<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: December 31, 1999
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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 2/14/00
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Page 1 of 17
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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).)
Page 2 of 17
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Form 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 4
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Form 13F Information Table Entry Total: 230
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Form 13F Information Table Value Total: $702,449
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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.
Page 3 of 17
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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 AMFM INC COMMON STOCK 001693100 2,107 26,925 SH OTHER 01 02 03 26,925
2 AMFM INC COMMON STOCK 001693100 3,479 44,456 SH OTHER 01 02 03 04 44,456
3 ***A T & T CANADA INC FOREIGN COMMO 00207Q202 685 17,012 SH OTHER 01 02 03 17,012
4 ***A T & T CANADA INC FOREIGN COMMO 00207Q202 653 16,218 SH OTHER 01 02 03 04 16,218
5 ADFORCE INC COMMON STOCK 006867105 1,920 26,897 SH OTHER 01 02 03 26,897
6 ADFORCE INC COMMON STOCK 006867105 3,119 43,703 SH OTHER 01 02 03 04 43,703
7 AERIAL COMMUNICATIONS INC COMMON STOCK 007655103 2,919 47,945 SH OTHER 01 02 03 47,945
8 AERIAL COMMUNICATIONS INC COMMON STOCK 007655103 4,752 78,055 SH OTHER 01 02 03 04 78,055
9 ***ALCATEL - SPONSORED ADR COMMON STOCK 013904305 5,373 119,393 SH OTHER 01 02 03 04 119,393
10 ALLSTATE CORP COMMON STOCK 020002101 3,664 152,253 SH OTHER 01 02 03 04 152,253
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11 ALZA CORP COMMON STOCK 022615108 1,894 54,707 SH OTHER 01 02 03 54,707
12 ALZA CORP COMMON STOCK 022615108 2,722 78,619 SH OTHER 01 02 03 04 78,619
13 AMERICA ONLINE INC-DEL COMMON STOCK 02364J104 10,923 143,962 SH OTHER 01 02 03 04 143,962
14 AMER INTERNATIONAL GROUP INC COMMON STOCK 026874107 14,895 137,755 SH OTHER 01 02 03 04 137,755
15 APPLIED DIGITAL SOLUTIONS INC COMMON STOCK 038188108 302 40,259 SH OTHER 01 02 03 40,259
16 APPLIED DIGITAL SOLUTIONS INC COMMON STOCK 038188108 298 39,741 SH OTHER 01 02 03 04 39,741
17 ASSOCIATED GROUP INC-CL A COMMON STOCK 045651106 1,013 11,102 SH OTHER 01 02 03 11,102
18 ASSOCIATED GROUP INC-CL A COMMON STOCK 045651106 1,724 18,898 SH OTHER 01 02 03 04 18,898
19 EXCITE@HOME SERIES A COMMON STOCK 045919107 1,409 32,872 SH OTHER 01 02 03 04 32,872
20 ATLANTIC RICHFIELD CO COMMON STOCK 048825103 1,595 18,439 SH OTHER 01 02 03 18,439
21 ATLANTIC RICHFIELD CO COMMON STOCK 048825103 2,730 31,561 SH OTHER 01 02 03 04 31,561
22 BAXTER INTERNATIONAL INC WARRANT OR RIG 071813125 64 277,835 SH OTHER 01 02 03 277,835
23 BAXTER INTERNATIONAL INC WARRANT OR RIG 071813125 68 297,813 SH OTHER 01 02 03 04 297,813
24 BOISE CASCADE OFFICE PRODUCTS COMMON STOCK 097403109 740 49,312 SH OTHER 01 02 03 49,312
25 BOISE CASCADE OFFICE PRODUCTS COMMON STOCK 097403109 1,210 80,688 SH OTHER 01 02 03 04 80,688
26 BROADWING INC COMMON STOCK 111620100 338 9,176 SH OTHER 01 02 03 9,176
27 BROADWING INC COMMON STOCK 111620100 567 15,372 SH OTHER 01 02 03 04 15,372
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28 C-CUBE MICROSYSTEMS INC COMMON STOCK 125015107 1,150 18,473 SH OTHER 01 02 03 18,473
29 C-CUBE MICROSYSTEMS INC COMMON STOCK 125015107 1,963 31,527 SH OTHER 01 02 03 04 31,527
30 CAREMARK RX INC COMMON STOCK 141705103 317 62,662 SH OTHER 01 02 03 62,662
31 CAREMARK RX INC COMMON STOCK 141705103 301 59,489 SH OTHER 01 02 03 04 59,489
32 CELL GENESYS INC W/RTS COMMON STOCK 150921104 380 29,646 SH OTHER 01 02 03 29,646
33 CELL GENESYS INC W/RTS COMMON STOCK 150921104 658 51,354 SH OTHER 01 02 03 04 51,354
34 CHICAGO TITLE CORP COMMON STOCK 168228104 311 6,723 SH OTHER 01 02 03 04 6,723
35 CITRIX SYSTEMS INC COMMON STOCK 177376100 6,980 56,744 SH OTHER 01 02 03 04 56,744
36 CLARIFY INC COMMON STOCK 180492100 9,187 72,911 SH OTHER 01 02 03 72,911
37 CLARIFY INC COMMON STOCK 180492100 15,207 120,689 SH OTHER 01 02 03 04 120,689
38 COLEMAN CO INC NEW COMMON STOCK 193559101 688 73,872 SH OTHER 01 02 03 73,872
39 COLUMBIA ENERGY GROUP COMMON STOCK 197648108 302 4,780 SH OTHER 01 02 03 04 4,780
40 COMSAT CORP-SERIES 1 COMMON STOCK 20564D107 1,227 61,755 SH OTHER 01 02 03 61,755
41 COMSAT CORP-SERIES 1 COMMON STOCK 20564D107 2,071 104,214 SH OTHER 01 02 03 04 104,214
42 CONSOLIDATED NATURAL GAS CO COMMON STOCK 209615103 10,740 165,389 SH OTHER 01 02 03 165,389
43 CONSOLIDATED NATURAL GAS CO COMMON STOCK 209615103 18,742 288,621 SH OTHER 01 02 03 04 288,621
44 D R HORTON INC COMMON STOCK 23331A109 470 34,002 SH OTHER 01 02 03 04 34,002
45 DELTA & PINE LAND CO COMMON STOCK 247357106 296 17,008 SH OTHER 01 02 03 04 17,008
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46 DISNEY WALT COMPANY COMMON STOCK 254687205 309 13,007 SH OTHER 01 02 03 13,007
47 DISNEY WALT COMPANY COMMON STOCK 254687205 285 11,993 SH OTHER 01 02 03 04 11,993
48 DOUBLECLICK INC COMMON STOCK 258609304 1,544 6,100 SH OTHER 01 02 03 04 6,100
49 DUN & BRADSTREET CORP DEL COMMON STOCK 26483B106 310 10,506 SH OTHER 01 02 03 10,506
50 DUN & BRADSTREET CORP DEL COMMON STOCK 26483B106 409 13,848 SH OTHER 01 02 03 04 13,848
51 FLYCAST COMMUNICATIONS CORP COMMON STOCK 344067103 11,150 85,812 SH OTHER 01 02 03 85,812
52 FLYCAST COMMUNICATIONS CORP COMMON STOCK 344067103 18,683 143,788 SH OTHER 01 02 03 04 143,788
53 GTE CORP COMMON STOCK 362320103 5,967 84,558 SH OTHER 01 02 03 84,558
54 GTE CORP COMMON STOCK 362320103 9,557 135,442 SH OTHER 01 02 03 04 135,442
55 GENERAL INSTRUMENT CORP-DEL COMMON STOCK 370120107 19,982 235,086 SH OTHER 01 02 03 235,086
56 GENERAL INSTRUMENT CORP-DEL COMMON STOCK 370120107 32,633 383,914 SH OTHER 01 02 03 04 383,914
57 GENESYS TELECOMMUNICATIONS COMMON STOCK 371931106 3,829 70,908 SH OTHER 01 02 03 70,908
58 GENESYS TELECOMMUNICATIONS COMMON STOCK 371931106 6,553 121,343 SH OTHER 01 02 03 04 121,343
59 GRAND PREMIER FINANCIAL INC COMMON STOCK 386174106 232 15,659 SH OTHER 01 02 03 04 15,659
60 HANNAFORD BROS CO COMMON STOCK 410550107 6,490 93,638 SH OTHER 01 02 03 93,638
61 HANNAFORD BROS CO COMMON STOCK 410550107 11,222 161,908 SH OTHER 01 02 03 04 161,908
62 HASBRO INC COMMON STOCK 418056107 369 19,506 SH OTHER 01 02 03 19,506
63 HASBRO INC COMMON STOCK 418056107 341 17,994 SH OTHER 01 02 03 04 17,994
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64 HILTON HOTELS CORP COMMON STOCK 432848109 463 48,449 SH OTHER 01 02 03 48,449
65 HILTON HOTELS CORP COMMON STOCK 432848109 713 74,517 SH OTHER 01 02 03 04 74,517
66 HONEYWELL INTL INC COMMON STOCK 438516106 4,613 79,962 SH OTHER 01 02 03 04 79,962
67 WTS IMC GLOBAL INC WARRANT OR RIG 449669118 2 19,957 SH OTHER 01 02 03 19,957
68 WTS IMC GLOBAL INC WARRANT OR RIG 449669118 3 30,816 SH OTHER 01 02 03 04 30,816
69 ILLINOIS TOOL WORKS INC COMMON STOCK 452308109 2,113 31,274 SH OTHER 01 02 03 04 31,274
70 ***INCO LTD-CL VBN COMMON STOCK 453258709 533 61,350 SH OTHER 01 02 03 61,350
71 INFINITY BROADCASTING CORP NEW COMMON STOCK 45662S102 14,892 411,527 SH OTHER 01 02 03 04 411,527
72 INTEGRA LIFESCIENCES HOLDINGS COMMON STOCK 457985208 180 30,465 SH OTHER 01 02 03 30,465
73 INTEGRA LIFESCIENCES HOLDINGS COMMON STOCK 457985208 93 15,763 SH OTHER 01 02 03 04 15,763
74 INTERNATIONAL PAPER CO COMMON STOCK 460146103 2,565 45,445 SH OTHER 01 02 03 04 45,445
75 INTERNEURON PHARM. INC COMMON STOCK 460573108 180 31,546 SH OTHER 01 02 03 31,546
76 INTERNEURON PHARM. INC COMMON STOCK 460573108 134 23,454 SH OTHER 01 02 03 04 23,454
77 ISOCOR COMMON STOCK 464902105 1,501 34,508 SH OTHER 01 02 03 34,508
78 ISOCOR COMMON STOCK 464902105 2,609 59,980 SH OTHER 01 02 03 04 59,980
79 JSB FINANCIAL INC COMMON STOCK 46624M100 285 5,490 SH OTHER 01 02 03 5,490
80 JSB FINANCIAL INC COMMON STOCK 46624M100 480 9,262 SH OTHER 01 02 03 04 9,262
81 JOHNS MANVILLE CORP NEW COMMON STOCK 478129109 483 34,673 SH OTHER 01 02 03 34,673
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82 JOHNS MANVILLE CORP NEW COMMON STOCK 478129109 470 33,745 SH OTHER 01 02 03 04 33,745
83 JONES INTERCABLE INC COMMON STOCK 480206101 1,344 19,344 SH OTHER 01 02 03 19,344
84 JONES INTERCABLE INC COMMON STOCK 480206101 2,200 31,656 SH OTHER 01 02 03 04 31,656
85 JONES INTERCABLE INC CL A COMMON STOCK 480206200 12,386 178,705 SH OTHER 01 02 03 178,705
86 JONES INTERCABLE INC CL A COMMON STOCK 480206200 20,287 292,695 SH OTHER 01 02 03 04 292,695
87 JOSTENS INC COMMON STOCK 481088102 224 9,221 SH OTHER 01 02 03 9,221
88 JOSTENS INC COMMON STOCK 481088102 384 15,779 SH OTHER 01 02 03 04 15,779
89 KOS PHARMACEUTICALS INC COMMON STOCK 500648100 271 48,118 SH OTHER 01 02 03 48,118
90 KOS PHARMACEUTICALS INC COMMON STOCK 500648100 233 41,495 SH OTHER 01 02 03 04 41,495
91 KROGER CO COMMON STOCK 501044101 1,910 101,200 SH OTHER 01 02 03 04 101,200
92 ***LOEWEN GROUP INC COMMON STOCK 54042L100 24 54,834 SH OTHER 01 02 03 04 54,834
93 LUCENT TECHNOLOGIES INC COMMON STOCK 549463107 9,445 125,927 SH OTHER 01 02 03 04 125,927
94 MCN CORP COMMON STOCK 55267J100 1,440 60,612 SH OTHER 01 02 03 60,612
95 MCN CORP COMMON STOCK 55267J100 2,388 100,545 SH OTHER 01 02 03 04 100,545
96 MCI WORLDCOM INC COMMON STOCK 55268B106 11,845 223,236 SH OTHER 01 02 03 04 223,236
97 MATTEL INC COMMON STOCK 577081102 1,163 88,640 SH OTHER 01 02 03 04 88,640
98 MCKESSON HBOC INC COMMON STOCK 58155Q103 484 21,512 SH OTHER 01 02 03 21,512
99 MCKESSON HBOC INC COMMON STOCK 58155Q103 394 17,506 SH OTHER 01 02 03 04 17,506
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100 MEDIA GENERAL INC CL A COMMON STOCK 584404107 635 12,214 SH OTHER 01 02 03 12,214
101 MEDIA GENERAL INC CL A COMMON STOCK 584404107 635 12,214 SH OTHER 01 02 03 04 12,214
102 MEDIAONE GROUP INC COMMON STOCK 58440J104 13,673 178,008 SH OTHER 01 02 03 178,008
103 MEDIAONE GROUP INC COMMON STOCK 58440J104 23,703 308,580 SH OTHER 01 02 03 04 308,580
104 MEDIMMUNE INC COMMON STOCK 584699102 1,517 9,146 SH OTHER 01 02 03 04 9,146
105 MIDAMERICAN ENERGY HLDGS CO COMMON STOCK 59562V107 6,824 202,563 SH OTHER 01 02 03 202,563
106 MIDAMERICAN ENERGY HLDGS CO COMMON STOCK 59562V107 10,862 322,437 SH OTHER 01 02 03 04 322,437
107 MILLENNIUM PHARMACEUTICALS INC COMMON STOCK 599902103 1,146 9,395 SH OTHER 01 02 03 9,395
108 MILLENNIUM PHARMACEUTICALS INC COMMON STOCK 599902103 1,961 16,076 SH OTHER 01 02 03 04 16,076
109 MONSANTO CO COMMON STOCK 611662107 527 14,870 SH OTHER 01 02 03 14,870
110 MONSANTO CO COMMON STOCK 611662107 902 25,448 SH OTHER 01 02 03 04 25,448
111 ***NATIONAL WESTMINSTER BANK COMMON STOCK 638539403 520 4,022 SH OTHER 01 02 03 4,022
112 ***NATIONAL WESTMINSTER BANK COMMON STOCK 638539403 879 6,797 SH OTHER 01 02 03 04 6,797
113 NAVIGANT INTL INC COMMON STOCK 63935R108 1,186 101,449 SH OTHER 01 02 03 101,449
114 NAVIGANT INTL INC COMMON STOCK 63935R108 942 80,617 SH OTHER 01 02 03 04 80,617
115 NEW ENGLAND ELECTRIC SYSTEM COMMON STOCK 644001109 835 16,141 SH OTHER 01 02 03 16,141
116 NEW ENGLAND ELECTRIC SYSTEM COMMON STOCK 644001109 1,429 27,619 SH OTHER 01 02 03 04 27,619
117 NEWPARK RESOURCES INC NEW COMMON STOCK 651718504 72 11,775 SH OTHER 01 02 03 11,775
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118 NEWPARK RESOURCES INC NEW COMMON STOCK 651718504 108 17,693 SH OTHER 01 02 03 04 17,693
119 NORTHEAST UTILITIES COMMON STOCK 664397106 540 26,245 SH OTHER 01 02 03 26,245
120 NORTHEAST UTILITIES COMMON STOCK 664397106 900 43,755 SH OTHER 01 02 03 04 43,755
121 OAK INDUSTRIES INC NEW COMMON STOCK 671400505 1,950 18,372 SH OTHER 01 02 03 18,372
122 OAK INDUSTRIES INC NEW COMMON STOCK 671400505 3,410 32,128 SH OTHER 01 02 03 04 32,128
123 OLSTEN CORP COMMON STOCK 681385100 527 46,575 SH OTHER 01 02 03 46,575
124 OLSTEN CORP COMMON STOCK 681385100 920 81,316 SH OTHER 01 02 03 04 81,316
125 OMNIPOINT CORP COMMON STOCK 68212D102 16,735 138,732 SH OTHER 01 02 03 138,732
126 OMNIPOINT CORP COMMON STOCK 68212D102 27,614 228,923 SH OTHER 01 02 03 04 228,923
127 OPTICAL COATING LABORATORY INC COMMON STOCK 683829105 14,923 50,415 SH OTHER 01 02 03 50,415
128 OPTICAL COATING LABORATORY INC COMMON STOCK 683829105 25,540 86,283 SH OTHER 01 02 03 04 86,283
129 PIMCO ADVISORS HOLDINGS LP COMMON STOCK 69338P102 1,219 32,334 SH OTHER 01 02 03 32,334
130 PIMCO ADVISORS HOLDINGS LP COMMON STOCK 69338P102 2,118 56,191 SH OTHER 01 02 03 04 56,191
131 PEOPLESOFT INC COMMON STOCK 712713106 222 10,414 SH OTHER 01 02 03 04 10,414
132 PHARMACIA & UPJOHN INC COMMON STOCK 716941109 653 14,508 SH OTHER 01 02 03 14,508
133 PHARMACIA & UPJOHN INC COMMON STOCK 716941109 1,117 24,827 SH OTHER 01 02 03 04 24,827
134 PHELPS DODGE CORP COMMON STOCK 717265102 1,537 22,816 SH OTHER 01 02 03 04 22,816
135 PIERCE LEAHY CORP COMMON STOCK 720722107 310 7,166 SH OTHER 01 02 03 7,166
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136 PIERCE LEAHY CORP COMMON STOCK 720722107 541 12,510 SH OTHER 01 02 03 04 12,510
137 PITTWAY CORP-DEL-CL A COMMON STOCK 725790208 283 6,311 SH OTHER 01 02 03 04 6,311
138 PREVIEW TRAVEL INC COMMON STOCK 74137R101 398 7,637 SH OTHER 01 02 03 7,637
139 PREVIEW TRAVEL INC COMMON STOCK 74137R101 384 7,363 SH OTHER 01 02 03 04 7,363
140 PUBLICARD INC COMMON STOCK 744627100 121 18,450 SH OTHER 01 02 03 18,450
141 PUBLICARD INC COMMON STOCK 744627100 178 27,100 SH OTHER 01 02 03 04 27,100
142 QUANTUM CORP HDDG COM COMMON STOCK 747906303 180 26,011 SH OTHER 01 02 03 26,011
143 QUANTUM CORP HDDG COM COMMON STOCK 747906303 166 23,989 SH OTHER 01 02 03 04 23,989
144 RATIONAL SOFTWARE CORP NEW COMMON STOCK 75409P202 3,909 79,576 SH OTHER 01 02 03 04 79,576
145 REPUBLIC NEW YORK CORP COMMON STOCK 760719104 317 4,400 SH OTHER 01 02 03 4,400
146 REPUBLIC NEW YORK CORP COMMON STOCK 760719104 1,714 23,800 SH OTHER 01 02 03 04 23,800
147 REYNOLDS METALS CO COMMON STOCK 761763101 1,896 24,741 SH OTHER 01 02 03 24,741
148 REYNOLDS METALS CO COMMON STOCK 761763101 3,379 44,101 SH OTHER 01 02 03 04 44,101
149 RUSS BERRIE & CO INC COMMON STOCK 782233100 262 9,981 SH OTHER 01 02 03 9,981
150 RUSS BERRIE & CO INC COMMON STOCK 782233100 383 14,609 SH OTHER 01 02 03 04 14,609
151 SAFESKIN CORP COMMON STOCK 786454108 310 25,543 SH OTHER 01 02 03 25,543
152 SAFESKIN CORP COMMON STOCK 786454108 537 44,292 SH OTHER 01 02 03 04 44,292
153 SAGA SYS INC COMMON STOCK 786610105 248 12,455 SH OTHER 01 02 03 12,455
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154 SAGA SYS INC COMMON STOCK 786610105 239 11,982 SH OTHER 01 02 03 04 11,982
155 E W SCRIPPS CO NEW-CL A COMMON STOCK 811054204 1,002 22,349 SH OTHER 01 02 03 04 22,349
156 SNYDER COMMUNICATIONS INC COMMON STOCK 832914204 326 26,496 SH OTHER 01 02 03 26,496
157 SNYDER COMMUNICATIONS INC COMMON STOCK 832914204 289 23,504 SH OTHER 01 02 03 04 23,504
158 STEWART ENTERPRISES INC-CL A COMMON STOCK 860370105 148 31,210 SH OTHER 01 02 03 31,210
159 STEWART ENTERPRISES INC-CL A COMMON STOCK 860370105 137 28,790 SH OTHER 01 02 03 04 28,790
160 TELEBANC FINANCIAL CORP COMMON STOCK 87925R109 1,014 38,999 SH OTHER 01 02 03 38,999
161 TELEBANC FINANCIAL CORP COMMON STOCK 87925R109 1,732 66,601 SH OTHER 01 02 03 04 66,601
162 TERADYNE INC COMMON STOCK 880770102 12,918 195,722 SH OTHER 01 02 03 04 195,722
163 THESTREET.COM INC COMMON STOCK 88368Q103 488 25,418 SH OTHER 01 02 03 25,418
164 THESTREET.COM INC COMMON STOCK 88368Q103 472 24,582 SH OTHER 01 02 03 04 24,582
165 3COM CORP COMMON STOCK 885535104 10,502 223,448 SH OTHER 01 02 03 04 223,448
166 ***TYCO INTERNATIONAL LTD COMMON STOCK 902124106 298 7,635 SH OTHER 01 02 03 7,635
167 ***TYCO INTERNATIONAL LTD COMMON STOCK 902124106 287 7,365 SH OTHER 01 02 03 04 7,365
168 U S T CORP COMMON STOCK 902900109 2,365 74,491 SH OTHER 01 02 03 74,491
169 U S T CORP COMMON STOCK 902900109 4,122 129,834 SH OTHER 01 02 03 04 129,834
170 UNION CARBIDE CORP COMMON STOCK 905581104 1,224 18,336 SH OTHER 01 02 03 18,336
171 UNION CARBIDE CORP COMMON STOCK 905581104 2,139 32,039 SH OTHER 01 02 03 04 32,039
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172 U S OFFICE PRODUCTS CO (NEW) COMMON STOCK 912325305 39 12,437 SH OTHER 01 02 03 12,437
173 U S OFFICE PRODUCTS CO (NEW) COMMON STOCK 912325305 37 11,993 SH OTHER 01 02 03 04 11,993
174 U S WEST INC NEW COMMON STOCK 91273H101 9,849 136,788 SH OTHER 01 02 03 136,788
175 U S WEST INC NEW COMMON STOCK 91273H101 17,151 238,212 SH OTHER 01 02 03 04 238,212
176 USWEB CORP COMMON STOCK 917327108 451 10,154 SH OTHER 01 02 03 10,154
177 USWEB CORP COMMON STOCK 917327108 772 17,381 SH OTHER 01 02 03 04 17,381
178 V-ONE CORP COMMON STOCK 918278102 95 16,247 SH OTHER 01 02 03 16,247
179 V-ONE CORP COMMON STOCK 918278102 81 13,753 SH OTHER 01 02 03 04 13,753
180 VANTIVE CORP COMMON STOCK 922091103 484 26,729 SH OTHER 01 02 03 26,729
181 VANTIVE CORP COMMON STOCK 922091103 801 44,185 SH OTHER 01 02 03 04 44,185
182 VIATEL INC COMMON STOCK 925529208 418 7,795 SH OTHER 01 02 03 7,795
183 VIATEL INC COMMON STOCK 925529208 2,201 41,045 SH OTHER 01 02 03 04 41,045
184 VISIO CORP COMMON STOCK 927914101 861 18,136 SH OTHER 01 02 03 18,136
185 VISIO CORP COMMON STOCK 927914101 1,474 31,032 SH OTHER 01 02 03 04 31,032
186 VIVID TECHNOLOGIES INC COMMON STOCK 928538107 103 15,517 SH OTHER 01 02 03 04 15,517
187 ***VODAFONE AIRTOUCH PLC COMMON STOCK 92857T107 1,166 23,547 SH OTHER 01 02 03 04 23,547
188 WARNER-LAMBERT CO COMMON STOCK 934488107 3,832 46,771 SH OTHER 01 02 03 46,771
189 WARNER-LAMBERT CO COMMON STOCK 934488107 6,271 76,529 SH OTHER 01 02 03 04 76,529
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190 WELLS FARGO & CO-NEW COMMON STOCK 949746101 10,160 251,260 SH OTHER 01 02 03 04 251,260
191 WESTPOINT STEVENS INC COMMON STOCK 961238102 435 24,869 SH OTHER 01 02 03 24,869
192 WESTPOINT STEVENS INC COMMON STOCK 961238102 420 23,991 SH OTHER 01 02 03 04 23,991
193 WILLIAMS COMMUNICATIONS GROUP COMMON STOCK 969455104 288 9,949 SH OTHER 01 02 03 9,949
194 WILLIAMS COMMUNICATIONS GROUP COMMON STOCK 969455104 278 9,595 SH OTHER 01 02 03 04 9,595
195 YAHOO INC COMMON STOCK 984332106 8,442 19,511 SH OTHER 01 02 03 04 19,511
196 YANKEE ENERGY SYSTEM INC COMMON STOCK 984779108 1,418 32,273 SH OTHER 01 02 03 32,273
197 YANKEE ENERGY SYSTEM INC COMMON STOCK 984779108 2,427 55,227 SH OTHER 01 02 03 04 55,227
198 GLOBAL CROSSING LTD COMMON STOCK G3921A100 509 10,180 SH OTHER 01 02 03 10,180
199 GLOBAL CROSSING LTD COMMON STOCK G3921A100 491 9,820 SH OTHER 01 02 03 04 9,820
200 ***TERRA NOVA BERMUDA HOLDINGS COMMON STOCK G87615103 420 14,005 SH OTHER 01 02 03 04 14,005
201 AT&T CORP CALL 0019578AJ 4,553 89,600 SH CALL OTHER 01 02 03 89,600
202 AT&T CORP CALL 0019578AJ 7,947 156,400 SH CALL OTHER 01 02 03 04 156,400
203 ***ALCATEL - SPONSORED ADR PUT 0139049MG 698 15,500 SH PUT OTHER 01 02 03 15,500
204 ***ALCATEL - SPONSORED ADR PUT 0139049MG 1,184 26,300 SH PUT OTHER 01 02 03 04 26,300
205 ***ALCATEL - SPONSORED ADR PUT 0139049MH 648 14,400 SH PUT OTHER 01 02 03 14,400
206 ***ALCATEL - SPONSORED ADR PUT 0139049MH 1,121 24,900 SH PUT OTHER 01 02 03 04 24,900
207 ***ALCATEL - SPONSORED ADR PUT 0139049OG 410 9,100 SH PUT OTHER 01 02 03 9,100
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208 ***ALCATEL - SPONSORED ADR PUT 0139049OG 698 15,500 SH PUT OTHER 01 02 03 04 15,500
209 DELHAIZE AMERICA INC PUT 2466889MD 238 11,700 SH PUT OTHER 01 02 03 11,700
210 DELHAIZE AMERICA INC PUT 2466889MD 402 19,800 SH PUT OTHER 01 02 03 04 19,800
211 HILTON HOTELS CORP PUT 4328489MB 352 36,800 SH PUT OTHER 01 02 03 36,800
212 HILTON HOTELS CORP PUT 4328489MB 589 61,600 SH PUT OTHER 01 02 03 04 61,600
213 LUCENT TECHNOLOGIES INC PUT 5494639MO 1,868 24,900 SH PUT OTHER 01 02 03 24,900
214 LUCENT TECHNOLOGIES INC PUT 5494639MO 1,800 24,000 SH PUT OTHER 01 02 03 04 24,000
215 PFIZER INC PUT 7170819MG 234 7,200 SH PUT OTHER 01 02 03 7,200
216 PFIZER INC PUT 7170819MG 402 12,400 SH PUT OTHER 01 02 03 04 12,400
217 QWEST COMMUNICATIONS PUT 7491219MD 787 18,300 SH PUT OTHER 01 02 03 18,300
218 QWEST COMMUNICATIONS PUT 7491219MD 1,372 31,900 SH PUT OTHER 01 02 03 04 31,900
219 QWEST COMMUNICATIONS PUT 7491219PF 1,539 35,800 SH PUT OTHER 01 02 03 35,800
220 QWEST COMMUNICATIONS PUT 7491219PF 2,692 62,600 SH PUT OTHER 01 02 03 04 62,600
221 QWEST COMMUNICATIONS PUT 7491219PG 774 18,000 SH PUT OTHER 01 02 03 18,000
222 QWEST COMMUNICATIONS PUT 7491219PG 1,342 31,200 SH PUT OTHER 01 02 03 04 31,200
223 TELEBANC FINANCIAL CORP PUT 87925R9MX 473 18,200 SH PUT OTHER 01 02 03 18,200
224 TELEBANC FINANCIAL CORP PUT 87925R9MX 806 31,000 SH PUT OTHER 01 02 03 04 31,000
225 WARNER-LAMBERT CO CALL 9344889AP 598 7,300 SH CALL OTHER 01 02 03 7,300
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226 WARNER-LAMBERT CO CALL 9344889AP 1,016 12,400 SH CALL OTHER 01 02 03 04 12,400
227 WARNER-LAMBERT CO PUT 9344889MO 598 7,300 SH PUT OTHER 01 02 03 7,300
228 WARNER-LAMBERT CO PUT 9344889MO 1,016 12,400 SH PUT OTHER 01 02 03 04 12,400
229 WASTE MANAGEMENT INC DEL CALL 94106L9DC 339 19,700 SH CALL OTHER 01 02 03 19,700
230 WASTE MANAGEMENT INC DEL CALL 94106L9DC 333 19,400 SH CALL OTHER 01 02 03 04 19,400
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$702,449 No. of Other Managers 4
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Page 17 of 17
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</TABLE>
