-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Nkk0gKsYMnKBej8Vs2S/vnDoYJmhoriUIrmMn0lEfORqJRfYoI9BlAE4i6z3K0Ls gLG1a9iuS5TzfzGcjcgRZg== 0001021408-02-011712.txt : 20020911 0001021408-02-011712.hdr.sgml : 20020911 20020910204036 ACCESSION NUMBER: 0001021408-02-011712 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020630 FILED AS OF DATE: 20020911 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SYNERGY ASSET MANAGEMENT INC CENTRAL INDEX KEY: 0001167489 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10131 FILM NUMBER: 02761210 BUSINESS ADDRESS: STREET 1: EXCHANGE TOWER 130 KING ST WEST STREET 2: SUITE 3640 CITY: PROVINCE ONTARIO STATE: A1 ZIP: 00000 13F-HR 1 d13fhr.txt FORM 13-F COMBINATION REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 06/30/02 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: Synergy Asset Management Inc. Address: The Exchange Tower 130 King Street West Suite 3640 Toronto, Ontario M5X 1E4 13F File Number: 28-10131 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: Jaime E. Ross Title: Vice-President, Services & Corporate Secretary Phone: (416) 202--6049 Signature, Place, and Date of Signing: "Jaime E. Ross" Toronto, Ontario September 10, 2002 Report Type (Check only one.): [ ] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [X] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) List of Other Managers Reporting for this Manager: 13F File Number Name 28-7812 Thornburg Investment Management, Inc. 28-00156 Marsico Capital Management, LLC FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: None Form 13F Information Table Entry Total: 162 Form 13F Information Table Value Total: $158,512 (Value X$1000) List of Other Included Managers: None
VOTING AUTHORITY TITLE VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER ------------------- NAME OF ISSUER OF CLASS (X$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - -------------- ----------- -------- ------- --- ---- ---------- -------- ------- ------ ---- 3M COMPANY COMMON 88579Y101 1,034 8,404 SH SOLE 8,404 ACE LIMITED COMMON G0070K103 51 1,600 SH SOLE 1,600 ACTIVISION INC COMMON 004930202 4,998 172,000 SH SOLE 172,000 AFFILIATED COMP SVCS CL A COMMON 008190100 603 12,700 SH SOLE 12,700 CUM RTS ALCOA INC COMMON 013817101 1,035 34,000 SH SOLE 34,000 AMBAC FINANCIAL GRP COMMON 023139108 1,012 15,060 SH SOLE 15,060 CUM RTS AMERICAN EXPRESS CO COMMON 025816109 541 14,900 SH SOLE 14,900 AMERICAN MED SYS HLD COMMON 02744M108 471 23,500 SH SOLE 23,500 AMERN INTL GROUP INC COMMON 026874107 1,696 24,864 SH SOLE 24,864 ANHEUSER BUSCH COS COMMON 035229103 1,136 22,309 SH SOLE 22,309 CUM RTS AOL TIME WARNER INC COMMON 00184A105 509 33,000 SH SOLE 33,000 APPLIED MATLS INC COMMON 038222105 561 29,500 SH SOLE 29,500 ASIAINFO HLDGS INC COMMON 04518A104 179 13,500 SH SOLE 13,500 AT&T CORP COMMON 001957109 75 7,000 SH SOLE 7,000 AT&T WIRELESS SRVC COMMON 00209A106 35 6,300 SH SOLE 6,300 AVON PRODS INC COMMON 054303102 425 8,300 SH SOLE 8,300 CUM RTS BANK NEW YORK INC COMMON 064057102 736 22,450 SH SOLE 22,450 BANK OF AMERICA CORP COMMON 060505104 1,323 18,800 SH SOLE 18,800 BAXTER INTL INC COMMON 071813109 1,241 27,928 SH SOLE 27,928 BEAR STEARNS COS INC COMMON 073902108 545 8,900 SH SOLE 8,900 BURLINGTON RES INC COMMON 122014103 588 14,900 SH SOLE 14,900 CUM RTS CADBURY SCHWEPPES SP ADR 127209302 813 28,000 SH SOLE 28,000 CEMEX S A SP ADR 151290889 808 31,000 SH SOLE 31,000 CENDANT CORP COMMON 151313103 79 5,000 SH SOLE 5,000 CHEVRONTEXACO CORP COMMON 166764100 106 1,200 SH SOLE 1,200 CHINA UNICOM ADR 16945R104 336 42,300 SH SOLE 42,300 CIRCUIT CITY STORE COMMON 172737108 32 1,700 SH SOLE 1,700 CUM RIGHTS CISCO SYSTEMS INC COMMON 17275R102 5,562 398,700 SH SOLE 398,700 CITIGROUP INC COMMON 172967101 1,140 30,861 SH SOLE 30,861 CLOROX CO COMMON 189054109 575 13,900 SH SOLE 13,900 CNOOC LTD SP ADR 126132109 83 3,100 SH SOLE 3,100 COCA COLA CO COMMON 191216100 1,098 19,600 SH SOLE 19,600 COMCAST CORP CLASS A 200300200 432 18,100 SH SOLE 18,100 COMMERCE BANCSHARES COMMON 200525103 535 12,100 SH SOLE 12,100 COMPUTER ASSOC INTL COMMON 204912109 47 2,700 SH SOLE 2,700 CONAGRA FOODS INC COMMON 205887102 691 25,000 SH SOLE 25,000 CUM RTS CRYPTOLOGIC INC COMMON 22890610 A 264 10,000 SH SOLE 10,000 DDI CORP COMMON 233162106 28 31,000 SH SOLE 31,000 DELL COMPUTER CORP COMMON 247025109 908 34,752 SH SOLE 34,752 DELPHI CORPORATION COMMON 247126105 505 37,900 SH SOLE 37,900 DENTSPLY INTL INC COMMON 249030107 952 25,800 SH SOLE 25,800 DIAL CORP COMMON 25247D101 517 25,800 SH SOLE 25,800 DOUBLECLICK INC COMMON 258609304 290 40,000 SH SOLE 40,000 DUKE ENERGY CORP COMMON 264399106 352 11,100 SH SOLE 11,100 E TRADE GROUP INC COMMON 269246104 462 95,300 SH SOLE 95,300 CUM RIGHTS EMBRAER-EMPRESA BRAS PFD SP ADR 29081M102 667 34,949 SH SOLE 34,949 ERICSSON(LM) TEL ADR CLASS B 294821400 26 17,800 SH SOLE 17,800 EXXON MOBIL CORP COMMON 30231G102 982 24,000 SH SOLE 24,000 FEDERAL NATL MTG ASS COMMON 313586109 1,586 21,500 SH SOLE 21,500 FEDEX CORPORATION COMMON 31428X106 1,089 20,392 SH SOLE 20,392 FIRST TENN NATL CORP COMMON 337162101 475 12,400 SH SOLE 12,400 FIRST VA BANKS INC COMMON 337477103 583 10,100 SH SOLE 10,100 CUM RTS FLIR SYS INC COMMON 302445101 630 15,000 SH SOLE 15,000
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VOTING AUTHORITY TITLE VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER ------------------- NAME OF ISSUER OF CLASS (X$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - -------------- ---------- -------- ------- --- ---- ---------- -------- ------- ------ ---- FOREST LABS INC COMMON 345838106 475 6,700 SH SOLE 6,700 FOUR SEASONS HOTEL SUB VTG SH 35100E104 432 9,803 SH SOLE 9,803 FREDDIE MAC COMMON 313400301 726 12,000 SH SOLE 12,000 GEMPLUS INTL S A ADR 36866Y102 133 45,200 SH SOLE 45,200 GENERAL DYNAMICS COMMON 369550108 1,020 9,729 SH SOLE 9,729 GENERAL ELEC CO COMMON 369604103 854 29,400 SH SOLE 29,400 GENERAL MTRS CORP COMMON 370442105 1,728 32,328 SH SOLE 32,328 GEORGIA PAC CORP COM CM RTS 373298108 58 2,200 SH SOLE 2,200 GOLD FIELDS LTD SP ADR 38059T106 827 67,000 SH SOLE 67,000 GOLDMAN SACHS GROUP COMMON 38141G104 679 9,500 SH SOLE 9,500 GSI LUMONICS INC COMMON 36229U102 270 35,000 SH SOLE 35,000 HARLEY DAVIDSON INC COMMON 412822108 886 17,984 SH SOLE 17,984 CUM RTS HEALTHSOUTH CORP COMMON 421924101 28 2,200 SH SOLE 2,200 HEWLETT PACKARD CO COMMON 428236103 244 16,000 SH SOLE 16,000 HILTON HOTELS CORP COMMON 432848109 169 12,000 SH SOLE 12,000 CUM RTS HOME DEPOT INC COMMON 437076102 1,205 32,800 SH SOLE 32,800 HUDSON CITY BANCORP COMMON 443683107 1,116 56,500 SH SOLE 56,500 HURRICANE HYDRCRBNS CLASS A 44779E106 67 10,000 SH SOLE 10,000 HYUNDAI MTR CO SPON GDR 449187707 777 51,700 SH SOLE 51,700 INTEL CORP COMMON 458140100 1,069 58,500 SH SOLE 58,500 INTUIT COMMON 461202103 482 9,700 SH SOLE 9,700 ITRON INC COMMON 465741106 525 20,000 SH SOLE 20,000 JACOBS ENGR GROUP COMMON 469814107 956 27,400 SH SOLE 27,400 CUM RTS JETBLUE AIRWAYS CORP COMMON 477143101 346 7,600 SH SOLE 7,600 JOHN HANCOCK FNL SVS COMMON 41014S106 24 700 SH SOLE 700 JOHNSON & JOHNSON COMMON 478160104 3,342 63,954 SH SOLE 63,954 JOHNSON CONTROLS INC COMMON 478366107 799 10,400 SH SOLE 10,400 CUM RTS KANEB PIPE LN PARTNR PFD UNITS 484169107 1,323 35,100 SH SOLE 35,100 L-3 COMMUNICATIONS COMMON 502424104 1,874 34,324 SH SOLE 34,324 LEHMAN BROS HLDGS COMMON 524908100 1,381 22,082 SH SOLE 22,082 LENNAR CORP COMMON 526057104 1,245 20,338 SH SOLE 20,338 LIMITED BRANDS INC COMMON 532716107 447 21,000 SH SOLE 21,000 LOCKHEED MARTIN CORP COMMON 539830109 4,401 63,327 SH SOLE 63,327 LOWES CO COMMON 548661107 2,670 58,998 SH SOLE 58,998 LYONDELL CHEMICAL CO COMMON 552078107 200 14,000 SH SOLE 14,000 CUM RTS MAGNA ENTMT CORP CLASS A 559211107 2,342 335,000 SH SOLE 335,000 MARSHALL & ILSLEY COMMON 571834100 510 17,000 SH SOLE 17,000 MBNA CORP COMMON 55262L100 622 18,800 SH SOLE 18,800 MCDATA CORPORATION CLASS A 580031201 2,599 295,000 SH SOLE 295,000 MCKESSON CORP COMMON 58155Q103 451 13,800 SH SOLE 13,800 METLIFE INC COMMON 59156R108 241 7,900 SH SOLE 7,900 MEXICO FUND INC COMMON 592835102 210 13,000 SH SOLE 13,000 MGM MIRAGE COMMON 552953101 444 13,170 SH SOLE 13,170 MICROSEMI CORP COMMON 595137100 323 49,000 SH SOLE 49,000 MICROSOFT CORP COMMON 594918104 1,935 35,375 SH SOLE 35,375 MOHAWK INDS INC COMMON 608190104 495 8,100 SH SOLE 8,100 MOTOROLA INC COMMON 620076109 636 45,000 SH SOLE 45,000 MYLAN LABS INC COMMON 628530107 670 22,500 SH SOLE 22,500 NEWFIELD EXPL CO COMMON 651290108 503 14,000 SH SOLE 14,000 NEXTEL COMM INC CLASS A 65332V103 432 134,500 SH SOLE 134,500 NL INDS INC COMMON 629156407 187 11,800 SH SOLE 11,800 NORTEL NETWORKS UNITS 656568UNT 571 20 SH SOLE 20 NOVARTIS AG ADS 66987V109 960 21,900 SH SOLE 21,900 NOVEN PHARMACEUTICAL COMMON 670009109 153 6,000 SH SOLE 6,000 OMI CORPORATION COMMON Y6476W104 74 20,000 SH SOLE 20,000 CUM RIGHTS ORACLE CORP COMMON 68389X105 1,894 200,000 SH SOLE 200,000 OTP BANK GDR 4678704 736 46,000 SH SOLE 46,000 PACCAR INC COMMON 693718108 555 12,500 SH SOLE 12,500 PEPSICO INC COMMON 713448108 1,443 29,942 SH SOLE 29,942 PHELPS DODGE CORP COMMON 717265102 1,000 25,000 SH SOLE 25,000 CUM RTS PHILIP MORRIS CO INC COMMON 718154107 56 1,200 SH SOLE 1,200 PHOTON DYNAMICS COMMON 719364101 300 10,000 SH SOLE 10,000 PROCTER & GAMBLE CO COMMON 742718109 1,527 17,100 SH SOLE 17,100 PROGRESSVE CORP OHIO COMMON 743315103 868 15,000 SH SOLE 15,000 QUALCOMM INC COMMON 747525103 741 26,960 SH SOLE 26,960 QUEST DIAGNOSTICS COMMON 74834L100 1,977 22,980 SH SOLE 22,980 QUOVADX INC COMMON 74913K106 94 15,000 SH SOLE 15,000 RADIOSHACK CORP COMMON 750438103 301 10,000 SH SOLE 10,000 RIVERDEEP GROUP PLC SP ADR 76870Q109 296 19,000 SH SOLE 19,000 RYANAIR HLDGS SP ADR 783513104 6,680 191,555 SH SOLE 191,555 SAMSUNG ELECTRS LTD GDR 796050888 4,403 32,200 SH SOLE 32,200 SAND TECHNOLOGY INC CLASS A 799774302 614 483,200 SH SOLE 483,200 SCANSOFT INC COMMON 80603P107 1,567 211,700 SH SOLE 211,700 SEARS ROEBUCK & CO COMMON 812387108 688 12,900 SH SOLE 12,900
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VOTING AUTHORITY TITLE VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER --------------------- NAME OF ISSUER OF CLASS (X$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - -------------- ------------- -------- --------- --- ---- ---------- -------- --------- ------ ---- SERENA SOFTWARE INC COMMON 817492101 384 28,000 SH SOLE 28,000 SHUFFLE MASTER INC COMMON 825549108 1,102 60,000 SH SOLE 60,000 SLM CORP COMMON 78442P106 2,582 26,650 SH SOLE 26,650 SOUTHWEST AIRLS CO COMMON 844741108 562 34,748 SH SOLE 34,748 CUM RTS SPRINT CORP(FON GRP) COMMON 852061100 106 10,000 SH SOLE 10,000 CUM RTS SPRINT CORP(PCS GRP) PCS COM SER 1 852061506 522 125,500 SH SOLE 125,500 ST JUDE MED INC COMMON 790849103 428 5,800 SH SOLE 5,800 STORAGENETWORKS INC COMMON 86211E103 1,977 1,004,000 SH SOLE 1,004,000 TAIWAN SEMICONDUCTOR SP ADR 874039100 6,627 469,670 SH SOLE 469,670 TARGET CORPORATION COMMON 87612E106 678 17,800 SH SOLE 17,800 CUM RIGHTS TELLAMON PHOTONIC CLASS B 878994995 345 115,000 SH SOLE 115,000 TENET HEALTHCARE COMMON 88033G100 9,771 136,568 SH SOLE 136,568 TEXAS INSTRS INC COMMON 882508104 635 26,800 SH SOLE 26,800 CUM RTS THERMO ELECTRON CORP COMMON 883556102 41 2,600 SH SOLE 2,600 TIFFANY & CO COMMON 886547108 1,836 52,155 SH SOLE 52,155 CUM RTS UNION PAC CORP COMMON 907818108 715 11,300 SH SOLE 11,300 UNITED TECHNOLOGIES COMMON 913017109 54 800 SH SOLE 800 UNITEDHEALTH GRP INC COMMON 91324P102 4,514 49,309 SH SOLE 49,309 UNOCAL CORP COMMON 915289102 797 21,765 SH SOLE 21,765 CUM RTS US BANCORP DEL COMMON 902973304 752 32,200 SH SOLE 32,200 VARIAN INC COMMON 922206107 560 17,000 SH SOLE 17,000 VERISIGN INC COMMON 92343E102 12 1,700 SH SOLE 1,700 VERIZON COMMUNICATNS COMMON 92343V104 656 16,410 SH SOLE 16,410 VODAFONE GRP PLC ADR 92857W100 12 900 SH SOLE 900 WAL MART STORES INC COMMON 931142103 3,789 68,872 SH SOLE 68,872 WALT DISNEY CO COMMON 254687106 227 12,000 SH SOLE 12,000 WASHINGTON MUT INC COMMON 939322103 782 21,000 SH SOLE 21,000 WELLPOINT HLTH NETWK COMMON 94973H108 646 8,300 SH SOLE 8,300 WELLS FARGO & CO COMMON 949746101 665 13,200 SH SOLE 13,200 WENDYS INTL INC COMMON 950590109 333 8,400 SH SOLE 8,400 WEYERHAEUSER CO COMMON 962166104 448 7,000 SH SOLE 7,000 WILLIAMS COS INC COMMON 969457100 29 5,000 SH SOLE 5,000 WYETH COMMON 983024100 696 13,600 SH SOLE 13,600 XILINX INC COMMON 983919101 334 14,900 SH SOLE 14,900 YUKOS-ADR ADR 98849W10 A 572 3,870 SH SOLE 3,870 158,512
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