13F-HR 1 d13fhr.txt FORM 13-F -------------------- OMB Approval OMB 3235-0006 -------------------- FORM INFORMATION REQUIRED OF INSTITUTIONAL INVESTMENT 13F MANAGERS PURSUANT TO SECTION 13(f) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULES THEREUNDER ------------------- Securities and Exchange Commission SEC USE ONLY Washington, D.C. 20549 ------------------- Report for the Calendar Qtr, Ended March 31st 2002 ---------- ---- -------------------------------------------------------------------------------- (Please read instructions before preparing form.) -------------------------------------------------------------------------------- If amended report check here: [ ] -------------------------------------------------------------------------------- Name of Institutional Investment Manager: ARNHOLD AND S. BLEICHROEDER HOLDINGS, INC. -------------------------------------------------------------------------------- Business Address: 1345 Avenue of the Americas New York NY 10105-4300 -------------------------------------------------------------------------------- Street City State Zip Name, Phone No., and Title of Person Duly Authorized to Submit This Report. William Casciani 212-698-3240 Senior Vice 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 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 on the 13th day of May, 2002 --------- -------- ---- --- ---- Arnhold and S. Bleichroeder Holdings, Inc. ------------------------------------------ (Name of Institutional Investment Manager) William P. Casciani ------------------------------------------ (Manual Signature of Person Duly Authorized to Submit This Report) Name and 13F file number 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. 7. ---------------------------- ------------- -------------------------- ------------- 2. 8. ---------------------------- ------------- -------------------------- ------------- 3. 9. ---------------------------- ------------- -------------------------- ------------- 4. 10. ---------------------------- ------------- -------------------------- ------------- 5. 11. ---------------------------- ------------- -------------------------- -------------
REPORT SUMMARY: Number of Other Included Managers: 0 Form 13 F Information Table Entry Total: 115,547,654 Form 13 F Information Table Value Total: 2,808,387 Arnhold and S. Bleichroeder, Inc.
VALUE SHARES/ SH/ PUT/ INVSTMT -----VOTING AUTHORITY----- NAME OF ISSUER -TITLE OF CLASS- --CUSIP-- (x$1000) PRN AMT PRN CALL DSCRETN -MANAGERS- SOLE SHARED NONE D GLOBALSANTAFE CORP SHS G3930E101 12590 385000 SH SOLE 385000 0 0 D BANCO LATINOAMERICANO DE EXPOR CL E P16994132 1098 50000 SH SOLE 50000 0 0 D AOL TIME WARNER INC COM 00184A105 3792 160350 SH SOLE 160350 0 0 D AT & T CORP COM 001957109 2150 136942 SH SOLE 136942 0 0 D AT&T WIRELESS GROUP COM 00209A106 271 30272 SH SOLE 30272 0 0 D ABITIBI CONSOLDATED INC COM 003924107 267 30000 SH SOLE 30000 0 0 D ACAMBIS PLC - SPON ADR SPONSORED ADR 004286100 1376 30000 SH SOLE 30000 0 0 D ACKERLEY GROUP INC COM 004527107 2863 160290 SH SOLE 160290 0 0 D AFFYMETRIX INC CONV/CALL 4.75 NOTE 4.750% 2/1 00826TAD0 8469 10570000 SH SOLE 10570000 0 0 D AGNICO-EAGLE MINES LTD COM 008474108 734 55000 SH SOLE 55000 0 0 D AIR PRODUCTS & CHEMICALS INC COM 009158106 36702 710600 SH SOLE 710600 0 0 D ALCAN ALUMINUM LTD COM 013716105 1288 32500 SH SOLE 32500 0 0 D ALCOA INC COM 013817101 472 12500 SH SOLE 12500 0 0 D ALLEGHANY CORP NEW COM 017175100 549 2928 SH SOLE 2928 0 0 D ALLEN ORGAN COMPANY CLASS B CL B 017753104 6555 203250 SH SOLE 203250 0 0 D ALLIANT TECH SYSTEMS COM 018804104 27272 267400 SH SOLE 267400 0 0 D ALLIED WASTE INDUSTRIES INC COM PAR$.01NEW 019589308 6770 520800 SH SOLE 520800 0 0 D ALLOY ONLINE INC COM 019855105 1204 80100 SH SOLE 80100 0 0 D AMERADA HESS CORP COM 023551104 13388 168700 SH SOLE 168700 0 0 D AMERICAN EXPRESS CO COM 025816109 53330 1302000 SH SOLE 1302000 0 0 D AMERICAN INTERNATIONAL GROUP COM 026874107 15622 216550 SH SOLE 216550 0 0 D AMERICAN POWER CONVERSION CORP COM 029066107 11233 760000 SH SOLE 760000 0 0 D AMERICAN STANDARD (ASD) COM 029712106 18855 266500 SH SOLE 266500 0 0 D AMERICAN WATER WORKS INC COM 030411102 10060 229680 SH SOLE 229680 0 0 D AMERISOURCEBERGEN CORP COM 03073E105 8421 123300 SH SOLE 123300 0 0 D AMGEN INC COM 031162100 23436 392700 SH SOLE 392700 0 0 D AMPHENOL CORP CL A CL A 032095101 35652 761800 SH SOLE 761800 0 0 D ANADARKO PETROLEUM CORP COM 032511107 8788 155700 SH SOLE 155700 0 0 D ANGLOGOLD LIMITED ADR SPONSORED ADR 035128206 755 30000 SH SOLE 30000 0 0 D AON CORP COM 037389103 8099 231400 SH SOLE 231400 0 0 D APPLERA CORP - CELERA GENOMICS COM CE GEN GRP 038020202 8167 397400 SH SOLE 397400 0 0 D APTAR GROUP INC COM 038336103 1085 30968 SH SOLE 30968 0 0 D ARCHER-DANIELS-MIDLAND CO COM 039483102 3218 230991 SH SOLE 230991 0 0 D ASPECT COMMUNICATIONS CORP COM 04523Q102 230 58932 SH SOLE 58932 0 0 D B J SERVICES CO COM 055482103 14626 424300 SH SOLE 424300 0 0 D BAKER HUGHES INC COM 057224107 16034 419200 SH SOLE 419200 0 0 D BALL CORP. (BLL) COM 058498106 12683 268600 SH SOLE 268600 0 0 D BANDAG INCORPORATED, CLASS A CL A 059815308 5470 165000 SH SOLE 165000 0 0 D BANK OF NEW YORK CO INC COM 064057102 336 8000 SH SOLE 8000 0 0 D BANK ONE CORP COM 06423A103 564 13500 SH SOLE 13500 0 0 D BARD (C.R.)INC COM 067383109 20738 351200 SH SOLE 351200 0 0 D BARRICK GOLD CORP. COM 067901108 1114 60000 SH SOLE 60000 0 0 D BAXTER INTERNATIONAL INC COM 071813109 25903 435200 SH SOLE 435200 0 0 D BECKMAN COULTER,INC. COM 075811109 46545 911400 SH SOLE 911400 0 0 D BECTON DICKINSON & CO. COM 075887109 2595 68800 SH SOLE 68800 0 0 D BED BATH & BEYOND INC (BBBY) COM 075896100 253 7500 SH SOLE 7500 0 0 D BERKSHIRE HATHAWAY INC CL A CL A 084670108 6755 95 SH SOLE 95 0 0 D BEST BUY CO INC COM 086516101 23055 291100 SH SOLE 291100 0 0 D BIOGEN INC COM 090597105 17617 359100 SH SOLE 359100 0 0 D BIOTRANSPLANT INC COM 09066Y107 53 10000 SH SOLE 10000 0 0 D BLOCK, H&R INC COM 093671105 1089 24504 SH SOLE 24504 0 0 D BOWATER INC COM 102183100 498 10000 SH SOLE 10000 0 0 D BRISTOL MYERS SQUIBB CO COM 110122108 1070 26424 SH SOLE 26424 0 0 D BROOKS AUTOMATION INC COM 11434A100 3824 84150 SH SOLE 84150 0 0 D BROWN FORMAN CORP CL B CL B 115637209 1164 16000 SH SOLE 16000 0 0 D BURLINGTON NORTHERN SANTA FE COM 12189T104 17230 570900 SH SOLE 570900 0 0 D BURLINGTON RESOURCES INC COM 122014103 4209 105000 SH SOLE 105000 0 0 D CIGNA CORP COM 125509109 4187 41300 SH SOLE 41300 0 0 D CADENCE DESIGN SYSTEMS INC COM COM 127387108 7500 331700 SH SOLE 331700 0 0 D CANADIAN PACIFIC RAILWAY LTD COM 13645T100 7561 353000 SH SOLE 353000 0 0 D CATELLUS DEVELOPMENT CORPORATI COM 149111106 2951 150000 SH SOLE 150000 0 0 D CELGENE CORP COM 151020104 6069 245200 SH SOLE 245200 0 0 D CENDANT (CD) COM 151313103 42010 2188000 SH SOLE 2188000 0 0 D CENTEX CORP COM 152312104 1039 20000 SH SOLE 20000 0 0 D CENTRA SOFTWARE INC COM 15234X103 925 191970 SH SOLE 191970 0 0 D CEPHALON INC COM 156708109 10597 168200 SH SOLE 168200 0 0 D CERIDIAN CORP (CEN) COM 156779100 3837 174000 SH SOLE 174000 0 0 D CERTEGY INC COM 156880106 1939 48850 SH SOLE 48850 0 0 D CHEESECAKE FACTORY INC COM 163072101 26796 726189 SH SOLE 726189 0 0 D CHEMED CORPORATION COM 163596109 6790 181800 SH SOLE 181800 0 0 D CHIQUITA BRANDS INTL INC COM 170032106 2813 170500 SH SOLE 170500 0 0 D CHITTENDEN CORP COM 170228100 3400 116647 SH SOLE 116647 0 0 D CARMAX CIRCUIT CITY STORES INC CARMAX GROUP 172737306 14469 559500 SH SOLE 559500 0 0 D CITIGROUP COM 172967101 122912 2482076 SH SOLE 2482076 0 0 D CLEAR CHANNEL COMM INC COM 184502102 488 9500 SH SOLE 9500 0 0 D COCA COLA ENTERPRISES INC (CCE COM 191219104 1709 91000 SH SOLE 91000 0 0 D COEUR D ALENE MINES CORPORATIO SDCV 6.375% 1/3 192108AE8 3960 6000000 SH SOLE 6000000 0 0 D COEUR D ALENE SDCV 7.250%10/3 192108AG3 1320 2000000 SH SOLE 2000000 0 0 D COLLATERAL THERAPEUTICS INC COM 193921103 652 63000 SH SOLE 63000 0 0 D COLUMBUS MCKINNON CORP (CMCO) COM 199333105 2029 158500 SH SOLE 158500 0 0 D COMCAST CORP CL A SPECIAL CL A SPL 200300200 1027 32310 SH SOLE 32310 0 0 D COMPUTER ASSOCIATES INTL INC COM 204912109 625 28535 SH SOLE 28535 0 0 D COMPUTER SCIENCES CORP COM 205363104 9211 181500 SH SOLE 181500 0 0 D CONAGRA INC COM 205887102 1087 44844 SH SOLE 44844 0 0 D CONECTIV COM 206829103 6720 270000 SH SOLE 270000 0 0 D CONECTIV CL A CL A 206829202 585 27000 SH SOLE 27000 0 0 D CONOCO INC COM 208251504 1182 40500 SH SOLE 40500 0 0 D CONSOL ENERGY INC COM 20854P109 11156 425000 SH SOLE 425000 0 0 D CONSTELLATION BRANDS INC CLASS CL A 21036P108 1682 30600 SH SOLE 30600 0 0 D CONTINENTAL AIRLINES INC CL B CL B 210795308 1558 55000 SH SOLE 55000 0 0 D COOPER INDUSTRIES INC COM 216669101 315 7500 SH SOLE 7500 0 0 D COORSTEK INC. COM 217020106 4956 129000 SH SOLE 129000 0 0 D COSTCO WHOLESALE CORP COM 22160K105 498 12500 SH SOLE 12500 0 0 D CRESCENT REAL ESTATE EQUITIES COM 225756105 10185 525000 SH SOLE 525000 0 0 D A.T. CROSS COMPANY CLASS A CL A 227478104 2070 300000 SH SOLE 300000 0 0 D DRS TECHNOLOGIES INC COM 23330X100 8510 205100 SH SOLE 205100 0 0 D DARDEN RESTAURANTS INC COM 237194105 8422 207500 SH SOLE 207500 0 0 D DECODE GENETICS INC COM 243586104 2276 400000 SH SOLE 400000 0 0 D DEERE & COMPANY COM 244199105 5922 130000 SH SOLE 130000 0 0 D DELPHI CORP (DPH) COM 247126105 4546 284300 SH SOLE 284300 0 0 D DELTIC TIMBER CORPORATION COM 247850100 6968 230342 SH SOLE 230342 0 0 D DENTSPLY INTERNATIONAL INC. COM 249030107 9265 250000 SH SOLE 250000 0 0 D DIACRIN INC COM 25243N103 906 517500 SH SOLE 517500 0 0 D DIGENE CORP COM 253752109 1609 45000 SH SOLE 45000 0 0 D DILLARDS INC. CLASS A CL A 254067101 6204 260000 SH SOLE 260000 0 0 D DOLE FOOD COMPANY, INC. COM 256605106 4462 143950 SH SOLE 143950 0 0 D DOLLAR TREE STORES COM 256747106 29306 893199 SH SOLE 893199 0 0 D DOW CHEMICAL COM 260543103 818 25000 SH SOLE 25000 0 0 D DU PONT DE NEMOURS & CO COM 263534109 377 8000 SH SOLE 8000 0 0
VALUE SHARES/ SH/ PUT/ INVSTMT -----VOTING AUTHORITY----- NAME OF ISSUER -TITLE OF CLASS- --CUSIP-- (x$1000) PRN AMT PRN CALL DSCRETN -MANAGERS- SOLE SHARED NONE D DUN & BRADSTREET (DNB) COM 26483E100 9920 247950 SH SOLE 247950 0 0 D EARTHLINK INC COM 270321102 13652 1345000 SH SOLE 1345000 0 0 D EASTMAN CHEMICAL CO COM 277432100 10504 215300 SH SOLE 215300 0 0 D EASTMAN KODAK CO COM 277461109 203 6500 SH SOLE 6500 0 0 D ELECTRO RENT CORP (ELRC) COM 285218103 5520 402350 SH SOLE 402350 0 0 D ENERGIZER HOLDINGS INC COM 29266R108 21945 924000 SH SOLE 924000 0 0 D EQUIFAX INC (EFX) COM 294429105 11132 372300 SH SOLE 372300 0 0 D ESPIRITO SANTO FINANCIAL GROUP SPONSORED ADR 29665F200 18494 1052000 SH SOLE 1052000 0 0 D ETHYL CORP COM 297659104 5189 4512600 SH SOLE 4512600 0 0 D EXXON MOBIL CORP COM 30231G102 25463 580956 SH SOLE 580956 0 0 D FAIRMONT HOTELS & RESORTS COM 305204109 5200 183750 SH SOLE 183750 0 0 D FANNIE MAE COM 313586109 399 5000 SH SOLE 5000 0 0 D FIDELITY NATIONAL FINANCIAL IN COM 316326107 336 12738 SH SOLE 12738 0 0 D FORD MOTOR CORP COM PAR $0.01 345370860 1039 63000 SH SOLE 63000 0 0 D FORTUNE BRANDS INC (FO) COM 349631101 2222 45000 SH SOLE 45000 0 0 D FRANKLIN ELECTRIC COMPANY, INC COM 353514102 12918 255000 SH SOLE 255000 0 0 D FREEPORT MCMORAN COPPER & GOLD CL B 35671D857 17250 979000 SH SOLE 979000 0 0 D FUJI PHOTO FILM CO., LTD. ADR ADR 359586302 1492 47000 SH SOLE 47000 0 0 D GATX CORP COM 361448103 1495 47000 SH SOLE 47000 0 0 D GEMSTAR INTERNATIONAL LTD COM 36866W106 5773 390300 SH SOLE 390300 0 0 D GENERAL DYNAMICS CORP COM 369550108 59527 633600 SH SOLE 633600 0 0 D GENERAL MOTORS CORP CL H COM N CL H NEW 370442832 22427 1363330 SH SOLE 1363330 0 0 D GENZYME CORP COM GENL DIV 372917104 9502 217584 SH SOLE 217584 0 0 D GEORGIA PACIFIC CORP COM 373298108 9584 320000 SH SOLE 320000 0 0 D GILLETTE CO COM 375766102 204 6000 SH SOLE 6000 0 0 D GLAMIS GOLD LTD COM 376775102 669 125000 SH SOLE 125000 0 0 D GOLD FIELDS LTD. ADR SPONSORED ADR 38059T106 938 90000 SH SOLE 90000 0 0 D GOLDMAN SACHS GROUP COM 38141G104 34376 380900 SH SOLE 380900 0 0 D GREIF BROS. CORPORATION CLASS CL A 397624107 25526 715000 SH SOLE 715000 0 0 D GREYWOLF INC COM 397888108 1525 385200 SH SOLE 385200 0 0 D HANCOCK FABRICS, INC. COM 409900107 5235 290000 SH SOLE 290000 0 0 D HANDLEMAN CO DEL COM COM 410252100 2259 220000 SH SOLE 220000 0 0 D HARMONY GOLD MINING LTD SPON A SPONSORED ADR 413216300 3390 300000 SH SOLE 300000 0 0 D HARRIS CORP. (HRS) COM 413875105 2485 69200 SH SOLE 69200 0 0 D HERCULES INC COM 427056106 8251 619900 SH SOLE 619900 0 0 D HIBBETT SPORTING GOODS COM 428565105 881 37500 SH SOLE 37500 0 0 D HILTON HOTELS CORP COM 432848109 15774 1109100 SH SOLE 1109100 0 0 D HITACHI, LTD. ADR ADR 10 COM 433578507 515 7000 SH SOLE 7000 0 0 D HONEYWELL INTERNATIONAL INC COM 438516106 34171 892900 SH SOLE 892900 0 0 D ICN PHARMACEUTICALS COM 448924100 3048 96000 SH SOLE 96000 0 0 D ITT INDUSTRIES INC COM 450911102 21062 334100 SH SOLE 334100 0 0 D IDACORP COM 451107106 5468 135000 SH SOLE 135000 0 0 D IMMUNEX COM 452528102 5223 172620 SH SOLE 172620 0 0 D INDEPENDENCE HOLDING CO COM NEW 453440307 4248 237966 SH SOLE 237966 0 0 D INTEL CORP COM 458140100 1070 35200 SH SOLE 35200 0 0 D INTERNATIONAL BUSINESS MACHINE COM 459200101 36369 349700 SH SOLE 349700 0 0 D INTERNATIONAL GAME TECHNOLOGY COM 459902102 8974 144000 SH SOLE 144000 0 0 D INTERNATIONAL PAPER CO COM 460146103 17466 406100 SH SOLE 406100 0 0 D InterTAN, Inc. COM 461120107 885 78000 SH SOLE 78000 0 0 D INTERWOVEN INC COM 46114T102 349 69868 SH SOLE 69868 0 0 D JP MORGAN CHASE & CO COM 46625H100 3294 92400 SH SOLE 92400 0 0 D JOHNSON & JOHNSON COM 478160104 3308 50936 SH SOLE 50936 0 0 D KADANT INC COM 48282T104 536 37515 SH SOLE 37515 0 0 D KANEB SERVICES LLC COM 484173109 5029 225000 SH SOLE 225000 0 0 D KB HOME COM 48666K109 977 22500 SH SOLE 22500 0 0 D KIMBERLY CLARK CORP COM 494368103 1513 23400 SH SOLE 23400 0 0 D KINROSS GOLD CORP. COM 496902107 254 200000 SH SOLE 200000 0 0 D KRAFT FOODS INC. CL A 50075N104 8321 215300 SH SOLE 215300 0 0 D KROGER CO. COM 501044101 10637 480000 SH SOLE 480000 0 0 D L-3 COMMUNICATIONS COM 502424104 14739 131600 SH SOLE 131600 0 0 D LEHMAN BROTHERS INC COM 524908100 259 4000 SH SOLE 4000 0 0 D LENNAR CORP COM 526057104 791 15000 SH SOLE 15000 0 0 D LIBERTY MEDIA CORP CLASS A COM 530718105 727 57500 SH SOLE 57500 0 0 D LINCOLN NATIONAL CORP COM 534187109 9872 194600 SH SOLE 194600 0 0 D LITHIA MOTORS INC CL A CL A 536797103 7494 303400 SH SOLE 303400 0 0 D LOCKHEED MARTIN CORP COM 539830109 26953 468100 SH SOLE 468100 0 0 D LOEWS CORP COM 540424108 937 16000 SH SOLE 16000 0 0 D LONGVIEW FIBRE COMPANY COM 543213102 461 45000 SH SOLE 45000 0 0 D LOWES COMPANIES COM 548661107 68284 1570100 SH SOLE 1570100 0 0 D LUCENT TECHNOLOGIES INC COM 549463107 511 108092 SH SOLE 108092 0 0 D LUXOTTICA GROUP SPA SPON ADR ( SPONSORED ADR 55068R202 6828 352300 SH SOLE 352300 0 0 D M & T BANK COM 55261F104 36277 451369 SH SOLE 451369 0 0 D MRV COMMUNICATIONS INC SUB NT NOTE 5.000% 6/1 553477AB6 1406 1875000 SH SOLE 1875000 0 0 D MANDALAY RESORT GROUP (MBG) COM 562567107 12446 405400 SH SOLE 405400 0 0 D MANOR CARE INC COM 564055101 10478 449700 SH SOLE 449700 0 0 D MANPOWER INC. COM 56418H100 20023 515000 SH SOLE 515000 0 0 D MATTEL INC COM 577081102 4253 204100 SH SOLE 204100 0 0 D THE MAY STORES COMPANY COM 577778103 523 15000 SH SOLE 15000 0 0 D MCDONALDS CORP COM 580135101 30594 1102500 SH SOLE 1102500 0 0 D MCGRAW HILL INC COM 580645109 2048 30000 SH SOLE 30000 0 0 D MECHANICAL DYNAMICS INC COM 583521109 848 45000 SH SOLE 45000 0 0 D MEDTRONIC INC COM 585055106 452 10000 SH SOLE 10000 0 0 D MELLON FINANCIAL CORP COM 58551A108 783 20280 SH SOLE 20280 0 0 D MERCK & CO INC COM 589331107 2899 50350 SH SOLE 50350 0 0 D METLIFE INC COM 59156R108 643 20400 SH SOLE 20400 0 0 D MILLIPORE CORP COM 601073109 6955 157200 SH SOLE 157200 0 0 D ROBERT MONDAVI CORP CL A CL A 609200100 1006 28000 SH SOLE 28000 0 0 D MORGAN STANLEY, DEAN WITTER, A COM NEW 617446448 756 13200 SH SOLE 13200 0 0 D MOTOROLA INC COM 620076109 7414 522100 SH SOLE 522100 0 0 D MUELLER INDUS. COM 624756102 455 13000 SH SOLE 13000 0 0 D MURPHY OIL CORPORATION COM 626717102 12817 133507 SH SOLE 133507 0 0 D MYKROLIS CORP COM 62852P103 1627 106395 SH SOLE 106395 0 0 D NETWORK ASSOCIATES INC CONV SDCV 2/1 640938AB2 910 2000000 SH SOLE 2000000 0 0 D NEW GERMANY FUND INC (GF) COM 644465106 1223 206519 SH SOLE 206519 0 0 D NEWMONT MINING CORPORATION COM 651639106 58011 2095000 SH SOLE 2095000 0 0 D NORTH FORK BANCORPORATION INC COM 659424105 313 8800 SH SOLE 8800 0 0 D NORTHERN TRUST CO COM 665859104 577 9600 SH SOLE 9600 0 0 D NORTHROP GRUMMAN CORP COM 666807102 102186 903900 SH SOLE 903900 0 0 D NOVA CHEMICALS CORP COM 66977W109 313 12500 SH SOLE 12500 0 0 D NOVARTIS AG SPONSORED ADR SPONSORED ADR 66987V109 634 16000 SH SOLE 16000 0 0 D NOVELL INC COM 670006105 175 45000 SH SOLE 45000 0 0 D OTG SOFTWARE INC COM 671059103 1165 135000 SH SOLE 135000 0 0 D OFFICE DEPOT INC COM 676220106 7198 362600 SH SOLE 362600 0 0 D ONI SYSTEMS CORP COM 68273F103 555 90000 SH SOLE 90000 0 0 D OSCA INC CL A 687836106 376 13500 SH SOLE 13500 0 0 D OXFORD HEALTH PLANS INC COM 691471106 6310 151000 SH SOLE 151000 0 0 D PACKAGING CORP OF AMERICA COM 695156109 20196 1020500 SH SOLE 1020500 0 0 D PANCANADIAN ENERGY CORP COM 69831A107 25591 860500 SH SOLE 860500 0 0 D PAPA JOHNS INTL INC COM 698813102 2788 100000 SH SOLE 100000 0 0 D PARTY CITY CORP COM 702145103 4416 306450 SH SOLE 306450 0 0 D PENNZOIL-QUAKER STATE COMPANY COM 709323109 6280 292500 SH SOLE 292500 0 0 D PENTON MEDIA COM 709668107 503 66596 SH SOLE 66596 0 0 D PEPSI BOTTLING GROUP INC (PBG) COM 713409100 2535 98000 SH SOLE 98000 0 0
VALUE SHARES/ SH/ PUT/ INVSTMT -----VOTING AUTHORITY----- NAME OF ISSUER -TITLE OF CLASS- --CUSIP-- (x$1000) PRN AMT PRN CALL DSCRETN -MANAGERS- SOLE SHARED NONE D PEPSIAMERICAS COM 71343P200 1154 80000 SH SOLE 80000 0 0 D PFIZER INC COM 717081103 5216 131250 SH SOLE 131250 0 0 D PHARMACIA CORPORATION COM 71713U102 465 10310 SH SOLE 10310 0 0 D PHILIP MORRIS COM 718154107 13652 259200 SH SOLE 259200 0 0 D PHILLIPS PETROLEUM CO COM 718507106 10001 159251 SH SOLE 159251 0 0 D PLACER DOME INC. COM 725906101 1286 105000 SH SOLE 105000 0 0 D PLAYTEX PRODUCTS INC COM 72813P100 109 10000 SH SOLE 10000 0 0 D PRAECIS PHARMACEUTICALS INC COM 739421105 1677 322500 SH SOLE 322500 0 0 D PRAXAIR INC COM 74005P104 36248 606155 SH SOLE 606155 0 0 D PULTE CORP COM 745867101 383 8000 SH SOLE 8000 0 0 D QUINENCO S.A. ADR SPONSORED ADR 748718103 6335 1042000 SH SOLE 1042000 0 0 D RCN CORPORATION COM 749361101 261 184955 SH SOLE 184955 0 0 D RAYONIER INC. COM 754907103 114286 2145000 SH SOLE 2145000 0 0 D RAYTHEON COMPANY COM NEW 755111507 53188 1295700 SH SOLE 1295700 0 0 D RITE AID CORP COM 767754104 1817 525200 SH SOLE 525200 0 0 D ROCKWELL COLLINS INC COM 774341101 33802 1340300 SH SOLE 1340300 0 0 D ROYAL GOLD, INC. COM 780287108 579 65000 SH SOLE 65000 0 0 D RYDER SYSTEM INC COM 783549108 1034 35000 SH SOLE 35000 0 0 D S & P 500 DEPOSITARY RECEIPTS UNIT SER 1 78462F103 6070 53000 SH SOLE 53000 0 0 D SPX CORPORATION COM 784635104 57326 404900 SH SOLE 404900 0 0 D SAN JUAN BASIN ROYALTY TRUST UNIT BEN INT 798241105 12436 1045000 SH SOLE 1045000 0 0 D SAXON CAPITAL ACQUISITION CORP COM 80556P302 6517 441200 SH SOLE 441200 0 0 D SCHERING-PLOUGH CORP COM 806605101 11459 366100 SH SOLE 366100 0 0 D SCHLUMBERGER LTD COM 806857108 353 6000 SH SOLE 6000 0 0 D SEALED AIR CORP $2 PFD SER A D PFD CV A $2 81211K209 12425 271000 SH SOLE 271000 0 0 D SECURITY CAPITAL GROUP INCORPO CL B 81413P204 28017 1100000 SH SOLE 1100000 0 0 D SECURITY CAPITAL GROUP INC REI CL B 81413P204 26361 1035000 SH SOLE 1035000 0 0 D SELECTICA INC COM 816288104 4195 1086807 SH SOLE 1086807 0 0 D SENECA FOODS CORPORATION A CL A 817070501 1645 115000 SH SOLE 115000 0 0 D SHERWIN WILLIAMS CO COM 824348106 9398 330000 SH SOLE 330000 0 0 D SNAP ON TOOLS CORP COM 833034101 511 15000 SH SOLE 15000 0 0 D SONY CORP (SNE) ADR NEW 835699307 1561 30200 SH SOLE 30200 0 0 D SOUTHRUST CORP. COM 844730101 317 12000 SH SOLE 12000 0 0 D SPRINT CORP COM FON GROUP 852061100 332 21700 SH SOLE 21700 0 0 D STORAGE USA INC COM 861907103 383 9000 SH SOLE 9000 0 0 D STORAGE TECHNOLOGY CORP (STK) COM PAR $0.10 862111200 11222 523400 SH SOLE 523400 0 0 D SWISS HELVETIA FUND (THE) (SWZ COM 870875101 876 76478 SH SOLE 76478 0 0 D SYBASE INC COM 871130100 7167 410248 SH SOLE 410248 0 0 D TRW, INC. COM 872649108 566 11000 SH SOLE 11000 0 0 D TVX GOLD INC NEW COM NEW 87308K200 1319 1735800 SH SOLE 1735800 0 0 D TEKTRONIX INC. (TEK) COM 879131100 2484 105000 SH SOLE 105000 0 0 D TELEPHONE & DATA SYSTEMS INC COM 879433100 1765 20000 SH SOLE 20000 0 0 D TENET HEALTHCARE CORP COM 88033G100 24429 364500 SH SOLE 364500 0 0 D THERMO ELECTRON CORP COM 883556102 27853 1343600 SH SOLE 1343600 0 0 D 3 DIMENSIONAL PHARMACEUTICALS COM 88554W104 1185 173500 SH SOLE 173500 0 0 D TIFFANY & CO COM 886547108 9243 260000 SH SOLE 260000 0 0 D TOLL BROTHERS INC WHEN ISSUED 889478103 399 8000 SH SOLE 8000 0 0 D TOUCH AMERICA HOLDINGS INC COM 891539108 577 151368 SH SOLE 151368 0 0 D TRAVELOCITY.COM INC COM 893953109 2492 89100 SH SOLE 89100 0 0 D TRICON GLOBAL RESTAURANT INC COM 895953107 11556 196600 SH SOLE 196600 0 0 D TRIQUINT SEMICONDUCTOR NOTE 4.000% 3/0 89674KAB9 1545 2000000 SH SOLE 2000000 0 0 D TYCO INTL LTD NEW COM 902124106 24410 755274 SH SOLE 755274 0 0 D UIL HOLDINGS CORPORATION COM 902748102 848 14600 SH SOLE 14600 0 0 D U.S. BANCORP NEW (USB) COM NEW 902973304 2586 114593 SH SOLE 114593 0 0 D USA NETWORKS INC. COM 902984103 7288 229400 SH SOLE 229400 0 0 D USG CORPORATION COM NEW 903293405 315 45000 SH SOLE 45000 0 0 D UNIFIRST CORPORATION COM 904708104 10060 400000 SH SOLE 400000 0 0 D UNITED TECHNOLOGIES CORP COM 913017109 653 8800 SH SOLE 8800 0 0 D UNITEDGLOBALCOM INC CL A (UCOM CL A 913247508 3395 627500 SH SOLE 627500 0 0 D UNOCAL CORP COM 915289102 545 14000 SH SOLE 14000 0 0 D UNUMPROVIDENT CORP COM 91529Y106 1327 47500 SH SOLE 47500 0 0 D VALERO ENERGY CORP COM 91913Y100 19278 389300 SH SOLE 389300 0 0 D VERITAS DGC INC. COM 92343P107 1370 81002 SH SOLE 81002 0 0 D VIASTAT INC. (VSAT) COM 92552V100 390 27800 SH SOLE 27800 0 0 D VIACOM INC CL B CL B 925524308 18492 382300 SH SOLE 382300 0 0 D VIASYS HEALTHCARE INC COM NEW 92553Q209 22501 1000497 SH SOLE 1000497 0 0 D VIDAMED INC COM 926530106 502 63720 SH SOLE 63720 0 0 D VITRIA TECHNOLOGY INC COM 92849Q104 378 95800 SH SOLE 95800 0 0 D WACKENHUT CORP CLASS 'B' COM SER B 929794303 2366 72630 SH SOLE 72630 0 0 D WACHOVIA CORP NEW COM 929903102 1367 36857 SH SOLE 36857 0 0 D WALMART STORES INC COM 931142103 1226 20000 SH SOLE 20000 0 0 D WASTE MANAGEMENT INC COM 94106L109 12074 443100 SH SOLE 443100 0 0 D WELLMAN INC COM 949702104 165 10000 SH SOLE 10000 0 0 D WELLS FARGO & CO COM 949746101 35054 709600 SH SOLE 709600 0 0 D WEYCO GROUP, INC. COM 962149100 4241 145000 SH SOLE 145000 0 0 D XANSER CORP COM 98389J103 1876 700000 SH SOLE 700000 0 0 D XILINX INC COM 983919101 1136 28500 SH SOLE 28500 0 0 D YORK INTERNATIONAL CORP COM 986670107 359 10000 SH SOLE 10000 0 0 D ZALE CORP COM 988858106 2160 53200 SH SOLE 53200 0 0 D ZEBRA TECH CL A 989207105 9736 180000 SH SOLE 180000 0 0 S REPORT SUMMARY 302 DATA RECORDS 2808387 115547654 0 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED