United States
Securities and Exchange Commission
Washington, DC 20549
Form 13F
Form 13F Cover Page
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: Barrett Associates, Inc.
Address: 565 Fifth Avenue, 25th Floor
New York, NY 10017
Form 13F File Number: 28-3658
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: Robert E. Harvey
Title: President
Phone: (212) 983-5080
Signature, Place and Date of Signing:
Robert E. Harvey New York, NY 11/8/1999
Report Type (Check only one.):
[x] 13F HOLDINGS REPORT.
[ ] 13F NOTICE.
[ ] 13F COMBINATION REPORT.
I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934.
<PAGE>
Form 13F SUMMARY PAGE
Report Summary:
Number of Other Included managers: 0
Form 13F Information Table Entry Total: 134
Form 13F Table Value Total: 18,656,448
(thousands)
List of Other Included Managers: NONE
<PAGE>
<TABLE>
Form 13F INFORMATION TABLE
<CAPTION>
TITLE OF VALUE SHARES/ SH/ PUT/ INVSTMT VOTING AUTHORITY
NAME OF ISSUER CLASS CUSIP X $1000 PRN AMT PRN CALL DSCRETN MGRS SOLE SHARED NONE
<C> <C>
D Abbott Laboratories Com 002824100 7,093 193,341 SH SOLE 43,395 149,946
D Aegon NV Ord Amer Reg Com 007924103 297 3,436 SH SOLE 3,436
D Allied Signal, Inc. Com 019512102 29,366 489,944 SH SOLE 112,054 377,890
D America Online, Inc. Com 02364J104 12,951 124,455 SH SOLE 21,680 102,775
D American Express Co. Com 025816109 439 3,250 SH SOLE 3,000 250
D American Home Products Com 026609107 3,999 96,358 SH SOLE 3,458 92,900
D American International Group Com 026874107 21,403 246,194 SH SOLE 68,404 177,790
D American Telephone & Telegraph Com 001957109 513 11,792 SH SOLE 1,062 10,730
D Ameritech Com 030954101 1,027 15,389 SH SOLE 800 14,589
D Amgen, Inc. Com 031162100 1,414 17,352 SH SOLE 5,152 12,200
D Amnex, Inc. Com 031674203 16 75,000 SH SOLE 75,000
D Anadarko Petroleum Com 032511107 8,969 293,450 SH SOLE 76,200 217,250
D Applied Materials, Inc. Com 038222105 1,700 21,888 SH SOLE 21,408 480
D Armstrong World Industries, IncCom 042476101 852 18,964 SH SOLE 18,964
D Associates First Capital Cl A Cl A 046008108 353 9,806 SH SOLE 8,988 818
D Atlantic Richfield Com 048825103 1,347 15,200 SH SOLE 600 14,600
D Automatic Data Processing Com 053015103 24,756 554,745 SH SOLE 92,445 462,300
D Bank of New York, Inc. Com 064057102 344 10,291 SH SOLE 911 9,380
D BankAmerica Corp. (New) Com 066050105 448 8,040 SH SOLE 2,114 5,926
D BankBoston Corp. Com 06605r106 336 7,740 SH SOLE 6,240 1,500
D Barrett International Shares Com 811165109 23,186 419,729 SH SOLE 87,813 331,916
D Bell Atlantic Corp. Com 077853109 425 6,308 SH SOLE 1,582 4,726
D Bellsouth Corp. Com 079860102 851 18,922 SH SOLE 524 18,398
D Berkshire Hathaway, Inc. Cl B Cl B 084670207 774 417 SH SOLE 118 299
D BP Amoco PLC ADS ADS 110889409 10,906 98,421 SH SOLE 25,290 73,131
D Bristol-Myers Squibb Com 110122108 6,523 96,633 SH SOLE 11,583 85,050
D Cambridge Technology Partners Com 132524109 363 25,000 SH SOLE 17,700 7,300
D Cardinal Health, Inc. Com 14149y108 253 4,637 SH SOLE 4,637
D Carnival Corp. Com 143658102 13,612 312,925 SH SOLE 107,130 205,795
D Charles Schwab Corp. Com 808513105 863 25,800 SH SOLE 25,800
D Chevron Corp. Com 166751107 1,790 20,169 SH SOLE 927 19,242
D Chubb Corp. Com 171232101 501 10,100 SH SOLE 10,100
D Cisco Systems Com 17275R102 104138 1518880 SH SOLE 379020 1139860
D Citigroup Com 172967101 3,757 85,385 SH SOLE 19,084 66,301
D Clorox Co. Com 189054109 765 20,000 SH SOLE 8,400 11,600
D Coca Cola Co. Com 191216100 3,924 81,322 SH SOLE 42,322 39,000
D Colgate-Palmolive Co. Com 194162103 17,513 382,800 SH SOLE 197,700 185,100
D Computer Associates InternationCom 204912109 24,520 401,152 SH SOLE 113,348 287,804
D Computer Sciences Corp. Com 205363104 36,277 515,945 SH SOLE 116,630 399,315
D Conoco, Inc. Cl A Cl A 208251306 888 32,000 SH SOLE 6,500 25,500
D Dayton Hudson Corp Com 239753106 8,907 148,300 SH SOLE 56,250 92,050
D Dell Computer Corp. Com 247025109 410 9,800 SH SOLE 9,800
D Developers Diversified Realty Com 251591103 1,435 102,500 SH SOLE 20,500 82,000
D Dow Chemical Co. Com 260543103 398 3,500 SH SOLE 3,500
D DuPont de Nemours Com 263534109 2,035 33,632 SH SOLE 3,406 30,226
D Eli Lilly & Co. Com 532457108 16,118 251,104 SH SOLE 82,104 169,000
D EMC Corp. Com 268648102 368 5,150 SH SOLE 150 5,000
D Emerson Electric Co. Com 291011104 1,063 16,822 SH SOLE 1,022 15,800
D Equifax, Inc. Com 294429105 4,899 174,185 SH SOLE 60,320 113,865
D Equities Enterprises, Inc. Com 29459V106 644 161,055 SH SOLE 161,055
D Equity Residential Properties Com 29476L107 10,945 258,300 SH SOLE 39,850 218,450
D Europe Fund, Inc. Com 29874M103 238 14,300 SH SOLE 6,800 7,500
D Exxon Corp. Com 302290101 26,944 354,521 SH SOLE 38,127 316,394
D Fannie Mae Com 313586109 13,778 219,786 SH SOLE 79,361 140,425
D Federal Home Ln Mtg Cp Com 313400301 307 5,900 SH SOLE 4,600 1,300
D First Data Corp. Com 319963104 4,766 108,624 SH SOLE 22,130 86,494
D First Union Corp. Com 337358105 594 16,686 SH SOLE 14,256 2,430
D Franklin Resources, Inc. Com 354613101 14,922 488,230 SH SOLE 115,220 373,010
D Gannett Co., Inc. Com 364730101 221 3,200 SH SOLE 1,200 2,000
D General Electric Co. Com 369604103 29,886 252,067 SH SOLE 50,513 201,554
D Gillette Company Com 375766102 14,113 415,863 SH SOLE 90,700 325,163
D Goldman Sachs Group Com Com 38141G104 3,395 55,658 SH SOLE 19,000 36,658
D GTE Co. Com 362320103 3,037 39,502 SH SOLE 4,857 34,645
D Halliburton Co. Com 406216101 3,112 75,900 SH SOLE 30,900 45,000
D Heinz Company Com 423074103 391 9,100 SH SOLE 1,600 7,500
D Hewlett-Packard Co. Com 428236103 2,677 29,504 SH SOLE 9,048 20,456
D Home Depot, Inc. Com 437076102 1,862 27,133 SH SOLE 21,233 5,900
D Honeywell, Inc. Com 438506107 685 6,150 SH SOLE 1,750 4,400
D Houghton Mifflin Co. Com 441560109 421 10,366 SH SOLE 10,366
D Household International Com 441815107 1,144 28,500 SH SOLE 28,500
D Illinois Took Works, Inc. Com 452308109 313 4,200 SH SOLE 1,000 3,200
D IMS Health, Inc. Com 449934108 3,602 157,900 SH SOLE 42,400 115,500
D Intel Corporation Com 458140100 83,899 1,128,996SH SOLE 235,040 893,956
D International Business MachinesCom 459200101 4,946 40,880 SH SOLE 10,760 30,120
D J.P. Morgan & Co., Inc. Com 616880100 697 6,100 SH SOLE 400 5,700
D Johnson & Johnson Com 478160104 14,642 159,373 SH SOLE 41,523 117,850
D Kimberly-Clark Corp. Com 494368103 207 3,920 SH SOLE 3,920
D KLA-Tencor Corp. Com 482480100 319 4,900 SH SOLE 4,900
D Lowes Companies, Inc. Com 548661107 205 4,200 SH SOLE 4,200
D Lucent Technologies Com 549463107 1,775 27,364 SH SOLE 5,628 21,736
D Marsh & Mclennan Co. Com 571748102 390 5,700 SH SOLE 5,700
D McDonalds Corp. Com 580135101 2,311 53,444 SH SOLE 13,044 40,400
D McGraw Hill Companies, Inc. Com 580645109 285 5,900 SH SOLE 4,200 1,700
D MCI Worldcom, Inc. Com 55268B106 21,097 293,517 SH SOLE 79,262 214,255
D Medtronic, Inc. Com 585055106 30,083 845,911 SH SOLE 186,260 659,651
D Mellon Financial Corp Com 585509102 316 9,400 SH SOLE 2,100 7,300
D Merck & Co., Inc. Com 589331107 14,195 219,013 SH SOLE 48,313 170,700
D Merrill Lynch & Co., Inc. Com 590188108 465 6,900 SH SOLE 6,900
D Microsoft Corp. Com 594918104 102,494 1,131,754SH SOLE 224,486 907,268
D Minnesota Mining & ManufacturinCom 604059105 596 6,205 SH SOLE 1,155 5,050
D Mobil Corp. Com 607059102 9,719 96,470 SH SOLE 4,278 92,192
D Network Appliance Inc Com 64120L104 4,351 60,750 SH SOLE 26,850 33,900
D Nokia Corp. Sponsored ADR ADR 654902204 2,887 32,121 SH SOLE 28,955 3,166
D Oracle Corp. Com 68389X105 10,788 237,094 SH SOLE 83,323 153,771
D Peapack-Gladstone Financial CorCom 704692102 1,572 32,089 SH SOLE 32,089
D Peoplesoft, Inc. Com 712713106 10,576 624,400 SH SOLE 170,900 453,500
D PepsiCo Com 713448108 1,393 45,688 SH SOLE 8,938 36,750
D Pfizer, Inc. Com 717081103 33,280 927,654 SH SOLE 216,443 711,211
D Philip Morris Cos. Com 718154107 1,281 37,466 SH SOLE 3,616 33,850
D PPG Industries, Inc. Com 693506107 344 5,726 SH SOLE 394 5,332
D Procter & Gamble Co. Com 742718109 2,302 24,554 SH SOLE 3,788 20,766
D Providian Financial Corp. (New)Com 744061102 3,728 47,075 SH SOLE 29,100 17,975
D Quaker Oats Co. Com 747402105 495 8,000 SH SOLE 8,000
D Reuters Group PLC ADR ADR 76132m102 233 3,376 SH SOLE 474 2,902
D Royal Dutch Petroleum Co. Com 780257705 1,117 18,904 SH SOLE 5,840 13,064
D Sap Aktiengesellschaft Spons ADADR 803054204 634 16,800 SH SOLE 15,300 1,500
D SBC Communications, Inc. Com 78387G103 583 11,427 SH SOLE 2,183 9,244
D Schering-Plough Corp. Com 806605101 26,311 603,125 SH SOLE 212,913 390,212
D Schlumberger Ltd. Com 806857108 818 13,128 SH SOLE 3,550 9,578
D Seligman Common Stock Fund Com 816332100 1,035 69,399 SH SOLE 69,399
D Southern Mineral Corp Sub Deb CSb Deb 843367AA3 17 50,000 PRN SOLE 50,000
D Staples, Inc. Com 855030102 4,164 190,883 SH SOLE 78,433 112,450
D State Street Corp. Com 857477103 32,178 497,925 SH SOLE 97,250 400,675
D SYSCO Corp. Com 871829107 266 7,600 SH SOLE 5,500 2,100
D T. Rowe Price Int'l Stock Fund Com 77956H203 240 14,854 SH SOLE 14,854
D Tellabs, Inc. Com 879664100 490 8,600 SH SOLE 8,600
D Textron, Inc. Com 883203101 248 3,200 SH SOLE 3,200
D Time Warner, Inc. Com 887315109 3,370 55,468 SH SOLE 17,720 37,748
D Transaction Sys Architects Cl ACl A 893416107 4,537 168,425 SH SOLE 66,900 101,525
D Tyco Intl Ltd Com 902124106 464 4,491 SH SOLE 3,574 917
D Unilever N.V. Com 904784501 815 11,960 SH SOLE 11,960
D United Technologies Corp. Com 913017109 297 5,000 SH SOLE 5,000
D Vodafone AirTouch PLC ADS ADS 92857T107 24,192 101,752 SH SOLE 39,635 62,117
D Wal-Mart Stores Com 931142103 835 17,555 SH SOLE 6,555 11,000
D Walt Disney Co. Com 254687106 11,840 455,388 SH SOLE 89,116 366,272
D Warner-Lambert Co. Com 934488107 1,135 17,100 SH SOLE 15,200 1,900
D Wells Fargo & Co. Com 669380107 523 13,190 SH SOLE 5,990 7,200
D Westwood One Inc Com 961815107 226 5,000 SH SOLE 5,000
D Weyerhaeuser Co. Com 962166104 821 14,245 SH SOLE 14,245
D Weyerhaeuser Co. B Com 962166104 499 8,663 SH SOLE 8,663
D Williams Cos., Inc. Com 969457100 712 18,933 SH SOLE 17,733 1,200
D Xerox Corp. Com 984121103 226 5,400 SH SOLE 5,400
D XL Capital Ltd. Com G3242A102 882 19,600 SH SOLE 19,600
D Zions Bancorp Com 889701108 17,192 311,875 SH SOLE 72,450 239,425
</TABLE>
