-----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, Egu6btXtEneKYQTSZyJLkEsX9X0261xHxlISZyuawWiJlh2DjA0BIJYkZZJBOvH1 ZL/4YFt+KdTKG9uzvLJjxg== 0001021408-01-509595.txt : 20020410 0001021408-01-509595.hdr.sgml : 20020410 ACCESSION NUMBER: 0001021408-01-509595 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010930 FILED AS OF DATE: 20011108 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ARNHOLD & S BLEICHROEDER INC CENTRAL INDEX KEY: 0000732816 STANDARD INDUSTRIAL CLASSIFICATION: [] 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: 1778371 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 13F-HR /------------------------------/ / OMB APPROVAL / / OMB 3235-0006 / /------------------------------/ /------------------------------/ / SEC USE ONLY / /------------------------------/ / / / / /------------------------------/ INFORMATION REQUIRED OF INSTITUTIONAL INVESTMENT MANAGERS PURSUANT TO SECTION 13(f) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULES THEREUNDER Securities and Exchange Commission Washington, D.C. 20549 Form 13F Report for the Calendar Quarter, Ended: SEPTEMBER 30th 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 Ave 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 7th day of November, 2001. ----- --------- ---- 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 numbers 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: 112,219,193 Form 13 F Information Table Value Total: $ 2,311,041
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 APW LTD COM COM G04397108 2362 565000 SH SOLE 565000 0 0 D IPC HOLDINGS LTD ORD G4933P101 2280 100000 SH SOLE 100000 0 0 D BANCO LATINOAMERICANO DE EXPOR CL E P16994132 5955 205000 SH SOLE 205000 0 0 D AOL TIME WARNER INC COM 00184A105 4281 129350 SH SOLE 129350 0 0 D AT & T CORP COM 001957109 2633 136442 SH SOLE 136442 0 0 D AFFYMETRIX INC CONV/CALL 4.75 SB NT CV 4.75%07 00826TAD0 6295 10320000 SH SOLE 10320000 0 0 D AGNICO EAGLE MINES LIMITED SRNT CONV 3.5%04 008474AA6 4128 4800000 SH SOLE 4800000 0 0 D AIR PRODUCTS & CHEMICALS INC COM 009158106 26740 693100 SH SOLE 693100 0 0 D ALCAN ALUMINUM LTD COM 013716105 421 14030 SH SOLE 14030 0 0 D ALCOA INC COM 013817101 388 12500 SH SOLE 12500 0 0 D ALICO, INC. COM 016230104 1179 46500 SH SOLE 46500 0 0 D ALLEGHANY CORP NEW COM 017175100 583 2928 SH SOLE 2928 0 0 D ALLEN ORGAN COMPANY CLASS B CL B 017753104 6301 203250 SH SOLE 203250 0 0 D ALLIANT TECH SYSTEMS COM 018804104 6163 72000 SH SOLE 72000 0 0 D ALLOY ONLINE INC COM 019855105 3231 261800 SH SOLE 261800 0 0 D AMERICAN EXPRESS CO COM 025816109 6579 226400 SH SOLE 226400 0 0 D AMERICAN INTERNATIONAL GROUP COM 026874107 64825 831085 SH SOLE 831085 0 0 D AMERICAN POWER CONVERSION CORP COM 029066107 12147 1040000 SH SOLE 1040000 0 0 D AMERICAN STANDARD (ASD) COM 029712106 10874 197700 SH SOLE 197700 0 0 D AMERICAN WATER WORKS INC COM 030411102 3200 81000 SH SOLE 81000 0 0 D AMERISOURCEBERGEN CORP COM 03073E105 1181 16650 SH SOLE 16650 0 0 D AMPHENOL CORP CL A CL A 032095101 19891 572400 SH SOLE 572400 0 0 D ANDERSON EXPLORATIONS LTD COM 033901109 17010 675000 SH SOLE 675000 0 0 D ANGLOGOLD LIMITED ADR SPONSORED ADR 035128206 294 18424 SH SOLE 18424 0 0 D AON CORP COM 037389103 11122 264800 SH SOLE 264800 0 0 D APTAR GROUP INC COM 038336103 2393 75265 SH SOLE 75265 0 0 D ARBITRON INC COM 03875Q108 1698 64890 SH SOLE 64890 0 0 D ARCHER-DANIELS-MIDLAND CO COM 039483102 2820 223991 SH SOLE 223991 0 0 D BALL CORP. (BLL) COM 058498106 5265 87900 SH SOLE 87900 0 0 D BANCWEST CORPORATION COM 059790105 23262 665964 SH SOLE 665964 0 0 D BANDAG INCORPORATED, CLASS A CL A 059815308 4364 187300 SH SOLE 187300 0 0 D BANK OF NEW YORK CO INC COM 064057102 280 8000 SH SOLE 8000 0 0 D BANK ONE CORP COM 06423A103 425 13500 SH SOLE 13500 0 0 D BARD (C.R.)INC COM 067383109 16197 315050 SH SOLE 315050 0 0 D BAXTER INTERNATIONAL INC COM 071813109 56878 1033200 SH SOLE 1033200 0 0 D BECKMAN COULTER,INC. COM 075811109 44772 1011800 SH SOLE 1011800 0 0 D BECTON DICKINSON & CO. COM 075887109 13679 369700 SH SOLE 369700 0 0 D BED BATH & BEYOND INC (BBBY) COM 075896100 451 17700 SH SOLE 17700 0 0 D BERKSHIRE HATHAWAY INC CL A CL A 084670108 6650 95 SH SOLE 95 0 0 D BIOGEN INC COM 090597105 17652 317600 SH SOLE 317600 0 0 D BIOTRANSPLANT INC COM 09066Y107 55 10000 SH SOLE 10000 0 0 D BLOCK, H&R INC COM 093671105 1215 31504 SH SOLE 31504 0 0 D BOWATER INC COM 102183100 1932 43900 SH SOLE 43900 0 0 D BRISTOL MYERS SQUIBB CO COM 110122108 1507 27124 SH SOLE 27124 0 0 D BURLINGTON NORTHERN SANTA FE COM 12189T104 17947 670900 SH SOLE 670900 0 0 D BURLINGTON RESOURCES INC COM 122014103 2908 85000 SH SOLE 85000 0 0 D CCC INFORMATION SVCS GROUP INC COM 12487Q109 5298 724750 SH SOLE 724750 0 0 D CIGNA CORP COM 125509109 8121 97900 SH SOLE 97900 0 0 D C-MAC INDUSTRIES INC COM 125920108 6281 315000 SH SOLE 315000 0 0 D CADENCE DESIGN SYSTEMS INC COM COM 127387108 5523 331700 SH SOLE 331700 0 0 D CANADIAN PACIFIC RAILWAY LTD COM 13645T100 24870 775000 SH SOLE 775000 0 0 D CATELLUS DEVELOPMENT CORPORATI COM 149111106 2622 150000 SH SOLE 150000 0 0 D CELGENE CORP COM 151020104 5534 209400 SH SOLE 209400 0 0 D CENTEX CORP COM 152312104 675 20000 SH SOLE 20000 0 0 D CEPHALON INC COM 156708109 8390 168200 SH SOLE 168200 0 0 D CERIDIAN CORP (CEN) COM 156779100 5444 375450 SH SOLE 375450 0 0 D CERTEGY INC COM 156880106 4300 165650 SH SOLE 165650 0 0 D CHARTER ONE FINANCE INC COM 160903100 803 28441 SH SOLE 28441 0 0 D CHEESECAKE FACTORY INC COM 163072101 14438 602860 SH SOLE 602860 0 0 D CHEMED CORPORATION COM 163596109 8352 290000 SH SOLE 290000 0 0 D CHITTENDEN CORP COM 170228100 3090 121648 SH SOLE 121648 0 0 D CHUBB CORP COM 171232101 16067 225000 SH SOLE 225000 0 0 D CARMAX CIRCUT CITY STORES INC CARMAX GROUP 172737306 615 54700 SH SOLE 54700 0 0 D CLEAR CHANNEL COMM INC COM 184502102 576 14500 SH SOLE 14500 0 0 D CLOROX CO COM 189054109 6701 181100 SH SOLE 181100 0 0 D CNA SURETY CORP COM 12612L108 23 1700 SH SOLE 1700 0 0 D COCA COLA ENTERPRISES INC (CCE COM 191219104 1442 94000 SH SOLE 94000 0 0 D COEUR D ALENE MINES CORPORATIO SD CONV 6.375%04 192108AE8 2273 6000000 SH SOLE 6000000 0 0 D COEUR D ALENE SB DB CV 7.25%05 192108AG3 740 2000000 SH SOLE 2000000 0 0 D COMPAQ COMPUTER CORP COM 204493100 17950 2160000 SH SOLE 2160000 0 0 D CONAGRA INC COM 205887102 1007 44844 SH SOLE 44844 0 0 D CONSOL ENERGY INC COM 20854P109 6536 305000 SH SOLE 305000 0 0 D CONTINENTAL AIRLINES INC CL B CL B 210795308 450 30000 SH SOLE 30000 0 0 D COOPER INDUSTRIES INC COM 216669101 1866 45000 SH SOLE 45000 0 0 D ADOLPH COORS COMPANY CLASS B CL B 217016104 3150 70000 SH SOLE 70000 0 0 D COORSTEK INC. COM 217020106 3554 142200 SH SOLE 142200 0 0 D COSTCO WHOLESALE CORP COM 22160K105 8854 249000 SH SOLE 249000 0 0 D CRESCENT REAL ESTATE EQUITIES COM 225756105 12119 565000 SH SOLE 565000 0 0 D A.T. CROSS COMPANY CLASS A CL A 227478104 1590 300000 SH SOLE 300000 0 0 D DANAHER CORP COM 235851102 1062 22500 SH SOLE 22500 0 0 D DEAN FOODS CO COM 242361103 7805 168750 SH SOLE 168750 0 0 D DEERE & COMPANY COM 244199105 6206 165000 SH SOLE 165000 0 0 D DE RIGO SPA SPON ADR (DER) SPONSORED ADR 245334107 378 54000 SH SOLE 54000 0 0 D DELL COMPUTER COM 247025109 1690 91200 SH SOLE 91200 0 0 D DELPHI AUTOMOTIVE SYS CORP (DP COM 247126105 3470 295300 SH SOLE 295300 0 0 D DELTIC TIMBER CORPORATION COM 247850100 6840 270342 SH SOLE 270342 0 0 D DENTSPLY INTERNATIONAL INC. COM 249030107 6891 150000 SH SOLE 150000 0 0 D DIACRIN INC COM 25243N103 792 517500 SH SOLE 517500 0 0 D DILLARDS INC. CLASS A CL A 254067101 3358 255000 SH SOLE 255000 0 0 D DIME BANCORP INC COM 25429Q102 24064 612000 SH SOLE 612000 0 0 D DOLE FOOD COMPANY, INC. COM 256605106 7040 328950 SH SOLE 328950 0 0 D DOLLAR TREE STORES COM 256747106 19787 1047499 SH SOLE 1047499 0 0 D DOW CHEMICAL COM 260543103 819 25000 SH SOLE 25000 0 0 D DU PONT DE NEMOURS & CO COM 263534109 300 8000 SH SOLE 8000 0 0 D DUN & BRADSTREET (DNB) COM 26483E100 6943 247950 SH SOLE 247950 0 0 D EARTHLINK INC COM 270321102 7996 525000 SH SOLE 525000 0 0 D EASTMAN KODAK CO COM 277461109 211 6500 SH SOLE 6500 0 0 D ELECTRO RENT CORP (ELRC) COM 285218103 4998 396350 SH SOLE 396350 0 0 D ENERGIZER HOLDINGS INC COM 29266R108 10886 655000 SH SOLE 655000 0 0 D ENRON CORP (ENE) COM 293561106 463 17000 SH SOLE 17000 0 0 D EQUIFAX INC (EFX) COM 294429105 8153 372300 SH SOLE 372300 0 0 D ESPIRITO SANTO FINANCIAL GROUP SPONSORED ADR 29665F200 17093 1065000 SH SOLE 1065000 0 0 D ETHYL CORP COM 297659104 3341 3840600 SH SOLE 3840600 0 0 D EXXON MOBIL CORP COM 30231G102 223 5656 SH SOLE 5656 0 0 D FAMILY DOLLAR STORES INC COM 307000109 3792 137800 SH SOLE 137800 0 0 D FEDERAL HOME LOAN MORTGAGE COM 313400301 12116 186400 SH SOLE 186400 0 0 D FANNIE MAE COM 313586109 801 10000 SH SOLE 10000 0 0 D FEDEX CORPORATION COM 31428X106 3557 96800 SH SOLE 96800 0 0 D FIDELITY NATIONAL FINANCIAL IN COM 316326107 343 12738 SH SOLE 12738 0 0
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 FORD MOTOR CORP COM PAR $0.01 345370860 1267 73000 SH SOLE 73000 0 0 D FRANKLIN ELECTRIC COMPANY, INC COM 353514102 9180 127500 SH SOLE 127500 0 0 D FRANKLIN RESOURCES INC COM 354613101 3720 107300 SH SOLE 107300 0 0 D FREEPORT MCMORAN COPPER & GOLD CL B 35671D857 1099 100000 SH SOLE 100000 0 0 D FUJI PHOTO FILM CO., LTD. ADR ADR 359586302 1530 47000 SH SOLE 47000 0 0 D FURNITURE BRANDS INTERNATIONAL COM 360921100 4539 233000 SH SOLE 233000 0 0 D GATX CORP COM 361448103 1581 47000 SH SOLE 47000 0 0 D GPU INC COM 36225X100 39956 990000 SH SOLE 990000 0 0 D GALILEO INTERNATIONAL INC. (GL COM 363547100 7825 376920 SH SOLE 376920 0 0 D GENERAL DYNAMICS CORP COM 369550108 79744 902900 SH SOLE 902900 0 0 D GENERAL MOTORS CORP CL H COM N CL H NEW 370442832 8065 605000 SH SOLE 605000 0 0 D GILLETTE CO. COM 375766102 149 5000 SH CALL SOLE 5000 0 0 D GLOBAL MARINE INC COM 379352404 630 45000 SH SOLE 45000 0 0 D GREENPOINT FINANCIAL CORP. (GP COM 395384100 1486 42333 SH SOLE 42333 0 0 D GREIF BROS. CORPORATION CLASS CL A 397624107 16502 720000 SH SOLE 720000 0 0 D HANCOCK FABRICS, INC. COM 409900107 3403 415000 SH SOLE 415000 0 0 D HANDLEMAN CO DEL COM COM 410252100 4068 290600 SH SOLE 290600 0 0 D HANOVER COMPRESSOR CO COM 410768105 487 22500 SH SOLE 22500 0 0 D HARRIS CORP. (HRS) COM 413875105 6727 211400 SH SOLE 211400 0 0 D HARTFORD FINANCIAL SERVICES GR COM 416515104 7495 127600 SH SOLE 127600 0 0 D HELLER FINANCIAL INC CL A 423328103 10923 207000 SH SOLE 207000 0 0 D HERCULES INC COM 427056106 495 60000 SH SOLE 60000 0 0 D HIBBETT SPORTING GOODS COM 428565105 1126 48000 SH SOLE 48000 0 0 D HILTON HOTELS CORP COM 432848109 314 40000 SH SOLE 40000 0 0 D HITACHI, LTD. ADR ADR 10 COM 433578507 469 7000 SH SOLE 7000 0 0 D HOMESTAKE MINING COMPANY COM 437614100 651 70000 SH SOLE 70000 0 0 D HONEYWELL INTERNATIONAL INC COM 438516106 11612 439830 SH SOLE 439830 0 0 D ICN PHARMACEUTICALS COM 448924100 4859 184400 SH SOLE 184400 0 0 D IDACORP COM 451107106 6258 175000 SH SOLE 175000 0 0 D IDEX CORP COM 45167R104 4424 160000 SH SOLE 160000 0 0 D Ikon Office Solutions inc COM 451713101 618 80084 SH SOLE 80084 0 0 D ILLUMINET HOLDINGS INC COM 452334105 517 13500 SH SOLE 13500 0 0 D INDEPENDENCE HOLDING CO COM NEW 453440307 3512 234116 SH SOLE 234116 0 0 D INTEL CORP COM 458140100 718 35200 SH SOLE 35200 0 0 D INTERNATIONAL BUSINESS MACHINE COM 459200101 27939 302700 SH SOLE 302700 0 0 D INTERNATIONAL GAME TECHNOLOGY COM 459902102 6120 144000 SH SOLE 144000 0 0 D INTERNATIONAL PAPER CO COM 460146103 12476 358500 SH SOLE 358500 0 0 D InterTAN, Inc. COM 461120107 507 65000 SH SOLE 65000 0 0 D INTERWOVEN INC COM 46114T102 270 69868 SH SOLE 69868 0 0 D JP MORGAN CHASE & CO COM 46625H100 3668 107400 SH SOLE 107400 0 0 D JOHNSON & JOHNSON COM 478160104 3099 55936 SH SOLE 55936 0 0 D KADANT INC COM 48282T104 484 37515 SH SOLE 37515 0 0 D KAISER VENTURES INC. COM 483100103 4453 365000 SH SOLE 365000 0 0 D KANEB SERVICES LLC COM 484173109 5359 330000 SH SOLE 330000 0 0 D KB HOME COM 48666K109 639 22500 SH SOLE 22500 0 0 D KIMBERLY CLARK CORP COM 494368103 1451 23400 SH SOLE 23400 0 0 D KNIGHT RIDDER INC COM 499040103 1117 20000 SH SOLE 20000 0 0 D KRAFT FOODS INC. CL A 50075N104 6262 182200 SH SOLE 182200 0 0 D KROGER CO. COM 501044101 12074 490000 SH SOLE 490000 0 0 D L-3 COMMUNICATIONS COM 502424104 11508 131600 SH SOLE 131600 0 0 D LEHMAN BROTHERS INC COM 524908100 227 4000 SH SOLE 4000 0 0 D LIBERTY DIGITAL INC CL A 530436104 1387 346000 SH SOLE 346000 0 0 D LIBERTY MEDIA CORP COM SER A 530718105 3266 257200 SH SOLE 257200 0 0 D LINCOLN NATIONAL CORP COM 534187109 10044 215400 SH SOLE 215400 0 0 D LOCKHEED MARTIN CORP COM 539830109 656 15000 SH SOLE 15000 0 0 D LOEWS CORP COM 540424108 740 16000 SH SOLE 16000 0 0 D LONGVIEW FIBRE COMPANY COM 543213102 501 50000 SH SOLE 50000 0 0 D LOUIS DREYFUS NATURAL GAS CORP COM 546011107 7002 180000 SH SOLE 180000 0 0 D LOWES COMPANIES COM 548661107 51887 1639400 SH SOLE 1639400 0 0 D LUCENT TECHNOLOGIES INC COM 549463107 614 107092 SH SOLE 107092 0 0 D M & T BANK COM 55261F104 38678 522679 SH SOLE 522679 0 0 D MGIC INVESTMENT CORP. COM 552848103 16655 254900 SH SOLE 254900 0 0 D MRV COMMUNICATIONS INC SUB NT SUB NT CONV 5%03 553477AB6 1219 1875000 SH SOLE 1875000 0 0 D MAIN STREET BANCORP INC COM 559906102 1670 130500 SH SOLE 130500 0 0 D MANDALAY RESORT GROUP (MBG) COM 562567107 6742 415400 SH SOLE 415400 0 0 D MANPOWER INC. COM 56418H100 40548 1540000 SH SOLE 1540000 0 0 D MATTEL INC COM 577081102 3196 204100 SH SOLE 204100 0 0 D THE MAY STORES COMPANY COM 577778103 5369 185000 SH SOLE 185000 0 0 D MCDONALDS CORP COM 580135101 20491 755000 SH SOLE 755000 0 0 D MCGRAW HILL INC COM 580645109 1746 30000 SH SOLE 30000 0 0 D MEDIMMUNE INC COM 584699102 25846 725400 SH SOLE 725400 0 0 D MELLON FINANCIAL CORP COM 58551A108 3209 99260 SH SOLE 99260 0 0 D MERCK & CO INC COM 589331107 3509 52686 SH SOLE 52686 0 0 D MERISTAR HOSPITALITY CORP COM 58984Y103 3224 305550 SH SOLE 305550 0 0 D METLIFE INC COM 59156R108 903 30400 SH SOLE 30400 0 0 D METRIS COMPAINIES INC COM 591598107 4200 169700 SH SOLE 169700 0 0 D MILLIPORE CORP COM 601073109 8984 169700 SH SOLE 169700 0 0 D MITCHELL ENERGY & DEVELOPMENT CL A 606592202 19622 391500 SH SOLE 391500 0 0 D MONSANTO CO COM 61166W101 14443 428200 SH SOLE 428200 0 0 D THE MONTANA POWER COMPANY COM 612085100 795 151368 SH SOLE 151368 0 0 D MOORE CORP LTD COM 615785102 3390 438000 SH SOLE 438000 0 0 D MORGAN STANLEY, DEAN WITTER, A COM NEW 617446448 612 13200 SH SOLE 13200 0 0 D MUELLER INDUS. COM 624756102 373 13000 SH SOLE 13000 0 0 D MURPHY OIL CORPORATION COM 626717102 9733 134507 SH SOLE 134507 0 0 D MUTUAL RISK MANAGEMENT LTD COM 628351108 436 57332 SH SOLE 57332 0 0 D NETWORK ASSOCIATES INC CONV SB DB CV ZERO 18 640938AB2 880 2000000 SH SOLE 2000000 0 0 D NEW GERMANY FUND INC (GF) COM 644465106 1265 237692 SH SOLE 237692 0 0 D NEWS CORP LTD ADR 652487703 48 2000 SH SOLE 2000 0 0 D NEWS CORP LTD SPON ADR PFD 652487802 21 1000 SH SOLE 1000 0 0 D NEWMONT MINING CORPORATION COM 651639106 9440 400000 SH SOLE 400000 0 0 D NEWPORT NEWS SHIPBUILDING INC COM 652228107 25462 378900 SH SOLE 378900 0 0 D NIAGARA MOHAWK HOLDINGS INC COM 653520106 7895 465230 SH SOLE 465230 0 0 D NORTH FORK BANCORPORATION INC COM 659424105 262 8800 SH SOLE 8800 0 0 D NORTHERN TRUST CO COM 665859104 504 9600 SH SOLE 9600 0 0 D NOVA CHEMICALS CORP COM 66977W109 204 12500 SH SOLE 12500 0 0 D NOVARTIS AG SPONSORED ADR SPONSORED ADR 66987V109 623 16000 SH SOLE 16000 0 0 D NOVELL INC COM 670006105 165 45000 SH SOLE 45000 0 0 D ORION POWER HOLDINGS INC COM 686286105 9754 382500 SH SOLE 382500 0 0 D PACKAGING CORP OF AMERICA COM 695156109 8678 561700 SH SOLE 561700 0 0 D PACKARD BIOSCIENCE COMPANY COM 695172205 1089 137700 SH SOLE 137700 0 0 D PAPA JOHNS INTL INC COM 698813102 4907 188362 SH SOLE 188362 0 0 D PARK PLACE ENTERTAINMENT CORP COM 700690100 3205 437300 SH SOLE 437300 0 0 D PARTY CITY CORP COM 702145103 339 53000 SH SOLE 53000 0 0 D PENTON MEDIA COM 709668107 236 66596 SH SOLE 66596 0 0 D PETSMART INC COM 716768106 291 41400 SH SOLE 41400 0 0 D PFIZER INC COM 717081103 12465 310850 SH SOLE 310850 0 0 D PHARMACIA CORPORATION COM 71713U102 418 10310 SH SOLE 10310 0 0 D PHILIP MORRIS COM 718154107 13835 286500 SH SOLE 286500 0 0 D PHILLIPS PETROLEUM CO COM 718507106 9386 174001 SH SOLE 174001 0 0 D PLACER DOME INC. COM 725906101 767 60000 SH SOLE 60000 0 0 D PLAYTEX PRODUCTS INC COM 72813P100 102 10000 SH SOLE 10000 0 0 D PRAECIS PHARMACEUTICALS INC COM 739421105 1044 280000 SH SOLE 280000 0 0 D PRAXAIR INC COM 74005P104 43510 1035955 SH SOLE 1035955 0 0
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 PRICE COMMUNICATION CORP COM NEW 741437305 915 54000 SH SOLE 54000 0 0 D PULTE CORP COM 745867101 245 8000 SH SOLE 8000 0 0 D QUINENCO S.A. ADR SPONSORED ADR 748718103 4800 800000 SH SOLE 800000 0 0 D RCN CORPORATION COM 749361101 570 178065 SH SOLE 178065 0 0 D RADIAN GROUP INC. COM 750236101 43155 1120900 SH SOLE 1120900 0 0 D RALSTON PURINA GROUP COM 751277302 12841 391500 SH SOLE 391500 0 0 D RAYONIER INC. COM 754907103 88386 2184000 SH SOLE 2184000 0 0 D READERS DIGEST ASSN INC CL A CL A NON VTG 755267101 3573 194300 SH SOLE 194300 0 0 D RITE AID CORP COM 767754104 4055 525200 SH SOLE 525200 0 0 D ROCKWELL COLLINS INC COM 774341101 3080 216900 SH SOLE 216900 0 0 D ROYAL GOLD, INC. COM 780287108 549 95000 SH SOLE 95000 0 0 D RYDER SYSTEM INC COM 783549108 700 35000 SH SOLE 35000 0 0 D RYLAND GROUP INC COM 783764103 715 15000 SH SOLE 15000 0 0 D SCI SYSTEMS INC. COM 783890106 3969 220500 SH SOLE 220500 0 0 D SPX CORPORATION COM 784635104 48438 584300 SH SOLE 584300 0 0 D SAN JUAN BASIN ROYALTY TRUST UNIT BEN INT 798241105 9649 935000 SH SOLE 935000 0 0 D SCHERING-PLOUGH CORP COM 806605101 987 26600 SH SOLE 26600 0 0 D SCHLUMBERGER LTD COM 806857108 320 7000 SH SOLE 7000 0 0 D SEALED AIR CORPORATION COM 81211K100 18161 497700 SH SOLE 497700 0 0 D SEALED AIR CORP $2 PFD SER A D PFD CV A $2 81211K209 15010 380000 SH SOLE 380000 0 0 D SECURITY CAPITAL GROUP INCORPO CL B 81413P204 22082 1180250 SH SOLE 1180250 0 0 D SELECTICA INC COM 816288104 2821 1175307 SH SOLE 1175307 0 0 D SENECA FOODS CORPORATION A CL A 817070501 1392 115000 SH SOLE 115000 0 0 D SENSORMATIC ELECTRONICS (SRM) COM 817265101 24747 1049500 SH SOLE 1049500 0 0 D SHERWIN WILLIAMS CO COM 824348106 12554 565000 SH SOLE 565000 0 0 D SMITH CHARLES E RESIDENTIAL RE COM 832197107 10016 194490 SH SOLE 194490 0 0 D SNAP ON TOOLS CORP COM 833034101 335 15000 SH SOLE 15000 0 0 D SOLUTIA INC COM 834376105 4609 371654 SH SOLE 371654 0 0 D SONY CORP SPON ADR ADR 835699307 13 400 SH SOLE 400 0 0 D SOUTHRUST CORP. COM 844730101 306 12000 SH SOLE 12000 0 0 D SPECTRA-PHYSICS LASERS INC COM 847568102 1534 86400 SH SOLE 86400 0 0 D SPRINT CORP COM FON GROUP 852061100 581 24200 SH SOLE 24200 0 0 D SPRINT PCS GROUP PCS COM SER 1 852061506 384 14600 SH SOLE 14600 0 0 D STANCORP FINANCIAL GROUP COM 852891100 2178 45000 SH SOLE 45000 0 0 D STORAGE TECHNOLOGY CORP (STK) COM PAR $0.10 862111200 7196 573400 SH SOLE 573400 0 0 D SWISS HELVETIA FUND (THE) (SWZ COM 870875101 803 76478 SH SOLE 76478 0 0 D SYBASE INC COM 871130100 1342 144325 SH SOLE 144325 0 0 D TJX COMPANIES INC COM 872540109 7544 229300 SH SOLE 229300 0 0 D TRW, INC. COM 872649108 969 32500 SH SOLE 32500 0 0 D TVX GOLD INC NEW COM NEW 87308K200 387 790600 SH SOLE 790600 0 0 D TEKTRONIX INC. (TEK) COM 879131100 7066 404000 SH SOLE 404000 0 0 D TELEPHONE & DATA SYSTEMS INC COM 879433100 2235 23700 SH SOLE 23700 0 0 D TENET HEALTHCARE CORP COM 88033G100 8763 146900 SH SOLE 146900 0 0 D TEXACO INC COM 881694103 29433 452810 SH SOLE 452810 0 0 D THERMO ELECTRON CORP COM 883556102 23835 1320500 SH SOLE 1320500 0 0 D 3 DIMENSIONAL PHARMACEUTICALS COM 88554W104 1219 178000 SH SOLE 178000 0 0 D TIFFANY & CO COM 886547108 2165 100000 SH SOLE 100000 0 0 D TOLL BROTHERS INC COM 889478103 237 8000 SH SOLE 8000 0 0 D TRICON GLOBAL RESTAURANT INC COM 895953107 7789 198600 SH SOLE 198600 0 0 D TRIQUINT SEMICONDUCTOR SUB NT CV 4%07 89674KAB9 1535 2000000 SH SOLE 2000000 0 0 D TYCO INTERNATIONAL LTD COM 902124106 129149 2838449 SH SOLE 2838449 0 0 D UCAR INTERNATIONAL INC COM 90262K109 1161 130500 SH SOLE 130500 0 0 D UIL HOLDINGS CORPORATION COM 902748102 696 14600 SH SOLE 14600 0 0 D U.S. BANCORP NEW (USB) COM NEW 902973304 2542 114593 SH SOLE 114593 0 0 D USG CORPORATION COM NEW 903293405 228 61000 SH SOLE 61000 0 0 D ULTRAMAR DIAMOND SHAMROCK CORP COM 904000106 24809 517500 SH SOLE 517500 0 0 D UNIFIRST CORPORATION COM 904708104 9464 560000 SH SOLE 560000 0 0 D UNIGRAPHICS SOLUTIONS INC CL A 904928108 3074 94590 SH SOLE 94590 0 0 D UNITED TECHNOLOGIES CORP COM 913017109 409 8800 SH SOLE 8800 0 0 D UNOCAL CORP COM 915289102 455 14000 SH SOLE 14000 0 0 D UNUMPROVIDENT CORP COM 91529Y106 758 30000 SH SOLE 30000 0 0 D VIASTAT INC. (VSAT) COM 92552V100 496 27800 SH SOLE 27800 0 0 D VIACOM INC CL B CL B 925524308 1497 43400 SH SOLE 43400 0 0 D WACHOVIA CORP NEW COM 929903102 1143 36857 SH SOLE 36857 0 0 D WALMART STORES INC COM 931142103 990 20000 SH SOLE 20000 0 0 D WASTE MANAGEMENT INC COM 94106L109 7782 291021 SH SOLE 291021 0 0 D WELLMAN INC COM 949702104 116 10000 SH SOLE 10000 0 0 D WELLS FARGO & CO COM 949746101 26443 594900 SH SOLE 594900 0 0 D WESTCOAST ENERGY INC COM 95751D102 12573 495000 SH SOLE 495000 0 0 D WEYCO GROUP, INC. COM 962149100 3712 145000 SH SOLE 145000 0 0 D WILLAMETTE INDUSTRIES INC COM 969133107 8098 180000 SH SOLE 180000 0 0 D WISCONSIN CENT TRANSN CORP COM 976592105 6187 362260 SH SOLE 362260 0 0 D WORLDCOM INC - WORLDCOM GROUP WRLDCOM GP COM 98157D106 345 22952 SH SOLE 22952 0 0 D XANSER CORP COM 98389J103 1425 770000 SH SOLE 770000 0 0 D YORK INTERNATIONAL CORP COM 986670107 286 10000 SH SOLE 10000 0 0 D ZEBRA TECH CL A 989207105 5994 160000 SH SOLE 160000 0 0 D COCA COLA ENTERPRISES INC. COM 191219104 77 5000 SH CALL SOLE 5000 0 0 D TYCO INTL COM 902124106 910 20000 SH CALL SOLE 20000 0 0 S REPORT SUMMARY 300 DATA RECORDS 2311041 112219193 0 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED
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