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Previous: MANLEY FULLER ASSET MANAGEMENT L P, 13F-HR, 2000-10-13 |
Next: ENDOCARDIAL SOLUTIONS INC, 8-K, 2000-10-13 |
<PAGE> 1
INFORMATION REQUIRED OF INSTITUTIONAL INVESTMENT MANAGERS
PURSUANT TO SECTION 13(f) OF THE SECURITIES EXCHANGE ACT
OF 1934 AND RULES THEREUNDER
Securities and Exchange Commission
Washington, D.C. 20549
Report for the Period Ended September 30, 2000
--------------------------------------------------------------------------------
If amended report check here: [ ]
Name of Institutional Investment Manager:
Westchester Capital Management, Inc. 13F File No.:
--------------------------------------------------------------------------------
Business Address:
100 Summit Lake Drive Valhalla New York 10595
--------------------------------------------------------------------------------
Street City State Zip
Name, Phone No. and Title of Person Duly Authorized to Submit This Report:
Frederick W. Green, (914) 741-5600, President
--------------------------------------------------------------------------------
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 the 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 New York as of the
13th day of October, 2000.
Westchester Capital Management, Inc.
----------------------------------------
(Name of Institutional Investment
Manager)
/s/Frederick W. Green
----------------------------------------
(Manual Signature of Person Duly
Authorized to Submit This Report)
<PAGE> 2
FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 0
-
Form 13F Information Table Entry Total: 148
---
Form 13F Information Table Value Total: $1,558,178,742
--------------
(thousands)
List of Other Included Managers:
Provide a numbered list of the name(s) and Form 13F file number(s) of all
institutional investment managers with respect to which this report is filed,
other than the manager filing this report.
No. Form 13F File Number Name
01 28 -
02 28 -
03 28 -
<PAGE> 3
FORM 13F
Westchester Capital Management, Inc.
September 30, 2000
<TABLE>
<CAPTION>
Item 1 Item 2 Item 3
Name of Issuer Title of Class CUSIP
<S> <C> <C>
EQUITIES
COMMON STOCK
Alcoa Inc. COMMON STOCK 013817101
ADC Telecommunications Inc. COMMON STOCK 000886101
Associated First Capital Corporation COMMON STOCK 046008108
Associated First Capital Corporation COMMON STOCK 046008108
Akamai Technologies,Inc. COMMON STOCK 00971T101
Alcatel SA ADR COMMON STOCK 013904305
America Online, Inc. COMMON STOCK 02364J104
Anadarko Petroleum Corporation COMMON STOCK 032511107
Alteon Websystems, Inc. COMMON STOCK 02145A109
Alteon Websystems, Inc. COMMON STOCK 02145A109
Avis Group Holdings, Inc. COMMON STOCK 053790101
Avis Group Holdings, Inc. COMMON STOCK 053790101
AT&T Wireless Group COMMON STOCK 001957406
AT&T Wireless Group COMMON STOCK 001957406
Axa COMMON STOCK 054536107
Axa COMMON STOCK 054536107
AXA Financial, Inc. COMMON STOCK 002451102
AXA Financial, Inc. COMMON STOCK 002451102
Bestfoods COMMON STOCK 08658U101
Bestfoods COMMON STOCK 08658U101
BP Amoco plc ADR COMMON STOCK 055622104
ConAgra, Inc. COMMON STOCK 205887102
Chris-Craft Industries, Inc. COMMON STOCK 170520100
Chris-Craft Industries, Inc. COMMON STOCK 170520100
Clear Channel Communications, Inc. (SFX) COMMON STOCK 184502102
Clear Channel Communications, Inc. (AMFM) COMMON STOCK 184502102
Columbia Energy Group COMMON STOCK 197648108
Columbia Energy Group COMMON STOCK 197648108
Clearnet Communications, Inc. COMMON STOCK 184902104
Clearnet Communications, Inc. COMMON STOCK 184902104
Comcast Corporation Special Class A COMMON STOCK 200300200
CMGI, Inc. COMMON STOCK 125750109
Cobalt Networks, Inc. COMMON STOCK 19074R101
Dominion Resources, Inc. COMMON STOCK 25746U109
Delhaize Le Lion SA COMMON STOCK 4262118
Donaldson, Lufkin & Jenrette, Inc. COMMON STOCK 257661108
Donaldson, Lufkin & Jenrette, Inc. COMMON STOCK 257661108
Deutsche Telekom AG ADR COMMON STOCK 251566105
Deutsche Telekom AG ADR COMMON STOCK 251566105
Dura Pharmaceuticals, Inc. COMMON STOCK 26632S109
</TABLE>
<PAGE> 4
<TABLE>
<S> <C> <C>
Dura Pharmaceuticals, Inc. COMMON STOCK 26632S109
Elan Corporation plc COMMON STOCK 284131208
EMC Corporation COMMON STOCK 268648102
Fort James Corporation COMMON STOCK 347471104
Fort James Corporation COMMON STOCK 347471104
R&B Falcon Corporation COMMON STOCK 74912E101
R&B Falcon Corporation COMMON STOCK 74912E101
Flextronics International Ltd. COMMON STOCK 2353058
Sprint Corporation COMMON STOCK 852061100
Forcenergy, Inc. COMMON STOCK 345206205
First Security Corporation COMMON STOCK 336294103
First Security Corporation COMMON STOCK 336294103
Global Crossing Ltd. COMMON STOCK 2285065
General Electric Company COMMON STOCK 369604103
General Motors Corporation - Class H COMMON STOCK 370442832
Harmonic, Inc. COMMON STOCK 413160102
The Hertz Corporation COMMON STOCK 428040109
The Hertz Corporation COMMON STOCK 428040109
HSB Group, Inc. COMMON STOCK 40428N109
HSB Group, Inc. COMMON STOCK 40428N109
Infinity Broadcasting Corporation COMMON STOCK 45662S102
Infinity Broadcasting Corporation COMMON STOCK 45662S102
IPALCO Enterprises, Inc. COMMON STOCK 462613100
IPALCO Enterprises, Inc. COMMON STOCK 462613100
Illinois Tool Works, Inc. COMMON STOCK 452308109
i2 Technologies, Inc. COMMON STOCK 465754109
JDS Uniphase Corporation COMMON STOCK 46612J101
Janna Systems, Inc. COMMON STOCK 470916107
Janna Systems, Inc. COMMON STOCK 470916107
J.P. Morgan & Co. COMMON STOCK 616880100
J.P. Morgan & Co. COMMON STOCK 616880100
Keebler Foods Company COMMON STOCK 487256109
Keebler Foods Company COMMON STOCK 487256109
Kimberly-Clark Corporation COMMON STOCK 494368103
Lycos, Inc. COMMON STOCK 550818108
Lycos, Inc. COMMON STOCK 550818108
Lilly Industries, Inc. COMMON STOCK 532491107
Lilly Industries, Inc. COMMON STOCK 532491107
AT&T - Liberty Media Group COMMON STOCK 001957208
Lucent Technologies, Inc. COMMON STOCK 549463107
McLeodUSA Incorporated COMMON STOCK 582266102
MCN Energy Group, Inc. COMMON STOCK 55267J100
MCN Energy Group, Inc. COMMON STOCK 55267J100
Mallinckrodt Inc. COMMON STOCK 561232109
Mallinckrodt Inc. COMMON STOCK 561232109
Motorola, Inc. COMMON STOCK 620076109
Nabisco Holdings Corp. COMMON STOCK 629526104
Nabisco Holdings Corp. COMMON STOCK 629526104
Nvest, L.P. COMMON STOCK 67065F107
</TABLE>
<PAGE> 5
<TABLE>
<S> <C> <C>
Nvest, L.P. COMMON STOCK 67065F107
Nabisco Group Holdings Corp. COMMON STOCK 62952P102
Nabisco Group Holdings Corp. COMMON STOCK 62952P102
Nortel Networks Corporation (Alteon) COMMON STOCK 656568102
Nortel Networks Corporation (Architel) COMMON STOCK 656568102
Pfizer, Inc. COMMON STOCK 717081103
Phone.com COMMON STOCK 71920Q100
Paine Webber Group, Inc. COMMON STOCK 695629105
Paine Webber Group, Inc. COMMON STOCK 695629105
Rio Algom Limited COMMON STOCK 766889109
Rio Algom Limited COMMON STOCK 766889109
Sanmina Corporation COMMON STOCK 800907107
The Charles Schwab Corporation COMMON STOCK 808513105
SDL, Inc. COMMON STOCK 784076101
SDL, Inc. COMMON STOCK 784076101
Southdown, Inc. COMMON STOCK 841297104
Southdown, Inc. COMMON STOCK 841297104
Seagate Technology, Inc. COMMON STOCK 811804103
Seagate Technology, Inc. COMMON STOCK 811804103
Shire Pharmaceuticals Group plc ADR COMMON STOCK 82481R106
Shaw Industries, Inc. COMMON STOCK 820286102
Shaw Industries, Inc. COMMON STOCK 820286102
Stora Enso Oyj Series R ordinary COMMON STOCK 5072673
Stora Enso Oyj Series R ordinary COMMON STOCK 5072673
Software.com COMMON STOCK 83402P104
Software.com COMMON STOCK 83402P104
Syratech Corporation COMMON STOCK 871824108
AT&T Corp. COMMON STOCK 001957109
AT&T Corp. COMMON STOCK 001957109
Telefonica S.A. COMMON STOCK 879382208
Teleglobe, Inc. COMMON STOCK 87941V100
Tritel, Inc. COMMON STOCK 89675X104
Tritel, Inc. COMMON STOCK 89675X104
Time Warner Inc. COMMON STOCK 887315109
Time Warner Inc. COMMON STOCK 887315109
Texas Instruments Incorporated COMMON STOCK 882508104
UBS AG global registered share COMMON STOCK 2587415GL
United Dominion Industries Limited COMMON STOCK 909914103
United Dominion Industries Limited COMMON STOCK 909914103
Union Carbide Corporation COMMON STOCK 905581104
Union Carbide Corporation COMMON STOCK 905581104
Urban Shopping Centers, Inc. COMMON STOCK 917060105
Urban Shopping Centers, Inc. COMMON STOCK 917060105
Le Groupe Videotron ltee COMMON STOCK 92558H105
Le Groupe Videotron ltee COMMON STOCK 92558H105
Viacom, Inc. Class B COMMON STOCK 925524308
The Seagram Company Ltd. COMMON STOCK 811850106
The Seagram Company Ltd. COMMON STOCK 811850106
VoiceStream Wireless Corporation COMMON STOCK 928615103
</TABLE>
<PAGE> 6
<TABLE>
<S> <C> <C>
VoiceStream Wireless Corporation COMMON STOCK 928615103
VoiceStream Wireless Corporation (ompt) COMMON STOCK 928615103
Verizon Communications COMMON STOCK 92343V104
webMethods, Inc. COMMON STOCK 94768C108
Westburne, Inc. COMMON STOCK 956908107
NEXTLINK Communications, Inc. COMMON STOCK 65333H707
Young & Rubicam Inc. COMMON STOCK 987425105
Young & Rubicam Inc. COMMON STOCK 987425105
FIXED INCOME
CORPORATE BONDS
Dictaphone Corp. callable 11.750% due 08-01-05 CORPORATE BONDS 253579AA4
GRAND TOTAL
</TABLE>
<PAGE> 7
<TABLE>
<CAPTION>
Item 5 Item 6 Item 8
Item 4 Shares or Investment Item 7 Voting
Fair Market Value Principal Amount Discretion Managers Authority
<S> <C> <C> <C> <C>
$1,072,237 42,360 (b) Shared (a) Sole
876,097 32,580 (b) Shared (a) Sole
13,995,400 368,300 (b) Shared (a) Sole
44,486,600 1,170,700 (a) Sole (a) Sole
325,597 6,200 (b) Shared (a) Sole
4,140,507 65,853 (b) Shared (a) Sole
483,750 9,000 (b) Shared (a) Sole
1,859,684 27,982 (b) Shared (a) Sole
6,015,680 55,500 (b) Shared (a) Sole
23,434,053 216,200 (a) Sole (a) Sole
3,510,562 118,500 (b) Shared (a) Sole
10,824,975 365,400 (a) Sole (a) Sole
539,055 25,823 (b) Shared (a) Sole
1,264,127 60,557 (a) Sole (a) Sole
2,000,461 30,925 (b) Shared (a) Sole
7,004,039 108,275 (a) Sole (a) Sole
14,425,500 283,200 (b) Shared (a) Sole
53,601,531 1,052,300 (a) Sole (a) Sole
17,219,925 236,700 (b) Shared (a) Sole
59,385,825 816,300 (a) Sole (a) Sole
2,694,520 50,840 (b) Shared (a) Sole
629,962 31,400 (b) Shared (a) Sole
5,766,250 70,000 (b) Shared (a) Sole
18,254,300 221,600 (a) Sole (a) Sole
474,600 8,400 (b) Shared (a) Sole
998,355 17,670 (b) Shared (a) Sole
14,640,200 206,200 (b) Shared (a) Sole
48,876,400 688,400 (a) Sole (a) Sole
9,691,587 218,710 (b) Shared (a) Sole
33,457,400 755,033 (a) Sole (a) Sole
3,163,650 77,280 (b) Shared (a) Sole
632,393 22,636 (b) Shared (a) Sole
6,319,950 109,200 (b) Shared (a) Sole
1,396,984 24,060 (b) Shared (a) Sole
3,298,400 70,000 (b) Shared (a) Sole
16,438,612 183,800 (b) Shared (a) Sole
58,635,225 655,600 (a) Sole (a) Sole
776,105 22,660 (b) Shared (a) Sole
100,695 2,940 (a) Sole (a) Sole
4,909,625 138,788 (b) Shared (a) Sole
</TABLE>
<PAGE> 8
<TABLE>
<S> <C> <C> <C> <C>
3,537,500 100,000 (a) Sole (a) Sole
4,593,525 83,900 (b) Shared (a) Sole
3,097,656 31,250 (b) Shared (a) Sole
7,232,616 236,650 (b) Shared (a) Sole
24,873,291 813,850 (a) Sole (a) Sole
5,413,325 194,200 (b) Shared (a) Sole
19,562,675 701,800 (a) Sole (a) Sole
3,276,787 39,900 (b) Shared (a) Sole
1,465,625 50,000 (b) Shared (a) Sole
940,500 36,000 (b) Shared (a) Sole
7,107,356 435,700 (b) Shared (a) Sole
19,325,419 1,184,700 (a) Sole (a) Sole
1,607,629 51,859 (b) Shared (a) Sole
181,369 3,144 (b) Shared (a) Sole
8,237,787 221,565 (b) Shared (a) Sole
182,328 7,597 (b) Shared (a) Sole
5,568,950 175,400 (b) Shared (a) Sole
1,447,800 45,600 (a) Sole (a) Sole
2,483,737 61,900 (b) Shared (a) Sole
4,798,950 119,600 (a) Sole (a) Sole
12,455,850 377,450 (b) Shared (a) Sole
43,611,150 1,321,550 (a) Sole (a) Sole
1,532,625 67,000 (b) Shared (a) Sole
5,350,462 233,900 (a) Sole (a) Sole
1,137,838 20,364 (b) Shared (a) Sole
3,189,416 17,050 (b) Shared (a) Sole
912,598 9,638 (b) Shared (a) Sole
7,453,080 135,000 (b) Shared (a) Sole
18,770,720 340,000 (a) Sole (a) Sole
11,648,637 71,300 (b) Shared (a) Sole
42,936,747 262,811 (a) Sole (a) Sole
9,492,000 226,000 (b) Shared (a) Sole
36,724,800 874,400 (a) Sole (a) Sole
1,066,019 19,100 (b) Shared (a) Sole
6,821,550 99,200 (b) Shared (a) Sole
25,326,380 368,300 (a) Sole (a) Sole
7,967,950 270,100 (b) Shared (a) Sole
27,653,300 937,400 (a) Sole (a) Sole
496,800 27,600 (b) Shared (a) Sole
841,019 27,518 (b) Shared (a) Sole
20,653 1,443 (b) Shared (a) Sole
1,148,000 44,800 (b) Shared (a) Sole
3,928,312 153,300 (a) Sole (a) Sole
14,013,719 307,150 (b) Shared (a) Sole
42,529,344 932,150 (a) Sole (a) Sole
2,241,637 79,350 (b) Shared (a) Sole
10,830,625 201,500 (b) Shared (a) Sole
32,061,875 596,500 (a) Sole (a) Sole
7,008,750 178,000 (b) Shared (a) Sole
</TABLE>
<PAGE> 9
<TABLE>
<S> <C> <C> <C> <C>
17,876,250 454,000 (a) Sole (a) Sole
1,513,350 53,100 (b) Shared (a) Sole
5,112,900 179,400 (a) Sole (a) Sole
758,111 12,728 (b) Shared (a) Sole
1,339,739 22,493 (b) Shared (a) Sole
3,124,280 69,525 (b) Shared (a) Sole
4,034,256 35,505 (b) Shared (a) Sole
12,596,312 184,900 (b) Shared (a) Sole
37,134,937 545,100 (a) Sole (a) Sole
1,872,952 98,800 (b) Shared (a) Sole
3,814,148 201,200 (a) Sole (a) Sole
2,462,337 26,300 (b) Shared (a) Sole
2,042,137 57,525 (b) Shared (a) Sole
2,783,812 9,000 (b) Shared (a) Sole
7,268,844 23,500 (a) Sole (a) Sole
7,552,500 106,000 (b) Shared (a) Sole
26,391,000 370,400 (a) Sole (a) Sole
10,557,000 153,000 (b) Shared (a) Sole
37,487,700 543,300 (a) Sole (a) Sole
1,264,916 24,502 (b) Shared (a) Sole
5,550,000 300,000 (b) Shared (a) Sole
21,115,900 1,141,400 (a) Sole (a) Sole
1,263,402 150,872 (b) Shared (a) Sole
1,293,473 154,463 (a) Sole (a) Sole
7,738,309 42,650 (b) Shared (a) Sole
29,556,169 162,900 (a) Sole (a) Sole
367,770 73,554 (a) Sole (a) Sole
3,725,837 126,837 (b) Shared (a) Sole
10,936,518 372,307 (a) Sole (a) Sole
2,146,585 36,115 (b) Shared (a) Sole
525,000 25,000 (b) Shared (a) Sole
2,206,844 154,190 (b) Shared (a) Sole
458,000 32,000 (a) Sole (a) Sole
6,158,275 78,700 (b) Shared (a) Sole
21,620,475 276,300 (a) Sole (a) Sole
920,156 19,500 (b) Shared (a) Sole
3,386,000 25,000 (b) Shared (a) Sole
5,891,081 248,700 (b) Shared (a) Sole
13,691,375 578,000 (a) Sole (a) Sole
6,334,450 167,800 (b) Shared (a) Sole
19,667,750 521,000 (a) Sole (a) Sole
5,391,250 113,500 (b) Shared (a) Sole
5,044,500 106,200 (a) Sole (a) Sole
10,994,570 370,200 (b) Shared (a) Sole
39,686,774 1,336,300 (a) Sole (a) Sole
634,783 10,851 (b) Shared (a) Sole
7,610,469 132,500 (b) Shared (a) Sole
25,800,925 449,200 (a) Sole (a) Sole
10,468,837 90,200 (b) Shared (a) Sole
</TABLE>
<PAGE> 10
<TABLE>
<S> <C> <C> <C>
36,188,287 311,800 (a) Sole (a) Sole
2,461,105 21,205 (b) Shared (a) Sole
709,125 14,640 (b) Shared (a) Sole
230,250 2,000 (b) Shared (a) Sole
2,546,716 168,300 (a) Sole (a) Sole
1,729,642 49,155 (b) Shared (a) Sole
12,256,200 247,600 (b) Shared (a) Sole
40,867,200 825,600 (a) Sole (a) Sole
2,289,760 2,602,000 (b) Shared (a) Sole
$1,558,178,742
</TABLE>
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