-----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, TWXmv9jZhc6RE4WkXYLEvUT8fBvl9pTwz74uQMFxociiG/mrUqrESwrYIdo/7uAn pN3IyB9HcP7i5E5qznVmhA== 0000950130-02-000502.txt : 20020414 0000950130-02-000502.hdr.sgml : 20020414 ACCESSION NUMBER: 0000950130-02-000502 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20011231 FILED AS OF DATE: 20020131 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ARNHOLD & S BLEICHROEDER INC CENTRAL INDEX KEY: 0000732816 IRS NUMBER: 134959915 STATE OF INCORPORATION: NY FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-01051 FILM NUMBER: 02522928 BUSINESS ADDRESS: STREET 1: 1345 AVENUE OF THE AMERICA CITY: NEW YORK STATE: NY ZIP: 10105 BUSINESS PHONE: 2122084440 MAIL ADDRESS: STREET 1: 1345 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10105 13F-HR 1 d13fhr.txt FORM 13-F ------------------------------ OMB Approval OMB 3235-0006 ------------------------------ ------------------------------ SEC USE ONLY ------------------------------ ------------------------------ 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 Washington, D.C. 20549 Report for the Calendar Quarter Ended: DECEMBER 31st 2001 ---------------------- - -------------------------------------------------------------------------------- (Please read instructions before preparing form.) - -------------------------------------------------------------------------------- If amended report check here: [_] - -------------------------------------------------------------------------------- Name of Institutional Investment Manager: ARNHOLD AND S. BLEICHROEDER, 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 29th day ---------- ---------- ---- of January , 2002 -------- ---- ARNHOLD AND S. BLEICHROEDER, INC. ------------------------------------------- (Name of institutional investment Manager) /s/ 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. - -------------------------- ------------- ------------------------ ------------- 6. 12. - -------------------------- ------------- ------------------------ ------------- REPORT SUMMARY Number of Other Included Manages: 0 Form 13 F Information Table Entry Total: 104,323,265 Form 13 F Information Table Value Total: $ 2,145,378
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 ALVARION LTD SHS M0861T100 450 122134 SH SOLE 122134 0 0 D BANCO LATINOAMERICANO DE EXPOR CL E P16994132 3086 110000 SH SOLE 110000 0 0 D AOL TIME WARNER INC COM 00184A105 4152 129350 SH SOLE 129350 0 0 D AT & T CORP COM 001957109 2511 138442 SH SOLE 138442 0 0 D ABITIBI CONSOLDATED INC COM 003924107 220 30000 SH SOLE 30000 0 0 D ACAMBIS PLC - SPON ADR SPONSORED ADR 004286100 997 20000 SH SOLE 20000 0 0 D ACKERLEY GROUP INC COM 004527107 5040 288000 SH SOLE 288000 0 0 D AFFYMETRIX INC CONV/CALL 4.75 SB NT CV 4.75%07 00826TAD0 7727 10320000 SH SOLE 10320000 0 0 D AGNICO EAGLE MINES LIMITED SRNT CONV 3.5%04 008474AA6 4284 4800000 SH SOLE 4800000 0 0 D AIR PRODUCTS & CHEMICALS INC COM 009158106 42519 906400 SH SOLE 906400 0 0 D ALCAN ALUMINUM LTD COM 013716105 1168 32500 SH SOLE 32500 0 0 D ALCOA INC COM 013817101 444 12500 SH SOLE 12500 0 0 D ALLEGHANY CORP NEW COM 017175100 563 2928 SH SOLE 2928 0 0 D ALLEN ORGAN COMPANY CLASS B CL B 017753104 6321 203250 SH SOLE 203250 0 0 D ALLIANT TECH SYSTEMS COM 018804104 9550 123700 SH SOLE 123700 0 0 D ALLOY ONLINE INC COM 019855105 3979 184800 SH SOLE 184800 0 0 D AMERICAN EXPRESS CO COM 025816109 43253 1211900 SH SOLE 1211900 0 0 D AMERICAN INTERNATIONAL GROUP COM 026874107 47112 593350 SH SOLE 593350 0 0 D AMERICAN POWER CONVERSION CORP COM 029066107 10556 730000 SH SOLE 730000 0 0 D AMERICAN STANDARD (ASD) COM 029712106 13489 197700 SH SOLE 197700 0 0 D AMERICAN WATER WORKS INC COM 030411102 14211 340380 SH SOLE 340380 0 0 D AMGEN INC COM 031162100 15115 267800 SH SOLE 267800 0 0 D AMPHENOL CORP CL A CL A 032095101 35211 732800 SH SOLE 732800 0 0 D ANGLOGOLD LIMITED ADR SPONSORED ADR 035128206 271 15000 SH SOLE 15000 0 0 D AON CORP COM 037389103 9406 264800 SH SOLE 264800 0 0 D APPLERA CORP - CELERA GENOMICS COM CE GEN GRP 038020202 8437 316100 SH SOLE 316100 0 0 D APTAR GROUP INC COM 038336103 1085 30968 SH SOLE 30968 0 0 D AQUILA INC CL A 03840J106 4078 238500 SH SOLE 238500 0 0 D ARBITRON INC COM 03875Q108 2216 64890 SH SOLE 64890 0 0 D ARCHER-DANIELS-MIDLAND CO COM 039483102 3358 233991 SH SOLE 233991 0 0 D ASPECT COMMUNICATIONS CORP COM 04523Q102 229 58932 SH SOLE 58932 0 0 D BALL CORP. (BLL) COM 058498106 7381 104400 SH SOLE 104400 0 0 D BANDAG INCORPORATED, CLASS A CL A 059815308 5400 180000 SH SOLE 180000 0 0 D BANK OF NEW YORK CO INC COM 064057102 326 8000 SH SOLE 8000 0 0 D BANK ONE CORP COM 06423A103 527 13500 SH SOLE 13500 0 0 D BARNES AND NOBLE COM 067774109 1036 35000 SH SOLE 35000 0 0 D BARRICK GOLD CORP. COM 067901108 921 57750 SH SOLE 57750 0 0 D BAXTER INTERNATIONAL INC COM 071813109 40641 757800 SH SOLE 757800 0 0 D BECKMAN COULTER,INC. COM 075811109 41593 938900 SH SOLE 938900 0 0 D BECTON DICKINSON & CO. COM 075887109 2297 69300 SH SOLE 69300 0 0 D BED BATH & BEYOND INC (BBBY) COM 075896100 254 7500 SH SOLE 7500 0 0 D BERKSHIRE HATHAWAY INC CL A CL A 084670108 6426 85 SH SOLE 85 0 0 D BEST BUY CO INC COM 086516101 20184 271000 SH SOLE 271000 0 0 D BIOGEN INC COM 090597105 20594 359100 SH SOLE 359100 0 0 D BOITRANSPLANT INC COM 09066Y107 89 10000 SH SOLE 10000 0 0 D BLOCK, H&R INC COM 093671105 1095 24504 SH SOLE 24504 0 0 D BOEING CO COM 097023105 7795 201000 SH SOLE 201000 0 0 D BOWATER INC COM 102183100 2094 43900 SH SOLE 43900 0 0 D BRISTOL MYERS SQUIBB CO COM 110122108 1383 27124 SH SOLE 27124 0 0 D BROWN FORMAN CORP CL B CL B 115637209 1002 16000 SH SOLE 16000 0 0 D BURLINGTON NORTHERN SANTA FE COM 12189T104 16288 570900 SH SOLE 570900 0 0 D BURLINGTON RESOURCES INC COM 122014103 3191 85000 SH SOLE 85000 0 0 D CCC INFORMATION SVCS GROUP INC COM 12487Q109 4479 724750 SH SOLE 724750 0 0 D CIGNA CORP COM 125509109 3826 41300 SH SOLE 41300 0 0 D CNA SURETY CORP COM 12612L108 26 1700 SH SOLE 1700 0 0 D CNH GLOBAL NV COM 126124999 62 10000 SH SOLE 10000 0 0 D CABLEVISION SYSTEMS CL A (CVC) CL A NY CABLVS 12686C109 19056 401600 SH SOLE 401600 0 0 D CADENCE DESIGN SYSTEMS INC COM COM 127387108 7271 331700 SH SOLE 331700 0 0 D CANADIAN PACIFIC RAILWAY LTD COM 13645T100 6825 350000 SH SOLE 350000 0 0 D CATELLUS DEVELOPMENT CORPORATI COM 149111106 2760 150000 SH SOLE 150000 0 0 D CELGENE CORP COM 151020104 6684 209400 SH SOLE 209400 0 0 D CENDANT (CD) COM 151313103 55004 2804900 SH SOLE 2804900 0 0 D CENTEX CORP COM 152312104 1142 20000 SH SOLE 20000 0 0 D CENTRAL PACIFIC MINERALS NL AD ADR 154762306 28 20000 SH SOLE 20000 0 0 D CEPHALON INC COM 156708109 12713 168200 SH SOLE 168200 0 0 D CERIDIAN CORP (CEN) COM 156779100 6571 350450 SH SOLE 350450 0 0 D CERTEGY INC COM 156880106 2270 66350 SH SOLE 66350 0 0 D CHARTER ONE FINANCE INC COM 160903100 772 28441 SH SOLE 28441 0 0 D CHEESECAKE FACTORY INC COM 163072101 23518 676389 SH SOLE 676389 0 0 D CHEMED CORPORATION COM 163596109 9384 276800 SH SOLE 276800 0 0 D CHITTENDEN CORP COM 170228100 3219 116647 SH SOLE 116647 0 0 D CARMAX CIRCUT CITY STORES INC CARMAX GROUP 172737306 10238 450200 SH SOLE 450200 0 0 D CLEAR CHANNEL COMM INC COM 184502102 484 9500 SH SOLE 9500 0 0 D CLOROX CO COM 189054109 7163 181100 SH SOLE 181100 0 0 D COCA COLA ENTERPRISES INC (CCE COM 191219104 1724 91000 SH SOLE 91000 0 0 D COEUR D ALENE MINES CORPORATIO SD CONV 6.375%04 192108AE8 2085 6000000 SH SOLE 6000000 0 0 D COEUR D ALENE SB DB CV 7.25%05 192108AG3 660 2000000 SH SOLE 2000000 0 0 D COLUMBUS MCKINNON CORP (CMCO) COM 199333105 318 31000 SH SOLE 31000 0 0 D COMPAQ COMPUTER CORP COM 204493100 878 90000 SH SOLE 90000 0 0 D COMPUTER ASSOCIATES INTL INC COM 204912109 881 25535 SH SOLE 25535 0 0 D CONAGRA INC COM 205887102 1066 44844 SH SOLE 44844 0 0 D CONECTIV COM 206829103 4540 185400 SH SOLE 185400 0 0 D CONOCO INC COM 208251504 3056 108000 SH SOLE 108000 0 0 D CONSOL ENERGY INC COM 20854P109 11054 445000 SH SOLE 445000 0 0 D CONSTELLATION BRANDS INC CLASS CL A 21036P108 1054 24600 SH SOLE 24600 0 0 D CONTINENTAL AIRLINES INC CL B CL B 210795308 786 30000 SH SOLE 30000 0 0 D ADOLPH COORS COMPANY CLASS B CL B 217016104 7935 148600 SH SOLE 148600 0 0 D COORSTEK INC. COM 217020106 3948 124000 SH SOLE 124000 0 0 D COR THERAPEUTICS INC COM 217753102 2154 90000 SH SOLE 90000 0 0 D COSTCO WHOLESALE CORP COM 22160K105 4216 95000 SH SOLE 95000 0 0 D CRESCENT REAL ESTATE EQUITIES COM 225756105 9508 525000 SH SOLE 525000 0 0 D A.T. CROSS COMPANY CLASS A CL A 227478104 1770 300000 SH SOLE 300000 0 0 D DAL TILE INTERNATIONAL INC COM 23426R108 8370 360000 SH SOLE 360000 0 0 D DARDEN RESTAURANTS INC COM 237194105 7346 207500 SH SOLE 207500 0 0 D DECODE GENETICS INC COM 243586104 3920 400000 SH SOLE 400000 0 0 D DEERE & COMPANY COM 244199105 6767 155000 SH SOLE 155000 0 0 D DE RIGO SPA SPON ADR (DER) SPONSORED ADR 245334107 204 34000 SH SOLE 34000 0 0 D DELPHI AUTOMOTIVE SYS CORP (DP COM 247126105 3829 280300 SH SOLE 280300 0 0 D DELTIC TIMBER CORPORATION COM 247850100 6311 230342 SH SOLE 230342 0 0 D DENTSPLY INTERNATIONAL INC. COM 249030107 7530 150000 SH SOLE 150000 0 0 D DIACRIN INC COM 25243N103 957 517500 SH SOLE 517500 0 0 D DILLARDS INC. CLASS A CL A 254067101 4560 285000 SH SOLE 285000 0 0 D DIME BANCORP INC COM 25429Q102 29225 810000 SH SOLE 810000 0 0 D DOLE FOOD COMPANY, INC. COM 256605106 5740 213950 SH SOLE 213950 0 0 D DOLLAR TREE STORES COM 256747106 35871 1160499 SH SOLE 1160499 0 0 D DOW CHEMICAL COM 260543103 845 25000 SH SOLE 25000 0 0 D DU PONT DE NEMOURS & CO COM 263534109 340 8000 SH SOLE 8000 0 0 D EARTHLINK INC COM 270321102 4929 405000 SH SOLE 405000 0 0 D ELECTRO RENT CORP (ELRC) COM 285218103 5109 396350 SH SOLE 396350 0 0
D ENERGIZER HOLDINGS INC COM 29266R108 16478 865000 SH SOLE 865000 0 0 D EQUIFAX INC (EFX) COM 294429105 8991 372300 SH SOLE 372300 0 0 D ESPIRITO SANTO FINANCIAL GROUP SPONSORED ADR 29665F200 18648 1065000 SH SOLE 1065000 0 0 D ETHYL CORP COM 297659104 4140 4500000 SH SOLE 4500000 0 0 D EXXON MOBIL CORP COM 30231G102 222 5656 SH SOLE 5656 0 0 D FAIRMONT HOTELS & RESORTS COM 305204109 4392 183750 SH SOLE 183750 0 0 D FANNIE MAE COM 313586109 795 10000 SH SOLE 10000 0 0 D FIDELITY NATIONAL FINANCIAL IN COM 316326107 316 12738 SH SOLE 12738 0 0 D FORD MOTOR CORP COM PAR $0.01 345370860 990 63000 SH SOLE 63000 0 0 D FORTUNE BRANDS INC (FO) COM 349631101 1188 30000 SH SOLE 30000 0 0 D FRANKLIN ELECTRIC COMPANY, INC COM 353514102 10455 127500 SH SOLE 127500 0 0 D FREEPORT MCMORAN COPPER & GOLD CL B 35671D857 2009 150000 SH SOLE 150000 0 0 D FUJI PHOTO FILM CO., LTD. ADR ADR 359586302 1673 47000 SH SOLE 47000 0 0 D GATX CORP COM 361448103 1528 47000 SH SOLE 47000 0 0 D GENERAL DYNAMICS CORP COM 369550108 40417 507500 SH SOLE 507500 0 0 D GENERAL MOTORS CORP CL H COM N CL H NEW 370442832 16918 1095000 SH SOLE 1095000 0 0 D GREENPOINT FINANCIAL CORP. (GP COM 395384100 995 27833 SH SOLE 27833 0 0 D GREIF BROS. CORPORATION CLASS CL A 397624107 23559 715000 SH SOLE 715000 0 0 D HANCOCK FABRICS, INC. COM 409900107 4800 365000 SH SOLE 365000 0 0 D HANDLEMAN CO DEL COM COM 410252100 3267 220000 SH SOLE 220000 0 0 D HARRIS CORP. (HRS) COM 413875105 2874 94200 SH SOLE 94200 0 0 D HERCULES INC COM 427056106 600 60000 SH SOLE 60000 0 0 D HIBBETT SPORTING GOODS COM 428565105 1273 42000 SH SOLE 42000 0 0 D HILTON HOTELS CORP COM 432848109 437 40000 SH SOLE 40000 0 0 D HITACHI, LTD. ADR ADR 10 COM 433578507 512 7000 SH SOLE 7000 0 0 D HONEYWELL INTERNATIONAL INC COM 438516106 34693 1025800 SH SOLE 1025800 0 0 D HOTJOBS.COM LTD COM 441474103 2151 207000 SH SOLE 207000 0 0 D ICN PHARMACEUTICALS COM 448924100 3333 99500 SH SOLE 99500 0 0 D IDACORP COM 451107106 5481 135000 SH SOLE 135000 0 0 D IKOS SYSTEMS INC COM NEW 451716203 234 19710 SH SOLE 19710 0 0 D INDEPENDENCE HOLDING CO COM NEW 453440307 4214 234116 SH SOLE 234116 0 0 D INFOUSA INC COM 456818301 335 48310 SH SOLE 48310 0 0 D INTEL CORP COM 458140100 1107 35200 SH SOLE 35200 0 0 D INTERNATIONAL BUSINESS MACHINE COM 459200101 87793 725800 SH SOLE 725800 0 0 D INTERNATIONAL GAME TECHNOLOGY COM 459902102 9835 144000 SH SOLE 144000 0 0 D INTERNATIONAL PAPER CO COM 460146103 19780 490200 SH SOLE 490200 0 0 D InterTAN, Inc. COM 461120107 440 35000 SH SOLE 35000 0 0 D INTERWOVEN INC COM 46114T102 681 69868 SH SOLE 69868 0 0 D IVILLAGE INC COM 46588H105 250 131800 SH SOLE 131800 0 0 D JP MORGAN CHASE & CO COM 46625H100 3359 92400 SH SOLE 92400 0 0 D JOHNSON & JOHNSON COM 478160104 3010 50936 SH SOLE 50936 0 0 D KADANT INC COM 48282T104 544 37515 SH SOLE 37515 0 0 D KANEB SERVICES LLC COM 484173109 5181 265000 SH SOLE 265000 0 0 D KB HOME COM 48666K109 902 22500 SH SOLE 22500 0 0 D KIMBERLY CLARK CORP COM 494368103 1399 23400 SH SOLE 23400 0 0 D KRAFT FOODS INC. CL A 50075N104 7282 214000 SH SOLE 214000 0 0 D KROGER CO. COM 501044101 10018 480000 SH SOLE 480000 0 0 D L-3 COMMUNICATIONS COM 502424104 11844 131600 SH SOLE 131600 0 0 D LEHMAN BROTHERS INC COM 524908100 267 4000 SH SOLE 4000 0 0 D LENNAR CORP COM 526057104 702 15000 SH SOLE 15000 0 0 D LIBERTY DIGITAL INC CL A 530436104 1202 347300 SH SOLE 347300 0 0 D LIBERTY MEDIA CORP COM SER A 530718105 3951 282200 SH SOLE 282200 0 0 D LINCOLN NATIONAL CORP COM 534187109 4056 83500 SH SOLE 83500 0 0 D LOCKHEED MARTIN CORP COM 539830109 700 15000 SH SOLE 15000 0 0 D LOEWS CORP COM 540424108 886 16000 SH SOLE 16000 0 0 D LONGVIEW FIBRE COMPANY COM 543213102 531 45000 SH SOLE 45000 0 0 D LOWES COMPANIES COM 548661107 97289 2096300 SH SOLE 2096300 0 0 D LUCENT TECHNOLOGIES INC COM 549463107 674 107092 SH SOLE 107092 0 0 D M & T BANK COM 55261F104 32565 447019 SH SOLE 447019 0 0 D MRV COMMUNICATIONS INC SUB NT SUB NT CONV 5%03 553477AB6 1294 1875000 SH SOLE 1875000 0 0 D MAIN STREET BANCORP INC COM 559906102 2123 135900 SH SOLE 135900 0 0 D MANDALAY RESORT GROUP (MBG) COM 562567107 8676 405400 SH SOLE 405400 0 0 D MANPOWER INC. COM 56418H100 33036 980000 SH SOLE 980000 0 0 D MATTEL INC COM 577081102 3511 204100 SH SOLE 204100 0 0 D THE MAY STORES COMPANY COM 577778103 4623 125000 SH SOLE 125000 0 0 D MCDONALDS CORP COM 580135101 21308 805000 SH SOLE 805000 0 0 D MCGRAW HILL INC COM 580645109 1829 30000 SH SOLE 30000 0 0 D MEDIMMUNE INC COM 584699102 901 19440 SH SOLE 19440 0 0 D MELLON FINANCIAL CORP COM 58551A108 763 20280 SH SOLE 20280 0 0 D MERCK & CO INC COM 589331107 2961 50350 SH SOLE 50350 0 0 D METLIFE INC COM 59156R108 963 30400 SH SOLE 30400 0 0 D METRIS COMPAINIES INC COM 591598107 3039 118200 SH SOLE 118200 0 0 D MILLIPORE CORP COM 601073109 8213 135300 SH SOLE 135300 0 0 D MITCHELL ENERGY & DEVELOPMENT CL A 606592202 18320 343710 SH SOLE 343710 0 0 D THE MONTANA POWER COMPANY COM 612085100 870 151368 SH SOLE 151368 0 0 D MOORE CORP LTD COM 615785102 4161 438000 SH SOLE 438000 0 0 D MORGAN STANLEY, DEAN WITTER, A COM NEW 617446448 738 13200 SH SOLE 13200 0 0 D MUELLER INDUS. COM 624756102 432 13000 SH SOLE 13000 0 0 D MURPHY OIL CORPORATION COM 626717102 10716 127507 SH SOLE 127507 0 0 D MUTUAL RISK MANAGEMENT LTD COM 628351108 419 57332 SH SOLE 57332 0 0 D NETWORK ASSOCIATES INC CONV SB DB CV ZERO 18 640938AB2 905 2000000 SH SOLE 2000000 0 0 D NEW GERMANY FUND INC (GF) COM 644465106 1102 187692 SH SOLE 187692 0 0 D NEWMONT MINING CORPORATION COM 651639106 8638 452000 SH SOLE 452000 0 0 D NEWS CORP LTD ADR 652487703 64 2000 SH SOLE 2000 0 0 D NEWS CORP LTD SPON PFD 652487802 26 1000 SH SOLE 1000 0 0 D NIAGARA MOHAWK HOLDINGS INC COM 653520106 8349 470900 SH SOLE 470900 0 0 D NORTH FORK BANCORPORATION INC COM 659424105 282 8800 SH SOLE 8800 0 0 D NORTHERN TRUST CO COM 665859104 578 9600 SH SOLE 9600 0 0 D NORTHROP GRUMMAN CORP COM 666807102 67341 668000 SH SOLE 668000 0 0 D NOVA CHEMICALS CORP COM 66977W109 241 12500 SH SOLE 12500 0 0 D NOVARTIS AG SPONSORED ADR SPONSORED ADR 66987V109 584 16000 SH SOLE 16000 0 0 D NOVELL INC COM 670006105 207 45000 SH SOLE 45000 0 0 D ORION POWER HOLDINGS INC COM 686286105 6577 252000 SH SOLE 252000 0 0 D P & O PRINCESS CRUISES PLC ADR ADR 693070104 783 33750 SH SOLE 33750 0 0 D PACKAGING CORP OF AMERICA COM 695156109 13662 752700 SH SOLE 752700 0 0 D PANCANADIAN ENERGY CORP COM 69831A107 17511 673500 SH SOLE 673500 0 0 D PAPA JOHNS INTL INC COM 698813102 2748 100000 SH SOLE 100000 0 0 D PARTY CITY CORP COM 702145103 1145 152400 SH SOLE 152400 0 0 D PENTON MEDIA COM 709668107 417 66596 SH SOLE 66596 0 0 D PEPSIAMERICAS COM 71343P200 1104 80000 SH SOLE 80000 0 0 D PFIZER INC COM 717081103 13033 327050 SH SOLE 327050 0 0 D PHARMACIA CORPORATION COM 71713U102 440 10310 SH SOLE 10310 0 0 D PHILIP MORRIS COM 718154107 11761 256500 SH SOLE 256500 0 0 D PHILLIPS PETROLEUM CO COM 718507106 12561 208451 SH SOLE 208451 0 0 D PLACER DOME INC. COM 725906101 655 60000 SH SOLE 60000 0 0 D PLAYTEX PRODUCTS INC COM 72813P100 98 10000 SH SOLE 10000 0 0 D PRAECIS PHARMACEUTICALS INC COM 739421105 1950 335000 SH SOLE 335000 0 0 D PRAXAIR INC COM 74005P104 55551 1005455 SH SOLE 1005455 0 0 D PULTE CORP COM 745867101 357 8000 SH SOLE 8000 0 0 D QUINENCO S.A. ADR SPONSORED ADR 748718103 6497 890000 SH SOLE 890000 0 0 D RCN CORPORATION COM 749361101 522 178065 SH SOLE 178065 0 0 D READERS DIGEST ASSN INC CL A CL A NON VTG 755267101 1616 70000 SH SOLE 70000 0 0 D RIGHTCHOICE MANAGED CARE INC C COM 76657T102 12038 171990 SH SOLE 171990 0 0
D RITE AID CORP COM 767754104 2658 525200 SH SOLE 525200 0 0 D ROCKWELL COLLINS INC COM 774341101 3672 188300 SH SOLE 188300 0 0 D ROYAL GOLD, INC. COM 780287108 389 75000 SH SOLE 75000 0 0 D RYDER SYSTEM INC COM 783549108 775 35000 SH SOLE 35000 0 0 D S & P 500 DEPOSITARY RECEIPTS UNIT SER 1 78462F103 3943 34500 SH SOLE 34500 0 0 D SAN JUAN BASIN ROYALTY TRUST UNIT BEN INT 798241105 8967 935000 SH SOLE 935000 0 0 D SCHERING-PLOUGH CORP COM 806605101 10764 300600 SH SOLE 300600 0 0 D SCHLUMBERGER LTD COM 806857108 385 7000 SH SOLE 7000 0 0 D SEALED AIR CORPORATION COM 81211K100 13879 340000 SH SOLE 340000 0 0 D SEALED AIR CORP $2 PFD SER A D PFD CV A $2 81211K209 10139 244600 SH SOLE 244600 0 0 D SECURITY CAPITAL GROUP INC REI CL B 81413P204 31966 1260000 SH SOLE 1260000 0 0 D SECURITY CAPITAL GROUP INCORPO CL B 81413P204 27907 1100000 SH SOLE 1100000 0 0 D SELECTICA INC COM 816288104 7111 1175307 SH SOLE 1175307 0 0 D SENECA FOODS CORPORATION A CL A 817070501 1655 115000 SH SOLE 115000 0 0 D SHERWIN WILLIAMS CO COM 824348106 13750 500000 SH SOLE 500000 0 0 D SNAP ON TOOLS CORP COM 833034101 505 15000 SH SOLE 15000 0 0 D SOLUTIA INC COM 834376105 6544 466754 SH SOLE 466754 0 0 D SOUTHRUST CORP. COM 844730101 296 12000 SH SOLE 12000 0 0 D SONY CORP SPON ADR 835699307 18 400 SH SOLE 400 0 0 D SPRINT CORP COM FON GROUP 852061100 436 21700 SH SOLE 21700 0 0 D STANCORP FINANCIAL GROUP COM 852891100 1181 25000 SH SOLE 25000 0 0 D STORAGE USA INC COM 861907103 7578 180000 SH SOLE 180000 0 0 D STORAGE TECHNOLOGY CORP (STK) COM PAR $0.10 862111200 10819 523400 SH SOLE 523400 0 0 D SWISS HELVETIA FUND (THE) (SWZ COM 870875101 841 76478 SH SOLE 76478 0 0 D SYBASE INC COM 871130100 3586 227525 SH SOLE 227525 0 0 D TJX COMPANIES INC COM 872540109 9140 229300 SH SOLE 229300 0 0 D TRW, INC. COM 872649108 1204 32500 SH SOLE 32500 0 0 D TVX GOLD INC NEW COM NEW 87308K200 647 1505600 SH SOLE 1505600 0 0 D TARGET CORP COM 87612E106 1642 40000 SH SOLE 40000 0 0 D TEKTRONIX INC. (TEK) COM 879131100 2707 105000 SH SOLE 105000 0 0 D TELEPHONE & DATA SYSTEMS INC COM 879433100 1795 20000 SH SOLE 20000 0 0 D TENET HEALTHCARE CORP COM 88033G100 19301 328700 SH SOLE 328700 0 0 D THERMO ELECTRON CORP COM 883556102 34802 1458600 SH SOLE 1458600 0 0 D 3 DIMENSIONAL PHARMACEUTICALS COM 88554W104 1473 173500 SH SOLE 173500 0 0 D TIFFANY & CO COM 886547108 8812 280000 SH SOLE 280000 0 0 D TOLL BROTHERS INC COM 889478103 351 8000 SH SOLE 8000 0 0 D TRICON GLOBAL RESTAURANT INC COM 895953107 9673 196600 SH SOLE 196600 0 0 D TRIQUINT SEMICONDUCTOR SUB NT CV 4%07 89674KAB9 1470 2000000 SH SOLE 2000000 0 0 D UIL HOLDINGS CORPORATION COM 902748102 749 14600 SH SOLE 14600 0 0 D U.S. BANCORP NEW (USB) COM NEW 902973304 2398 114593 SH SOLE 114593 0 0 D USA NETWORKS INC. COM 902984103 4916 180000 SH SOLE 180000 0 0 D USG CORPORATION COM NEW 903293405 257 45000 SH SOLE 45000 0 0 D ULTRAMAR DIAMOND SHAMROCK CORP COM 904000106 27489 540000 SH SOLE 540000 0 0 D UNIFIRST CORPORATION COM 904708104 11050 490000 SH SOLE 490000 0 0 D UNITED TECHNOLOGIES CORP COM 913017109 569 8800 SH SOLE 8800 0 0 D UNITEDGLOBALCOM INC CL A (UCOM CL A 913247508 1620 324000 SH SOLE 324000 0 0 D UNOCAL CORP COM 915289102 505 14000 SH SOLE 14000 0 0 D UNUMPROVIDENT CORP COM 91529Y106 1259 47500 SH SOLE 47500 0 0 D VERITAS DGC INC. COM 92343P107 1958 105840 SH SOLE 105840 0 0 D VIASTAT INC. (VSAT) COM 92552V100 434 27800 SH SOLE 27800 0 0 D VIACOM INC CL B CL B 925524308 1916 43400 SH SOLE 43400 0 0 D VIASYS HEALTHCARE INC COM NEW 92553Q209 16566 819697 SH SOLE 819697 0 0 D VIDAMED INC COM 926530106 880 112500 SH SOLE 112500 0 0 D VITRIA TECHNOLOGY INC COM 92849Q104 612 95800 SH SOLE 95800 0 0 D WACHOVIA CORP NEW COM 929903102 1156 36857 SH SOLE 36857 0 0 D WALMART STORES INC COM 931142103 1151 20000 SH SOLE 20000 0 0 D WASTE MANAGEMENT INC COM 94106L109 9091 284900 SH SOLE 284900 0 0 D WELLMAN INC COM 949702104 155 10000 SH SOLE 10000 0 0 D WELLS FARGO & CO COM 949746101 11858 272900 SH SOLE 272900 0 0 D WESTCOAST ENERGY INC COM 95751D102 14867 562500 SH SOLE 562500 0 0 D WEYCO GROUP, INC. COM 962149100 3676 145000 SH SOLE 145000 0 0 D XANSER CORP COM 98389J103 1548 770000 SH SOLE 770000 0 0 D YORK INTERNATIONAL CORP COM 986670107 381 10000 SH SOLE 10000 0 0 D ZEBRA TECH CL A 989207105 8604 155000 SH SOLE 155000 0 0 S REPORT SUMMARY 286 DATA RECORDS 2145378 104323265 0 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED
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