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UNITED STATES ------------------------------
SECURITIES AND EXCHANGE COMMISSION | |
Washington, D.C. 20549 | |
| |
FORM 13F ------------------------------
INFORMATION REQUIRED OF INSTITUTIONAL INVESTMENT MANAGERS PURSUANT
TO SECTION 13(f) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULES THEREUNDER
Report for the Calendar Year or Quarter Ended September 30, 1999.
----------------------------
- --------------------------------------------------------------------------------
(Please read instructions before preparing form.)
- --------------------------------------------------------------------------------
If amended report check here: | |
MARTINDALE ANDRES & COMPANY, INC.
- --------------------------------------------------------------------------------
Name of Institutional Investment Manager
200 FOUR FALLS CORPORATE CENTER, SUITE 200, WEST CONSHOHOCKEN, PA 19428
- --------------------------------------------------------------------------------
Business Address (Street) (City) (State) (Zip)
- --------------------------------------------------------------------------------
Name, Phone No., and Title of Person Duly Authorized to Submit This Report.
ATTENTION
- ---------------------------------- -----------------------------------
Intentional misstatements or omissions of facts constitute
Federal Criminal Violations.
See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
- --------------------------------------------------------------------------------
The institutional investment manager submitting this Form and its
attachments and the person by whom it is signed represent hereby that all
information contained therein is true, correct and complete. It is understood
that all required items, statements and schedules are considered integral parts
of this Form and that the submission of any amendment represents that all
unamended items, statements and schedules remain true, correct and complete as
previously submitted.
Pursuant to the requirements of Securities Exchange Act of 1934, the
undersigned institutional investment manager has caused this report to be signed
on its behalf in the City of W. Conshohocken and State of Pennsylvania
--------------- ---------------------
on the 4th day of October , 1999.
---- ------------- --
WILLIAM C. MARTINDALE, JR.
---------------------------------------------
(Name of Institutional Manager)
/s/ William C. Martindale, Jr.
---------------------------------------------
(Manual Signature of Person Duly Authorized
to Submit This Report)
Name and 13F file numbers of ALL Institutional Investment Managers with respect
to which this schedule is filled (other than the one filing this report): (List
in alphabetical order).
13F File Numbers will be assigned to Institutional Investment Managers after
they file their first report.
Name: 13F File No.: Name: 13F File No.:
- ----------------------- ------------- ----------------------- -------------
1. 6.
- ----------------------- ------------- ----------------------- -------------
2. 7.
- ----------------------- ------------- ----------------------- -------------
3. 8.
- ----------------------- ------------- ----------------------- -------------
4. 9.
- ----------------------- ------------- ----------------------- -------------
5. 10.
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<PAGE>
<TABLE>
<CAPTION>
SECID TICKER SYMBOL MKT VALUE PAR/SHARES DATE TO FORMAT ISSUER NAME
----- ------------- --------- ---------- -------------- -----------
<S> <C> <C> <C> <C> <C>
001055102 AFL 341000 8000 30-Sep-99 AFLAC, Inc
001957109 T 799051.5 18369 30-Sep-99 AT&T Corporation
001963107 ASVI 560137.5 38300 30-Sep-99 ASV Inc
00207R101 ATMI 2328300.01 62400 30-Sep-99 ATMI Inc
002539104 AATT 380178.13 16850 30-Sep-99 Aavid Thermal Technologies
002824100 ABT 1356075 36900 30-Sep-99 Abbott Laboratories
00750X109 ACSC 292281.25 23500 30-Sep-99 Advanced Communications Inc.
008190100 ACS 9934965.92 244553 30-Sep-99 Affiliated Computer Services
009363102 ARG 1511250 130000 30-Sep-99 Airgas Inc
01642T108 ALKS 2215681.25 76900 30-Sep-99 Alkermes Inc
02364J104 AOL 5318872 51143 30-Sep-99 America Online, Inc.
02364L109 ASGR 297000 22000 30-Sep-99 America Service Group, Inc.
024490104 ABN 1875 10000 30-Sep-99 American Banknote Corporation
026609107 AHP 1303100 31400 30-Sep-99 American Home Prods Corp
026874107 AIG 1927316.58 22168.99 30-Sep-99 American Intl Group Inc
031162100 AMGN 782400 9600 30-Sep-99 Amgen Inc
035229103 BUD 280250 4000 30-Sep-99 Anheuser-Busch Cos., Inc.
03662Q105 ANSS 823575 83400 30-Sep-99 Ansys Inc.
037937109 AGTX 484035 56120 30-Sep-99 Applied Graphics Technologies
038236105 ASTX 413531.25 20050 30-Sep-99 Applied Science & Technology
042476101 ACK 2332256.25 51900 30-Sep-99 Armstrong World Inds Inc
048825103 ARC 563477.75 6358 30-Sep-99 Atlantic Richfield Co
052800109 ALV 1281808.51 34068 30-Sep-99 Autoliv, Inc.
053015103 AUD 6401010 143440 30-Sep-99 Automatic Data Processing
05459C108 AXNT 1564143.8 120900 30-Sep-99 Axent Technologies, Inc.
055622104 BPA 712939.93 6433.75 30-Sep-99 BP Amoco PLC
064057102 BK 1907743.15 57054 30-Sep-99 Bank of New York
06605F102 BAC 293183 4846 30-Sep-99 BankAmerica Corp.
077853109 BEL 2118862.9 31478 30-Sep-99 Bell Atlantic Corp
079860102 BLS 1026900 22820 30-Sep-99 Bellsouth Corp
084670108 BRK/A 330000 6 30-Sep-99 Berkshire Hathaway
084670207 BRK/B 426880 230 30-Sep-99 Berkshire Hathaway
08658U101 BFO 619248 12768 30-Sep-99 Bestfoods
105368203 BDN 238875 14700 30-Sep-99 Brandywine Realty Trust
110122108 BMY 1873530 27756 30-Sep-99 Bristol Myers Squibb Co.
117665109 BMTC 340956 13776 30-Sep-99 Bryn Mawr Bank Corp
12189T104 BNI 412500 15000 30-Sep-99 Burlington Northern Santa Fe
123164105 BSH 1259225 96400 30-Sep-99 Bush Industries Inc
125015107 CUBE 4445700 102200 30-Sep-99 C-Cube Microsystems Inc
12525K106 CFMT 688800 86100 30-Sep-99 CFM Technologies, Inc.
12612W104 CNF 942425 25300 30-Sep-99 CNF Transportation Inc.
126650100 CVS 971337.57 23800 30-Sep-99 CVS Corp
14040H105 COF 7277400 186600 30-Sep-99 Capital One Financial Corp
152342101 CNTO 4638150 79200 30-Sep-99 Centocor Inc
156782104 CERN 762500 50000 30-Sep-99 Cerner Corp
166751107 CHV 465937.5 5250 30-Sep-99 Chevron Corporation
172755100 CRUS 792000 72000 30-Sep-99 Cirrus Logic Inc
17275R102 CSCO 746645.63 10890 30-Sep-99 Cisco Systems, Inc.
172908105 CTAS 1571054.76 27175 30-Sep-99 Cintas Corp.
172967101 C 797368 18122 30-Sep-99 Citigroup Inc.
177376100 CTXS 2167812.5 35000 30-Sep-99 Citrix Systems, Inc.
190441105 CGP 5845875 142800 30-Sep-99 Coastal Corp
191216100 KO 5777641.24 120211 30-Sep-99 Coca Cola Co
192479103 COHR 1154671.9 51750 30-Sep-99 Coherent, Inc.
194162103 CL 1596034.5 34886 30-Sep-99 Colgate Palmolive Co
19652U104 CMED 880687.59 61000 30-Sep-99 Colorado Medtrech Inc.
200300200 CMCSK 264770 6640 30-Sep-99 Comcast Corp
204493100 CPQ 2603268.69 113494 30-Sep-99 Compaq Computer Corp
204912109 CA 6917391.25 112937 30-Sep-99 Computer Assoc Intl Inc
204925101 CMNT 6461478.22 693850 30-Sep-99 Computer Network Tech Corp
205638109 CPWR 13964548.24 535810 30-Sep-99 Compuware Corp
205887102 CAG 3628185.38 160806 30-Sep-99 Conagra Inc
205908106 CHRZ 1335712.5 114900 30-Sep-99 Computer Horizons Corp
208251405 COC/B 278502.32 10173.6 30-Sep-99 Conoco Inc. Cl B
210371100 CEG 379687.5 13500 30-Sep-99 Constellation Energy Group
217753102 CORR 380000 20000 30-Sep-99 Cor Therapeutics Inc.
218412104 CDD 2130625 70000 30-Sep-99 Cordant Technologies Inc
225302108 CMOS 7592401.27 169190 30-Sep-99 Credence Systems Corp
235811106 DCN 1707750 46000 30-Sep-99 Dana Corp
235851102 DHR 10058043.76 190900 30-Sep-99 Danaher Corp
240028100 DSD 178500 10500 30-Sep-99 Dayton Superior Corp.
244199105 DE 371400 9600 30-Sep-99 Deere & Co
251893103 DV 3000000 150000 30-Sep-99 Devry Inc
253798102 DGII 2702656.25 247100 30-Sep-99 Digi International
254687106 DIS 449655.76 17378 30-Sep-99 The Walt Disney Co.
25536K204 DVNT 122250 12000 30-Sep-99 Diversinet Corp.
260543103 DOW 454500.01 4000 30-Sep-99 Dow Chem Co
261876106 DRXR 2085571.25 287665 30-Sep-99 Drexler Technology Corp
263534109 DD 1811031.28 29750 30-Sep-99 Du Pont (E.I.) De Nemours
265903104 DRRA 201740 8384 30-Sep-99 Dura Automotive Systems Inc
268258100 ECILF 1525687.51 61800 30-Sep-99 ECI Telecom Ltd Ord
268648102 EMC 4305609.63 60271 30-Sep-99 EMC Corp
278058102 ETN 2071500 24000 30-Sep-99 Eaton Corp
284560109 ETT 158875 20500 30-Sep-99 ElderTrust REIT
291011104 EMR 208518.75 3300 30-Sep-99 Emerson Elec Co
292872108 EAII 670244.44 42387 30-Sep-99 Engineering Animation Inc.
292962107 ECSI 302000 30200 30-Sep-99 Endocardial Solutions Inc
302290101 XON 2747722.51 36184 30-Sep-99 Exxon Corp.
30266P100 FVCX 281250 20000 30-Sep-99 FVC.Com Inc
311900104 FAST 962952.29 20434 30-Sep-99 Fastenal Co.
313586109 FNM 7666681.26 122300 30-Sep-99 Federal Natl Mtg Assn
317492106 FIF 2614187.5 138500 30-Sep-99 Financial Federal Corp
318900107 FAM 2615375 61000 30-Sep-99 First American Corp-Tenn
337358105 FTU 3574742.54 100520 30-Sep-99 First Union Corp N Carolina
338915101 FLT 4988325 136200 30-Sep-99 Fleet Financial Group, Inc
339099103 FLE 1755724.27 86970.86 30-Sep-99 Fleetwood Enterprises Inc
343468104 FLOW 3218325 310200 30-Sep-99 Flow International Corp
346091606 FST 938437.5 55000 30-Sep-99 Forest Oil Corp.
362320103 GTE 727929.38 9469 30-Sep-99 GTE Corp
363127101 GNA 185625 30000 30-Sep-99 Gainsco Inc.
363576109 AJG 1863750 35000 30-Sep-99 Gallagher (Arthur J) & Co
364760108 GPS 5256800 164275 30-Sep-99 GAP Inc Del
369604103 GE 16410828.52 138415 30-Sep-99 General Elec Co
370442105 GM 372590.02 5920 30-Sep-99 General Mtrs Corp
371901109 GNTX 3025108.03 146450 30-Sep-99 Gentex Cp
371912106 GHV 1986946.4 836609 30-Sep-99 Genesis Health Ventures Inc
375766102 G 1172404.96 34546 30-Sep-99 Gillette Co
383757879 GVIEX 2052376.22 188118.81 30-Sep-99 Governor
412822108 HDI 1976467.53 39480 30-Sep-99 Harley-Davidson Inc.
427056106 HPC 1746125 61000 30-Sep-99 Hercules Inc
427866108 HSY 262912.5 5400 30-Sep-99 Hershey Foods Corp
428236103 HWP 616400 6700 30-Sep-99 Hewlett Packard Co
428565105 HIBB 200593.75 12250 30-Sep-99 Hibbett Sporting Goods Inc.
439104100 HH 386937.5 15100 30-Sep-99 Hooper Holmes Inc
448407106 HTCH 12013083 444929 30-Sep-99 Hutchinson Technology
44930G107 ICUI 561750 37450 30-Sep-99 ICU Medical Inc.
45245W109 IMCL 349125 10500 30-Sep-99 Imclone Systems
45255W106 IMCO 192187.5 15000 30-Sep-99 Impco Technologies Inc.
45337C102 INCY 1040625 45000 30-Sep-99 Incyte Pharmaceuticals Inc
457985208 IART 3034735.37 480750 30-Sep-99 Integra Lifesciences
458140100 INTC 3326822.05 44768 30-Sep-99 Intel Corp
459200101 IBM 7000424.6 57676 30-Sep-99 International Business Machine
460573108 IPIC 126125 100900 30-Sep-99 Interneuron Pharmaceuticals
478160104 JNJ 7920084.39 86205 30-Sep-99 Johnson & Johnson
493482103 KSTN 4856685 204492 30-Sep-99 Keystone Financial
494368103 KMB 431760 8224 30-Sep-99 Kimberly Clark Corp
499866101 KARE 390525 12700 30-Sep-99 Koala Corporation
501942106 LNCC 49593.75 11500 30-Sep-99 Linc Capital Inc.
50216C108 LYTS 585912.25 25613.65 30-Sep-99 LSI Industries Inc
513847103 LANC 3673600 114800 30-Sep-99 Lancaster Colony Corp
514614106 LAN 385250 67000 30-Sep-99 Lancer Corp.
524660107 LEG 2514093.75 127700 30-Sep-99 Leggett & Platt Inc
524901105 LM 3448124.99 90000 30-Sep-99 Legg Mason Inc
526872106 LSCO 1532971.22 114614.67 30-Sep-99 Lesco, Inc
532457108 LLY 3046400 47600 30-Sep-99 Eli Lilly
549463107 LU 1118897.19 17246.97 30-Sep-99 Lucent Technologies
550818108 LCOS 1378788.51 27507 30-Sep-99 Lycos Inc
550819106 LDL 721875 70000 30-Sep-99 Lydall Inc
55268B106 WCOM 6065531.28 84390 30-Sep-99 MCI Worldcom
574670105 MSX 1621987.5 100200 30-Sep-99 Mascotech Inc
580135101 MCD 326800 7600 30-Sep-99 McDonalds Corp
583928106 TAXI 477900 23600 30-Sep-99 Medallion Financial Corp.
585055106 MDT 9251371 260602 30-Sep-99 Medtronic Inc
586263204 MRMY 17500 10000 30-Sep-99 Memry Corporation
587188103 MNTR 8434954.64 295963.32 30-Sep-99 Mentor Corporation Minnesota
589331107 MRK 7767778.18 119850 30-Sep-99 Merck & Co Inc
589602101 KITS 80000 10000 30-Sep-99 Meridian Diagnostics Inc.
594918104 MSFT 3078038.28 33988 30-Sep-99 Microsoft Corp.
595112103 MU 1333246.88 20030 30-Sep-99 Micron Technology Inc
604059105 MMM 1221626.82 12717 30-Sep-99 Minnesota Mng & Mfg Co
607059102 MOB 7901822.5 78430 30-Sep-99 Mobil Corp
608554200 MOLXA 1389016.77 42903.99 30-Sep-99 Molex Inc., CL A
60886R103 MNC 1218750 50000 30-Sep-99 Monaco Coach Corp
611662107 MTC 1409513.51 39496 30-Sep-99 Monsanto Co
616880100 JPM 664249.5 5814 30-Sep-99 Morgan J P & Co Inc
617446448 MWD 9977996.12 111876.62 30-Sep-99 Morgan Stanley, Dean Witter
620076109 MOT 6476800 73600 30-Sep-99 Motorola Inc
637277104 NVH 990462.5 50150 30-Sep-99 National R.V. Holdings Inc
640522108 NTEC 1819500 121300 30-Sep-99 Neose Technologies, Inc
656569100 NT 7050342 138242 30-Sep-99 Nortel Networks Corporation
666807102 NOC 2224687.5 35000 30-Sep-99 Northrop Grumman Corp.
669930109 NOV 118750 100000 30-Sep-99 Novacare Inc
683399109 ONXX 165000 20000 30-Sep-99 Onyx Pharmaceuticals, Inc.
693475105 PNC 484725 9200 30-Sep-99 PNC Bank Corp
693499105 PPL 296767.38 10966 30-Sep-99 PP&L Resources Incpa
69361E107 PSCX 4082800 510350 30-Sep-99 PSC Inc
701630105 PRLX 1029356.25 66950 30-Sep-99 Parlex Corp.
703224105 POG 1553125 175000 30-Sep-99 Patina Oil & Gas Corp.
713448108 PEP 311575 10300 30-Sep-99 Pepsico Inc
716941109 PNU 280480.5 5652 30-Sep-99 Pharmacia & Upjohn
717081103 PFE 1418093.75 39460 30-Sep-99 Pfizer Inc
720035302 PCTL 677025 159300 30-Sep-99 Picturetel Corp
73755L107 POT 1822362.5 35300 30-Sep-99 Potash Corp of Saskatchewan
740065107 PPD 787500 20000 30-Sep-99 Prepaid Legal Services, Inc.
740459102 PMI 1515000 30000 30-Sep-99 Premark International Inc
742718109 PG 10912500 116400 30-Sep-99 Procter & Gamble Co
74835F102 QEDC 228375 29000 30-Sep-99 Quest Education Corp.
749360400 RCMT 434837.5 40450 30-Sep-99 RCM Technologies Inc
750459109 RSYS 964294 24568 30-Sep-99 Radisys Corp.
75281A109 RRC 1168234.37 236604.43 30-Sep-99 Range Resources Corp.
754212108 RAVN 558853.02 35203.34 30-Sep-99 Raven Industries
770323103 RHI 573600 23900 30-Sep-99 Robert Half International Inc.
775371107 ROH 1463878.95 40522.6 30-Sep-99 Rohm & Hass Co
780257705 RD 346500 5600 30-Sep-99 Royal Dutch Petro
78462K102 SPSS 549498.15 28270 30-Sep-99 SPSS, Inc
790849103 STJ 2973600 94400 30-Sep-99 Saint Jude Medical
803111103 SLE 355500 15168 30-Sep-99 Sara Lee Corp
806605101 SGP 4598075 105400 30-Sep-99 Schering Plough Corp
808513105 SCH 202125 6000 30-Sep-99 Charles Schwab Corp
811804103 SEG 591600.01 19200 30-Sep-99 Seagate Technology
81211K100 SEE 1509870.39 29425 30-Sep-99 Sealed Air Corp
814208104 SDTI 1371087.5 50200 30-Sep-99 Security Dynamics Tech Inc.
817565104 SRV 126750 12000 30-Sep-99 Service Corp Intl
835415100 SNT 3167062.5 79800 30-Sep-99 Sonat Inc
852061100 FON 8601012 158544 30-Sep-99 Sprint Corporation
852061506 PCS 2571362.41 34486 30-Sep-99 Sprint Corporation
859151102 STRC 116250 15000 30-Sep-99 Sterile Recoveries Inc.
859152100 STE 713405 51884 30-Sep-99 Steris Corp.
863111100 STRT 315000 9000 30-Sep-99 Strattec Security Corp
86663B102 SNBC 160000 10000 30-Sep-99 Sun Bancorp Inc -NJ
866810104 SUNW 14461500 155500 30-Sep-99 Sun Microsystems
866942105 SNHY 110625 15000 30-Sep-99 Sun Hydraulics Corp.
871503108 SYMC 1140209.39 31700 30-Sep-99 Symantec Corp
87157J106 SCOR 10134000 270240 30-Sep-99 Syncor Intl Corp New
871873105 SCTC 1944675.02 154800 30-Sep-99 Systems & Computer Tech. Corp.
872391107 THRD 145000 10000 30-Sep-99 TF Financial Corp
878377100 TECH 746725 23800 30-Sep-99 Techne Corp
878409101 TCCO 122000 48800 30-Sep-99 Technical Communications
882508104 TXN 1036350 12600 30-Sep-99 Texas Instrs Inc
883203101 TXT 5485887.5 70900 30-Sep-99 Textron Inc
889542106 TLGD 1531875 57000 30-Sep-99 Tollgrade Communications Inc
893414102 TNI 2166600 55200 30-Sep-99 Transaction Network Services
89363A101 TRII 198400 102400 30-Sep-99 Transcrypt International Inc.
895930105 TGN 3139076.73 136853.48 30-Sep-99 Trigen Energy
899896104 TUP 810000 40000 30-Sep-99 Tupperware Corp
90331R101 UFS 1814040 100780 30-Sep-99 U.S. Foodservice
904677101 UFI 12582012.08 1143819.28 30-Sep-99 Unifi Inc.
905581104 UK 477225 8400 30-Sep-99 Union Carbide Corp
909420101 UAM 1339850.05 69602.6 30-Sep-99 United Asset Mgmt Cp
910581107 UNH 4445168.76 91300 30-Sep-99 United Healthcare Corp
912889102 USW 322016.75 6163 30-Sep-99 U S West
913017109 UTX 876994.63 14786 30-Sep-99 United Technologies Corp
920355104 VAL 2402531.26 73500 30-Sep-99 Valspar Corp
92844S105 VISX 2966015.63 37500 30-Sep-99 VISX, Inc.
92857T107 VOD 5868858.75 24685 30-Sep-99 Vodafone Airtouch PLC -SP ADR
934488107 WLA 3624075 54600 30-Sep-99 Warner Lambert Co
949746101 WFC 2197206.25 55450 30-Sep-99 Wells Fargo & Co.
950590109 WEN 4618262.5 175100 30-Sep-99 Wendys Intl Inc
966837106 WFMI 2317240.1 70823 30-Sep-99 Whole Foods Market Inc
969457100 WMB 6746237.5 180200 30-Sep-99 Williams Cos Inc Del
970646105 WLFC 2136375.01 162000 30-Sep-99 Willis Lease Finance Corp
973149107 WIND 636500 33500 30-Sep-99 Wind River Systems
974637100 WGO 2240550 93600 30-Sep-99 Winnebago Industries
981809106 WFDS 2527946.48 175857.13 30-Sep-99 Worthington Foods
D1668R123 DCX 4765776.86 68634.05 30-Sep-99 Daimler Chrysler AG
G56462107 LOR 1907812.5 111000 30-Sep-99 Loral Space & Communications
554106841 19238475.14
</TABLE>
