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Previous: MAVERICK CAPITAL LTD /ADV, 13F-HR, 1999-11-15 |
Next: COVENANT TRANSPORT INC, 10-Q, 1999-11-15 |
<PAGE> 1
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OMB Number: 3235-0006
Expires: February 28, 1997
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SEC USE ONLY
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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 30th , 1999.
---------------------- --
(Please read instructions before preparing form.)
If amended report check here: [ ]
VONTOBEL USA INC.
- ------------------------------------------------------------------------------
Name of Institutional Investment Manager
450 PARK AVENUE New York NY 10022
- ------------------------------------------------------------------------------
Business Address (Street) (City) (State) (Zip)
JOSEPH MASTOLONI 212-415-7051 VP/COMPLIANCE OFFICER
- ------------------------------------------------------------------------------
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 New York and State of NY on the 11th
--------------- ------ --------
day of November , 1999.
------------- --
VONTOBEL USA INC.
-----------------------------------------------
(Name of Institutional Investment Manager)
/s/ JOSEPH MASTOLONI
-----------------------------------------------
(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 filed (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.
- --------------------- ------------- ---------------------------- -------------
SEC 1685 (5/91)
Copyright (C) 1992-1998, NRS Systems, Inc. (Portions of Software Only)
<PAGE> 2
FORM 13F
--------------
(SEC USE ONLY)
--------------
Page 1 of 4 Name of Reporting Manager Vontobel USA Inc.
--- --- -----------------------------
<TABLE>
<CAPTION>
ITEM 5:
ITEM 1: ITEM 2: ITEM 3: ITEM 4: SHARES OF
NAME OF ISSUER TITLE CUSIP FAIR MARKET PRINCIPAL
OF CLASS NUMBER VALUE AMOUNT
<S> <C> <C> <C> <C>
ACE LTD . ORD G0070K103 3,726,250 220,000
ALBERTSONS INC COM 013104104 5,455,670 137,900
AMERICAN INTL. GROUP INC. COM 026874107 6,986,300 80,360
BERKSHIRE HATHAWAY INC DEL CL B 084670207 135,488 73
CHUBB CORP. COM 171232101 16,815,500 317,500
COCA COLA CO COM 191216100 3,811,360 79,300
DALLAS SEMICONDUCTOR CORP. COM 235204104 2,853,600 53,400
ESG RE LTD ORD G31215109 9,380,875 1,057,000
ETHAN ALLEN INTERIORS INC. COM 297602104 7,738,400 243,250
EXXON CORP COM 302290101 129,200 1,700
FEDERAL NATIONAL MORTGAGE ASSOCIATION COM 313586109 23,985,870 382,626
FEDERAL HOME LN MTG CORP COM 313400301 13,608,400 261,700
GANNETT CO. COM 364730101 2,638,400 38,134
GILLETE CO. COM 375766102 8,348,625 246,000
----------------------------------------------
COLUMN TOTALS 104,613,938
</TABLE>
<TABLE>
<CAPTION>
ITEM 1: ITEM 6:
NAME OF ISSUER INVESTMENT DISCRETION
------------------------------------------------------
(b)SHARED- ITEM 7:
AS DEFINED (c) SHARED- MANAGERS
(a) SOLE IN INSTR. V. OTHER SEE INSTR. V.
<S> <C> <C> <C> <C>
ACE LTD . x
ALBERTSONS INC x
AMERICAN INTL. GROUP INC. x
BERKSHIRE HATHAWAY INC DEL x
CHUBB CORP. x
COCA COLA CO x
DALLAS SEMICONDUCTOR CORP. x
ESG RE LTD x
ETHAN ALLEN INTERIORS INC. x
EXXON CORP x
FEDERAL NATIONAL MORTGAGE ASSOCIATION x
FEDERAL HOME LN MTG CORP x
GANNETT CO. x
GILLETE CO. x
COLUMN TOTALS
</TABLE>
<TABLE>
<CAPTION>
ITEM 1: ITEM 8:
NAME OF ISSUER VOTING AUTHORITY (SHARES)
----------------------------------------------------
(a) SOLE (b) SHARED (c) NONE
<S> <C> <C> <C>
ACE LTD x
ALBERTSONS INC x
AMERICAN INTL. GROUP INC. x
BERKSHIRE HATHAWAY INC DEL x
CHUBB CORP. x
COCA COLA CO x
DALLAS SEMICONDUCTOR CORP. x
ESG RE LTD x
ETHAN ALLEN INTERIORS INC. x
EXXON CORP x
FEDERAL NATIONAL MORTGAGE ASSOCIATION x
FEDERAL HOME LN MTG CORP x
GANNETT CO. x
GILLETE CO. x
COLUMN TOTALS
</TABLE>
Copyright(C) 1992-1998. NRS Systems, Inc. (Portions of Software Only)
SEC 1685 (5/91)
<PAGE> 3
FORM 13F
--------------
(SEC USE ONLY)
--------------
Page 2 of 4 Name of Reporting Manager Vontobel USA Inc.
--- --- -----------------------------
<TABLE>
<CAPTION>
ITEM 5:
ITEM 1: ITEM 2: ITEM 3: ITEM 4: SHARES OF
NAME OF ISSUER TITLE CUSIP FAIR MARKET PRINCIPAL
OF CLASS NUMBER VALUE AMOUNT
<S> <C> <C> <C> <C>
HORACE MANN EDUCATORS CORP. NEW COM 440327104 10,056,550 389,600
IPC HLDGS LTD. ORD G4933P101 2,203,125 117,500
KNIGHT RIDDER INC. COM 499040103 15,013,800 273,600
MERCURY GENL CORP. NEW COM 589400100 15,922,860 577,700
NUCOR CORP. COM 670346105 261,940 5,500
OLD REPUBLIC INTERNATIONAL CORP. COM 680223104 11,909,600 824,907
ORION CAPITAL CORP. COM 686268103 9,212,070 194,450
PEPSICO INC. COM 713448108 122,000 4,000
RENAISSANCE RE HLDGS LTD. COM G7496G103 4,678,750 132,000
SHERWIN WILLIAMS CO. COM 824348106 11,498,875 549,200
UNUMPROVIDENT CO. COM 91529Y106 16,842,800 572,154
AEGON N.V. ORD. AMER. REG. 007924103 13,001,125 150,302
ALLIED IRISH BANKS PLC SPONS. ADR ORD. 019228402 351,040 13,800
BP AMOCO PLC. AMERICAN SHARES 110889409 10,564,310 95,335
----------------------------------------------
COLUMN TOTALS 121,538,845
</TABLE>
<TABLE>
<CAPTION>
ITEM 1: ITEM 6:
NAME OF ISSUER INVESTMENT DISCRETION
------------------------------------------------------
(b)SHARED- ITEM 7:
AS DEFINED (c) SHARED- MANAGERS
(a) SOLE IN INSTR. V. OTHER SEE INSTR. V.
<S> <C> <C> <C> <C>
HORACE MANN EDUCATORS CORP. NEW x
IPC HLDGS LTD. x
KNIGHT RIDDER INC. x
MERCURY GENL CORP. NEW x
NUCOR CORP. x
OLD REPUBLIC INTERNATIONAL CORP. x
ORION CAPITAL CORP. x
PEPSICO INC. x
RENAISSANCE RE HLDGS LTD. x
SHERWIN WILLIAMS CO. x
UNUMPROVIDENT CO. x
AEGON N.V. x
ALLIED IRISH BANKS PLC x
BP AMOCO PLC. x
COLUMN TOTALS
</TABLE>
<TABLE>
<CAPTION>
ITEM 1: ITEM 8:
NAME OF ISSUER VOTING AUTHORITY (SHARES)
----------------------------------------------------
(a) SOLE (b) SHARED (c) NONE
<S> <C> <C> <C>
HORACE MANN EDUCATORS CORP. NEW x
IPC HLDGS LTD. x
KNIGHT RIDDER INC. x
MERCURY GENL CORP. NEW x
NUCOR CORP. x
OLD REPUBLIC INTERNATIONAL CORP. x
ORION CAPITAL CORP. x
PEPSICO INC. x
RENAISSANCE RE HLDGS LTD. x
SHERWIN WILLIAMS CO. x
UNUMPROVIDENT CO. x
AEGON N.V. x
ALLIED IRISH BANKS PLC x
BP AMOCO PLC. x
COLUMN TOTALS
</TABLE>
Copyright(C) 1992-1998. NRS Systems, Inc. (Portions of Software Only)
SEC 1685 (5/91)
<PAGE> 4
FORM 13F
--------------
(SEC USE ONLY)
--------------
Page 3 of 4 Name of Reporting Manager Vontobel USA Inc.
--- --- -----------------------------
<TABLE>
<CAPTION>
ITEM 5:
ITEM 1: ITEM 2: ITEM 3: ITEM 4: SHARES OF
NAME OF ISSUER TITLE CUSIP FAIR MARKET PRINCIPAL
OF CLASS NUMBER VALUE AMOUNT
<S> <C> <C> <C> <C>
ELAN PLC ADR 284131208 11,330,700 337,600
ITO YOKADO LTD. ADR NEW 465714301 486,000 6,000
NOKIA CORP SPONS. ADR 654902204 17,019,500 189,500
EMBOTELLADORA ANDINA SA SPONSORED ADR 29081P105 753,100 43,500
INDIA FD INC COM 454089103 4,313,400 335,018
GILLAT SATELLITE NETWORKS LTD ORD M51474100 777,560 14,500
SK TELECOM LTD SPONS. ADR 78440P108 1,575,960 152,820
COCA-COLA FEMSA S.A. DE C.V. SPONS. ADR REP L 191241108 1,819,110 131,700
TELECOMUNICACOES BRASILEIRAS SA SPON. ADR PFD BLK 879287308 1,188,140 15,855
TELEFONOS DE MEXICO SA SP ADR REP ORD 879403780 3,241,875 45,500
DE BEERS CONS MINES LTD ADR DEFD 240253302 2,548,800 94,400
MATAV-CABLE SYS MEDIA LTD SPONS ADR 576561104 1,427,250 34,600
GRUPO TELEVISA SA DE CV SPN ADR REPORD 40049J206 2,356,320 59,000
TAIWAN FD INC COM 874036106 2,803,940 154,700
----------------------------------------------
COLUMN TOTALS 51,641,655
</TABLE>
<TABLE>
<CAPTION>
ITEM 1: ITEM 6:
NAME OF ISSUER INVESTMENT DISCRETION
------------------------------------------------------
(b)SHARED- ITEM 7:
AS DEFINED (c) SHARED- MANAGERS
(a) SOLE IN INSTR. V. OTHER SEE INSTR. V.
<S> <C> <C> <C> <C>
ELAN PLC x
ITO YOKADO LTD. x
NOKIA CORP x
EMBOTELLADORA ANDINA SA x
INDIA FD INC x
GILLAT SATELLITE NETWORKS LTD x
SK TELECOM LTD x
COCA-COLA FEMSA S.A. DE C.V. x
TELECOMUNICACOES BRASILEIRAS SA x
TELEFONOS DE MEXICO SA x
DE BEERS CONS MINES LTD x
MATAV-CABLE SYS MEDIA LTD x
GRUPO TELEVISA SA DE CV x
TAIWAN FD INC
</TABLE>
<TABLE>
<CAPTION>
ITEM 1: ITEM 8:
NAME OF ISSUER VOTING AUTHORITY (SHARES)
----------------------------------------------------
(a) SOLE (b) SHARED (c) NONE
<S> <C> <C> <C>
ELAN PLC x
ITO YOKADO LTD. x
NOKIA CORP x
EMBOTELLADORA ANDINA SA x
INDIA FD INC x
GILLAT SATELLITE NETWORKS LTD x
SK TELECOM LTD x
COCA-COLA FEMSA S.A. DE C.V. x
TELECOMUNICACOES BRASILEIRAS SA x
TELEFONOS DE MEXICO SA x
DE BEERS CONS MINES LTD x
MATAV-CABLE SYS MEDIA LTD x
GRUPO TELEVISA SA DE CV x
TAIWAN FD INC
</TABLE>
COPYRIGHT(C) 1992-1998. NRS Systems, Inc. (Portions of Software Only)
SEC 1685 (5/91)
<PAGE> 5
FORM 13F
--------------
(SEC USE ONLY)
--------------
Page 4 of 4 Name of Reporting Manager Vontobel USA Inc.
--- --- -----------------------------
<TABLE>
<CAPTION>
ITEM 5:
ITEM 1: ITEM 2: ITEM 3: ITEM 4: SHARES OF
NAME OF ISSUER TITLE CUSIP FAIR MARKET PRINCIPAL
OF CLASS NUMBER VALUE AMOUNT
<S> <C> <C> <C> <C>
TELEFONICA DE ARGENTINA SA SPNSR 879378206 738,500 28,000
ADR CL B
MORGAN STANLEY INDIA INVT. FD. COM 61745C105 343,175 25,900
ORBOTECH LTD ORD M75253100 1,188,000 19,200
POHANG IRON & STL LTD SPONS. ADR 730450103 670,100 21,400
TAIWAN SEMICONDUCTOR MFG LTD SPONS. ADR 874039100 2,711,050 91,900
----------------------------------------------
COLUMN TOTALS 5,650,825
</TABLE>
<TABLE>
<CAPTION>
ITEM 1: ITEM 6:
NAME OF ISSUER INVESTMENT DISCRETION
------------------------------------------------------
(b)SHARED- ITEM 7:
AS DEFINED (c) SHARED- MANAGERS
(a) SOLE IN INSTR. V. OTHER SEE INSTR. V.
<S> <C> <C> <C> <C>
TELEFONICA DE ARGENTINA SA x
MORGAN STANLEY INDIA INVT. FD.
ORBOTECH LTD
POHANG IRON & STL LTD
TAIWAN SEMICONDUCTOR MFG LTD
COLUMN TOTALS
</TABLE>
<TABLE>
<CAPTION>
ITEM 1: ITEM 8:
NAME OF ISSUER VOTING AUTHORITY (SHARES)
----------------------------------------------------
(a) SOLE (b) SHARED (c) NONE
<S> <C> <C> <C>
TELEFONICA DE ARGENTINA SA x
MORGAN STANLEY INDIA INVT. FD.
ORBOTECH LTD
POHANG IRON & STL LTD
TAIWAN SEMICONDUCTOR MFG LTD
COLUMN TOTALS
</TABLE>
Copyright(C) 1992-1998. NRS Systems, Inc. (Portions of Software Only)
SEC 1685 (5/91)
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