13F-HR 1 d13fhr.txt FORM 13-F OMB Approval OMB 3235-0006 ------------- FORM 13F INFORMATION REQUIRED OF INSTITUTIONAL INVESTMENT MANAGERS PURSUANT TO SECTION 13(f) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULES THEREUNDER ------------------- SEC USE ONLY ------------------- Securities and Exchange Commission Washington, D.C. 20549 Report for the Calendar Qtr, Ended September 30th, 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. 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 14th day of November, 2002 --------- -------- ---- -------- ---- Arnhold and S. Bleichroeder Holdings, Inc. ------------------------------------------ (Name of Institutional Investment Manager) William P. Casciani ------------------------------------------ (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: 51024372 Form 13 F Information Table Value Total: 780633 Arnhold and S. Bleichroeder Holdings, Inc.
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 800 125000 SH SOLE 125000 0 0 D APEX SILVER MINES LTD ORD G04074103 2078 150000 SH SOLE 150000 0 0 D COOPER INDUSTRIES LTD CL A CL A G24182100 413 13600 SH SOLE 13600 0 0 D GLOBALSANTAFE CORP SHS G3930E101 431 19300 SH SOLE 19300 0 0 D ALVARION LTD SHS M0861T100 384 184634 SH SOLE 184634 0 0 D WEATHERFORD INTL LTD COM 100000073 46 1232 SH SOLE 1232 0 0 D AOL TIME WARNER INC COM 00184A105 23347 1995450 SH SOLE 1995450 0 0 D AT & T CORP COM 001957109 4127 343620 SH SOLE 343620 0 0 D AFFYMETRIX INC CONV/CALL 4.75 NOTE 4.750% 2/1 00826TAD0 8482 10570000 SH SOLE 10570000 0 0 D AGNICO-EAGLE MINES LTD COM 008474108 2402 150000 SH SOLE 150000 0 0 D AIR PRODUCTS & CHEMICALS INC COM 009158106 294 7000 SH SOLE 7000 0 0 D ALCAN ALUMINUM LTD COM 013716105 802 32500 SH SOLE 32500 0 0 D ALCOA INC COM 013817101 241 12500 SH SOLE 12500 0 0 D ALLEGHANY CORP NEW COM 017175100 379 2000 SH SOLE 2000 0 0 D ALLEN ORGAN COMPANY CLASS B CL B 017753104 714 18750 SH SOLE 18750 0 0 D ALLIANT TECH SYSTEMS COM 018804104 769 11100 SH SOLE 11100 0 0 D AMERICAN EXPRESS CO COM 025816109 24900 798600 SH SOLE 798600 0 0 D AMERICAN INTERNATIONAL GROUP COM 026874107 6619 121000 SH SOLE 121000 0 0 D AMERICAN POWER CONVERSION CORP COM 029066107 813 85000 SH SOLE 85000 0 0 D AMERICAN WATER WORKS INC COM 030411102 4469 100071 SH SOLE 100071 0 0 D AMGEN INC COM 031162100 15700 376500 SH SOLE 376500 0 0 D AMPHENOL CORP CL A CL A 032095101 28325 913700 SH SOLE 913700 0 0 D ANNTAYLOR STORES CORP COM 036115103 4127 179200 SH SOLE 179200 0 0 D APTAR GROUP INC COM 038336103 815 30326 SH SOLE 30326 0 0 D ARCHER-DANIELS-MIDLAND CO COM 039483102 2802 223991 SH SOLE 223991 0 0 D B J SERVICES CO COM 055482103 276 10600 SH SOLE 10600 0 0 D BANDAG INCORPORATED, CLASS A CL A 059815308 405 15000 SH SOLE 15000 0 0 D BANK OF NEW YORK CO INC COM 064057102 230 8000 SH SOLE 8000 0 0
Page 1 D BANK ONE CORP COM 06423A103 12589 336600 SH SOLE 336600 0 0 D BECKMAN COULTER,INC. COM 075811109 3359 86800 SH SOLE 86800 0 0 D BED BATH & BEYOND INC (BBBY) COM 075896100 244 7500 SH SOLE 7500 0 0 D BEST BUY CO INC COM 086516101 2493 111750 SH SOLE 111750 0 0 D BIOTRANSPLANT INC COM 09066Y107 17 10000 SH SOLE 10000 0 0 D BLOCK, H&R INC COM 093671105 1029 24504 SH SOLE 24504 0 0 D BOEING CO COM 097023105 1000 29300 SH SOLE 29300 0 0 D BOWATER INC COM 102183100 353 10000 SH SOLE 10000 0 0 D BRISTOL MYERS SQUIBB CO COM 110122108 665 27924 SH SOLE 27924 0 0 D BURLINGTON NORTHERN SANTA FE COM 12189T104 859 35900 SH SOLE 35900 0 0 D CARDINAL HEALTH INC COM 14149Y108 28351 455800 SH SOLE 455800 0 0 D CARMAX CIRCUIT CITY STORES INC COM 143130102 18668 1163100 SH SOLE 1163100 0 0 D CENDANT (CD) COM 151313103 1322 122900 SH SOLE 122900 0 0 D CENTEX CORP COM 152312104 887 20000 SH SOLE 20000 0 0 D CHEESECAKE FACTORY INC COM 163072101 18372 615889 SH SOLE 615889 0 0 D CHEMED CORPORATION COM 163596109 781 25376 SH SOLE 25376 0 0 D CHITTENDEN CORP COM 170228100 3453 116647 SH SOLE 116647 0 0 D CITIGROUP COM 172967101 23927 806976 SH SOLE 806976 0 0 D CLEAR CHANNEL COMM INC COM 184502102 38520 1108500 SH SOLE 1108500 0 0 D CNH GLOBAL N V COM 126124999 34 10000 SH SOLE 10000 0 0 D COEUR D ALENE SDCV 7.250%10/3 192108AG3 1650 2000000 SH SOLE 2000000 0 0 D COLUMBUS MCKINNON CORP (CMCO) COM 199333105 868 165000 SH SOLE 165000 0 0 D COMCAST CORP CL A SPECIAL CL A SPL 200300200 11404 546700 SH SOLE 546700 0 0 D CONAGRA INC COM 205887102 1114 44844 SH SOLE 44844 0 0 D CONSOL ENERGY INC COM 20854P109 633 50000 SH SOLE 50000 0 0 D CONSTELLATION BRANDS INC CLASS CL A 21036P108 1575 68200 SH SOLE 68200 0 0 D CONTINENTAL AIRLINES INC CL B CL B 210795308 296 55000 SH SOLE 55000 0 0 D COORSTEK INC. COM 217020106 2348 156500 SH SOLE 156500 0 0 D COX COMMUNICATIONS INC CL A CO CL A 224044107 5722 232700 SH SOLE 232700 0 0 D CRESCENT REAL ESTATE EQUITIES COM 225756105 550 35000 SH SOLE 35000 0 0 D DECODE GENETICS INC COM 243586104 880 400000 SH SOLE 400000 0 0 D DEERE & COMPANY COM 244199105 1364 30000 SH SOLE 30000 0 0
Page 2 D DELPHI CORP (DPH) COM 247126105 2431 284300 SH SOLE 284300 0 0 D DELTIC TIMBER CORPORATION COM 247850100 699 31796 SH SOLE 31796 0 0 D DENTSPLY INTERNATIONAL INC. COM 249030107 803 20000 SH SOLE 20000 0 0 D DIACRIN INC COM 25243N103 528 517500 SH SOLE 517500 0 0 D DOLE FOOD COMPANY, INC. COM 256605106 958 33000 SH SOLE 33000 0 0 D DOLLAR TREE STORES COM 256747106 13630 618399 SH SOLE 618399 0 0 D DOW CHEMICAL COM 260543103 683 25000 SH SOLE 25000 0 0 D DU PONT DE NEMOURS & CO COM 263534109 361 10000 SH SOLE 10000 0 0 D EARTHLINK INC COM 270321102 1602 300000 SH SOLE 300000 0 0 D ECHOSTAR COMMUNICATIONS CORP CL A 278762109 1727 99800 SH SOLE 99800 0 0 D EL PASO ENERGY CORP COM 28336L109 351 42500 SH SOLE 42500 0 0 D ELECTRO RENT CORP (ELRC) COM 285218103 3895 402350 SH SOLE 402350 0 0 D ENCANA CORP COM 292505104 1957 65000 SH SOLE 65000 0 0 D ESPIRITO SANTO FINANCIAL GROUP SPONSORED ADR 29665F200 733 49200 SH SOLE 49200 0 0 D FEI CO COM 30241L109 244 16899 SH SOLE 16899 0 0 D FAIRMONT HOTELS & RESORTS COM 305204109 3330 139900 SH SOLE 139900 0 0 D FANNIE MAE COM 313586109 298 5000 SH SOLE 5000 0 0 D FLEET BOSTON FINANCIAL CORP COM 339030108 9781 481100 SH SOLE 481100 0 0 D FORD MOTOR CORP COM PAR $0.01 345370860 657 67000 SH SOLE 67000 0 0 D FORTUNE BRANDS INC (FO) COM 349631101 1419 30000 SH SOLE 30000 0 0 D FRANKLIN ELECTRIC COMPANY, INC COM 353514102 1795 41984 SH SOLE 41984 0 0 D FUJI PHOTO FILM CO., LTD. ADR ADR 359586302 1377 47000 SH SOLE 47000 0 0 D GATX CORP COM 361448103 931 47000 SH SOLE 47000 0 0 D GAMESTOP CORP CL A 36466R101 1714 83800 SH SOLE 83800 0 0 D GEMSTAR INTERNATIONAL LTD COM 36866W106 252 100000 SH SOLE 100000 0 0 D GENERAL DYNAMICS CORP COM 369550108 838 10300 SH SOLE 10300 0 0 D GENERAL MOTORS CORP CL H COM N CL H NEW 370442832 1373 150000 SH SOLE 150000 0 0 D GOLDMAN SACHS GROUP COM 38141G104 7508 113700 SH SOLE 113700 0 0 D GRANT PRIDECO INC COM 38821G101 11 1232 SH SOLE 1232 0 0 D GREIF BROS. CORPORATION CLASS CL A 397624107 1225 50000 SH SOLE 50000 0 0 D HARMONY GOLD MINING LTD SPON A SPONSORED ADR 413216300 7825 500000 SH SOLE 500000 0 0
Page 3 D HERCULES INC COM 427056106 553 60000 SH SOLE 60000 0 0 D HILTON HOTELS CORP COM 432848109 344 30200 SH SOLE 30200 0 0 D HISPANIC BROADCASTING CORP CL A 43357B104 901 48334 SH SOLE 48334 0 0 D HONEYWELL INTERNATIONAL INC COM 438516106 7302 337100 SH SOLE 337100 0 0 D ITT INDUSTRIES INC COM 450911102 15159 243200 SH SOLE 243200 0 0 D IDEXX LABORATORIES INC COM 45168D104 281 9080 SH SOLE 9080 0 0 D INDEPENDENCE HOLDING CO COM NEW 453440307 4791 239566 SH SOLE 239566 0 0 D INTEL CORP COM 458140100 489 35200 SH SOLE 35200 0 0 D INTERNATIONAL BUSINESS MACHINE COM 459200101 5179 88700 SH SOLE 88700 0 0 D INTERNATIONAL SPEEDWAY CORP CL CL A 460335201 224 5632 SH SOLE 5632 0 0 D IVAX CORP 4.5% DUE 05/15/2008 NOTE 4.500% 5/1 465823AG7 775 1000000 SH SOLE 1000000 0 0 D JP MORGAN CHASE & CO COM 46625H100 1755 92400 SH SOLE 92400 0 0 D JOHNSON & JOHNSON COM 478160104 2592 47936 SH SOLE 47936 0 0 D KB HOME COM 48666K109 1099 22500 SH SOLE 22500 0 0 D KIMBERLY CLARK CORP COM 494368103 1325 23400 SH SOLE 23400 0 0 D KING PHARMACEUTICALS INC COM 495582108 2191 120600 SH SOLE 120600 0 0 D KRAFT FOODS INC. CL A 50075N104 219 6000 SH SOLE 6000 0 0 D KROGER CO. COM 501044101 5499 390000 SH SOLE 390000 0 0 D L-3 COMMUNICATIONS COM 502424104 45844 869900 SH SOLE 869900 0 0 D LABORATORY CORPORATION OF AMER COM NEW 50540R409 510 15100 SH SOLE 15100 0 0 D LENNAR CORP COM 526057104 837 15000 SH SOLE 15000 0 0 D LIBERTY MEDIA CORP COM SER A 530718105 4863 677274 SH SOLE 677274 0 0 D LITHIA MOTORS INC CL A CL A 536797103 5481 322200 SH SOLE 322200 0 0 D LOCKHEED MARTIN CORP COM 539830109 1074 16600 SH SOLE 16600 0 0 D LOEWS CORP COM 540424108 686 16000 SH SOLE 16000 0 0 D LONGVIEW FIBRE COMPANY COM 543213102 869 125000 SH SOLE 125000 0 0 D LOWES COMPANIES COM 548661107 12006 290000 SH SOLE 290000 0 0 D LUXOTTICA GROUP SPA SPON ADR ( SPONSORED ADR 55068R202 1875 145550 SH SOLE 145550 0 0 D M & T BANK COM 55261F104 26986 342415 SH SOLE 342415 0 0 D MRV COMMUNICATIONS INC SUB NT NOTE 5.000% 6/1 553477AB6 902 975000 SH SOLE 975000 0 0 D MANPOWER INC. COM 56418H100 880 30000 SH SOLE 30000 0 0 D MARKEL CORP (MKL) COM 570535104 255 1280 SH SOLE 1280 0 0
Page 4 D MCDONALDS CORP COM 580135101 2358 133500 SH SOLE 133500 0 0 D MCGRAW HILL INC COM 580645109 1837 30000 SH SOLE 30000 0 0 D MEDFORD BANCORP INC COM 584131106 418 11972 SH SOLE 11972 0 0 D MEDTRONIC INC COM 585055106 421 10000 SH SOLE 10000 0 0 D MELLON FINANCIAL CORP COM 58551A108 526 20280 SH SOLE 20280 0 0 D MERCK & CO INC COM 589331107 2292 50150 SH SOLE 50150 0 0 D METLIFE INC COM 59156R108 373 16400 SH SOLE 16400 0 0 D MONSANTO CO COM 61166W101 392 25648 SH SOLE 25648 0 0 D MORGAN STANLEY, DEAN WITTER, A COM NEW 617446448 447 13200 SH SOLE 13200 0 0 D MURPHY OIL CORPORATION COM 626717102 1847 22507 SH SOLE 22507 0 0 D NEW GERMANY FUND INC (GF) COM 644465106 665 206519 SH SOLE 206519 0 0 D NEWMONT MINING CORPORATION COM 651639106 2338 85000 SH SOLE 85000 0 0 D NORTHERN TRUST CO COM 665859104 362 9600 SH SOLE 9600 0 0 D NORTHROP GRUMMAN CORP COM 666807102 48165 388300 SH SOLE 388300 0 0 D NOVARTIS AG SPONSORED ADR SPONSORED ADR 66987V109 636 16000 SH SOLE 16000 0 0 D NOVELL INC COM 670006105 95 45000 SH SOLE 45000 0 0 D OMI CORP NEW COM 670874999 7 2250 SH SOLE 2250 0 0 D PARTY CITY CORP COM 702145103 5919 430450 SH SOLE 430450 0 0 D PAYPAL INC. COM 704508100 1130 54032 SH SOLE 54032 0 0 D PENNZOIL-QUAKER STATE COMPANY COM 709323109 3260 148393 SH SOLE 148393 0 0 D PEPSIAMERICAS COM 71343P200 1136 80000 SH SOLE 80000 0 0 D PEPSI-GEMEX S A DE CV SPON AD GDR REP ORD 713435105 290 29160 SH SOLE 29160 0 0 D PEPSICO INC COM 713448108 2217 60000 SH SOLE 60000 0 0 D PFIZER INC COM 717081103 1766 60850 SH SOLE 60850 0 0 D PHARMACIA CORPORATION COM 71713U102 3867 99470 SH SOLE 99470 0 0 D PHILIP MORRIS COM 718154107 3550 91500 SH SOLE 91500 0 0 D PLAYTEX PRODUCTS INC. COM 72813P100 340 40000 SH SOLE 40000 0 0 D PRAECIS PHARMACEUTICALS INC COM 739421105 718 240000 SH SOLE 240000 0 0 D PRAXAIR INC COM 74005P104 3742 73205 SH SOLE 73205 0 0 D PROLOGIS TRUST SH BEN INT 743410102 2616 105000 SH SOLE 105000 0 0 D PULTE CORP COM 745867101 341 8000 SH SOLE 8000 0 0
Page 5 D PURE RESOURCES INC COM 74622E102 986 44000 SH SOLE 44000 0 0 D QUALCOMM INC COM 747525103 396 14320 SH SOLE 14320 0 0 D QUINENCO S.A. ADR SPONSORED ADR 748718103 808 200000 SH SOLE 200000 0 0 D RAYONIER INC. COM 754907103 7753 185000 SH SOLE 185000 0 0 D RAYTHEON COMPANY COM NEW 755111507 812 27700 SH SOLE 27700 0 0 D ROCKWELL COLLINS INC COM 774341101 627 28600 SH SOLE 28600 0 0 D RYDER SYSTEM INC COM 783549108 873 35000 SH SOLE 35000 0 0 D S & P 500 DEPOSITARY RECEIPTS UNIT SER 1 78462F103 8383 102500 SH SOLE 102500 0 0 D SPX CORPORATION COM 784635104 615 6100 SH SOLE 6100 0 0 D SAN JUAN BASIN ROYALTY TRUST UNIT BEN INT 798241105 1199 102500 SH SOLE 102500 0 0 D SCHERING-PLOUGH CORP COM 806605101 834 39100 SH SOLE 39100 0 0 D SCHLUMBERGER LTD COM 806857108 231 6000 SH SOLE 6000 0 0 D SEALED AIR CORP $2 PFD SER A D PFD CV A $2 81211K209 440 20000 SH SOLE 20000 0 0 D SENECA FOODS CORPORATION A CL A 817070501 768 55000 SH SOLE 55000 0 0 D SNAP ON TOOLS CORP COM 833034101 345 15000 SH SOLE 15000 0 0 D SONY CORP (SNE) ADR NEW 835699307 1241 30200 SH SOLE 30200 0 0 D SOUTHERN PACIFIC NL ADR COM 843581406 26 2664 SH SOLE 2664 0 0 D SOUTHRUST CORP. COM 844730101 291 12000 SH SOLE 12000 0 0 D STARWOOD HOTELS & RESORTS WORL PAIRED CTF 85590A203 343 15400 SH SOLE 15400 0 0 D SWISS HELVETIA FUND (THE) (SWZ COM 870875101 713 76478 SH SOLE 76478 0 0 D SYNCOR INTERNATIONAL CORP NEW COM 87157J106 1086 33808 SH SOLE 33808 0 0 D TRW, INC. COM 872649108 5619 95969 SH SOLE 95969 0 0 D TECHNOLOGY RESOURCE INDS BHD COM 878720994 27 50000 SH SOLE 50000 0 0 D TEKTRONIX INC. (TEK) COM 879131100 904 55000 SH SOLE 55000 0 0 D 3 DIMENSIONAL PHARMACEUTICALS COM 88554W104 601 202200 SH SOLE 202200 0 0 D TIFFANY & CO COM 886547108 750 35000 SH SOLE 35000 0 0 D TOLL BROTHERS INC COM 889478103 348 16000 SH SOLE 16000 0 0 D TYCO INTL LTD NEW COM 902124106 8178 579984 SH SOLE 579984 0 0 D UIL HOLDINGS CORPORATION COM 902748102 518 14600 SH SOLE 14600 0 0 D U.S. BANCORP NEW (USB) COM NEW 902973304 2020 108695 SH SOLE 108695 0 0 D UNIFIRST CORPORATION COM 904708104 834 35000 SH SOLE 35000 0 0 D UNITED DEFENSE IND INC COM 91018B104 13308 563900 SH SOLE 563900 0 0
Page 6 D UNITED TECHNOLOGIES CORP COM 913017109 6903 122200 SH SOLE 122200 0 0 D UNITEDGLOBALCOM INC CL A (UCOM CL A 913247508 11918 7266900 SH SOLE 7266900 0 0 D UNOCAL CORP COM 915289102 439 14000 SH SOLE 14000 0 0 D UNUMPROVIDENT CORP COM 91529Y106 967 47500 SH SOLE 47500 0 0 D VALERO ENERGY CORP COM 91913Y100 328 12400 SH SOLE 12400 0 0 D VIASTAT INC. (VSAT) COM 92552V100 2321 368400 SH SOLE 368400 0 0 D VIACOM INC CL B CL B 925524308 37845 933300 SH SOLE 933300 0 0 D WACHOVIA CORP NEW COM 929903102 1205 36857 SH SOLE 36857 0 0 D WALMART STORES INC COM 931142103 985 20000 SH SOLE 20000 0 0 D WELLS FARGO & CO COM 949746101 16167 335700 SH SOLE 335700 0 0 D WELLMAN INC COM 949702104 137 10000 SH SOLE 10000 0 0 D YORK INTERNATIONAL CORP COM 986670107 282 10000 SH SOLE 10000 0 0 S REPORT SUMMARY 198 DATA RECORDS 780633 51024372 0 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED
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