-----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, DXD1t09TeCX9dbJ21ELeinw3ROzK6E5rff6nNRsaEbA8kcCVqA8IVmqm4bN/fQsi ZLSAlvoaS5LigD5p31Y52A== 0000950123-02-001830.txt : 20020414 0000950123-02-001830.hdr.sgml : 20020414 ACCESSION NUMBER: 0000950123-02-001830 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20011231 FILED AS OF DATE: 20020225 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SCHUPF H A & CO LLC CENTRAL INDEX KEY: 0001167509 IRS NUMBER: 061629202 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-10124 FILM NUMBER: 02556657 BUSINESS ADDRESS: STREET 1: 590 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2122946500 MAIL ADDRESS: STREET 1: 590 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 13F-HR/A 1 y57845hre13f-hra.txt AMENDMENT NO. 1 TO FORM 13F-HR UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended December 31, 2001 Check here if Amendment [ X ]; Amendment Number: 1 This Amendment (Check only one.): [ X ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: H.A. Schupf & Co., LLC Address: 590 Madison Avenue New York, NY 10020 Form 13F File Number: 28- 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: H.A. Schupf & Co., LLC Title: Managing Member Phone: (212) 294-6500 Signature, Place, and Date of Signing: /s/H. Axel Schupf _________________________________ New York, New York February 22, 2002 [Signature] [ x ] 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).) [ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manger are reported in this report and a portion are reported by other manager(s).) List of Other Managers Reporting for this Manager: [If there are no entries in this list, omit this section.] NONE FORM 13F SUMMARY PAGE Report Summary Number of other Included Managers: 0 Form 13F Information Table Entry Total: 294 Form 13F Information Table Value Total: $946,792 ---------- (thousands) List of Other Included Managers: NONE 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 manger filing this report NONE [If there are no entries in this list, state "NONE" and omit the column headings and list entries] [Share numbers erroneously stated on the original filing with respect to Everest Re Group Ltd. Restatment to correct number of shares and fair market value for Everest Re Group Ltd. Column value on page 3 and grand total on page 9 revised accordingly] FORM 13F PAGE 1 OF 9 NAME OF REPORTING MANAGER H.A. SCHUPF & CO., LLC (SEC USE ONLY)
Item 6: Item 4: Investment Item 7: Item 2: Fair: Item 5: Discretion Managers Title Item 3: Market Shares of (b) Shared (c) See Item 8: Item 1: of CUSIP Value Principal (a) As Defined Shared- Instr. Voting Authority (Shares) Name of Issuer Class Number (x $1,000) Amount Sole in Instr. V Other V (a) Sole (b) Shared (c) None - ------------------------------------------------------------------------------------------------------------------------------------ Abbott Labs COM 002824100 348 6,240 SH X 6,240 Actuate Corporation COM 00508B102 11 2,000 SH X 2,000 Advo Sys Inc. COM 007585102 371 8,623 SH X 8,623 Agilent Technologies Inc. COM 00846U101 178 6,239 SH X 6,239 Air Products & Chemicals Inc. COM 009158106 553 11,784 SH X 11,784 Alcoa Inc. COM 013817101 28 800 SH X 800 Allegheny Energy Inc. COM 017361106 123 3,400 SH X 3,400 Altera Corp. COM 021441100 59 2,800 SH X 2,800 Ambac Financial Group Inc. COM 023139108 38,966 673,455 SH X 673,455 American Express Co. COM 025816109 5,543 155,315 SH X 155,315 American Home Products Corp. COM 026609107 1,154 18,800 SH X 18,800 American Intl Group Inc. COM 026874107 10,651 134,148 SH X 134,148 American Power Conversion Corp. COM 029066107 21 1,425 SH X 1,425 Amgen Inc. COM 031162100 67 1,186 SH X 1,186 Andrew Corp. COM 034425108 468 21,400 SH X 21,400 Andrx Corp Del COM 034553107 141 2,000 SH X 2,000 Anheuser Busch Cos Inc. COM 035229103 368 8,150 SH X 8,150 AOL Time Warner COM 00184A105 2,080 64,798 SH X 64,798 Applied Matls Inc. COM 038222105 73 1,817 SH X 1,817 Arbitron Inc. COM 03875Q108 29,579 866,153 SH X 866,153 Argonaut Technologies Inc. COM 040175101 1 281 SH X 281 Ariba Inc. COM 04033V104 5 800 SH X 800 Asyst Technologies Inc. COM 04648X107 3 200 SH X 200 AT&T Wireless COM 00209A106 1,261 87,722 SH X 87,722 Automatic Data Processing COM 053015103 6,987 118,620 SH X 118,620 Aventis COM 053561106 21 300 SH X 300 Avery Dennison Corp. COM 053611109 1,303 23,045 SH X 23,045 Avici Systems Inc. COM 05367L109 2 787 SH X 787 BAA PLC-Sponsored ADR 05518L206 56 7,000 SH X 7,000 Bank Amer Corp. COM 060505104 3,945 62,662 SH X 62,662 Bank New York Inc. COM 064057102 3,359 82,325 SH X 82,325 Bank One Corp. COM 06423A103 98 2,500 SH X 2,500 Barr Laboratories Inc. COM 068306109 119 1,500 SH X 1,500 Becton Dickinson & Co. COM 075887109 796 24,000 SH X 24,000 Bellsouth Corp COM 079860102 105 2,760 SH X 2,760 COLUMN TOTAL 108,738
FORM 13F PAGE 2 OF 9 NAME OF REPORTING MANAGER H.A. SCHUPF & CO., LLC (SEC USE ONLY)
Item 6: Item 4: Investment Item 7: Item 2: Fair: Item 5: Discretion Managers Title Item 3: Market Shares of (b) Shared (c) See Item 8: Item 1: of CUSIP Value Principal (a) As Defined Shared- Instr. Voting Authority (Shares) Name of Issuer Class Number (x $1,000) Amount Sole in Instr. V Other V (a) Sole (b) Shared (c) None - ------------------------------------------------------------------------------------------------------------------------------------ Berkshire Hathaway Inc. Del CI A COM 084670108 731 10 SH X 10 Berkshire Hathaway Inc. Del CI B COM 084670207 1,639 649 SH X 649 Blyth Inc. COM 09643P108 23 1,000 SH X 1,000 Boston Scientific Corp. COM 101137107 50,853 2,108,315 SH X 2,108,315 BP Amoco P L C ADR 055622104 228 4,892 SH X 4,892 Bristol Myers Squibb COM 110122108 5,980 117,258 SH X 117,258 Broadcom Corp. COM 111320107 20 500 SH X 500 Cabot Corp. COM 127055101 9 265 SH X 265 Cabot Microelectronics Corp. COM 12709O103 6 74 SH X 74 Calpine Corp. COM 131347106 3 200 SH X 200 Cambridge Bancorp COM 132152109 258 2,900 SH X 2,900 Campbell Soup Co. COM 134429109 308 10,300 SH X 10,300 Canadian Pac RY Ltd. COM 13645T100 3 150 SH X 150 Capital One Financial Corp COM 14040H105 6,166 114,300 SH X 114,300 Catalina Marketing Corp. COM 148867104 496 14,300 SH X 14,300 Cendant Corp. COM 151313103 392 20,000 SH X 20,000 Ceridian Corp. COM 156779100 34,069 1,817,025 SH X 1,817,025 Charles Riv Laboratories COM 159864107 36,694 1,096,000 SH X 1,096,000 Charter Communications Inc. COM 16117M107 25,063 1,525,470 SH X 1,525,470 Chevron Texaco Corp. COM 166764100 18 200 SH X 200 Cigna Corp. COM 125509109 7 75 SH X 75 Cintas Corp. COM 172908105 50 1,050 SH X 1,050 Cisco Sys Inc. COM 17275R102 495 27,325 SH X 27,325 Citigroup Inc. COM 172967101 9,660 191,356 SH X 191,356 Coach Inc. COM 189754104 2 39 SH X 39 Coca Cola Co. COM 191216100 3,980 84,410 SH X 84,410 Colgate Palmolive Co. COM 194162103 1,542 26,700 SH X 26,700 Colonial Bancgroup Inc COM 195493309 46 3,268 SH X 3,268 Comcast Corp Cl A SPL COM 200300200 4,574 127,050 SH X 127,050 Connecticut Water Service Inc COM 207797101 6 200 SH X 200 Conoco COM 208251504 40 1,400 SH X 1,400 Contifinancial Corp COM 21075V107 572 9,532,001 SH X 9,532,001 Copytele Inc COM 217721109 10 23,000 SH X 23,000 Corning Inc COM 219350105 20 2,200 SH X 2,200 Costco Whsl Corp COM 22160K105 1,083 24,400 SH X 24,400 COLUMN TOTAL 185,046
FORM 13F PAGE 3 OF 9 NAME OF REPORTING MANAGER H.A. SCHUPF & CO., LLC (SEC USE ONLY)
Item 6: Item 4: Investment Item 7: Item 2: Fair: Item 5: Discretion Managers Title Item 3: Market Shares of (b) Shared (c) See Item 8: Item 1: of CUSIP Value Principal (a) As Defined Shared- Instr. Voting Authority (Shares) Name of Issuer Class Number (x $1,000) Amount Sole in Instr. V Other V (a) Sole (b) Shared (c) None - ------------------------------------------------------------------------------------------------------------------------------------ Cousins PPTYS Inc COM 222795106 24 1,000 SH X 1,000 Cox Communications Inc New Cl A COM 224044107 761 18,167 SH X 18,167 CSG Sys Intl Inc COM 126349109 182 4,500 SH X 4,500 Cullen Frost Bankers Inc COM 229899109 420 13,600 SH X 13,600 Cuno Inc COM 126583103 229 7,500 SH X 7,500 CVS Corp COM 126650100 82 2,786 SH X 2,786 Cygnus Inc COM 232560102 6 1,200 SH X 1,200 Daimler Chrysler A.G. COM 2307389 13 300 SH X 300 Datascope Corp COM 238113104 7 200 SH X 200 Dell Computer Corp COM 247025109 76 2,800 SH X 2,800 Dendrite Intl Inc COM 248239105 15,078 1,074,725 SH X 1,074,725 Devry Inc COM 251893103 40,772 1,433,100 SH X 1,433,100 Disney Walt Prodtns COM 254687106 765 36,900 SH X 36,900 R R Donnelley & Sons Co COM 257867101 68 2,300 SH X 2,300 Doubleclick Inc COM 258609304 454 40,000 SH X 40,000 Dow Jones & Co Inc COM 260561105 5 100 SH X 100 DST Systems Inc COM 233326107 62 1,244 SH X 1,244 Duke Energy Corp COM 264399106 51 1,300 SH X 1,300 Dyax Corporation COM 26746E103 180 16,380 SH X 16,380 E I Du Pont De Nemours & Co COM 263534109 135 3,175 SH X 3,175 E M C Corp Mass COM 268648102 235 17,500 SH X 17,500 El Paso Corp COM 28336L109 685 15,355 SH X 15,355 Emerson Electric Co COM 291011104 377 6,600 SH X 6,600 EMI Group PLC COM 268694205 11 1,000 SH X 1,000 Estee Lauder COM 518439104 330 10,300 SH X 10,300 Everest Re Group Ltd COM 2556868 25,272 357,450 SH X 357,450 Exelon Corp COM 30161N101 112 2,335 SH X 2,335 Exxon Mobil Corp COM 30231G102 10,258 261,010 SH X 261,010 Fannie Mae COM 313586109 116 1,455 SH X 1,455 Federal Home Ln Mtg Corp COM 313400301 6,431 98,340 SH X 98,340 Federal Natl Mtg Assn COM 313586109 318 4,000 SH X 4,000 First Citizens Bancshares Inc COM 31946M103 19 191 SH X 191 First Data Corp COM 319963104 1,193 15,212 SH X 15,212 First Union Corp - Restricted COM 1,260 36,610 SH X 36,610 FleetBoston Finl Corp COM 339030108 106 2,906 SH X 2,906 Flextronics Intl Ltd COM 2353058 24 1,000 SH X 1,000 Foundry Networks Inc COM 35063R100 26 3,169 SH X 3,169 Franklin Resources Inc COM 354613101 247 7,000 SH X 7,000 COLUMN TOTAL 106,390
FORM 13F PAGE 4 OF 9 NAME OF REPORTING MANAGER H.A. SCHUPF & CO., LLC (SEC USE ONLY)
Item 6: Item 4: Investment Item 7: Item 2: Fair: Item 5: Discretion Managers Title Item 3: Market Shares of (b) Shared (c) See Item 8: Item 1: of CUSIP Value Principal (a) As Defined Shared- Instr. Voting Authority (Shares) Name of Issuer Class Number (x $1,000) Amount Sole in Instr. V Other V (a) Sole (b) Shared (c) None - ------------------------------------------------------------------------------------------------------------------------------------ Gallagher Arthur J & Co COM 363576109 35 1,000 SH X 1,000 Gannett Co Inc COM 364730101 538 8,000 SH X 8,000 Gap Inc COM 364760108 49 3,500 SH X 3,500 Gartner Inc COM 366651206 3 260 SH X 260 Gemstar-TV Guide Intl Inc COM 36866W10 771 27,842 SH X 27,842 Genentech Inc COM 368710406 109 2,000 SH X 2,000 General Electric Co COM 369604103 3,903 97,388 SH X 97,388 Genesis Energy L P Unit L P Int COM 371927104 125 32,000 SH X 32,000 Genzyme Corp - General Division COM 372917104 144 2,400 SH X 2,400 Geron Corp COM 374163103 9 1,000 SH X 1,000 Gillette Co COM 375766102 1,607 48,118 SH X 48,118 GlaxoSmithKline PLC ADR 37733W10 480 9,629 SH X 9,629 Golden West Finl Corp COM 381317106 118 2,000 SH X 2,000 Goldman Sachs Group Inc COM 38141G104 2,249 24,250 SH X 24,250 Grainger W W Inc COM 384802104 130 2,700 SH X 2,700 Guidant Corp COM 401698105 114 2,288 SH X 2,288 Harley Davidson Inc COM 412822108 176 3,236 SH X 3,236 Harte-Hanks Communications Inc COM 416196103 48,013 1,704,386 SH X 1,704,386 Hartford Finl Svcs Group Inc COM 416515104 6 100 SH X 100 Hearx Ltd COM 422360305 4 5,000 SH X 5,000 Hewlett Packard Co COM 428236103 1,183 57,588 SH X 57,588 Home Depot Inc COM 437076102 7,052 138,249 SH X 138,249 Honeywell Intl Inc COM 438516106 81 2,408 SH X 2,408 Hudson United Bancorp COM 444165104 16 550 SH X 550 Hutchinson Whampoa Ltd COM 448415208 11 220 SH X 220 Imagistics Intl Inc COM 45247T104 5 409 SH X 409 Information Hldgs Inc COM 456727106 25 900 SH X 900 Intel Corp COM 458140100 5,515 175,356 SH X 175,356 International Business Machines COM 459200101 6,169 50,999 SH X 50,999 International Specialty Prods COM 460337108 63 7,000 SH X 7,000 I2 Technologies Inc COM 465754108 11 1,400 SH X 1,400 Imclone Systems Inc COM 45245W10 9 200 SH X 200 Immunex Corp COM 452528102 36 1,300 SH X 1,300 Interpublic Group of Cos Inc COM 460690100 56 1,900 SH X 1,900 Interwoven Inc COM 46114T102 12 1,254 SH X 1,254 Isis Pharmaceuticals Inc COM 464330109 9 400 SH X 400 Jabil Circuit Inc COM 466313103 7 300 SH X 300 JDS Uniphase Corp COM 46612J101 7 800 SH X 800 Jefferson Pilot Corp COM 475070108 870 18,800 SH X 18,800 COLUMN TOTAL 79,720
FORM 13F PAGE 5 OF 9 NAME OF REPORTING MANAGER H.A. SCHUPF & CO., LLC (SEC USE ONLY)
Item 6: Item 4: Investment Item 7: Item 2: Fair: Item 5: Discretion Managers Title Item 3: Market Shares of (b) Shared (c) See Item 8: Item 1: of CUSIP Value Principal (a) As Defined Shared- Instr. Voting Authority (Shares) Name of Issuer Class Number (x $1,000) Amount Sole in Instr. V Other V (a) Sole (b) Shared (c) None - ------------------------------------------------------------------------------------------------------------------------------------ John Hancock Growth & Income COM 41013P202 11 586 SH X 586 Johnson & Johnson COM 478160104 2,746 46,456 SH X 46,456 Journal Register Co COM 481138105 13 636 SH X 636 J P Morgan Chase & Co COM 46625H100 13 370 SH X 370 Juniper Networks COM 48203R104 8 400 SH X 400 Kaneb Pipe Line Partners L PSR Pref Unit COM 484169107 41 1,000 SH X 1,000 Kimberly Clark Corp COM 494368103 277 4,624 SH X 4,624 Kinder Morgan Egy Ptns L P Ut Ltd Pt Int COM 494550106 8 200 SH X 200 King Pharmaceuticals Inc COM 495582108 22 533 SH X 533 Kohls Corp COM 500255104 585 8,300 SH X 8,300 Krispy Kreme Doughnuts Inc COM 501014104 9 200 SH X 200 Kroger Co COM 501044101 42 2,000 SH X 2,000 Lam Research Corp COM 512807108 5 200 SH X 200 Lee Enterprises Inc COM 523768109 364 10,000 SH X 10,000 Lehman Brothers Hldgs Inc COM 524908100 139 2,080 SH X 2,080 Liberty Media Corp Series A COM 530718105 29,344 2,095,986 SH X 2,095,986 Lilly Eli & Co COM 532457108 810 10,308 SH X 10,308 Linear Technology Corp COM 535678106 125 3,200 SH X 3,200 Loews Corp COM 540424108 971 17,532 SH X 17,532 Lucent Technologies Inc COM 549463107 19 3,000 SH X 3,000 Luminex Corp Del COM 55027E102 25 1,500 SH X 1,500 Luminex Corp Restricted COM 52 3,060 SH X 3,060 Marsh McLennan COM 571748102 20,916 194,655 SH X 194,655 Mattel Inc COM 577081102 516 30,000 SH X 30,000 MBIA Inc COM 55262C100 46,331 863,897 SH X 863,897 MBNA Corp. COM 55262L100 62,033 1,762,299 SH X 1,762,299 MCData Corp COM 580031102 18 700 SH X 700 McDonalds Corp COM 580135101 222 8,400 SH X 8,400 McGraw Hill Inc COM 580645109 67 1,100 SH X 1,100 McKesson Corp COM 58155Q103 505 13,513 SH X 13,513 Medimmune Inc COM 584699102 94 2,025 SH X 2,025 Medtronic Inc COM 585055106 5,091 99,405 SH X 99,405 Medtronic Inc (Restricted) COM 1,257 24,552 SH X 24,552 Mellon Finl Corp COM 58551A108 837 22,236 SH X 22,236 Merck & Co Inc COM 589331107 3,139 53,660 SH X 53,660 Merrill Lynch & Co Inc COM 590188108 1,152 22,100 SH X 22,100 Micron Technology Inc COM 595112103 6 200 SH X 200 COLUMN TOTAL 177,813
FORM 13F PAGE 6 OF 9 NAME OF REPORTING MANAGER H.A. SCHUPF & CO., LLC (SEC USE ONLY)
Item 6: Item 4: Investment Item 7: Item 2: Fair: Item 5: Discretion Managers Title Item 3: Market Shares of (b) Shared (c) See Item 8: Item 1: of CUSIP Value Principal (a) As Defined Shared- Instr. Voting Authority (Shares) Name of Issuer Class Number (x $1,000) Amount Sole in Instr. V Other V (a) Sole (b) Shared (c) None - ------------------------------------------------------------------------------------------------------------------------------------ Microsoft Corp COM 594918104 32,918 496,869 SH X 496,869 Minnesota Mining & Mfg Co COM 604059105 173 1,460 SH X 1,460 Mirant Corp COM 604675108 27 1,709 SH X 1,709 Molex Inc COM 608554101 4 125 SH X 125 Molex Inc Cl A COM 60554200 23,725 877,073 SH X 877,073 Mony Group Inc COM 615337102 131 3,800 SH X 3,800 Moodys Corp COM 615369105 42,293 1,061,050 SH X 1,061,050 Morgan Stanley Dean Witter COM 617446448 84 1,504 SH X 1,504 Motorola Inc COM 620076109 117 7,800 SH X 7,800 Mutual Risk Mgmt Ltd COM 628351108 30,933 4,237,440 SH X 4,237,440 Mylan Laboratories Inc COM 628530107 38 1,000 SH X 1,000 Nasdaq 100 Shares COM 631100104 58 1,500 SH X 1,500 Network Applicance Inc COM 64120L104 4 200 SH X 200 New York Times Co - Cl A COM 650111107 282 6,526 SH X 6,526 Nokia Corp COM 654902204 157 6,395 SH X 6,395 Norsk Hydro A S Adr COM 656531605 202 4,800 SH X 4,800 Nortel Networks Corp COM 656568102 7 1,000 SH X 1,000 Northern Tr Corp COM 665859104 4,977 82,650 SH X 82,650 NTT Docomo Inc COM 62942M201 15 250 SH X 250 Nuveen N Y Select Quality COM 670976109 24 1,667 SH X 1,667 Nuveen New York Quality Income COM 670986108 14 1,000 SH X 1,000 Nuveen New York Investment Quality COM 67062X101 24 1,667 SH X 1,667 Office Depot Inc COM 676220106 42 2,250 SH X 2,250 OMI Corp COM 2256496 8 2,100 SH X 2,100 Omnicom Group Inc COM 681919106 9,179 102,731 SH X 102,731 Open Jt STK Co-Vimpel COM 68370R109 26 1,000 SH X 1,000 Oracle Corp COM 68389X105 322 23,300 SH X 23,300 Park Place Entertainment Corp COM 700690100 9 1,000 SH X 1,000 Paychex Inc COM 704326107 15 425 SH X 425 Pepsico Inc COM 713448108 1,394 28,628 SH X 28,628 Pfizer Inc COM 717081103 15,598 391,430 SH X 391,430 Pharmacia Corp COM 71713U102 341 8,000 SH X 8,000 Philip Morris Cos Ins COM 718154107 509 11,105 SH X 11,105 Phoenix Companies Inc COM 71902E109 9 500 SH X 500 Pitney Bowes Inc COM 724479100 193 5,120 SH X 5,120 Plantronics Inc COM 727493108 26 1,000 SH X 1,000 COLUMN TOTAL 163,878
FORM 13F PAGE 7 OF 9 NAME OF REPORTING MANAGER H.A. SCHUPF & CO., LLC (SEC USE ONLY)
Item 6: Item 4: Investment Item 7: Item 2: Fair: Item 5: Discretion Managers Title Item 3: Market Shares of (b) Shared (c) See Item 8: Item 1: of CUSIP Value Principal (a) As Defined Shared- Instr. Voting Authority (Shares) Name of Issuer Class Number (x $1,000) Amount Sole in Instr. V Other V (a) Sole (b) Shared (c) None - ------------------------------------------------------------------------------------------------------------------------------------ Plug PWR Inc COM 72919P103 4 500 SH X 500 Polo Ralph Lauren Corp Cl A COM 731572103 13 500 SH X 500 Portal Software Inc COM 736126103 14 6,696 SH X 6,696 Procter & Gamble Co COM 742718106 59 750 SH X 750 Proton Energy System Inc COM 74371K101 8 1,000 SH X 1,000 Putnam Voyager Fund II - Cl B COM 747020204 10 641 SH X 641 QIAO Xing Universal COM 2390077 3 500 SH X 500 Qualcomm Inc COM 747525103 15 300 SH X 300 Rational Software Corp COM 75409P202 137 7,000 SH X 7,000 Raytheon Co COM 755111507 97 3,000 SH X 3,000 Redback Network Inc COM 757209101 9 2,318 SH X 2,318 Robert Half International Inc COM 770323103 53 2,000 SH X 2,000 Roslyn Bancorp Inc COM 778162107 53 3,000 SH X 3,000 Royal Dutch Petroleum Co COM 780257804 645 13,150 SH X 13,150 Safeway Inc COM 786514208 42 1,000 SH X 1,000 Sara Lee Corp COM 803111103 23 1,053 SH X 1,053 SBC Communications Inc COM 78387G103 273 6,974 SH X 6,974 Schering Plough Corp COM 806605101 3,558 99,364 SH X 99,364 Schlumberger Ltd COM 806857108 38 700 SH X 700 Servicemaster Co COM 81760N109 118 8,558 SH X 8,558 Siebel Systems Inc COM 826170102 14 500 SH X 500 Sigma Aldrich Corp COM 826552101 35,044 889,225 SH X 889,225 Silicon Vy Bancshares COM 827064106 62,399 2,334,410 SH X 2,334,410 Simon Property Group COM 828806109 45 1,540 SH X 1,540 Solectron Corp COM 834182107 25 2,220 SH X 2,220 Southern Co COM 842587107 71 2,800 SH X 2,800 Southern Union Co COM 844030106 239 12,689 SH X 12,689 Spanish Broadcasting System Inc Class A COM 846425882 99 10,000 SH X 10,000 St Paul Cos Inc COM 792860108 9 200 SH X 200 Stanley Wks COM 854616109 40 856 SH X 856 Stilwell Finl Inc COM 860831106 229 8,400 SH X 8,400 Sun Microsystems Inc COM 866810104 71 5,800 SH X 5,800 Sysco Corp COM 871829107 1,733 66,100 SH X 66,100 Target Corp COM 87612E106 263 6,400 SH X 6,400 Tellabs Inc COM 879664100 299 20,000 SH X 20,000 Tellium Inc COM 87967E107 5 726 SH X 726 Teppco Partners LP COM 872384102 150 5,000 SH X 5,000 COLUMN TOTAL 105,907
FORM 13F PAGE 8 OF 9 NAME OF REPORTING MANAGER H.A. SCHUPF & CO., LLC (SEC USE ONLY)
Item 6: Item 4: Investment Item 7: Item 2: Fair: Item 5: Discretion Managers Title Item 3: Market Shares of (b) Shared (c) See Item 8: Item 1: of CUSIP Value Principal (a) As Defined Shared- Instr. Voting Authority (Shares) Name of Issuer Class Number (x $1,000) Amount Sole in Instr. V Other V (a) Sole (b) Shared (c) None - ------------------------------------------------------------------------------------------------------------------------------------ Teva Pharmaceutical Inds COM 881624209 123 2,000 SH X 2,000 Texas Instrs Inc COM 882508104 261 9,315 SH X 9,315 Thermo Electron Corp COM 883556102 3 130 SH X 130 Tiffany & Co COM 886547108 557 17,700 SH X 17,700 Transaction Systems Architects Inc - Cl A COM 893416107 37 3,000 SH X 3,000 Transmeta Corp Del COM 89376R109 1 500 SH X 500 Triarc Cos Inc Cl A COM 895927101 190 7,800 SH X 7,800 Triquint Semiconductor Inc COM 89674K103 17 1,350 SH X 1,350 Tyco International Ltd COM 902124106 71 1,200 SH X 1,200 United Health Group Inc COM 91324P102 1,316 18,600 SH X 18,600 United Parcel Svc Inc COM 911312106 3,510 64,400 SH X 64,400 United Technologies Corp COM 913017109 52 800 SH X 800 Univision Communications Inc COM 914906102 170 4,200 SH X 4,200 Unumprovident Corp COM 91529Y106 101 3,800 SH X 3,800 Utstarcom Inc COM 918076100 29 1,000 SH X 1,000 Varian Medical Systems Inc COM 92220P105 7 100 SH X 100 Veritas Software Corp COM 923436109 45 1,000 SH X 1,000 Verizon Communications COM 92343V104 91 1,910 SH X 1,910 Versicor Inc COM 925314106 3 166 SH X 166 Viacom Inc Cl B COM 925524308 4,524 102,480 SH X 102,480 Vodafone Group PLC COM 92857W10 702 27,350 SH X 27,350 Wabtec Corp COM 929740108 2 200 SH X 200 Walmart Stores Inc COM 921142103 1,503 26,115 SH X 26,115 Walgreen Co COM 931422109 199 5,900 SH X 5,900 Washington Mutual Inc COM 939322103 262 8,000 SH X 8,000 Weatherfood International COM 947074100 37 1,000 SH X 1,000 Wellpoint Health Ntwrks COM 94973H108 23 200 SH X 200 Wells Fargo & Co COM 949746101 2,193 50,460 SH X 50,460 Western Wireless Corp - Cl A COM 95988E204 7 250 SH X 250 White Mount Ins Grp Ltd Bermcom COM 2339252 2,053 5,900 SH X 5,900 Wiley John & Sons Inc Cl A COM 968223206 760 33,000 SH X 33,000 Williams Companies Inc COM 969457100 15 600 SH X 600 Wintrust Financial Corp COM 97650W10 8 250 SH X 250 COLUMN TOTAL 18,872
FORM 13F PAGE 9 OF 9 NAME OF REPORTING MANAGER H.A. SCHUPF & CO., LLC (SEC USE ONLY)
Item 6: Item 4: Investment Item 7: Item 2: Fair: Item 5: Discretion Managers Title Item 3: Market Shares of (b) Shared (c) See Item 8: Item 1: of CUSIP Value Principal (a) As Defined Shared- Instr. Voting Authority (Shares) Name of Issuer Class Number (x $1,000) Amount Sole in Instr. V Other V (a) Sole (b) Shared (c) None - ------------------------------------------------------------------------------------------------------------------------------------ Wm Wrigley Jr Co COM 982526105 149 2,900 SH X 2,900 Worldcom Inc Worldcom Group COM 98157D106 46 3,300 SH X 3,300 Zila Inc COM 989513205 5 2,000 SH X 2,000 Zimmer Hldgs Inc COM 98956P102 228 7,475 SH X 7,475 COLUMN TOTAL 428 GRAND TOTAL 946,792
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