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Previous: WORLD INVESTMENT SERIES INC, 485APOS, 2000-01-31 |
Next: ALGEMEEN BURGERLIJK PENSIOENFONDS, SC 13D, 2000-01-31 |
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
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 January 26, 2000
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: 215
Form 13F Information Table Value Total: $24021.683
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 256 12000 SH
SOLE 12000
1/10th Berkshire Hathaway (10= com 280 50 SH
SOLE 50
A T & T Corp com 001957109 2450 48214 SH
SOLE 1312 46802
AES Corporation com 00130H105 915 12236 SH
SOLE 12236
Abbott Laboratories com 002824100 8898 245045 SH
SOLE 244845
741 20400 SH
OTHER 20400
Aegon NV ADR com 007924103 1419 14860 SH
SOLE 14860
Albemarle Corp. com 012653101 823 42912 SH
SOLE 42912
Albertson's Inc. com 013104104 1697 52617 SH
SOLE 52417
16 500 SH
OTHER 500
America Online com 02364J104 228 3000 SH
SOLE 3000
American Express com 025816109 259 1556 SH
SOLE 1556
American Greetings Cl A com 026375105 1081 45750 SH
SOLE 45750
American Home Products com 026609107 16636 423857 SH
SOLE 9000 414857
612 15600 SH
OTHER 15600
American International Group com 026874107 986 9121 SH
SOLE 9121
Amgen Inc. com 031162100 784 13050 SH
SOLE 12950
Anheuser Busch Cos Inc com 035229103 1719 24248 SH
SOLE 600 23648
Aon Corp. com 037389103 231 5770 SH
SOLE 5770
Arlen Corp com 041327107 0 10000 SH
SOLE 10000
Associates First Capital com 046008108 2736 99723 SH
SOLE 6586 93137
Atlantic Richfield Co. com 048825103 3013 34835 SH
SOLE 4000 30835
Automatic Data Processing com 053015103 2295 42600 SH
SOLE 42600
Avery Dennison Corp com 053611109 2966 40702 SH
SOLE 40702
BP Amoco PLC Spons ADR com 055622104 4875 82190 SH
SOLE 82190
448 7560 SH
OTHER 7560
BRE Properties Class A com 05564E106 2227 98144 SH
SOLE 98144
Baldor Electric Co com 057741100 796 43923 SH
SOLE 6666 36757
Bank of America Corp com 066050105 4939 98419 SH
SOLE 706 97713
Baxter International com 071813109 777 12364 SH
SOLE 12364
233 3705 SH
OTHER 3705
Becton Dickinson & Co com 075887109 539 20000 SH
SOLE 20000
Bell Atlantic com 077853109 5173 84028 SH
SOLE 7894 76134
BellSouth Corp com 079860102 3584 76570 SH
SOLE 76570
443 9456 SH
OTHER 9456
Bemis Inc com 081437105 770 22086 SH
SOLE 22086
Berkshire Hathaway Inc com 084670108 16886 301 SH
SOLE 301
Berkshire Hathaway Inc. Class com 084670207 942 515 SH
SOLE 515
176 96 SH
OTHER 96
Bestfoods com 08658U101 2221 42252 SH
SOLE 512 41740
Biocontrol Technology Inc. com 090586108 1 12000 SH
SOLE 12000
Blackrock 2001 Term Tr com 092477108 167 19000 SH
SOLE 19000
Boeing Company com 097023105 3045 73473 SH
SOLE 8020 65453
Bristol Myers Squibb com 110122108 15025 234073 SH
SOLE 8000 226073
Burlington Northern Santa Fe com 121897102 409 16860 SH
SOLE 16860
Burlington Resources com 122014103 396 11981 SH
SOLE 11981
C N Witco Corp com 12562C108 251 18747 SH
SOLE 18747
Campbell Soup Co com 134429109 638 16504 SH
SOLE 16504
Caterpillar Inc. com 149123101 1445 30706 SH
SOLE 30706
Celeritek Inc. com 150926103 1170 60000 SH
SOLE 60000
Chase Manhattan Bank com 16161A108 688 8856 SH
SOLE 8856
Chevron Corp com 166751107 9436 108934 SH
SOLE 5048 103886
Chris Craft Inds Inc com 170520100 1851 25662 SH
SOLE 25662
Chubb Corp com 171232101 279 4948 SH
SOLE 4948
Cisco Systems com 17275R102 6875 64173 SH
SOLE 64123
482 4500 SH
OTHER 4500
Citigroup Inc. com 172967101 2447 43939 SH
SOLE 43939
Clorox Co. com 189054109 413 8200 SH
SOLE 8200
Coca-Cola Company com 191216100 3490 59908 SH
SOLE 6200 53708
Colgate-Palmolive Co. com 194162103 694 10684 SH
SOLE 10684
Comerica Inc com 200340107 259 5544 SH
SOLE 5544
Computer Sciences com 205363104 303 3200 SH
SOLE 3200
ConAgra Inc com 205887102 93 4088 SH
SOLE 4088
237 10464 SH
OTHER 10464
Conexant Systems Inc com 207142100 1659 25000 SH
SOLE 25000
Costco Wholesale Corp com 22160Q102 502 5500 SH
SOLE 5500
Cox Communications Inc New A com 224044107 1005 19522 SH
SOLE 19522
Crown Cork & Seal Company Inc com 228255105 381 17020 SH
SOLE 17020
Dana Corp com 235811106 2031 67840 SH
SOLE 67840
Deere & Co. com 244199105 570 13150 SH
SOLE 13150
Dow Chemical Co com 260543103 1166 8729 SH
SOLE 8729
EMC Corporation com 268648102 255 2338 SH
SOLE 2338
Eastman Kodak Company com 277461109 536 8089 SH
SOLE 8089
Edison International com 783882103 852 32534 SH
SOLE 1940 30594
45 1700 SH
OTHER 1700
Emerson Electric com 291011104 11762 205005 SH
SOLE 7000 197805
Enron Corp com 293561106 382 8604 SH
SOLE 922 7682
Equity Income Fund 1st exch AT com 294700703 1222 6025 SH
SOLE 6025
Ericsson Tel ADR com 294821301 215 3280 SH
SOLE 3280
Ethyl Corp com 297659104 300 85824 SH
SOLE 85824
Exxon Mobil Corp com 30231g102 26382 327473 SH
SOLE 6100 321373
780 9686 SH
OTHER 9686
Fannie Mae com 313586109 11440 183224 SH
SOLE 4000 179224
81 1300 SH
OTHER 1300
Farmers & Merchants Bank com 308243104 1351 535 SH
SOLE 535
Federal Signal com 313855108 1750 108967 SH
SOLE 12000 96567
18 1100 SH
OTHER 1100
First American Bank Rosemead com 318514106 118 21504 SH
SOLE 21504
First Security Corp com 336294103 1049 41077 SH
SOLE 41077
Ford Motor Co. com 345370100 5304 99496 SH
SOLE 5620 93876
GTE Corp com 362320103 2182 30925 SH
SOLE 785 30140
Gannett & Co. com 364730101 8690 106540 SH
SOLE 6600 99940
General Electric com 369604103 55441 358263 SH
SOLE 6600 351663
General Motors Corp. com 370442105 217 2992 SH
SOLE 744 2248
Georgia-Pacific Corp com 373298108 2036 40122 SH
SOLE 40122
Georgia-Pacific Corp Timber Gr com 373298702 494 20061 SH
SOLE 20061
Gillette Company com 375766102 1619 39307 SH
SOLE 39307
H.J. Heinz com 423074103 6685 167916 SH
SOLE 7800 160116
78 1970 SH
OTHER 1970
Hewlett Packard com 428236103 108177 951008 SH
SOLE 8400 942508
182 1600 SH
OTHER 1600
High Income Opportunity Fund I com 42967Q105 207 24395 SH
SOLE 24395
Home Depot Inc com 437076102 5234 76125 SH
SOLE 76125
Honeywell International Inc com 438506107 7079 122708 SH
SOLE 122708
IBM com 459200101 14481 134236 SH
SOLE 7000 127236
IMS Health Inc com 449934108 598 22000 SH
SOLE 7000 15000
Insignia Solutions PLC ADR com 45766j107 97 21000 SH
SOLE 21000
Intel Corp com 458140100 22628 274900 SH
SOLE 6000 268900
J.P. Morgan & Co. com 616880100 10656 84156 SH
SOLE 3700 80456
Johnson & Johnson com 478160104 14242 152730 SH
SOLE 5500 147180
Jostens com 481088102 929 38224 SH
SOLE 38224
K Mart com 482584109 101 10000 SH
SOLE 10000
Kellogg Co com 487836108 1318 42767 SH
SOLE 42767
274 8900 SH
OTHER 8900
KeyCorp com 493267108 2722 123046 SH
SOLE 12000 111046
Kimberly Clark Corporation com 494368103 566 8652 SH
SOLE 8652
Lilly Eli & Co com 532457108 543 8162 SH
SOLE 8162
Lockeed Martin com 539830109 502 22934 SH
SOLE 22934
Louisiana Pacific Corp com 546347105 946 67278 SH
SOLE 67278
Lucent Technologies com 549463107 11313 150837 SH
SOLE 7224 143563
MBIA Inc com 55262C100 1555 29450 SH
SOLE 29450
MCI WorldCom Inc. com 50182L108 355 6682 SH
SOLE 6682
Marsh & McLennan Cos. Inc. com 571748102 18899 197505 SH
SOLE 7950 189555
May Department Stores com 577778103 1060 32870 SH
SOLE 32870
McDonalds Corp. com 580135101 15052 373378 SH
SOLE 12000 361378
1234 30600 SH
OTHER 30600
MediaOne Group Inc com 58440J104 466 6064 SH
SOLE 6064
Mellon Bank Corp. com 585509102 233 6832 SH
SOLE 6832
Merck & Company com 589331107 14194 211263 SH
SOLE 4000 207163
Meredith Corp. com 589433101 1014 24320 SH
SOLE 24320
Microsoft Corp com 594918104 4976 42622 SH
SOLE 42622
280 2400 SH
OTHER 2400
Minnesota Mining & Manufacturi com 604059105 10309 105331 SH
SOLE 3860 101471
438 4470 SH
OTHER 4470
Monsanto Company com 611662107 299 8440 SH
SOLE 8440
Morgan Stanley Dean Witter & C com 24240V101 330 2314 SH
SOLE 2314
Motorola Inc. com 620076109 9485 64412 SH
SOLE 64412
162 1100 SH
OTHER 1100
National City Corporation com 635405103 616 26000 SH
SOLE 26000
National Data Corp com 635621105 388 11430 SH
SOLE 11430
Nestle Sponsored ADR com 641069406 736 8046 SH
SOLE 8046
New Plan Excel Realty com 648053106 2069 130817 SH
SOLE 130817
17 1100 SH
OTHER 1100
Nextlink Communication com 65333H707 1424 17144 SH
SOLE 17144
Nokia Corp ADR com 654902204 382 2000 SH
SOLE 2000
Nordstrom Inc com 655664100 219 8328 SH
SOLE 8328
Northern States Power com 665772109 134 6880 SH
SOLE 6880
Northrop Grumman Corp com 666807102 876 16200 SH
SOLE 16200
Nucor Corp. com 670346105 1880 34300 SH
SOLE 34300
Omnicom Group com 681919106 400 4000 SH
SOLE 4000
Oracle Systems Corp com 68389X105 344 3069 SH
SOLE 3019
PE Corp - PE Biosystems Group com 714041100 409 3400 SH
SOLE 3400
PG&E com 694308107 209 10201 SH
SOLE 260 9941
PPG Industries com 693506107 258 4128 SH
SOLE 4128
Pacific American Income Shs com 693796104 172 14483 SH
SOLE 14483
44 3733 SH
OTHER 3733
Pall Corp com 696429307 4225 195932 SH
SOLE 195932
Pepsico Incorporated com 713448108 2904 82397 SH
SOLE 82397
102 2900 SH
OTHER 2900
Pfizer Inc com 717081103 5017 154655 SH
SOLE 1500 153155
Philip Morris com 718154107 5101 221803 SH
SOLE 221803
103 4500 SH
OTHER 4500
Procter & Gamble com 742718109 17609 160717 SH
SOLE 160717
Putnam Master Intermed Income com 746909100 112 18906 SH
SOLE 18906
Putnam Premier Income Trust com 746853100 114 18822 SH
SOLE 18822
Qualcomm Inc. com 747525103 2043 11600 SH
SOLE 11600
R.R. Donnelley & Sons Co. com 257867101 456 18362 SH
SOLE 18362
Rand McNally & Co. (new) com 106 21260 SH
SOLE 21260
Republic New York com 760719104 1984 27550 SH
SOLE 27550
Reuters Group PLC Spons ADR com 761324201 406 5025 SH
SOLE 5025
Roche Holding Ltd. ADR com 771195104 213 1800 SH
SOLE 1800
Rockwell Intl Corp New com 773903109 2169 45300 SH
SOLE 5000 40300
Royal Dutch Pet Sh Gldr com 780257705 3222 53206 SH
SOLE 53206
SAFECO Corp com 786429100 608 24446 SH
SOLE 24446
SBC Communications Inc. com 78387g103 6233 127853 SH
SOLE 8524 119329
Sara Lee Corp com 803111103 630 28550 SH
SOLE 28550
Schering Plough Corp com 806605101 5912 139512 SH
SOLE 139512
Schlumberger Limited com 806857108 7061 125806 SH
SOLE 6000 119806
Sigma-Aldrich com 826552101 8021 266824 SH
SOLE 9000 257524
SmithKline Beecham ADR F com 832378301 1322 20620 SH
SOLE 20620
423 6600 SH
OTHER 6600
Southwest Airlines Co com 844741108 496 30750 SH
SOLE 30750
Southwest Water com 845331107 651 43411 SH
SOLE 43411
Sun Microsystems com 866810104 586 7570 SH
SOLE 7570
Sysco Corporation com 871829107 8896 224870 SH
SOLE 18000 206870
TECO Energy com 872375100 286 15390 SH
SOLE 15390
Tenet Inc. com 636886103 305 13000 SH
SOLE 13000
Texaco Inc com 881694103 486 8942 SH
SOLE 606 8336
Texas Instruments com 882508104 495 5120 SH
SOLE 5120
Time Warner Inc com 887315109 891 12320 SH
SOLE 12320
Times Mirror Co. Ser A (New) com 887364107 926 13816 SH
SOLE 13816
Tootsie Roll Industries com 890516107 1810 54945 SH
SOLE 54645
20 600 SH
OTHER 600
Transocean Sedco Forex Inc. com g90078109 838 24863 SH
SOLE 1162 23702
Tredegar Corporation com 894650100 799 38619 SH
SOLE 38619
Tyco International Ltd com 902124106 3625 92951 SH
SOLE 6000 86951
U.S. West Inc (new) com 91273h101 913 12681 SH
SOLE 834 11847
United Parcel Service Amer Inc com Acct 249 1294 18754 SH
SOLE 18754
United Parcel Service Amer Inc com Acct 249 1294 18754 SH
SOLE 18754
United Parcel Service Amer Inc com Acct 249 1294 18754 SH
SOLE 18754
United Technologies Corp com 913017109 1748 26897 SH
SOLE 26897
Unocal com 915289102 3330 99226 SH
SOLE 99226
Vodafone Airtouch PLC ADS com 92857T107 4455 89996 SH
SOLE 10000 79996
Wal-Mart Stores com 931142103 442 6400 SH
SOLE 6400
Walgreen com 931422109 600 20500 SH
SOLE 20500
Walt Disney Co com 254687106 2644 90382 SH
SOLE 90382
Warner Lambert Co com 934488107 1585 19340 SH
SOLE 19340
442 5400 SH
OTHER 5400
Washington Mutual Inc. com 939322103 297 11495 SH
SOLE 11495
Wells Fargo com 949740104 2511 62096 SH
SOLE 62096
Wesco Financial com 950817106 152 621 SH
SOLE 621
Weyerhaeuser Company com 962166104 229 3193 SH
SOLE 3193
Xerox Corp. com 984121103 263 11590 SH
SOLE 11590
du Pont (E.I.) De Nemours com 263534109 2477 37600 SH
SOLE 37600
Investment Company of America mfunds 461308108 780 24021.683SH
SOLE 24021.683
</TABLE>
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