-----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, T9C4/kfUbFZHVLN3bYQ5k+IMzKShVLJtloLiKAf7nuTikW+7Yl6Vse3dfTAHbRoj 3ZwCw8eeByhRG09H+ho9Gw== 0000912057-01-509947.txt : 20010424 0000912057-01-509947.hdr.sgml : 20010424 ACCESSION NUMBER: 0000912057-01-509947 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010331 FILED AS OF DATE: 20010423 FILER: COMPANY DATA: COMPANY CONFORMED NAME: DAIN RAUSCHER CORP CENTRAL INDEX KEY: 0000050916 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 411228350 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: SEC FILE NUMBER: 028-04069 FILM NUMBER: 1608439 BUSINESS ADDRESS: STREET 1: DAIN BOSWORTH PLAZA STREET 2: 60 SOUTH SIXTH ST CITY: MINNEAPOLIS STATE: MN ZIP: 55402 BUSINESS PHONE: 6123717750 FORMER COMPANY: FORMER CONFORMED NAME: INTERRA FINANCIAL INC DATE OF NAME CHANGE: 19970210 FORMER COMPANY: FORMER CONFORMED NAME: INTER REGIONAL FINANCIAL GROUP INC DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: DAIN KALMAN & CO INC DATE OF NAME CHANGE: 19680207 13F-HR 1 a2046026z13f-hr.txt 13F-HR UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Quarter Ended: 3/31/01 ----------------------- 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: Dain Rauscher Incorporated ------------------------------- Address: 60 South 6th Street ------------------------------- Minneapolis, MN 55402-4422 ------------------------------- ------------------------------- Form 13F File Number: 28- 04069 --------------------- 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: Renee Polk ------------------------------- Title: Vice President ------------------------------- Phone: (612) 371-2914 ------------------------------- Signature, Place, and Date of Signing: /s/ Renee Polk Minneapolis, MN 4/20/2001 - ------------------------------- ----------------- ------------- [Signature] [City, State] [Date] Report Type (Check only one.): /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 manager are reported in this report and a portion are reported by other reporting manager(s).) Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 -------------------- Form 13F Information Table Entry Total: 12,905 -------------------- Form 13F Information Table Value Total: 307,837 -------------------- (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. [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] No. Form 13F File Number Name 28- None ------ ----------------- --------------------------------- [Repeat as necessary.] DAIN RAUSCHER INCORPORTATED
DISCRETIONARY OWNERSHIP FOR 13F AS OF DATE 03/31/01 (ITEM 1) (ITEM 2) (ITEM 3) (ITEM 4) (ITEM 5) (ITEM 6) (ITEM 7) (ITEM 8) INVESTMENT VOTING AUTHORITY DISCRETION (SHARES) NAME TITLE FAIR SHARES OR ---------------------- ---------- ----------------- OF OF CUSIP MARKET PRINCIPAL SOLE SHARED OTHER SOLE SHARED NONE ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C) MGR (A) (B) (C) - ---------------------- ------ ---------- ----------- ------------ ------------- ------- ------- ------- --------- ------ ABBOTT LABS COMMON 002824100 2,118,558 44,980 X 0 44,980 0 ADC TELECOMMUNICATION COMMON 000886101 777,689 96,011 X 0 96,011 0 ADOBE SYS INC COM COMMON 00724F101 227,148 5,520 X 0 5,520 0 ADVANCED DIGITAL INFO COMMON 007525108 510,125 32,266 X 0 32,266 0 AES CORP COM COMMON 00130H105 206,957 4,135 X 0 4,135 0 AFLAC INC COM COMMON 001055102 916,816 32,169 X 0 32,169 0 AGILENT TECHNOLOGIES COMMON 00846U101 860,514 25,818 X 0 25,818 0 ALBERTSONS INC COMMON 013104104 345,888 11,650 X 0 11,650 0 ALLIANCE CAPITAL MGMT COMMON 01855A101 303,050 6,520 X 0 6,520 0 ALLSTATE CORP COMMON 020002101 503,808 12,294 X 0 12,294 0 ALLTEL CORP COMMON 020039103 819,096 15,767 X 0 15,767 0 ALPHARMA INC CL A COMMON 020813101 225,374 7,525 X 0 7,525 0 ALTERA CORP COMMON 021441100 257,734 9,856 X 0 9,856 0 ALUMINUM CO OF AMERIC COMMON 013817101 475,036 12,442 X 0 12,442 0 AMDOCS LTD ORD COMMON G02602103 560,998 10,957 X 0 10,957 0 AMERICAN EXPRESS CO COMMON 025816109 792,396 20,328 X 0 20,328 0 AMERICAN HOME PRODS C COMMON 026609107 1,068,308 18,435 X 0 18,435 0 AMERICAN INTL GROUP I COMMON 026874107 1,274,683 16,238 X 0 16,238 0 AMERICAN PWR CONVERSI COMMON 029066107 176,839 12,524 X 0 12,524 0 AMGEN INC COMMON 031162100 4,061,180 71,124 X 0 71,124 0 AMPEX CORP DEL COMMON 032092108 79,708 284,673 X 0 284,673 0 ANADARKO PETE CORP CO COMMON 032511107 867,882 12,578 X 0 12,578 0 AOL TIME WARNER COMMON 00184A105 5,780,884 131,683 X 0 131,683 0 APACHE CORPORATION COMMON 037411105 302,649 4,740 X 0 4,740 0 APPLERA CORPORATION C COMMON 038020202 236,355 6,707 X 0 6,707 0 APPLIED MATLS INC COMMON 038222105 1,286,786 27,039 X 0 27,039 0 AT HOME CORP 4.75% 12 CONVERT 045919AF4 930,900 1,712,000 X 0 1,712,000 0 AT HOME CORP COM SER COMMON 045919107 65,954 16,205 X 0 16,205 0 AT&T CORP COMMON 001957109 2,526,406 115,625 X 0 115,625 0 AT&T CORP LIBERTY MED COMMON 001957208 700,252 47,155 X 0 47,155 0 ATMEL CORP COMMON 049513104 345,112 34,408 X 0 34,408 0 AUTODESK INC COMMON 052769106 402,008 12,400 X 0 12,400 0 AUTOMATIC DATA PROCES COMMON 053015103 721,996 14,074 X 0 14,074 0 BANK NEW YORK INC COMMON 064057102 265,923 5,292 X 0 5,292 0 BANK OF AMERICA CORP COMMON 060505104 641,732 12,341 X 0 12,341 0 BANK OF NEW YORK CAP PREFERR 05563W206 234,425 9,377 X 0 9,377 0 BANK ONE CORP COMMON 06423A103 1,039,808 28,574 X 0 28,574 0 BAXTER INTL INC COM COMMON 071813109 544,068 5,917 X 0 5,917 0 BEA SYS INC COM COMMON 073325102 218,810 6,743 X 0 6,743 0 BED BATH & BEYOND INC COMMON 075896100 458,050 16,560 X 0 16,560 0 BELLSOUTH CORP COMMON 079860102 253,574 5,989 X 0 5,989 0 BERKSHIRE HATHAWAY IN COMMON 084670207 617,048 274 X 0 274 0 BIOMET INC COMMON 090613100 561,150 14,500 X 0 14,500 0 BJ SERVICES CO. COMMON 055482103 538,267 7,050 X 0 7,050 0 BJS WHSL CLUB INC COM COMMON 05548J106 307,525 7,094 X 0 7,094 0 BMC SOFTWARE INC COMMON 055921100 245,087 8,750 X 0 8,750 0 BOEING CO COMMON 097023105 1,246,376 20,567 X 0 20,567 0 BOSTON SCIENTIFIC COR COMMON 101137107 162,676 10,180 X 0 10,180 0 BP AMOCO ADS COMMON 055622104 1,781,758 34,055 X 0 34,055 0 BRISTOL MYERS SQUIBB COMMON 110122108 2,642,891 44,159 X 0 44,159 0 CALPINE CORP COM COMMON 131347106 1,553,105 28,466 X 0 28,466 0 CARDINAL HEALTH INC COMMON 14149Y108 2,744,251 29,009 X 0 29,009 0 CATERPILLAR TRACTOR COMMON 149123101 795,272 17,383 X 0 17,383 0 CENDANT CORPORATION COMMON 151313103 167,690 10,225 X 0 10,225 0 CENTENNIAL BANCORP CO COMMON 15133T104 157,851 21,389 X 0 21,389 0 CHARTER COMMUNICATION COMMON 16117M107 588,810 25,825 X 0 25,825 0 CHECK PT SOFTWARE TEC COMMON M22465104 915,400 14,120 X 0 14,120 0 CHEVRON CORP COMMON 166751107 1,343,930 14,412 X 0 14,412 0 CIENA CORP COM COMMON 171779101 374,284 7,050 X 0 7,050 0 CIM HIGH YIELD SECS I COMMON 125527101 237,652 51,108 X 0 51,108 0 CISCO SYS INC COMMON 17275R102 5,867,002 352,161 X 0 352,161 0 CITIGROUP INC. COMMON 172967101 5,738,276 119,747 X 0 119,747 0 CITIZENS BANKING CORP COMMON 174420109 844,740 32,490 X 0 32,490 0 CLEAR CHANNEL COMMUNI COMMON 184502102 212,032 3,669 X 0 3,669 0 CMGI INC COM COMMON 125750109 24,883 10,368 X 0 10,368 0 COBIZ INC COMMON 190897108 396,144 24,759 X 0 24,759 0 COCA COLA CO COMMON 191216100 1,160,578 25,396 X 0 25,396 0 COMCAST CORP CL A SPL COMMON 200300200 888,018 20,870 X 0 20,870 0 COMPAQ COMPUTER CORP COMMON 204493100 1,493,712 81,490 X 0 81,490 0 COMPUTER ASSOC INTL I COMMON 204912109 751,360 22,164 X 0 22,164 0 COMPUTER SCIENCES COR COMMON 205363104 375,756 10,810 X 0 10,810 0 CONCORD EFS INC COMMON 206197105 1,906,669 42,943 X 0 42,943 0 CONSECO INC COM COMMON 208464107 208,033 13,150 X 0 13,150 0 CORNING INC COMMON 219350105 490,197 21,406 X 0 21,406 0 COSTCO WHSL CORP (NEW COMMON 22160K105 2,484,454 68,480 X 0 68,480 0 CREDIT SUISSE ASSET S COMMON 224918102 499,616 73,365 X 0 73,365 0 CVS CORP COMMON 126650100 329,678 5,835 X 0 5,835 0 DELL COMPUTER CORP CO COMMON 247025109 1,560,816 59,234 X 0 59,234 0 DEVON ENERGY CORP NEW COMMON 25179M103 306,255 5,100 X 0 5,100 0 DIAMONDS TR UNIT SER COMMON 252787106 258,181 2,525 X 0 2,525 0 DISNEY WALT PRODTNS COMMON 254687106 1,283,940 42,798 X 0 42,798 0 DOW CHEMICAL CORP COMMON 260543103 491,390 14,491 X 0 14,491 0 DU PONT E I DE NEMOUR COMMON 263534109 728,618 16,127 X 0 16,127 0 DUFF & PHELPS UTIL &C COMMON 26432K108 133,982 10,014 X 0 10,014 0 DUFF & PHELPS UTILITI COMMON 264324104 153,439 14,300 X 0 14,300 0 DYNEGY CLASS A COMMON COMMON 26816Q101 1,015,772 18,155 X 0 18,155 0 E M C CORP MASS COM COMMON 268648102 3,148,940 99,148 X 0 99,148 0 ECHOSTAR COMMUN CORP COMMON 278762109 291,924 9,587 X 0 9,587 0 ECOLAB INC COMMON 278865100 301,382 7,250 X 0 7,250 0 EL PASO CORPORATION COMMON 28336L109 1,561,222 22,208 X 0 22,208 0 ELAN PLC ADR COMMON 284131208 1,134,465 21,405 X 0 21,405 0 ELECTRO SCIENTIFIC IN COMMON 285229100 243,375 7,500 X 0 7,500 0 EMERSON ELEC CO COMMON 291011104 599,700 9,363 X 0 9,363 0 ENERGY EAST CORP COM COMMON 29266M109 1,085,569 54,360 X 0 54,360 0 ENRON CORP COM COMMON 293561106 2,623,080 43,718 X 0 43,718 0 EQUITY INCOME FD UNIT COMMON 294700604 15,796 32,839 X 0 32,839 0 ERICSSON L M TEL CO A COMMON 294821400 560,601 98,351 X 0 98,351 0 EXCEL TECHNOLOGY INC COMMON 30067T103 1,750,180 87,509 X 0 87,509 0 EXODUS COMMUNICATIONS COMMON 302088109 100,984 11,085 X 0 11,085 0 EXPEDITORS INTL WASH COMMON 302130109 1,213,869 25,827 X 0 25,827 0 EXXON CORPORATION COMMON 30231G102 4,443,930 52,461 X 0 52,461 0 FED HOME LOAN MTG COR COMMON 313400301 1,707,440 26,961 X 0 26,961 0 FEDERAL NAT MORTGAGE COMMON 313586109 2,206,061 28,243 X 0 28,243 0 FIRST AUSTRALIA PRIME COMMON 318653102 268,934 69,672 X 0 69,672 0 FIRST FED CAP CORP COMMON 319960100 295,542 21,308 X 0 21,308 0 FIRST MIDWEST BANCORP COMMON 320867104 817,416 28,621 X 0 28,621 0 FIRST UNION CORP COMMON 337358105 946,048 31,120 X 0 31,120 0 FISERV INC COM COMMON 337738108 858,766 17,681 X 0 17,681 0 FLEETBOSTON FINANCIAL COMMON 339030108 290,663 7,607 X 0 7,607 0 FLEXTRONICS INTL LTD COMMON Y2573F102 308,417 16,030 X 0 16,030 0 FORD MTR CO DEL COM P COMMON 345370860 784,294 27,157 X 0 27,157 0 FPC CAPITAL 7.1% QUIP PREFERR 302552203 273,861 11,340 X 0 11,340 0 FPL GROUP INC COM COMMON 302571104 741,905 11,795 X 0 11,795 0 GENENTECH INC COM NEW COMMON 368710406 386,674 7,695 X 0 7,695 0 GENERAL DYNAMICS CORP COMMON 369550108 225,299 3,323 X 0 3,323 0 GENERAL ELECTRIC COMMON 369604103 11,002,480 242,026 X 0 242,026 0 GENERAL MOTORS CLASS COMMON 370442832 329,606 16,431 X 0 16,431 0 GENERAL MOTORS INC COMMON 370442105 380,398 7,093 X 0 7,093 0 GILLETTE CO COMMON 375766102 911,847 31,443 X 0 31,443 0 GLIMCHER RLTY TR SH B COMMON 379302102 577,654 37,244 X 0 37,244 0 GLOBAL CROSSING LTD C COMMON G3921A100 1,715,545 165,115 X 0 165,115 0 GLOBAL CROSSING LTD P CONVERT G3921A126 714,578 16,380 X 0 16,380 0 GOLF TR AMER INC COM COMMON 38168B103 199,064 23,840 X 0 23,840 0 GOODYEAR TIRE & RUBR COMMON 382550101 304,413 12,425 X 0 12,425 0 GUIDANT CORP COM COMMON 401698105 1,713,435 39,317 X 0 39,317 0 HALLIBURTON CO COMMON 406216101 602,620 16,230 X 0 16,230 0 HANOVER COMPRESSOR CO COMMON 410768105 337,821 9,570 X 0 9,570 0 HARLEY DAVIDSON INC C COMMON 412822108 487,660 11,434 X 0 11,434 0 HARTFORD LIFE CAPITAL PREFERR 416590206 221,758 9,081 X 0 9,081 0 HEALTH MGMT ASSOC INC COMMON 421933102 570,936 33,545 X 0 33,545 0 HEALTHSTH REHABILITAT COMMON 421924101 378,978 30,440 X 0 30,440 0 HEWLETT PACKARD CO COMMON 428236103 1,296,069 44,310 X 0 44,310 0 HILTON HOTEL CORP COMMON 432848109 218,323 21,942 X 0 21,942 0 HOME DEPOT INC COMMON 437076102 2,900,636 69,211 X 0 69,211 0 HONEYWELL INTERNATION COMMON 438516106 846,996 19,098 X 0 19,098 0 HOUSEHOLD INTL CORP COMMON 441815107 938,867 15,414 X 0 15,414 0 HRPT PPTYS TR COM SH COMMON 40426W101 685,549 80,843 X 0 80,843 0 I2 TECHNOLOGIES INC C COMMON 465754109 899,673 49,871 X 0 49,871 0 ICOS CORP COM COMMON 449295104 292,640 6,200 X 0 6,200 0 IMMUNEX CORP NEW COM COMMON 452528102 669,155 45,064 X 0 45,064 0 IMPATH INC COM COMMON 45255G101 409,135 8,850 X 0 8,850 0 INFOCUS CORP COMMON 45665B106 192,585 11,100 X 0 11,100 0 INFOSPACE COM INC COM COMMON 45678T102 412,468 143,717 X 0 143,717 0 INTEL CORP COMMON 458140100 8,725,504 335,081 X 0 335,081 0 INTERNAP NETWORK SVCS COMMON 45885A102 40,596 19,900 X 0 19,900 0 INTERNATIONL WAYSIDE COMMON 46056H108 4,746 39,000 X 0 39,000 0 INTERPUBLIC GROUP COS COMMON 460690100 652,743 17,972 X 0 17,972 0 INTL BUSINESS MACH CO COMMON 459200101 3,558,914 35,696 X 0 35,696 0 INVESCO GLOBAL HLTH S COMMON 46128N109 252,335 18,845 X 0 18,845 0 J.P. MORGAN CHASE & C COMMON 46625H100 1,856,132 40,911 X 0 40,911 0 JDS UNIPHASE COM COMMON 46612J101 470,245 23,142 X 0 23,142 0 JOHNSON & JOHNSON COMMON 478160104 3,418,222 36,191 X 0 36,191 0 JOHNSON CONTROLS COMMON 478366107 1,292,117 18,443 X 0 18,443 0 JUNIPER NETWORKS INC COMMON 48203R104 308,018 6,055 X 0 6,055 0 KERR-MCGEE CORP COMMON 492386107 341,050 4,750 X 0 4,750 0 KEY ENERGY GROUP INC COMMON 492914106 2,084,648 161,726 X 0 161,726 0 KEY ENERGY GROUP INC CONVERT 492914AF3 748,162 843,000 X 0 843,000 0 KIMBERLY CLARK CORP COMMON 494368103 593,110 9,282 X 0 9,282 0 KINDER MORGAN EGY PTN COMMON 494550106 655,791 10,295 X 0 10,295 0 KINDER MORGAN INC KAN COMMON 49455P101 482,064 8,154 X 0 8,154 0 KLA INSTRS CORP COMMON 482480100 370,683 8,675 X 0 8,675 0 KODAK COMMON 277461109 319,515 7,518 X 0 7,518 0 KOHLS CORP COM COMMON 500255104 385,623 6,967 X 0 6,967 0 KOREA FUND INC COMMON 500634100 183,597 20,722 X 0 20,722 0 KROGER CO COMMON 501044101 423,544 18,959 X 0 18,959 0 LATTICE SEMICONDUCTOR COMMON 518415104 551,337 26,725 X 0 26,725 0 LENNAR CORP COMMON 526057104 797,771 20,095 X 0 20,095 0 LEVEL 3 COMMUNICATION COMMON 52729N100 219,745 14,748 X 0 14,748 0 LEXMARK INTL GROUP IN COMMON 529771107 627,763 10,731 X 0 10,731 0 LILLY ELI & CO COMMON 532457108 1,175,740 14,535 X 0 14,535 0 LINEAR TECHNOLOGY COR COMMON 535678106 902,289 23,321 X 0 23,321 0 LOWES CO COMMON 548661107 1,123,737 21,295 X 0 21,295 0 LUCENT TECHNOLOGIES I COMMON 549463107 989,652 138,413 X 0 138,413 0 M & T BK CORP COM COMMON 55261F104 203,580 2,900 X 0 2,900 0 MAGNUM PETROLEUM INC COMMON 55972F203 199,992 16,666 X 0 16,666 0 MARSH MCLENNAN COMMON 571748102 888,344 9,583 X 0 9,583 0 MARSHALL & ILSLEY COR COMMON 571834100 531,781 10,356 X 0 10,356 0 MBNA CORP COM COMMON 55262L100 1,763,286 52,793 X 0 52,793 0 MCDONALDS CORP COMMON 580135101 434,900 16,007 X 0 16,007 0 MCKESSON HBOC INC COM COMMON 58155Q103 207,847 7,490 X 0 7,490 0 MEDIMMUNE INC COM COMMON 584699102 267,804 6,785 X 0 6,785 0 MEDTRONIC INC COMMON 585055106 3,771,921 83,542 X 0 83,542 0 MERCK & CO COMMON 589331107 6,858,721 84,833 X 0 84,833 0 MERRILL LYNCH INC COMMON 590188108 1,621,717 26,761 X 0 26,761 0 METLIFE INC COM COMMON 59156R108 378,558 12,560 X 0 12,560 0 MICROSOFT CORP COMMON 594918104 13,286,750 216,115 X 0 216,115 0 MID ATLANTIC MED SVCS COMMON 59523C107 347,096 17,200 X 0 17,200 0 MIDCAP SPDR TR COMMON 595635103 1,199,207 13,765 X 0 13,765 0 MINNESOTA MINING & MA COMMON 604059105 596,881 5,481 X 0 5,481 0 MORGAN STANLEY DEAN W COMMON 617446448 758,490 12,889 X 0 12,889 0 MOTOROLA INC COMMON 620076109 754,726 53,909 X 0 53,909 0 MULTEX SYS INC COM COMMON 625367107 256,107 15,290 X 0 15,290 0 NABORS INDS INC COM COMMON 629568106 296,032 5,310 X 0 5,310 0 NAPRO BIOTHERAPEUTICS COMMON 630795102 364,362 54,627 X 0 54,627 0 NASDAQ 100 TR UNIT SE COMMON 631100104 1,274,006 30,885 X 0 30,885 0 NEUROBIOLOGICAL TECHN COMMON 64124W106 679,276 220,544 X 0 220,544 0 NEXTEL COMMUNICATIONS COMMON 65332V103 1,191,313 80,767 X 0 80,767 0 NOKIA CORP ADR OTC COMMON 654902204 3,505,378 135,082 X 0 135,082 0 NORTEL NETWORKS CORP COMMON 656568102 1,213,757 79,905 X 0 79,905 0 NORTHERN TRUST CORP COMMON 665859104 803,091 12,995 X 0 12,995 0 NORTHROP CORP COMMON 666807102 218,080 2,320 X 0 2,320 0 OCEAN ENERGY INC (TEX COMMON 67481E110 190,705 10,016 X 0 10,016 0 OPPENHEIMER MULTI SEC COMMON 683933105 504,572 58,535 X 0 58,535 0 ORACLE SYS CORP COM COMMON 68389X105 3,062,920 188,836 X 0 188,836 0 PACCAR INC COMMON 693718108 255,387 5,450 X 0 5,450 0 PARADYNE CORP COM COMMON 69911G107 28,650 19,100 X 0 19,100 0 PARKER DRILLING COMMON 701081101 152,459 24,790 X 0 24,790 0 PEPSICO INC COMMON 713448108 961,389 22,744 X 0 22,744 0 PEREGRINE SYS INC COM COMMON 71366Q101 200,988 9,521 X 0 9,521 0 PETSMART INC COM COMMON 716768106 45,235 12,095 X 0 12,095 0 PFIZER INC COMMON 717081103 4,808,997 113,393 X 0 113,393 0 PHARMACIA CORPORATION COMMON 71713U102 272,326 5,229 X 0 5,229 0 PHILIP MORRIS COS INS COMMON 718154107 2,036,143 42,588 X 0 42,588 0 PLEXUS CORP COM COMMON 729132100 954,412 35,480 X 0 35,480 0 PORTAL SOFTWARE INC C COMMON 736126103 99,426 12,963 X 0 12,963 0 PRAXAIR INC COMMON 74005P104 222,775 4,690 X 0 4,690 0 PROCTER & GAMBLE CO COMMON 742718109 618,255 10,771 X 0 10,771 0 PROTEIN DESIGN LABS I COMMON 74369L103 210,984 3,897 X 0 3,897 0 QUALCOMM INC COM COMMON 747525103 2,300,494 45,321 X 0 45,321 0 QWEST COMMUNICATIONS COMMON 749121109 2,769,243 76,414 X 0 76,414 0 RATIONALE SOFTWARE COMMON 75409P202 200,847 11,477 X 0 11,477 0 REALNETWORKS INC COM COMMON 75605L104 289,440 33,695 X 0 33,695 0 RELIANT ENERGY INC COMMON 75952J108 210,356 4,300 X 0 4,300 0 ROYAL DUTCH PETRO-NY COMMON 780257804 245,309 4,220 X 0 4,220 0 RUBY TUESDAY INC COMMON 781182100 199,784 11,300 X 0 11,300 0 SAFECO CORP COMMON 786429100 590,242 21,050 X 0 21,050 0 SAFEWAY INC COM NEW COMMON 786514208 1,962,468 36,342 X 0 36,342 0 SBC COMMNS INC COMMON 78387G103 1,449,936 33,587 X 0 33,587 0 SCHERING PLOUGH CORP COMMON 806605101 419,595 11,408 X 0 11,408 0 SCHLUMBERGER COMMON 806857108 252,377 4,029 X 0 4,029 0 SCHWAB CHARLES CORP N COMMON 808513105 801,732 44,221 X 0 44,221 0 SCIENT CORP COM COMMON 80864H109 10,764 10,450 X 0 10,450 0 SEAGATE TECHNOLOGY CH COMMON 811804988 204,187 4,125 X 0 4,125 0 SEMICONDUCTOR HOLDRS COMMON 816636203 268,095 6,100 X 0 6,100 0 SERVICEMASTER CO COMMON 81760N109 320,505 30,038 X 0 30,038 0 SHURGARD STORAGE CTRS COMMON 82567D104 889,211 33,429 X 0 33,429 0 SIEBEL SYS INC COM COMMON 826170102 442,532 13,459 X 0 13,459 0 SOLECTRON CORP COM COMMON 834182107 440,256 20,307 X 0 20,307 0 SOUTHTRUST CORP COMMON 844730101 251,833 5,695 X 0 5,695 0 SOUTHWEST AIRLS CO COMMON 844741108 525,413 29,870 X 0 29,870 0 SPDR TR UNIT SER 1 COMMON 78462F103 1,590,332 13,335 X 0 13,335 0 SPRINT CORP COM COMMON 852061100 355,175 16,115 X 0 16,115 0 SPRINT CORP PCS COM S COMMON 852061506 557,291 22,535 X 0 22,535 0 ST JUDE MEDICAL CENTE COMMON 790849103 200,936 3,601 X 0 3,601 0 STARBUCKS CORP COM COMMON 855244109 2,690,517 69,023 X 0 69,023 0 STORAGE COMPUTER CORP COMMON 86211A101 144,960 24,950 X 0 24,950 0 STRYKER CORP COMMON 863667101 420,824 7,822 X 0 7,822 0 SUN MICROSYSTEM INC C COMMON 866810104 3,056,117 190,531 X 0 190,531 0 SUNGARD DATA SYS INC COMMON 867363103 1,017,080 20,301 X 0 20,301 0 SYSCO CORP COMMON 871829107 1,125,487 41,363 X 0 41,363 0 TARGET CORP COMMON 87612E110 1,200,769 33,968 X 0 33,968 0 TCF FINL CORP COM COMMON 872275102 552,475 15,785 X 0 15,785 0 TELLABS INC COMMON 879664100 954,132 27,191 X 0 27,191 0 TEMPLETON GLOBAL INCO COMMON 880198106 471,933 74,555 X 0 74,555 0 TENET HEALTHCARE CORP COMMON 88033G100 329,565 7,015 X 0 7,015 0 TEXACO INC COMMON 881694103 351,534 4,987 X 0 4,987 0 TEXAS INSTRUMENTS INC COMMON 882508104 3,718,240 109,360 X 0 109,360 0 TEXTRON INC COMMON 883203101 506,513 8,949 X 0 8,949 0 TRANSOCEAN SEDCO FORE COMMON G90078109 233,620 4,807 X 0 4,807 0 TXU CORP COMMON 873168108 201,282 4,585 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