UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 13F
Form 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: June 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: 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: James R. Rutherford
Title:
Phone: (212) 983-5080
Signature, Place, and Date of Signing:
James R. Rutherford New York, NY 8/4/99
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 managers.
[ ] 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).)
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: 132
Form 13F Information Table Value Total: 1,027,872
(thousands)
List of Other Included Managers:
NONE
<PAGE>
<TABLE>
Form 13F INFORMATION TABLE
<CAPTION>
TITLE OF VALUE SH/PRN SH/ PUT/ INVSTMT VOTING AUTHORITY
NAME OF ISSUER CLASS CUSIP X1000 AMOUNT PRN CALL DSCRETN MGRS SOLE SHARED NONE
<C> <C>
Abbott Laboratories Com 002824100 9004 198441 SH SOLE 42795 155646
Aegon NV Ord Amer Reg Com 007924103 254 3436 SH SOLE 3436
Albertsons, Inc. Com 013104104 223 4320 SH SOLE 1200 3120
Allied Signal, Inc. Com 019512102 30851 489694 SH SOLE 111894 377800
America Online, Inc. Com 02364J104 5333 48480 SH SOLE 4780 43700
American Express Co. Com 025816109 241 1850 SH SOLE 1600 250
American Home Products Com 026609107 5445 94903 SH SOLE 2403 92500
American International Com 026874107 20045 170957 SH SOLE 44176 126781
Group
American Telephone & Com 001957109 610 10930 SH SOLE 10930
Telegraph Co.
Ameritech Com 030954101 1131 15389 SH SOLE 800 14589
Amgen, Inc. Com 031162100 962 15800 SH SOLE 3600 12200
Amnex, Inc. Com 031674203 16 75000 SH SOLE 75000
Anadarko Petroleum Com 032511107 10722 291250 SH SOLE 76600 214650
Applied Materials, Com 038222105 1758 23800 SH SOLE 23320 480
Inc.
Armstrong World Com 042476101 1096 18964 SH SOLE 18964
Industries, Inc.
Associates First Cl A 046008108 499 11306 SH SOLE 10488 818
Capital Cl A
Astrazeneca Plc ADR 046353108 339 8649 SH SOLE 8649
Sponsored ADR
Atlantic Richfield Com 048825103 1253 15000 SH SOLE 400 14600
Automatic Data Com 053015103 23630 537045 SH SOLE 92445 444600
Processing
Bank of New York, Inc. Com 064057102 344 9380 SH SOLE 9380
BankAmerica Corp. Com 066050105 549 7490 SH SOLE 1564 5926
(New)
Bell Atlantic Corp. Com 077853109 390 5972 SH SOLE 1082 4890
Bellsouth Corp. Com 079860102 873 18922 SH SOLE 524 18398
Berkshire Hathaway, Cl B 084670207 894 399 SH SOLE 105 294
Inc. Cl B
BP Amoco PLC ADS ADS 110889409 9904 91285 SH SOLE 23501 67783
Bristol-Myers Squibb Com 110122108 6738 95656 SH SOLE 10606 85050
Cambridge Technology Com 132524109 1159 66000 SH SOLE 32200 33800
Partners
Cardinal Health, Inc. Com 14149y108 297 4637 SH SOLE 4637
Carnival Corp. Com 143658102 14904 307300 SH SOLE 107330 199970
Charles Schwab Corp. Com 808513105 1553 14250 SH SOLE 14250
Chevron Corp. Com 166751107 1939 20392 SH SOLE 450 19942
Chubb Corp. Com 171232101 873 12562 SH SOLE 12562
Cisco Systems Com 17275R102 99050 153714 SH SOLE 385140 115200
5 5
Citigroup Com 172967101 4260 89684 SH SOLE 21757 67926
Clorox Co. Com 189054109 537 5025 SH SOLE 2000 3025
Coca Cola Co. Com 191216100 5484 88452 SH SOLE 42552 45900
Colgate-Palmolive Co. Com 194162103 18454 187350 SH SOLE 97700 89650
Computer Associates Com 204912109 27916 509877 SH SOLE 144573 365304
International
Computer Sciences Com 205363104 35429 512070 SH SOLE 117030 395040
Corp.
Conoco, Inc. Cl A Cl A 208251306 787 28250 SH SOLE 6500 21750
Dayton Hudson Corp Com 239753106 8531 131250 SH SOLE 50250 81000
Dell Computer Corp. Com 247025109 363 9800 SH SOLE 9800
Developers Diversified Com 251591103 2138 126700 SH SOLE 20500 106200
Realty
Dow Chemical Co. Com 260543103 444 3500 SH SOLE 3500
DuPont de Nemours Com 263534109 2203 32255 SH SOLE 2029 30226
Eli Lilly & Co. Com 532457108 17165 239654 SH SOLE 82504 157150
EMC Corp. Com 268648102 275 5000 SH SOLE 5000
Emerson Electric Co. Com 291011104 1032 16400 SH SOLE 600 15800
Engelhard Corp. Com 292845104 294 13000 SH SOLE 13000
Equifax, Inc. Com 294429105 6214 174135 SH SOLE 60320 113815
Equity Residential Com 29476L107 11065 245550 SH SOLE 40350 205200
Properties
Europe Fund, Inc. Com 29874M103 317 18350 SH SOLE 7500 10850
Exxon Corp. Com 302290101 27504 356621 SH SOLE 38427 318194
Fannie Mae Com 313586109 14706 215475 SH SOLE 76050 139425
First Data Corp. Com 319963104 5458 111524 SH SOLE 25030 86494
First Union Corp. Com 337358105 786 16686 SH SOLE 14256 2430
Franklin Resources, Com 354613101 20125 495380 SH SOLE 117120 378260
Inc.
Freddie Mac Com 313400301 342 5900 SH SOLE 4600 1300
General Electric Co. Com 369604103 27768 245733 SH SOLE 46029 199704
Gillette Company Com 375766102 17692 431513 SH SOLE 95100 336413
Goldman Sachs Group Com 38141G104 3564 49333 SH SOLE 17800 31533
Com
GTE Co. Com 362320103 3052 40427 SH SOLE 4482 35945
Halliburton Co. Com 406216101 2955 65300 SH SOLE 31600 33700
Heinz Company Com 423074103 414 8250 SH SOLE 750 7500
Hewlett-Packard Co. Com 428236103 2876 28616 SH SOLE 8160 20456
Home Depot, Inc. Com 437076102 1630 25300 SH SOLE 19400 5900
Household Com 441815107 1350 28500 SH SOLE 28500
International
Illinois Took Works, Com 452308109 343 4200 SH SOLE 1000 3200
Inc.
IMS Health, Inc. Com 449934108 3561 113950 SH SOLE 28900 85050
Intel Corporation Com 458140100 67150 112856 SH SOLE 235352 893216
8
International Business Com 459200101 5276 40822 SH SOLE 10760 30062
Machines
International Flavors Com 459506101 220 5011 SH SOLE 5011
& Fragrances
Ipalco Enterprises Com 462613100 227 10700 SH SOLE 2100 8600
J.P. Morgan & Co., Com 616880100 801 5700 SH SOLE 5700
Inc.
Johnson & Johnson Com 478160104 15460 157750 SH SOLE 39600 118150
Kellogg Company Com 487836108 211 6400 SH SOLE 6400
KLA-Tencor Corp. Com 482480100 318 4900 SH SOLE 4900
Lucent Technologies Com 549463107 1585 23504 SH SOLE 1768 21736
Marsh & Mclennan Co. Com 571748102 431 5700 SH SOLE 5700
May Dept. Stores Com 577778103 273 6669 SH SOLE 2619 4050
McDonalds Corp. Com 580135101 2126 51700 SH SOLE 11300 40400
McGraw Hill Companies, Com 580645109 334 6200 SH SOLE 4400 1800
Inc.
MCI Worldcom, Inc. Com 55268B106 20306 235942 SH SOLE 68812 167130
Medtronic, Inc. Com 585055106 32249 414111 SH SOLE 91480 322631
Mellon Bank Corp. Com 585509102 604 16600 SH SOLE 2100 14500
Merck & Co., Inc. Com 589331107 15562 211372 SH SOLE 40672 170700
Merrill Lynch & Co., Com 590188108 549 6900 SH SOLE 6900
Inc.
Microsoft Corp. Com 594918104 10270 113882 SH SOLE 222520 916301
7 1
Minnesota Mining & Com 604059105 500 5750 SH SOLE 700 5050
Manufacturing
Mobil Corp. Com 607059102 9616 97376 SH SOLE 3584 93792
National City Corp. Com 635405103 231 3528 SH SOLE 3528
Network Appliance Inc Com 64120L104 3411 61050 SH SOLE 27150 33900
Nokia Corp. Sponsored ADR 654902204 2735 29866 SH SOLE 27900 1966
ADR
Norfolk Southern Com 655844108 237 7868 SH SOLE 740 7128
Oracle Corp. Com 68389X105 6412 172714 SH SOLE 61148 111566
Parker Hannifin Corp. Com 701094104 254 5550 SH SOLE 5550
Peapack-Gladstone Com 704692102 1589 30561 SH SOLE 30561
Financial Corp.
Peoplesoft, Inc. Com 712713106 12714 737067 SH SOLE 192950 544117
PepsiCo Com 713448108 1795 46400 SH SOLE 7650 38750
Pfizer, Inc. Com 717081103 32470 297893 SH SOLE 71731 226162
Philip Morris Cos. Com 718154107 1469 36550 SH SOLE 2700 33850
PPG Industries, Inc. Com 693506107 315 5332 SH SOLE 5332
Procter & Gamble Co. Com 742718109 2166 24266 SH SOLE 3500 20766
Providian Financial Com 744061102 4031 43225 SH SOLE 27100 16125
Corp. (New)
Quaker Oats Co. Com 747402105 531 8000 SH SOLE 8000
Reuters Group PLC ADR ADR 76132m102 256 3160 SH SOLE 258 2902
Royal Dutch Petroleum Com 780257705 946 15704 SH SOLE 2640 13064
Co.
Sap Aktiengesellschaft ADR 803054204 582 16800 SH SOLE 15300 1500
Sponsored ADR
SBC Communications, Com 78387G103 642 11076 SH SOLE 1832 9244
Inc.
Schering-Plough Corp. Com 806605101 31432 598709 SH SOLE 209087 389622
Schlumberger Ltd. Com 806857108 795 12478 SH SOLE 2900 9578
Southern Mineral Corp Sb Db Cv 843367aa3 14 50000 PRN SOLE 50000
Sub Deb Cv
Staples, Inc. Com 855030102 2416 78083 SH SOLE 33433 44650
State Street Corp. Com 857477103 39836 466600 SH SOLE 89000 377600
SYSCO Corp. Com 871829107 227 7600 SH SOLE 5500 2100
Tellabs, Inc. Com 879664100 581 8600 SH SOLE 8600
Textron, Inc. Com 883203101 263 3200 SH SOLE 3200
Time Warner, Inc. Com 887315109 3970 54668 SH SOLE 17920 36748
Transaction Systems Cl A 893416107 6619 169725 SH SOLE 70800 98925
Architects Cl A
Tyco Intl Ltd Com 902124106 236 2493 SH SOLE 1576 917
Unilever N.V. Com 904784501 834 11960 SH SOLE 11960
United Technologies Com 913017109 360 5000 SH SOLE 5000
Corp.
Vodafone AirTouch PLC ADS 92857T107 20431 103713 SH SOLE 40215 63498
ADS
Wal-Mart Stores Com 931142103 709 14700 SH SOLE 4000 10700
Walt Disney Co. Com 254687106 15950 517632 SH SOLE 89060 428572
Warner-Lambert Co. Com 934488107 1258 18200 SH SOLE 15700 2500
Wells Fargo & Co. Com 669380107 308 7200 SH SOLE 7200
Weyerhaeuser Co. Com 962166104 1596 23208 SH SOLE 23208
Williams Cos., Inc. Com 969457100 792 18600 SH SOLE 17400 1200
Xerox Corp. Com 984121103 319 5400 SH SOLE 5400
XL Capital Ltd. Com G3242A102 1141 20200 SH SOLE 20200
Zions Bancorp Com 889701108 18579 292575 SH SOLE 70550 222025
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