBIA ENERGY GROUP COMMON STOCK 197648108 23640 332868 SH OTHER 01 02 03 04 332868
COLUMBIA ENERGY GROUP COMMON STOCK 197648108 3437 48413 SH SOLE 48413
COMCAST CORP CL A-SPL COMMON STOCK 200300200 2346 57303 SH DEFINED 01 02 03 04 57303
COMCAST CORP CL A-SPL COMMON STOCK 200300200 4394 107345 SH OTHER 01 02 03 04 107345
COMMERCE ONE INC COMMON STOCK 200693109 2616 33328 SH DEFINED 01 02 03 04 33328
COMMERCE ONE INC COMMON STOCK 200693109 3593 45772 SH OTHER 01 02 03 04 45772
CORNING INC COMMON STOCK 219350105 2833 9540 SH DEFINED 01 02 03 04 9540
CORNING INC COMMON STOCK 219350105 4723 15901 SH OTHER 01 02 03 04 15901
COUNTRYWIDE CREDIT INDS INC COMMON STOCK 222372104 823 21800 SH OTHER 01 02 03 21800
COUNTRYWIDE CREDIT INDS INC COMMON STOCK 222372104 1318 34920 SH OTHER 01 02 03 04 34920
COUNTRYWIDE CR INDS INC COM COMMON STOCK 222372104 313 8280 SH SOLE 8280
CYBERONICS INC COMMON STOCK 23251P102 350 16344 SH OTHER 01 02 03 04 16344
D R HORTON INC COMMON STOCK 23331A109 541 31490 SH OTHER 01 02 03 04 31490
DAISYTEK INTERNATIONAL CORP COMMON STOCK 234053106 375 59417 SH OTHER 01 02 03 59417
DAISYTEK INTERNATIONAL CORP COMMON STOCK 234053106 574 90893 SH OTHER 01 02 03 04 90893
DAISYTEK INTL CORP COM COMMON STOCK 234053106 141 22390 SH SOLE 22390
DELHAIZE AMERICA INC COMMON STOCK 246688105 285 16332 SH OTHER 01 02 03 04 16332
DELTA & PINE LAND CO COMMON STOCK 247357106 814 31673 SH OTHER 01 02 03 31673
DELTA & PINE LAND CO COMMON STOCK 247357106 1203 46790 SH OTHER 01 02 03 04 46790
DELUXE CORP COMMON STOCK 248019101 509 25083 SH OTHER 01 02 03 25083
DELUXE CORP COMMON STOCK 248019101 729 35894 SH OTHER 01 02 03 04 35894
DEXTER CORP COM COMMON STOCK 252165105 619 10319 SH SOLE 10319
DIGEX INC DEL COMMON STOCK 253756100 304 6481 SH OTHER 01 02 03 6481
DIGEX INC DEL COMMON STOCK 253756100 522 11127 SH OTHER 01 02 03 04 11127
DONALDSON LUFKIN & JENRETTE COMMON STOCK 257661108 7522 84104 SH OTHER 01 02 03 84104
DONALDSON LUFKIN & JENRETTE COMMON STOCK 257661108 19590 219032 SH OTHER 01 02 03 04 219032
DONALDSON LUFKIN & JENRETTE IN COMMON STOCK 257661108 2859 31964 SH SOLE 31964
DURA PHARMACEUTICALS INC COMMON STOCK 26632S109 289 8172 SH OTHER 01 02 03 04 8172
EATON CORP COMMON STOCK 278058102 533 8655 SH OTHER 01 02 03 8655
EATON CORP COMMON STOCK 278058102 807 13090 SH OTHER 01 02 03 04 13090
EATON CORP COM COMMON STOCK 278058102 201 3255 SH SOLE 3255
ELAN PLC RIGHTS RIGHTS G29539148 60 62022 SH SOLE 62022
FIRST SECURITY CORP-DEL COMMON STOCK 336294103 1234 75633 SH OTHER 01 02 03 75633
FIRST SECURITY CORP-DEL COMMON STOCK 336294103 3213 196944 SH OTHER 01 02 03 04 196944
FIRST SEC CORP DEL COM COMMON STOCK 336294103 467 28623 SH SOLE 28623
FLORIDA PROGRESS CORP COMMON STOCK 341109106 9463 178683 SH OTHER 01 02 03 04 178683
FLOWERS INDUSTRIES INC COMMON STOCK 343496105 230 11500 SH OTHER 01 02 03 11500
FLOWERS INDUSTRIES INC COMMON STOCK 343496105 365 18246 SH OTHER 01 02 03 04 18246
FORT JAMES CORPORATION COMMON STOCK 347471104 1452 47513 SH OTHER 01 02 03 47513
FORT JAMES CORPORATION COMMON STOCK 347471104 3799 124315 SH OTHER 01 02 03 04 124315
FORT JAMES CORP COM COMMON STOCK 347471104 555 18172 SH SOLE 18172
GENERAL MOTORS CORP COMMON STOCK 370442105 1846 28405 SH OTHER 01 02 03 28405
GENERAL MOTORS CORP COMMON STOCK 370442105 2978 45822 SH OTHER 01 02 03 04 45822
GENERAL MTRS CORP COM COMMON STOCK 370442105 700 10773 SH SOLE 10773
***GLOBAL LIGHT FOREIGN COMMON STOCK 37934X100 86 16651 SH OTHER 01 02 03 16651
***GLOBAL LIGHT FOREIGN COMMON STOCK 37934X100 139 26994 SH OTHER 01 02 03 04 26994
HSB GROUP INC (HOLDING CO) COMMON STOCK 40428N109 308 7682 SH OTHER 01 02 03 7682
HSB GROUP INC (HOLDING CO) COMMON STOCK 40428N109 779 19424 SH OTHER 01 02 03 04 19424
HARCOURT GENERAL INC COMMON STOCK 41163G101 1021 17298 SH OTHER 01 02 03 17298
HARCOURT GENERAL INC COMMON STOCK 41163G101 1545 26193 SH OTHER 01 02 03 04 26193
HARCOURT GEN INC COM COMMON STOCK 41163G101 384 6509 SH SOLE 6509
HARMONIC INC COMMON STOCK 413160102 333 13891 SH DEFINED 01 02 03 04 13891
HARMONIC INC COMMON STOCK 413160102 544 22658 SH OTHER 01 02 03 04 22658
HERTZ CORP COMMON STOCK 428040109 234 7384 SH OTHER 01 02 03 7384
HERTZ CORP COMMON STOCK 428040109 629 19796 SH OTHER 01 02 03 04 19796
HONEYWELL INTL INC COMMON STOCK 438516106 2849 79962 SH OTHER 01 02 03 04 79962
WTS IMC GLOBAL INC WARRANT OR RIGHT 449669118 0 12341 SH OTHER 01 02 03 12341
WTS IMC GLOBAL INC WARRANT OR RIGHT 449669118 0 30816 SH OTHER 01 02 03 04 30816
IMS HEALTH INC COMMON STOCK 449934108 415 20000 SH OTHER 01 02 03 04 20000
ILLINOIS TOOL WORKS INC COMMON STOCK 452308109 1747 31274 SH OTHER 01 02 03 04 31274
***INCO LTD-CL VBN FOREIGN COMMON STOCK 453258709 272 39968 SH OTHER 01 02 03 39968
INCO LTD CAD NPV VBN CL SHS ( COMMON STOCK 453258709 146 21382 SH SOLE 21382
INFINITY BROADCASTING CORP NEW COMMON STOCK 45662S102 210 6354 SH OTHER 01 02 03 6354
INFINITY BROADCASTING CORP NEW COMMON STOCK 45662S102 536 16247 SH OTHER 01 02 03 04 16247
INTEGRA LIFESCIENCES HOLDING C COMMON STOCK 457985208 120 11126 SH SOLE 11126
INTERMEDIA COMMUNICATIONS OF COMMON STOCK 458801107 238 8077 SH OTHER 01 02 03 8077
INTERMEDIA COMMUNICATIONS OF COMMON STOCK 458801107 560 18979 SH OTHER 01 02 03 04 18979
INVITROGEN CORP OPTIONS PUTS 46185R0VP 299 4200 SH PUT SOLE 4200
IPALCO ENTERPRISES INC COMMON STOCK 462613100 296 12912 SH OTHER 01 02 03 04 12912
I2 TECHNOLOGIES INC COMMON STOCK 465754109 5809 31053 SH DEFINED 01 02 03 04 31053
I2 TECHNOLOGIES INC COMMON STOCK 465754109 9115 48728 SH OTHER 01 02 03 04 48728
KEEBLER FOODS CO COMMON STOCK 487256109 2505 59642 SH OTHER 01 02 03 59642
KEEBLER FOODS CO COMMON STOCK 487256109 4089 97355 SH OTHER 01 02 03 04 97355
KEEBLER FOODS CO COM STK COMMON STOCK 487256109 966 23003 SH SOLE 23003
KEEBLER FOODS CO COM STK OPTIONS PUTS 4872560VH 651 15500 SH PUT SOLE 15500
KROGER CO COMMON STOCK 501044101 2283 101200 SH OTHER 01 02 03 04 101200
LYCOS INC COMMON STOCK 550818108 447 6499 SH OTHER 01 02 03 04 6499
MMC NETWORKS INC COMMON STOCK 55308N102 4511 35658 SH OTHER 01 02 03 35658
MMC NETWORKS INC COMMON STOCK 55308N102 11295 89285 SH OTHER 01 02 03 04 89285
MALLINCKRODT INC NEW COMMON STOCK 561232109 2982 65348 SH OTHER 01 02 03 65348
MALLINCKRODT INC NEW COMMON STOCK 561232109 7529 165016 SH OTHER 01 02 03 04 165016
MALLINCKRODT INC SEE CUSIP 902 COMMON STOCK 561232109 1124 24636 SH SOLE 24636
MARVEL ENTERPRISES INC COMMON STOCK 57383M108 69 21316 SH OTHER 01 02 03 21316
MARVEL ENTERPRISES INC COMMON STOCK 57383M108 101 30936 SH OTHER 01 02 03 04 30936
MASCOTECH INC COMMON STOCK 574670105 181 10949 SH OTHER 01 02 03 10949
MASCOTECH INC COMMON STOCK 574670105 454 27440 SH OTHER 01 02 03 04 27440
MATTEL INC COMMON STOCK 577081102 229 19915 SH OTHER 01 02 03 19915
MATTEL INC COMMON STOCK 577081102 1393 121087 SH OTHER 01 02 03 04 121087
MAYTAG CORP COMMON STOCK 578592107 422 13461 SH OTHER 01 02 03 13461
MAYTAG CORP COMMON STOCK 578592107 674 21478 SH OTHER 01 02 03 04 21478
MCKESSON HBOC INC COMMON STOCK 58155Q103 402 13143 SH OTHER 01 02 03 04 13143
MEDIMMUNE INC COMMON STOCK 584699102 2120 27438 SH OTHER 01 02 03 04 27438
MIPS TECHNOLOGIES INC COMMON STOCK 604567206 1307 33945 SH OTHER 01 02 03 33945
MIPS TECHNOLOGIES INC COMMON STOCK 604567206 1916 49776 SH OTHER 01 02 03 04 49776
MIPS TECH CL-B COM STK COMMON STOCK 604567206 480 12470 SH SOLE 12470
MMC NETWORKS INC COM COMMON STOCK 55308N102 1715 13557 SH SOLE 13557
MONTANA POWER CO COMMON STOCK 612085100 222 6638 SH OTHER 01 02 03 6638
MONTANA POWER CO COMMON STOCK 612085100 361 10816 SH OTHER 01 02 03 04 10816
J P MORGAN & CO INC COMMON STOCK 616880100 3857 23609 SH OTHER 01 02 03 23609
J P MORGAN & CO INC COMMON STOCK 616880100 10192 62384 SH OTHER 01 02 03 04 62384
MORGAN J P & CO INC COM COMMON STOCK 616880100 1472 9007 SH SOLE 9007
MOTOROLA INC COMMON STOCK 620076109 5004 169629 SH OTHER 01 02 03 04 169629
NABISCO HOLDINGS CORP-CL A COMMON STOCK 629526104 6239 116074 SH OTHER 01 02 03 116074
NABISCO HOLDINGS CORP-CL A COMMON STOCK 629526104 16311 303468 SH OTHER 01 02 03 04 303468
NABISCO GROUP HLDG CORP COMMON STOCK 62952P102 1430 50185 SH OTHER 01 02 03 50185
NABISCO GROUP HLDG CORP COMMON STOCK 62952P102 3727 130757 SH OTHER 01 02 03 04 130757
NABISCO GROUP HOLDINGS COMMON STOCK 62952P102 543 19058 SH SOLE 19058
NABISCO HLDG CORP CL A COM COMMON STOCK 629526104 2363 43958 SH SOLE 43958
NAVIGANT INTL INC COMMON STOCK 63935R108 293 27900 SH OTHER 01 02 03 27900
NAVIGANT INTL INC COMMON STOCK 63935R108 332 31587 SH OTHER 01 02 03 04 31587
NAVIGANT INTL INC COM STK COMMON STOCK 63935R108 110 10513 SH SOLE 10513
***NELVANA LIMITED FOREIGN COMMON STOCK 64042V107 1207 42340 SH OTHER 01 02 03 42340
***NELVANA LIMITED FOREIGN COMMON STOCK 64042V107 3183 111690 SH OTHER 01 02 03 04 111690
NELVANA LTD CAD SUB VTG SHS COMMON STOCK 64042V107 461 16170 SH SOLE 16170
NEXTLINK COMMUNICATIONS INC COMMON STOCK 65333H707 2801 79590 SH DEFINED 01 02 03 04 79590
NEXTLINK COMMUNICATIONS INC COMMON STOCK 65333H707 4612 131060 SH OTHER 01 02 03 04 131060
***NORTEL NETWORKS CORP FOREIGN COMMON STOCK 656568102 4993 83908 SH DEFINED 01 02 03 04 83908
NORTHPOINT COMMUNICATIONS COMMON STOCK 666610100 299 33635 SH OTHER 01 02 03 33635
NORTHPOINT COMMUNICATIONS COMMON STOCK 666610100 476 53645 SH OTHER 01 02 03 04 53645
NORTHPOINT COMMUNICATIONS COMMON STOCK 666610100 113 12720 SH SOLE 12720
PAINE WEBBER GROUP INC COMMON STOCK 695629105 12538 182036 SH OTHER 01 02 03 182036
PAINE WEBBER GROUP INC COMMON STOCK 695629105 31860 462578 SH OTHER 01 02 03 04 462578
PAINE WEBBER GROUP INC COM COMMON STOCK 695629105 4672 68586 SH SOLE 68586
PFSWEB INC COMMON STOCK 717098107 187 90699 SH OTHER 01 02 03 90699
PFSWEB INC COMMON STOCK 717098107 268 129799 SH OTHER 01 02 03 04 129799
PFSWEB INC COMMON STOCK 717098107 67 32628 SH SOLE 32628
PHELPS DODGE CORP COMMON STOCK 717265102 953 22816 SH OTHER 01 02 03 04 22816
POWERTEL INC COMMON STOCK 73936C109 754 9909 SH OTHER 01 02 03 9909
POWERTEL INC COMMON STOCK 73936C109 1998 26268 SH OTHER 01 02 03 04 26268
POWERTEL INC COM COMMON STOCK 73936C109 291 3823 SH SOLE 3823
QWEST COMMUNICATIONS COMMON STOCK 749121109 2366 49173 SH DEFINED 01 02 03 04 49173
QWEST COMMUNICATIONS COMMON STOCK 749121109 3627 75362 SH OTHER 01 02 03 04 75362
R & B FALCON CORP COMMON STOCK 74912E101 763 27442 SH OTHER 01 02 03 27442
R & B FALCON CORP COMMON STOCK 74912E101 2018 72558 SH OTHER 01 02 03 04 72558
RATIONAL SOFTWARE CORP NEW COMMON STOCK 75409P202 9627 138774 SH OTHER 01 02 03 04 138774
***RIO ALGOM LTD COMMON STOCK 766889109 1094 57557 SH OTHER 01 02 03 57557
***RIO ALGOM LTD COMMON STOCK 766889109 2769 145728 SH OTHER 01 02 03 04 145728
RIO ALGOM LTD CAD CO M NPV COMMON STOCK 766889109 413 21715 SH SOLE 21715
RYDER SYSTEM INC COMMON STOCK 783549108 460 24929 SH OTHER 01 02 03 24929
RYDER SYSTEM INC COMMON STOCK 783549108 663 35965 SH OTHER 01 02 03 04 35965
SDL INC COMMON STOCK 784076101 3299 10665 SH OTHER 01 02 03 10665
SDL INC COMMON STOCK 784076101 8604 27815 SH OTHER 01 02 03 04 27815
SAGA SYS INC COMMON STOCK 786610105 182 17380 SH OTHER 01 02 03 17380
SAGA SYS INC COMMON STOCK 786610105 298 28424 SH OTHER 01 02 03 04 28424
SANMINA CORP COMMON STOCK 800907107 2760 29484 SH DEFINED 01 02 03 04 29484
SANMINA CORP COMMON STOCK 800907107 4406 47063 SH OTHER 01 02 03 04 47063
CHARLES SCHWAB CORP NEW COMMON STOCK 808513105 2586 72912 SH DEFINED 01 02 03 04 72912
CHARLES SCHWAB CORP NEW COMMON STOCK 808513105 4319 121762 SH OTHER 01 02 03 04 121762
E W SCRIPPS CO NEW-CL A COMMON STOCK 811054204 1009 18684 SH OTHER 01 02 03 04 18684
SDL INC COM COMMON STOCK 784076101 1243 4020 SH SOLE 4020
SEAGATE TECHNOLOGY INC COMMON STOCK 811804103 15761 228424 SH OTHER 01 02 03 228424
SEAGATE TECHNOLOGY INC COMMON STOCK 811804103 41065 595147 SH OTHER 01 02 03 04 595147
SEAGATE TECHNOLOGY USD.01 COM COMMON STOCK 811804103 5964 86429 SH SOLE 86429
***SEAGRAM CO LTD COMMON STOCK 811850106 6944 120896 SH OTHER 01 02 03 120896
***SEAGRAM CO LTD COMMON STOCK 811850106 18005 313476 SH OTHER 01 02 03 04 313476
SEAGRAM COMPANY LTD CAD COM NP COMMON STOCK 811850106 2621 45628 SH SOLE 45628
SHAW INDUSTRIES INC COMMON STOCK 820286102 838 45307 SH OTHER 01 02 03 45307
SHAW INDUSTRIES INC COMMON STOCK 820286102 2175 117590 SH OTHER 01 02 03 04 117590
SHAW INDUSTRIES COMMON STOCK 820286102 316 17103 SH SOLE 17103
***SHAW COMMUNICATIONS INC FOREIGN COMMON STOCK 82028K200 205 9057 SH OTHER 01 02 03 04 9057
SIMPSON INDUSTRIES INC COMMON STOCK 829060102 249 20364 SH OTHER 01 02 03 04 20364
SNYDER COMM INC CIRCLE.COM COMMON STOCK 832914204 37 12721 SH SOLE 12721
CIRCLE.COM COM COMMON STOCK 832914204 97 33052 SH OTHER 01 02 03 33052
CIRCLE.COM COM COMMON STOCK 832914204 159 54227 SH OTHER 01 02 03 04 54227
SOFTWARE COM INC COMMON STOCK 83402P104 1354 7465 SH OTHER 01 02 03 7465
SOFTWARE COM INC COMMON STOCK 83402P104 3572 19686 SH OTHER 01 02 03 04 19686
SOFTWARE.COM INC USD COM COMMON STOCK 83402P104 517 2849 SH SOLE 2849
SOTHEBYS HOLDINGS INC-CL A COMMON STOCK 835898107 201 8097 SH OTHER 01 02 03 04 8097
SOUTHDOWN INC COMMON STOCK 841297104 1414 19840 SH OTHER 01 02 03 19840
SOUTHDOWN INC COMMON STOCK 841297104 3744 52553 SH OTHER 01 02 03 04 52553
SOUTHDOWN INC COMMON STOCK 841297104 542 7607 SH SOLE 7607
SPRINT CORP COMMON STOCK 852061100 317 10816 SH OTHER 01 02 03 04 10816
SUMMIT BANCORP COMMON STOCK 866005101 1141 33190 SH OTHER 01 02 03 33190
SUMMIT BANCORP COMMON STOCK 866005101 1859 54082 SH OTHER 01 02 03 04 54082
SUMMIT BANCORP COM COMMON STOCK 866005101 439 12728 SH SOLE 12728
WTS SUNBEAM CORP DEL NEW WARRANT OR RIGHT 867071128 4 21606 SH F OTHER 01 02 03 21606
***TELEFONICA S A COMMON STOCK 879382208 3851 64795 SH DEFINED 01 02 03 04 64795
***TELEFONICA S A COMMON STOCK 879382208 5967 100398 SH OTHER 01 02 03 04 100398
TERADYNE INC COMMON STOCK 880770102 6210 177438 SH OTHER 01 02 03 04 177438
TEXAS INSTRUMENTS INC COMMON STOCK 882508104 2470 52145 SH DEFINED 01 02 03 04 52145
3COM CORP COMMON STOCK 885535104 294 15307 SH OTHER 01 02 03 04 15307
TIME WARNER INC COMMON STOCK 887315109 3528 45044 SH OTHER 01 02 03 45044
TIME WARNER INC COMMON STOCK 887315109 9386 119820 SH OTHER 01 02 03 04 119820
TIME WARNER INC USD COM COMMON STOCK 887315109 1372 17536 SH SOLE 17536
***TYCO INTERNATIONAL LTD COMMON STOCK 902124106 1011 19492 SH OTHER 01 02 03 19492
***TYCO INTERNATIONAL LTD COMMON STOCK 902124106 2505 48286 SH OTHER 01 02 03 04 48286
TYCO INTERNATIONAL LTD COM COMMON STOCK 902124106 375 7222 SH SOLE 7222
TYCO INTERNATIONAL LTD COM OPTIONS PUTS 9021240VK 498 9600 SH PUT SOLE 9600
USA NETWORKS INC COMMON STOCK 902984103 284 12954 SH OTHER 01 02 03 04 12954
***UNITED DOMINION INDUSTRIES FOREIGN COMMON STOCK 909914103 1179 49769 SH OTHER 01 02 03 49769
***UNITED DOMINION INDUSTRIES FOREIGN COMMON STOCK 909914103 3109 131237 SH OTHER 01 02 03 04 131237
UNITED DOMINION INDUSTRIES LT COMMON STOCK 909914103 450 18994 SH SOLE 18994
URBAN SHOPPING CENTERS INC COMMON STOCK 917060105 1779 37448 SH OTHER 01 02 03 37448
URBAN SHOPPING CENTERS INC COMMON STOCK 917060105 4691 98761 SH OTHER 01 02 03 04 98761
URBAN SHOPPING CTRS INC REITS/RICS 917060105 679 14291 SH SOLE 14291
***VIVENDI COMMON STOCK 92851S105 256 17296 SH OTHER 01 02 03 17296
***VIVENDI COMMON STOCK 92851S105 675 45600 SH OTHER 01 02 03 04 45600
VOICESTREAM WIRELESS CORP COMMON STOCK 928615103 5116 44076 SH OTHER 01 02 03 44076
VOICESTREAM WIRELESS CORP COMMON STOCK 928615103 3886 33479 SH DEFINED 01 02 03 04 33479
VOICESTREAM WIRELESS CORP COMMON STOCK 928615103 20696 178318 SH OTHER 01 02 03 04 178318
VOICESTREAM WIRELESS CORP COM COMMON STOCK 928615103 1594 13732 SH SOLE 16582
WEBMD CORP COMMON STOCK 94769M105 186 12164 SH OTHER 01 02 03 04 12164
WELLS FARGO & CO-NEW COMMON STOCK 949746101 11542 251260 SH OTHER 01 02 03 04 251260
WESLEY JESSEN VISIONCARE INC COMMON STOCK 951018100 297 7727 SH OTHER 01 02 03 7727
WESLEY JESSEN VISIONCARE INC COMMON STOCK 951018100 781 20323 SH OTHER 01 02 03 04 20323
***WESTERN STAR TRUCKS FOREIGN COMMON STOCK 95960H100 451 16141 SH OTHER 01 02 03 04 16141
WORKFLOW MANAGEMENT INC COMMON STOCK 98137N109 164 26850 SH OTHER 01 02 03 26850
WORKFLOW MANAGEMENT INC COMMON STOCK 98137N109 263 43014 SH OTHER 01 02 03 04 43014
WORKFLOW MANAGEMENT INC COM COMMON STOCK 98137N109 62 10136 SH SOLE 10136
WORLDCOM INC GA NEW COMMON STOCK 98157D106 725 23865 SH OTHER 01 02 03 23865
WORLDCOM INC GA NEW COMMON STOCK 98157D106 5978 196793 SH OTHER 01 02 03 04 196793
WORLDCOM INC COM STK COMMON STOCK 98157D106 274 9033 SH SOLE 9033
YAHOO INC COMMON STOCK 984332106 3551 39022 SH OTHER 01 02 03 04 39022
YOUNG & RUBICAM INC COMMON STOCK 987425105 4283 86533 SH OTHER 01 02 03 86533
YOUNG & RUBICAM INC COMMON STOCK 987425105 10860 219394 SH OTHER 01 02 03 04 219394
YOUNG & RUBICAM INC COM STK COMMON STOCK 987425105 1605 32423 SH SOLE 32423
ZIFF-DAVIS INC COMMON STOCK 989511100 623 76621 SH OTHER 01 02 03 04 76621
***RTS ELAN CORP PLC WARRANT OR RIGHT G29539148 164 169332 SH F OTHER 01 02 03 169332
***RTS ELAN CORP PLC WARRANT OR RIGHT G29539148 361 372646 SH F OTHER 01 02 03 04 372646
GLOBAL CROSSING LTD COMMON STOCK G3921A100 206 6637 SH OTHER 01 02 03 6637
GLOBAL CROSSING LTD COMMON STOCK G3921A100 335 10817 SH OTHER 01 02 03 04 10817
AXA FINL INC CALL 002451102 968 19000 SH CALL OTHER 01 02 03 19000
AXA FINL INC CALL 002451102 2588 50800 SH CALL OTHER 01 02 03 04 50800
AXA FINL INC PUT 002451102 637 12500 SH PUT OTHER 01 02 03 12500
AXA FINL INC PUT 002451102 1666 32700 SH PUT OTHER 01 02 03 04 32700
CHASE MANHATTAN CORP NEW CALL 16161A108 1155 25000 SH CALL OTHER 01 02 03 25000
CHASE MANHATTAN CORP NEW CALL 16161A108 3025 65500 SH CALL OTHER 01 02 03 04 65500
COASTAL CORP PUT 190441105 489 6600 SH PUT OTHER 01 02 03 04 6600
GEORGIA PACIFIC CORP PUT 373298108 294 12500 SH PUT OTHER 01 02 03 12500
GEORGIA PACIFIC CORP PUT 373298108 757 32200 SH PUT OTHER 01 02 03 04 32200
INVITROGEN CORP PUT 46185R100 804 11300 SH PUT OTHER 01 02 03 11300
INVITROGEN CORP PUT 46185R100 2027 28500 SH PUT OTHER 01 02 03 04 28500
KEEBLER FOODS CO PUT 487256109 1705 40600 SH PUT OTHER 01 02 03 40600
KEEBLER FOODS CO PUT 487256109 2768 65900 SH PUT OTHER 01 02 03 04 65900
***KONINKLIJKE AHOLD NV PUT 500467303 406 14400 SH PUT OTHER 01 02 03 04 14400
MALLINCKRODT INC NEW PUT 561232109 269 5900 SH PUT OTHER 01 02 03 5900
MALLINCKRODT INC NEW PUT 561232109 657 14400 SH PUT OTHER 01 02 03 04 14400
***TYCO INTERNATIONAL LTD PUT 902124106 1743 33600 SH PUT OTHER 01 02 03 33600
***TYCO INTERNATIONAL LTD PUT 902124106 4347 83800 SH PUT OTHER 01 02 03 04 83800
WORLDCOM INC GA NEW PUT 98157D106 504 16600 SH PUT OTHER 01 02 03 16600
WORLDCOM INC GA NEW PUT 98157D106 820 27000 SH PUT OTHER 01 02 03 04 27000
***UBS AG PUT H8920G155 244 1800 SH PUT OTHER 01 02 03 1800
***UBS AG PUT H8920G155 623 4600 SH PUT OTHER 01 02 03 04 4600
726479.6
726479.6
726479.6
</TABLE>
