|
|
|
|
|
|
|
|
|
|
|
|
|
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, 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: Philip V. Swan Associates, LLC
Address: 527 South Lake Avenue,
Suite 104
Pasadena, CA 91101
13F File Number: 28-4066
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 D. Gamb
Title: President
Phone: (626) 793-0377
Signature, Place, and Date of Signing:
James D. Gamb Pasadena, California October 27, 1999
Report Type (Check only one):
[X] 13F HOLDINGS REPORT
[ ] 13F NOTICE
[ ] 13F COMBINATION REPORT
List of Other Managers Reporting for this Manager:
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: 202
Form 13F Information Table Value Total: $650,600
List of Other Included Managers:
NONE
<PAGE>
<TABLE>
FORM 13F
INFORMATION TABLE
VALUE SHARES/ SH/
PUT/ INVSTMT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN
CALL DSCRETN MANAGERS SOLE SHARED NONE
- ------------------------------ ---------------- --------- -------- -------- ---
- ---- ------- ------------ -------- -------- --------
<S> <C> <C> <C> <C> <C>
<C> <C> <C> <C> <C> <C>
Equity Resident Pptys Pfd A 9. pfd 29476l206 289 12000 SH
SOLE 12000
1/10th Berkshire Hathaway (10= com 220 40 SH
SOLE 40
A T & T Corp com 030177109 2041 46914 SH
SOLE 1312 45502
AES Corporation com 00130H105 722 12236 SH
SOLE 12236
Abbott Laboratories com 002824100 8802 239915 SH
SOLE 239915
748 20400 SH
OTHER 20400
Aegon NV ADR com 1285 14860 SH
SOLE 14860
Albemarle Corp. com 012653101 864 42912 SH
SOLE 42912
Albertson's Inc. com 013104104 2018 51000 SH
SOLE 51000
Allied Signal com 019512102 6362 106142 SH
SOLE 106142
American Greetings Cl A com 026375105 1418 55050 SH
SOLE 55050
American Home Products com 026609107 17712 426806 SH
SOLE 9000 417806
647 15600 SH
OTHER 15600
American International Group com 026874107 619 7121 SH
SOLE 7121
Ameritech Corp New com 030954101 1345 20154 SH
SOLE 20154
Amgen Inc. com 031162100 522 6400 SH
SOLE 6400
Anheuser Busch Cos Inc com 035229103 1587 22648 SH
SOLE 600 22048
Arlen Corp com 041327107 0 10000 SH
SOLE 10000
Associates First Capital com 046008108 3674 102043 SH
SOLE 6586 95457
Atlantic Richfield Co. com 048825103 3204 36155 SH
SOLE 4000 32155
Automatic Data Processing com 053015103 1839 41200 SH
SOLE 41200
Avery Dennison Corp com 053611109 2060 39052 SH
SOLE 39052
BP Amoco PLC Spons ADR com 055622104 4571 41250 SH
SOLE 41250
419 3780 SH
OTHER 3780
BRE Properties Class A com 05564E106 2420 101116 SH
SOLE 101116
Baldor Electric Co com 057741100 843 44523 SH
SOLE 6666 37857
Bank of America Corp com 066050105 5481 98419 SH
SOLE 706 97713
Baxter International com 071813109 733 12164 SH
SOLE 12164
223 3705 SH
OTHER 3705
Becton Dickinson & Co com 075887109 561 20000 SH
SOLE 20000
Bell Atlantic com 077853109 5569 82728 SH
SOLE 7894 74834
BellSouth Corp com 079860102 3451 76698 SH
SOLE 76698
426 9456 SH
OTHER 9456
Bemis Inc com 081437105 748 22086 SH
SOLE 22086
Berkshire Hathaway Inc com 084670108 16665 303 SH
SOLE 303
Berkshire Hathaway Inc. Class com 084670207 915 493 SH
SOLE 493
178 96 SH
OTHER 96
Bestfoods com 08658U101 2013 41452 SH
SOLE 512 40940
Blackrock 2001 Term Tr com 171 19000 SH
SOLE 19000
Boeing Company com 097023105 3245 76121 SH
SOLE 8020 68101
Bristol Myers Squibb com 110122108 16079 238204 SH
SOLE 8000 230204
Burlington Northern Santa Fe com 121897102 464 16860 SH
SOLE 16860
Burlington Resources com 122014103 440 11981 SH
SOLE 11981
C N Witco Corp com 279 18747 SH
SOLE 18747
Campbell Soup Co com 134429109 646 16504 SH
SOLE 16504
Caterpillar Inc. com 149123101 1696 30946 SH
SOLE 30946
Celeritek Inc. com 150926103 429 70000 SH
SOLE 70000
Chase Manhattan Bank com 16161A108 679 9012 SH
SOLE 9012
Chevron Corp com 166751107 9686 109134 SH
SOLE 5048 104086
Chris Craft Inds Inc com 170520100 1440 25662 SH
SOLE 25662
Chubb Corp com 171232101 246 4948 SH
SOLE 4948
Cisco Systems com 17275R102 4146 60473 SH
SOLE 60473
309 4500 SH
OTHER 4500
Citigroup Inc. com 172967101 1193 27117 SH
SOLE 27117
Coca-Cola Company com 191216100 3229 66926 SH
SOLE 6200 60726
Colgate-Palmolive Co. com 194162103 651 14224 SH
SOLE 14224
Comerica Inc com 200340107 281 5544 SH
SOLE 5544
Computer Sciences com 205363104 225 3200 SH
SOLE 3200
ConAgra Inc com 205887102 92 4088 SH
SOLE 4088
236 10464 SH
OTHER 10464
Conexant Systems Inc com 207142100 915 12600 SH
SOLE 12600
Costco Wholesale Corp com 22160Q102 396 5500 SH
SOLE 5500
Cox Communications Inc New A com 224044107 816 19548 SH
SOLE 19548
Crown Cork & Seal Company Inc com 228255105 432 17820 SH
SOLE 17820
Dana Corp com 235811106 2519 67840 SH
SOLE 67840
Deere & Co. com 244199105 532 13750 SH
SOLE 13750
Dow Chemical Co com 260543103 1026 9029 SH
SOLE 9029
Eastman Kodak Company com 277461109 641 8480 SH
SOLE 8480
Eaton Corp com 278058102 220 2550 SH
SOLE 2550
Edison International com 783882103 791 32534 SH
SOLE 1940 30594
41 1700 SH
OTHER 1700
Emerson Electric com 291011104 12804 202640 SH
SOLE 7000 195640
Enron Corp com 293561106 368 8964 SH
SOLE 922 8042
Equity Income Fund 1st exch AT com 294700703 1185 6025 SH
SOLE 6025
Ethyl Corp com 297659104 333 85824 SH
SOLE 85824
Exxon Corporation com 302290101 19600 257899 SH
SOLE 6100 251799
255 3350 SH
OTHER 3350
Fannie Mae com 313586109 11361 181224 SH
SOLE 4000 177224
81 1300 SH
OTHER 1300
Farmers & Merchants Bank com 308243104 1498 535 SH
SOLE 535
Federal Signal com 313855108 2586 130100 SH
SOLE 12000 118100
First American Bank Rosemead com 318514106 124 21504 SH
SOLE 21504
First Security Corp com 336294103 977 41077 SH
SOLE 41077
Firstar Corp com 33763V109 234 9150 SH
SOLE 9150
Ford Motor Co. com 345370100 4995 99396 SH
SOLE 5620 93776
GTE Corp com 362320103 2370 30825 SH
SOLE 785 30040
Gannett & Co. com 364730101 7330 105940 SH
SOLE 6600 99340
General Electric com 369604103 43053 363127 SH
SOLE 6600 356527
Georgia-Pacific Corp com 373298108 1622 40122 SH
SOLE 40122
Georgia-Pacific Corp Timber Gr com 373298702 459 20061 SH
SOLE 20061
Gillette Company com 375766102 1298 38250 SH
SOLE 38250
Goodyear Tire & Rubber Co. com 382550101 209 4350 SH
SOLE 4350
H.J. Heinz com 423074103 7153 166356 SH
SOLE 7800 158556
85 1970 SH
OTHER 1970
Hewlett Packard com 428236103 85694 944283 SH
SOLE 8400 935883
145 1600 SH
OTHER 1600
High Income Opportunity Fund I com 42967Q105 223 24395 SH
SOLE 24395
Home Depot Inc com 437076102 3483 50750 SH
SOLE 50750
Honeywell Inc com 438506107 629 5650 SH
SOLE 5650
IBM com 459200101 15880 131236 SH
SOLE 7000 124236
IMS Health Inc com 449934108 511 22400 SH
SOLE 7000 15400
Insignia Solutions PLC ADR com 45766j107 110 21000 SH
SOLE 21000
Intel Corp com 458140100 20108 270590 SH
SOLE 6000 264590
J.P. Morgan & Co. com 616880100 9506 83206 SH
SOLE 3700 79506
Johnson & Johnson com 478160104 13851 150763 SH
SOLE 5500 145263
Jostens com 481088102 752 39324 SH
SOLE 39324
Kellogg Co com 487836108 1601 42767 SH
SOLE 42767
333 8900 SH
OTHER 8900
KeyCorp com 493267108 3230 125146 SH
SOLE 12000 113146
Kimberly Clark Corporation com 494368103 456 8652 SH
SOLE 8652
Lilly Eli & Co com 532457108 497 7740 SH
SOLE 7740
Lockeed Martin com 539830109 750 22934 SH
SOLE 22934
Louisiana Pacific Corp com 546347105 1051 67278 SH
SOLE 67278
Lucent Technologies com 549463107 9091 140135 SH
SOLE 7224 132911
MBIA Inc com 55262C100 1436 30800 SH
SOLE 30800
MCI WorldCom Inc. com 50182L108 237 3300 SH
SOLE 3300
Marsh & McLennan Cos. Inc. com 571748102 13580 198255 SH
SOLE 7950 190305
May Department Stores com 577778103 1286 35281 SH
SOLE 35281
McDonalds Corp. com 580135101 16129 372924 SH
SOLE 12000 360924
1323 30600 SH
OTHER 30600
MediaOne Group Inc com 58440J104 428 6264 SH
SOLE 6264
Mellon Bank Corp. com 585509102 215 6400 SH
SOLE 6400
Merck & Company com 589331107 13274 204801 SH
SOLE 4000 200801
Meredith Corp. com 589433101 883 24320 SH
SOLE 24320
Microsoft Corp com 594918104 3661 40422 SH
SOLE 40422
217 2400 SH
OTHER 2400
Minnesota Mining & Manufacturi com 604059105 10224 106431 SH
SOLE 3860 102571
429 4470 SH
OTHER 4470
Mobil Corp. com 607059102 5424 53838 SH
SOLE 53838
484 4800 SH
OTHER 4800
Morgan Stanley Dean Witter & C com 24240V101 206 2314 SH
SOLE 2314
Motorola Inc. com 620076109 5751 65352 SH
SOLE 65352
97 1100 SH
OTHER 1100
National City Corporation com 635405103 694 26000 SH
SOLE 26000
National Data Corp com 635621105 276 10600 SH
SOLE 10600
Nestle Sponsored ADR com 641069406 754 8046 SH
SOLE 8046
New Plan Excel Realty com 648059103 2382 133750 SH
SOLE 133750
Nextlink Communication com 65333H707 889 17144 SH
SOLE 17144
Nordstrom Inc com 655664100 225 8328 SH
SOLE 8328
Northern States Power com 665772109 148 6880 SH
SOLE 6880
Northrop Grumman Corp com 666807102 1030 16200 SH
SOLE 16200
Nucor Corp. com 670346105 1617 33950 SH
SOLE 33950
Omnicom Group com 681919106 317 4000 SH
SOLE 4000
PE Corp - PE Biosystems Group com 714041100 246 3400 SH
SOLE 3400
PG&E com 694308107 264 10201 SH
SOLE 260 9941
PNC Bank Corp com 693475105 334 6347 SH
SOLE 6347
PPG Industries com 693506107 248 4128 SH
SOLE 4128
Pacific American Income Shs com 693796104 201 15683 SH
SOLE 15683
48 3733 SH
OTHER 3733
Pacificorp com 695114108 432 21481 SH
SOLE 359 21122
Pall Corp com 696429307 4617 199098 SH
SOLE 199098
Pepsico Incorporated com 713448108 2438 79947 SH
SOLE 79947
88 2900 SH
OTHER 2900
Pfizer Inc com 717081103 5546 154605 SH
SOLE 1500 153105
Philip Morris com 718154107 7438 217553 SH
SOLE 217553
154 4500 SH
OTHER 4500
Procter & Gamble com 742718109 15127 161350 SH
SOLE 161350
Qualcomm Inc. com 747525103 605 3200 SH
SOLE 3200
R.R. Donnelley & Sons Co. com 257867101 588 20362 SH
SOLE 20362
Rand McNally & Co. (new) com 1063 1063 SH
SOLE 1063
Republic New York com 760719104 2129 34650 SH
SOLE 34650
Reuters Group PLC Spons ADR com 761324201 346 5025 SH
SOLE 5025
Roche Holding Ltd. ADR com 771195104 208 1800 SH
SOLE 1800
Rockwell Intl Corp New com 774347108 2378 45300 SH
SOLE 5000 40300
Royal Dutch Pet Sh Gldr com 780257705 3051 51650 SH
SOLE 51650
SAFECO Corp com 786429100 731 26096 SH
SOLE 26096
SBC Communications Inc. com 845333103 5114 100158 SH
SOLE 8524 91634
Sara Lee Corp com 803111103 656 28050 SH
SOLE 28050
Schering Plough Corp com 806605101 6067 139062 SH
SOLE 139062
Schlumberger Limited com 806857108 7631 122456 SH
SOLE 6000 116456
Sigma-Aldrich com 826552101 8429 265477 SH
SOLE 9000 256477
SmithKline Beecham ADR F com 832378301 1223 21220 SH
SOLE 21220
380 6600 SH
OTHER 6600
Southwest Water com 845331107 590 28941 SH
SOLE 28941
Summa Industries Inc. com 86562T105 154 12000 SH
SOLE 12000
Sun Microsystems com 866810104 339 3650 SH
SOLE 3650
Sysco Corporation com 871829107 7893 225120 SH
SOLE 18000 207120
TECO Energy com 872375100 378 17890 SH
SOLE 17890
Tenet Inc. com 636886103 228 13000 SH
SOLE 13000
Texaco Inc com 881694103 564 8942 SH
SOLE 606 8336
Texas Instruments com 882508104 421 5120 SH
SOLE 5120
Time Warner Inc com 887315109 566 9320 SH
SOLE 9320
Times Mirror Co. Ser A (New) com 887364107 898 13642 SH
SOLE 13642
Tootsie Roll Industries com 890516107 1734 52745 SH
SOLE 52745
Tredegar Corporation com 894650100 825 38619 SH
SOLE 38619
Tyco International Ltd com 902124106 6213 60172 SH
SOLE 3000 57172
U.S. West Inc (new) com 91273h101 731 12806 SH
SOLE 834 11972
United Parcel Service Amer Inc com 911308104 1379 29332 SH
SOLE 29332
United Technologies Corp com 913017109 1595 26897 SH
SOLE 26897
Unocal com 915289102 3752 101226 SH
SOLE 101226
Vodafone Airtouch PLC ADS com 92857T107 4379 18419 SH
SOLE 2000 16419
Wal-Mart Stores com 931142103 304 6400 SH
SOLE 6400
Walgreen com 931422109 520 20500 SH
SOLE 20500
Walt Disney Co com 254687106 2464 94767 SH
SOLE 94767
Warner Lambert Co com 934488107 1288 19400 SH
SOLE 19400
358 5400 SH
OTHER 5400
Washington Mutual Inc. com 939322103 305 10423 SH
SOLE 10423
Wells Fargo com 949740104 2416 60960 SH
SOLE 60960
Wisconsin Energy Corp. com 976657106 209 8900 SH
SOLE 8900
Xerox Corp. com 984121103 541 12890 SH
SOLE 12890
du Pont (E.I.) De Nemours com 263534109 2185 36115 SH
SOLE 36115
Investment Company of America mfunds 461308108 710 22190.129SH
SOLE 22190.129
</TABLE>
|
|