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 December 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. Robert Bruno 212-698-3130 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 12th day of -------- -------- ---- February, 2003 -------- ---- Arnhold and S. Bleichroeder Holdings, Inc. ------------------------------------------ (Name of Institutional Investment Manager) Robert Bruno ------------------------------------------ (Manual Signature of Person Duly Authorized to Submit This Report) Page 1 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: 47433097 Form 13 F Information Table Value Total: 815169 Arnhold and S. Bleichroeder Holdings, Inc. Page 2
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 AMDOCS LTD ORD G02602103 687 70000 SH SOLE 70000 0 0 D APEX SILVER MINES LTD ORD G04074103 2220 150000 SH SOLE 150000 0 0 D COOPER INDUSTRIES LTD CL A CL A G24182100 313 8600 SH SOLE 8600 0 0 D GLOBALSANTAFE CORP SHS G3930E101 469 19300 SH SOLE 19300 0 0 D ALVARION LTD SHS M0861T100 345 184634 SH SOLE 184634 0 0 D PANAMERICAN BEVERAGES INC. CL A P74823108 2156 103750 SH SOLE 103750 0 0 D AOL TIME WARNER INC COM 00184A105 2774 211750 SH SOLE 211750 0 0 D ABBOTT LABORATORIES (ABT) COM 002824100 3368 84200 SH SOLE 84200 0 0 D AFFYMETRIX INC CONV/CALL 4.75 NOTE 4.750% 2/1 00826TAD0 9024 10570000 SH SOLE 10570000 0 0 D AGNICO-EAGLE MINES LTD COM 008474108 2229 150000 SH SOLE 150000 0 0 D AIR PRODUCTS & CHEMICALS INC COM 009158106 299 7000 SH SOLE 7000 0 0 D ALCAN ALUMINUM LTD COM 013716105 959 32500 SH SOLE 32500 0 0 D ALCOA INC COM 013817101 285 12500 SH SOLE 12500 0 0 D ALLEGHANY CORP NEW COM 017175100 355 2000 SH SOLE 2000 0 0 D ALLEN ORGAN COMPANY CLASS B CL B 017753104 400 10000 SH SOLE 10000 0 0 D ALLIANT TECH SYSTEMS COM 018804104 692 11100 SH SOLE 11100 0 0 D AMERICAN EXPRESS CO COM 025816109 25279 715100 SH SOLE 715100 0 0 D AMERICAN INDEPENDENCE CORP COM 026760108 957 351900 SH SOLE 351900 0 0 D AMERICAN INTERNATIONAL GROUP COM 026874107 544 9400 SH SOLE 9400 0 0 D AMERICAN POWER CONVERSION CORP COM 029066107 606 40000 SH SOLE 40000 0 0 D AMERICAN WATER WORKS INC COM 030411102 7305 160625 SH SOLE 160625 0 0 D AMERISOURCEBERGEN CORP COM 03073E105 3644 67100 SH SOLE 67100 0 0 D AMGEN INC COM 031162100 11031 228200 SH SOLE 228200 0 0 D AMPHENOL CORP CL A CL A 032095101 47325 1245400 SH SOLE 1245400 0 0 D ANNTAYLOR STORES CORP COM 036115103 3910 191500 SH SOLE 191500 0 0 D APTAR GROUP INC COM 038336103 922 29526 SH SOLE 29526 0 0 D ARCHER-DANIELS-MIDLAND CO COM 039483102 1773 142957 SH SOLE 142957 0 0 D B J SERVICES CO COM 055482103 4268 132100 SH SOLE 132100 0 0
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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 BANK ONE CORP COM 06423A103 9072 248200 SH SOLE 248200 0 0 D BECKMAN COULTER,INC. COM 075811109 378 12800 SH SOLE 12800 0 0 D BED BATH & BEYOND INC (BBBY) COM 075896100 259 7500 SH SOLE 7500 0 0 D BEST BUY CO INC COM 086516101 243 10050 SH SOLE 10050 0 0 D BIOTRANSPLAN COM 09066Y107 5 10000 SH SOLE 10000 0 0 D BLOCK, H&R INC COM 093671105 1098 27320 SH SOLE 27320 0 0 D BOEING CO COM 097023105 967 29300 SH SOLE 29300 0 0 D WEATHERFORD INTL LTD COM 100000073 49 1232 SH SOLE 1232 0 0 D BOWATER INC COM 102183100 420 10000 SH SOLE 10000 0 0 D BRISTOL MYERS SQUIBB CO COM 110122108 646 27924 SH SOLE 27924 0 0 D BURLINGTON NORTHERN SANTA FE COM 12189T104 284 10900 SH SOLE 10900 0 0 D CARDINAL HEALTH INC COM 14149Y108 200 3382 SH SOLE 3382 0 0 D CARMAX CIRCUIT CITY STORES INC COM 143130102 27229 1522900 SH SOLE 1522900 0 0 D CENDANT (CD) COM 151313103 3604 343900 SH SOLE 343900 0 0 D CENTEX CORP COM 152312104 1004 20000 SH SOLE 20000 0 0 D CHEESECAKE FACTORY INC COM 163072101 21588 597189 SH SOLE 597189 0 0 D CHITTENDEN CORP COM 170228100 2972 116647 SH SOLE 116647 0 0 D CITIGROUP COM 172967101 39739 1129276 SH SOLE 1129276 0 0 D CLEAR CHANNEL COMM INC COM 184502102 51419 1378900 SH SOLE 1378900 0 0 D COLUMBUS MCKINNON CORP (CMCO) COM 199333105 630 165000 SH SOLE 165000 0 0 D COMCAST CORP CLASS A CL A 20030N101 381 16173 SH SOLE 16173 0 0 D COMCAST CORP CL A SPECIAL CL A SPL 20030N200 11137 493000 SH SOLE 493000 0 0 D CONAGRA INC COM 205887102 1122 44844 SH SOLE 44844 0 0 D CONSTELLATION BRANDS INC CLASS CL A 21036P108 2328 98200 SH SOLE 98200 0 0 D COORSTEK INC. COM 217020106 4088 160000 SH SOLE 160000 0 0 D COX COMMUNICATIONS INC CL A CO CL A 224044107 8844 311400 SH SOLE 311400 0 0 D CRESCENT REAL ESTATE EQUITIES COM 225756105 582 35000 SH SOLE 35000 0 0 D CNH GLOBAL NV COM 126124999 38 10000 SH SOLE 10000 0 0 D DEERE & COMPANY COM 244199105 1376 30000 SH SOLE 30000 0 0 D DELPHI CORP (DPH) COM 247126105 2570 319300 SH SOLE 319300 0 0 D DELTIC TIMBER CORPORATION COM 247850100 315 11796 SH SOLE 11796 0 0 D DIANON SYSTEMS INC. COM 252826102 1592 33362 SH SOLE 33362 0 0
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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 DIACRIN INC COM 25243N103 565 517600 SH SOLE 517600 0 0 D DOLE FOOD COMPANY, INC. COM 256605106 1629 50000 SH SOLE 50000 0 0 D DOLLAR TREE STORES COM 256747106 16484 670899 SH SOLE 670899 0 0 D DOW CHEMICAL COM 260543103 743 25000 SH SOLE 25000 0 0 D DU PONT DE NEMOURS & CO COM 263534109 424 10000 SH SOLE 10000 0 0 D EARTHLINK INC COM 270321102 1635 300000 SH SOLE 300000 0 0 D EASTMAN KODAK CO COM 277461109 228 6500 SH SOLE 6500 0 0 D ELECTRO RENT CORP (ELRC) COM 285218103 4816 397350 SH SOLE 397350 0 0 D ENCANA CORP COM 292505104 2022 65000 SH SOLE 65000 0 0 D FAIRMONT HOTELS & RESORTS COM 305204109 3295 139900 SH SOLE 139900 0 0 D FAMILY DOLLAR STORES INC COM 307000109 368 11800 SH SOLE 11800 0 0 D FANNIE MAE COM 313586109 322 5000 SH SOLE 5000 0 0 D FLEET BOSTON FINANCIAL CORP COM 339030108 9066 373100 SH SOLE 373100 0 0 D FLORIDAFIRST BANCORP INC COM 343258109 718 30000 SH SOLE 30000 0 0 D FRANKLIN ELECTRIC COMPANY, INC COM 353514102 2016 41984 SH SOLE 41984 0 0 D FUJI PHOTO FILM CO., LTD. ADR ADR 359586302 1507 47000 SH SOLE 47000 0 0 D GATX CORP COM 361448103 297 13000 SH SOLE 13000 0 0 D GAMESTOP CORP CL A 36466R101 613 62500 SH SOLE 62500 0 0 D GEMSTAR INTERNATIONAL LTD COM 36866W106 431 132500 SH SOLE 132500 0 0 D GENERAL DYNAMICS CORP COM 369550108 46312 583500 SH SOLE 583500 0 0 D GENERAL MOTORS CORP CL H COM N CL H NEW 370442832 1664 155525 SH SOLE 155525 0 0 D GOLDMAN SACHS GROUP COM 38141G104 11345 166600 SH SOLE 166600 0 0 D GREIF BROS. CORPORATION CLASS CL A 397624107 1190 50000 SH SOLE 50000 0 0 D GRANT PRIDECO INC COM 38821G101 14 1232 SH SOLE 1232 0 0 D GUCCI GROUP NV COM NY REG 401566104 229 2500 SH SOLE 2500 0 0 D HARMONY GOLD MINING LTD SPON A SPONSORED ADR 413216300 8405 500000 SH SOLE 500000 0 0 D HERCULES INC COM 427056106 528 60000 SH SOLE 60000 0 0 D HEWLETT-PACKARD COM 428236103 8055 464000 SH SOLE 464000 0 0 D HILTON HOTELS CORP COM 432848109 384 30200 SH SOLE 30200 0 0 D HISPANIC BROADCASTING CORP CL A 43357B104 4117 200325 SH SOLE 200325 0 0 D HONEYWELL INTERNATIONAL INC COM 438516106 3271 136300 SH SOLE 136300 0 0
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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 HOUSEHOLD INTL. INC. (HI) COM 441815107 3166 113850 SH SOLE 113850 0 0 D ITT INDUSTRIES INC COM 450911102 39952 658300 SH SOLE 658300 0 0 D INDEPENDENCE HOLDING CO COM NEW 453440307 5143 239566 SH SOLE 239566 0 0 D INKTOMI CORP COM 457277101 800 500000 SH SOLE 500000 0 0 D INTEL CORP COM 458140100 548 35200 SH SOLE 35200 0 0 D INTERNATIONAL BUSINESS MACHINE COM 459200101 12028 155200 SH SOLE 155200 0 0 D IVAX CORP 4.5% DUE 05/15/2008 NOTE 4.500% 5/1 465823AG7 823 1000000 SH SOLE 1000000 0 0 D JP MORGAN CHASE & CO COM 46625H100 2218 92400 SH SOLE 92400 0 0 D JOHNSON & JOHNSON COM 478160104 2575 47936 SH SOLE 47936 0 0 D KB HOME COM 48666K109 964 22500 SH SOLE 22500 0 0 D KIMBERLY CLARK CORP COM 494368103 1111 23400 SH SOLE 23400 0 0 D KING PHARMACEUTICALS INC COM 495582108 2742 159500 SH SOLE 159500 0 0 D KRAFT FOODS INC. CL A 50075N104 234 6000 SH SOLE 6000 0 0 D KROGER CO. COM 501044101 6026 390000 SH SOLE 390000 0 0 D L-3 COMMUNICATIONS COM 502424104 966 21500 SH SOLE 21500 0 0 D LABORATORY CORPORATION OF AMER COM NEW 50540R409 1180 50796 SH SOLE 50796 0 0 D LEHMAN BROTHERS INC COM 524908100 213 4000 SH SOLE 4000 0 0 D LENNAR CORP COM 526057104 774 15000 SH SOLE 15000 0 0 D LIBERTY MEDIA CORP COM SER A 530718105 5540 619666 SH SOLE 619666 0 0 D LITHIA MOTORS INC CL A CL A 536797103 3119 198800 SH SOLE 198800 0 0 D LOCKHEED MARTIN CORP COM 539830109 959 16600 SH SOLE 16600 0 0 D LOEWS CORP COM 540424108 679 15275 SH SOLE 15275 0 0 D LONGVIEW FIBRE COMPANY COM 543213102 904 125000 SH SOLE 125000 0 0 D LOWES COMPANIES COM 548661107 949 25300 SH SOLE 25300 0 0 D LUXOTTICA GROUP SPA SPON ADR ( SPONSORED ADR 55068R202 1987 145550 SH SOLE 145550 0 0 D M & T BANK COM 55261F104 26622 335505 SH SOLE 335505 0 0 D MARKEL CORP (MKL) COM 570535104 263 1280 SH SOLE 1280 0 0 D MCDONALDS CORP COM 580135101 2227 138500 SH SOLE 138500 0 0 D MCGRAW HILL INC COM 580645109 1209 20000 SH SOLE 20000 0 0 D MEDTRONIC INC COM 585055106 456 10000 SH SOLE 10000 0 0 D MELLON FINANCIAL CORP COM 58551A108 530 20280 SH SOLE 20280 0 0 D MERCK & CO INC COM 589331107 8636 152550 SH SOLE 152550 0 0
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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 METLIFE INC COM 59156R108 443 16400 SH SOLE 16400 0 0 D MICROSOFT CORP COM 594918104 7073 136800 SH SOLE 136800 0 0 D MONSANTO CO COM 61166W101 494 25648 SH SOLE 25648 0 0 D MORGAN STANLEY, DEAN WITTER, A COM NEW 617446448 527 13200 SH SOLE 13200 0 0 D MURPHY OIL CORPORATION COM 626717102 1920 44814 SH SOLE 44814 0 0 D NEW GERMANY FUND INC (GF) COM 644465106 733 206519 SH SOLE 206519 0 0 D NEWMONT MINING CORPORATION COM 651639106 2032 70000 SH SOLE 70000 0 0 D 99 CENTS ONLY STORES COM 65440K106 744 27700 SH SOLE 27700 0 0 D NORTHERN TRUST CO COM 665859104 336 9600 SH SOLE 9600 0 0 D NORTHROP GRUMMAN CORP COM 666807102 24454 252100 SH SOLE 252100 0 0 D NOVARTIS AG SPONSORED ADR SPONSORED ADR 66987V109 529 14400 SH SOLE 14400 0 0 D NOVELL INC COM 670006105 150 45000 SH SOLE 45000 0 0 D OMI CORP COM 670874999 9 2250 SH SOLE 2250 0 0 D OSMONICS INC. COM 688350107 1040 61410 SH SOLE 61410 0 0 D PANERA BREAD CO CL "A" CL A 69840W108 1880 54000 SH SOLE 54000 0 0 D PARTY CITY CORP COM 702145103 4202 350150 SH SOLE 350150 0 0 D PFIZER INC COM 717081103 1860 60850 SH SOLE 60850 0 0 D PHARMACIA CORPORATION COM 71713U102 6978 166935 SH SOLE 166935 0 0 D PHILIP MORRIS COM 718154107 3992 98500 SH SOLE 98500 0 0 D PLAYTEX PRODUCTS INC. COM 72813P100 395 40000 SH SOLE 40000 0 0 D PRAECIS PHARMACEUTICALS INC COM 739421105 780 240000 SH SOLE 240000 0 0 D PRAXAIR INC COM 74005P104 4085 70705 SH SOLE 70705 0 0 D PROLOGIS TRUST SH BEN INT 743410102 2012 80000 SH SOLE 80000 0 0 D PULTE CORP COM 745867101 383 8000 SH SOLE 8000 0 0 D QUALCOMM INC COM 747525103 515 14160 SH SOLE 14160 0 0 D QUINENCO S.A. ADR SPONSORED ADR 748718103 960 200000 SH SOLE 200000 0 0 D QUINTILES TRANSNATIONAL CORP COM 748767100 316 26125 SH SOLE 26125 0 0 D RATIONAL SOFTWARE CORP COM NEW 75409P202 2685 258400 SH SOLE 258400 0 0 D RAYONIER INC. COM 754907103 8371 185000 SH SOLE 185000 0 0 D RAYTHEON COMPANY COM NEW 755111507 852 27700 SH SOLE 27700 0 0 D ROCKWELL COLLINS INC COM 774341101 665 28600 SH SOLE 28600 0 0
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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 RYDER SYSTEM INC COM 783549108 785 35000 SH SOLE 35000 0 0 D S & P 500 DEPOSITARY RECEIPTS UNIT SER 1 78462F103 10499 119000 SH SOLE 119000 0 0 D SPX CORPORATION COM 784635104 457 12200 SH SOLE 12200 0 0 D SAN JUAN BASIN ROYALTY TRUST UNIT BEN INT 798241105 1404 102500 SH SOLE 102500 0 0 D SCHERING-PLOUGH CORP COM 806605101 646 29100 SH SOLE 29100 0 0 D SCHLUMBERGER LTD COM 806857108 253 6000 SH SOLE 6000 0 0 D SENECA FOODS CORPORATION A CL A 817070501 822 55000 SH SOLE 55000 0 0 D SNAP ON TOOLS CORP COM 833034101 422 15000 SH SOLE 15000 0 0 D SONY CORP (SNE) ADR NEW 835699307 1248 30200 SH SOLE 30200 0 0 D SOUTHERN PACIFIC NL ADR NEW 843581406 11 2664 SH SOLE 2664 0 0 D SOUTHRUST CORP. COM 844730101 298 12000 SH SOLE 12000 0 0 D STARBUCKS CORP COM 855244109 1223 60000 SH SOLE 60000 0 0 D STARWOOD HOTELS & RESORTS WORL PAIRED CTF 85590A203 366 15400 SH SOLE 15400 0 0 D SWISS HELVETIA FUND (THE) (SWZ COM 870875101 737 76478 SH SOLE 76478 0 0 D TAUBMAN CENTER COM 876664103 954 58750 SH SOLE 58750 0 0 D TEKTRONIX INC. (TEK) COM 879131100 1000 55000 SH SOLE 55000 0 0 D 3 DIMENSIONAL PHARMACEUTICALS COM 88554W104 652 204400 SH SOLE 204400 0 0 D TOLL BROTHERS INC COM 889478103 323 16000 SH SOLE 16000 0 0 D TYCO INTL LTD NEW COM 902124106 4922 288170 SH SOLE 288170 0 0 D UIL HOLDINGS CORPORATION COM 902748102 509 14600 SH SOLE 14600 0 0 D U.S. BANCORP NEW (USB) COM NEW 902973304 2307 108695 SH SOLE 108695 0 0 D USG CORPORATION COM NEW 903293405 380 45000 SH SOLE 45000 0 0 D UNIFIRST CORPORATION COM 904708104 505 25000 SH SOLE 25000 0 0 D UNITED DEFENSE IND INC COM 91018B104 35225 1511800 SH SOLE 1511800 0 0 D UNITED TECHNOLOGIES CORP COM 913017109 545 8800 SH SOLE 8800 0 0 D UNITEDGLOBALCOM INC CL A (UCOM CL A 913247508 16801 7000538 SH SOLE 7000538 0 0 D UNIVISION COMMUNICATIONS INC CL A 914906102 11983 489100 SH SOLE 489100 0 0 D UNOCAL CORP COM 915289102 428 14000 SH SOLE 14000 0 0 D UNUMPROVIDENT CORP COM 91529Y106 833 47500 SH SOLE 47500 0 0 D VALERO ENERGY CORP COM 91913Y100 458 12400 SH SOLE 12400 0 0 D VIASTAT INC. (VSAT) COM 92552V100 4122 357173 SH SOLE 357173 0 0 D VIACOM INC CL B CL B 925524308 16785 411800 SH SOLE 411800 0 0
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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 VODAFONE GROUP PLC SPONSORED A SPONSORED ADR 92857W100 5498 303400 SH SOLE 303400 0 0 D WACHOVIA CORP NEW COM 929903102 1343 36857 SH SOLE 36857 0 0 D WALMART STORES INC COM 931142103 1010 20000 SH SOLE 20000 0 0 D WELLMAN INC COM 949702104 135 10000 SH SOLE 10000 0 0 D WELLS FARGO & CO COM 949746101 9055 193200 SH SOLE 193200 0 0 D YORK INTERNATIONAL CORP COM 986670107 256 10000 SH SOLE 10000 0 0 S REPORT SUMMARY 192 DATA RECORDS 815169 47433097 0 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED
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