13F-HR 1 form13f9-01.txt PERIOD ENDED SEPTEMBER 30, 2001 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2001 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: U.S. Global Investors, Inc. Address: 7900 Callaghan Road San Antonio, TX 78229 13F File Number: 028-02220 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: Susan B. McGee Title: President, General Counsel Phone: 210-308-1234 /S/ Susan B. McGee ------------------ San Antonio, TX November 6, 2001 Report Type (Check only one.): [X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: None FORM 13F SUMMARY PAGE REPORT SUMMARY: Number of Other Included Managers: 3 Form 13F Information Table Entry Total: 276 Form 13F Information Table Value Total: $150,181 (thousands) List of Other Included Managers: NO. 13F FILE NUMBER: NAME: --- --------------- --------------------------- 1 Unknown Bonnel, Inc. 2 Unknown Leeb Capital Management, Inc. 3 Unknown Regent Fund Management Ltd. (Barbados)
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ------------------------ ---------- --------- -------- ------------------------ -------- -------- ------------------------ SHARES VOTING AUTHORITY TITLE OF VALUE OR PUT/ INVESTMT OTHER ------------------------ NAME OF ISSUER CLASS CUSIP (x$1000) PRN AMT SH/PRN CALL DISCRETN MANAGERS SOLE SHARED NONE ------------------------ ---------- --------- -------- ---------- ------ ---- -------- -------- ---------- ------ ---- 99 CENTS ONLY STORES CMN STK 65440K106 1,618 50,000 SH Defined 1 50,000 ACE LTD CMN STK G0070K103 577 20,000 SH Defined 2 20,000 AES CORP CMN STK 00130H105 33 2,600 SH Sole 2,600 AGNICO EAGLE MINES LTD CMN STK 002009823 104 10,000 SH Sole 10,000 AGNICO EAGLE MINES LTD CMN STK 002009823 52 5,000 SH Sole 5,000 ALCAN INC CMN STK 013716105 150 5,000 SH Sole 5,000 ALCOA INC CMN STK 013817101 341 10,992 SH Sole 10,992 ALCOA INC CMN STK 013817101 81 2,600 SH Sole 2,600 ALLIANT TECHSYSTEMS INC CMN STK 018804104 5,778 67,500 SH Defined 1 67,500 AMERADA HESS CMN STK 023551104 603 9,500 SH Defined 2 9,500 AMERICAN ELECTRIC POWER CMN STK 025537101 39 900 SH Sole 900 AMERICAN HOME PRODUCTS CMN STK 026609107 315 5,400 SH Sole 5,400 AMERICAN INTERNATIONAL GROUP CMN STK 026874107 468 6,000 SH Sole 6,000 AMERICAN ITALIAN PASTA CO CL A CMN STK 027070101 865 20,000 SH Defined 1 20,000 AMERICAN WOODMARK CORP CMN STK 030506109 294 10,000 SH Defined 1 10,000 AMGEN INC CMN STK 031162100 353 6,000 SH Sole 6,000 AMGEN INC CMN STK 031162100 3,526 60,000 SH Defined 1 60,000 AMSURG CORP CMN STK 03232P405 551 20,000 SH Defined 1 20,000 AMT INTERNATIONAL MINING CMN STK 001983105 19 1,000,000 SH Sole 1,000,000 ANADARKO PETE CORP CMN STK 032511107 120 2,500 SH Sole 2,500 ANDERSON EXPLORATION LTD /CAD/ CMN STK 002032421 537 21,386 SH Sole 21,386 ANDRX CORP/ANDRX GROUP CMN STK 034553107 649 10,000 SH Defined 1 10,000 ANGLO AMERICAN PLC ADR CMN STK 03485P102 32 2,676 SH Sole 2,676 ANHEUSER BUSCH INC CMN STK 035229103 193 4,600 SH Sole 4,600 ANIXTER INTL INC CMN STK 035290105 372 15,000 SH Defined 2 15,000 AOL TIME WARNER CMN STK 00184A105 569 17,200 SH Sole 17,200 AOL TIME WARNER CMN STK 00184A105 497 15,000 SH Defined 2 15,000 APACHE CORP CMN STK 037411105 108 2,500 SH Sole 2,500 APEX SILVER MINES LTD CMN STK G04074103 595 65,000 SH Defined 2 65,000 APOGEE ENTERPRISES INC CMN STK 037598109 387 30,000 SH Defined 1 30,000 APPLIED MATERIALS INC CMN STK 038222105 114 4,000 SH Sole 4,000 APTARGROUP INC CMN STK 038336103 318 10,000 SH Defined 1 10,000 ARC ENERGY TRUST UTS /CAD/ CMN STK 001986108 343 51,000 SH Sole 51,000 ARC ENERGY TRUST UTS /CAD/ CMN STK 001986108 403 60,000 SH Sole 60,000 ARC ENERGY TRUST UTS /CAD/ CMN STK 001986108 67 10,000 SH Sole 10,000 ARCHER DANIELS MIDLAND CMN STK 039483102 463 36,750 SH Sole 36,750 ARCHER DANIELS MIDLAND CMN STK 039483102 132 10,500 SH Sole 10,500 ARENA PHARMACEUTICALS INC CMN STK 040047102 165 15,000 SH Defined 2 15,000 ASHLAND INC CMN STK 044204105 771 20,000 SH Defined 1 20,000 ASIA GLOBAL CROSSING LTD CL A CMN STK G05330108 5 2,000 SH Sole 2,000 ASM PACIFIC TECHNOLOGY CMN STK 006002453 239 206,000 SH Sole 206,000 ASTROPOWER INC CMN STK 04644A101 345 10,000 SH Defined 2 10,000 ASTROPOWER INC CMN STK 04644A101 345 10,000 SH Defined 1 10,000 AUTOZONE INC CMN STK 053332102 1,815 35,000 SH Defined 1 35,000 AVALONBAY COMMUNITIES INC CMN STK 053484101 96 2,000 SH Sole 2,000 AVIALL INC CMN STK 05366B102 123 20,000 SH Defined 1 20,000 BANK OF AMERICA CORP CMN STK 060505104 304 5,200 SH Sole 5,200 BANK OF AMERICA CORP CMN STK 060505104 146 2,500 SH Sole 2,500 BANK POLSKA KASA OPIEKI CMN STK 05473113 179 11,500 SH Defined 3 11,500 BARR LABS INC CMN STK 068306109 791 10,000 SH Defined 1 10,000 BARRICK GOLD CORPORATION CMN STK 067901108 31 1,800 SH Sole 1,800 BARRICK GOLD CORPORATION CMN STK 067901959 347 20,000 SH Sole 20,000 BARRICK GOLD CORPORATION CMN STK 067901108 694 40,000 SH Sole 40,000 BARRICK GOLD CORPORATION CMN STK 067901959 87 5,000 SH Sole 5,000 BARRICK GOLD CORPORATION CMN STK 067901108 1,806 104,100 SH Sole 104,100 BAXTER INTL INC CMN STK 071813109 308 5,600 SH Sole 5,600 BELLSOUTH CORP CMN STK 079860102 382 9,200 SH Sole 9,200 BELLSOUTH CORP CMN STK 079860102 120 2,900 SH Sole 2,900 BLACKROCK VENTURES INC CMN STK 091917104 57 100,000 SH Sole 100,000 BLACKROCK VENTURES INC CMN STK 091917104 228 400,000 SH Sole 400,000 BONAVISTA PETROLEUM LTD /CAD/ CMN STK 097933105 147 10,000 SH Sole 10,000 BOWATER INC CMN STK 102183100 352 8,000 SH Sole 8,000 BP AMOCO PLC SPON ADR CMN STK 055622104 81 1,640 SH Sole 1,640 CACI INTNATL INC CL A CMN STK 127190304 4,100 75,000 SH Defined 1 75,000 CALPINE CORP CMN STK 131347106 23 1,000 SH Sole 1,000 CALPINE CORP CMN STK 131347106 46 2,000 SH Sole 2,000 CARDINAL HEALTH CMN STK 14149Y108 333 4,500 SH Sole 4,500 CARDINAL HEALTH CMN STK 14149Y108 647 8,750 SH Defined 2 8,750 CAREER EDUCATION CORP CMN STK 141665109 2,200 40,000 SH Defined 1 40,000 CENDANT CORPORATION CMN STK 151313103 1,024 80,000 SH Defined 1 80,000 CHEVRON CORP CMN STK 166751107 636 7,500 SH Defined 2 7,500 CHINA MOBILE HONG KONG ADR CMN STK 16941M109 209 13,000 SH Sole 13,000 CHOICE HOTELS INTL INC CMN STK 169905106 248 15,000 SH Defined 1 15,000 CISCO SYSTEMS INC CMN STK 17275R102 171 14,000 SH Sole 14,000 CITIGROUP INC CMN STK 172967101 883 21,800 SH Sole 21,800 CITIGROUP INC CMN STK 172967101 518 12,800 SH Defined 2 12,800 CNOOC LTD ADR CMN STK 126132109 80 4,000 SH Sole 4,000 CONOCO INC CL B WI CMN STK 208251405 101 4,000 SH Sole 4,000 CONOCO INC CL B WI CMN STK 208251405 165 6,500 SH Sole 6,500 CONSTELLATION BRANDS INC CLASS A CMN STK 21036P108 417 10,000 SH Defined 1 10,000 CORNER BAY SILVER INC /CAD/ CMN STK 21922F107 222 200,000 SH Sole 200,000 COVANCE INC CMN STK 222816100 179 10,000 SH Defined 1 10,000 DAYTON MINING CORP CMN STK 239902208 63 197,834 SH Sole 197,834 DAYTON MINING CORP CMN STK 239902208 320 1,000,000 SH Sole 1,000,000 DELL COMPUTER CORP CMN STK 247025109 93 5,000 SH Sole 5,000 DENTSPLY INTERNATIONAL CMN STK 249030107 1,149 25,000 SH Defined 1 25,000 DIAMOND FIELDS INTL LTD /CAD/ CMN STK 252905203 84 200,000 SH Sole 200,000 DIAMONDEX RESOURCES LTD CMN STK 252781109 1 2,500 SH Sole 2,500 DISNEY WALT CO CMN STK 254687106 112 6,000 SH Sole 6,000 DOW CHEMICAL CO CMN STK 260543103 229 7,000 SH Sole 7,000 DOW CHEMICAL CO CMN STK 260543103 115 3,500 SH Sole 3,500 DOW CHEMICAL CO CMN STK 260543103 16 500 SH Sole 500 DR HORTON INC CMN STK 23331A109 834 40,000 SH Defined 1 40,000 DRS TECHNOLOGIES INC CMN STK 23330X100 1,738 50,000 SH Defined 1 50,000 DUKE EN QUIPS 7.2% 9/30/37 PFD PFD STK 264396201 50 2,000 SH Sole 2,000 DUKE ENERGY CO CMN STK 264399106 454 12,000 SH Sole 12,000 DUKE ENERGY CO CMN STK 264399106 454 12,000 SH Sole 12,000 DUKE ENERGY CO CMN STK 264399106 57 1,500 SH Sole 1,500 DURBAN ROODEPOORT DEP SPON ADR CMN STK 266597301 82 64,200 SH Sole 64,200 EL PASO CORPORATION CMN STK 28336L109 162 3,890 SH Sole 3,890 ELAN CORP ADR CMN STK 284131208 824 17,000 SH Defined 2 17,000 ELECTRONIC DATA SYS CORP CMN STK 285661104 167 2,900 SH Sole 2,900 ELI LILLY & CO CMN STK 532457108 134 1,660 SH Sole 1,660 ELI LILLY & CO CMN STK 532457108 807 10,000 SH Defined 1 10,000 EMMIS COMM SER A CONV PFD 6.25% CNV PFD 291525202 29 1,000 SH Sole 1,000 ENRON CORP CMN STK 293561106 38 1,400 SH Sole 1,400 EOG RESOURCES CMN STK 26875P101 64 2,200 SH Sole 2,200 EQUITY OFFICE PROPERTIES TR CMN STK 294741103 96 2,991 SH Sole 2,991 EXXON MOBIL CORP CMN STK 30231G102 1,103 28,000 SH Sole 28,000 EXXON MOBIL CORP CMN STK 30231G102 378 9,604 SH Sole 9,604 FAIR ISAAC & CO CMN STK 303250104 1,063 22,500 SH Defined 1 22,500 FAMILY DOLLAR STORES INC CMN STK 307000109 1,926 70,000 SH Defined 1 70,000 FANNIE MAE CMN STK 313586109 1,241 15,500 SH Sole 15,500 FEDERAL SIGNAL CORP CMN STK 313855108 353 20,000 SH Defined 1 20,000 FEDERATED INVESTORS INC CL B CMN STK 314211103 413 13,950 SH Sole 13,950 FIFTH THIRD BANCORP CMN STK 316773100 221 3,600 SH Sole 3,600 FIFTH THIRD BANCORP CMN STK 316773100 86 1,400 SH Sole 1,400 FIRST DATA CORP CMN STK 319963104 58 1,000 SH Sole 1,000 FIRST HEALTH GROUP CORP CMN STK 320960107 588 20,000 SH Defined 1 20,000 FLEXTRONICS INTERNA- TIONAL LTD CMN STK Y2573F102 132 8,000 SH Defined 2 8,000 FOREST LABS INC CL A CMN STK 345838106 1,443 20,000 SH Defined 1 20,000 FREEPORT MCMORAN COPPER & GOLD B CMN STK 35671D857 99 9,000 SH Sole 9,000 FREEPORT MCMORAN COPPER & GOLD B CMN STK 35671D857 1,242 113,000 SH Sole 113,000 FREEPORT MCMORAN COPPER & GOLD B CMN STK 35671D857 1,430 130,100 SH Sole 130,100 GENERAL DYNAMICS CMN STK 369550108 3,533 40,000 SH Defined 1 40,000 GENERAL ELECTRIC CO CMN STK 369604103 595 16,000 SH Sole 16,000 GENERAL MILLS INC CMN STK 370334104 455 10,000 SH Defined 1 10,000 GENLYTE GROUP INC CMN STK 372302109 290 10,000 SH Defined 1 10,000 GEORGIA PACIFIC CORP CMN STK 373298108 130 4,500 SH Sole 4,500 GEORGIA PACIFIC CORP CMN STK 373298108 69 2,400 SH Sole 2,400 GLAMIS GOLD LTD CMN STK 376775102 201 52,300 SH Sole 52,300 GLOBAL CROSSING LTD CONV PFD CNV PFD G3921A134 17 400 SH Sole 400 GREENPOINT FINANCIAL CORP CMN STK 395384100 1,053 30,000 SH Defined 1 30,000 GROUP 1 AUTOMOTIVE INC CMN STK 398905109 531 20,000 SH Defined 1 20,000 HARMONY GOLD MINING SPON ADR CMN STK 413216300 159 30,000 SH Sole 30,000 HCA INC CMN STK 404119109 226 5,100 SH Sole 5,100 HEARTLAND EXPRESS INC CMN STK 422347104 460 20,000 SH Defined 1 20,000 HELEN OF TROY CMN STK G4388N106 314 30,000 SH Defined 1 30,000 HILB ROGAL & HAMILTON INC CMN STK 431294107 456 10,000 SH Defined 1 10,000 HOME DEPOT INC CMN STK 437076102 483 12,600 SH Sole 12,600 HOMESTAKE MINING CMN STK 437614100 737 79,200 SH Sole 79,200 HOMESTAKE MINING CMN STK 437614100 976 104,900 SH Sole 104,900 HOUSEHOLD INTERNATIONAL INC CMN STK 441815107 152 2,700 SH Sole 2,700 HUANENG POWER INTL ADR CMN STK 443304100 576 25,000 SH Sole 25,000 IMPATH INC CMN STK 45255G101 690 20,000 SH Defined 1 20,000 INCO LTD CMN STK 453258402 99 8,000 SH Sole 8,000 INTEL CORP CMN STK 458140100 228 11,160 SH Sole 11,160 INTEL CORP CMN STK 458140100 265 13,000 SH Defined 2 13,000 INTERNATIONAL BUSINESS MACHINES CMN STK 459200101 420 4,550 SH Sole 4,550 INTL SPEEDWAY CORP CL A CMN STK 460335201 697 20,000 SH Defined 1 20,000 INVACARE CORP CMN STK 461203101 405 10,000 SH Defined 1 10,000 INVESTMENT TECHNOLOGY GROUP CMN STK 46145F105 1,110 20,000 SH Defined 1 20,000 ISHARES MSCI MALAYSIA /FREE/ MTL FND 464286830 161 37,000 SH Sole 37,000 IVAX CORP CMN STK 465823102 1,109 50,000 SH Defined 1 50,000 JEFFERIES GROUP INC CMN STK 472319102 660 20,000 SH Defined 1 20,000 JOHN NUVEEN CO CMN STK 478035108 663 15,000 SH Defined 1 15,000 JOHNSON & JOHNSON CMN STK 478160104 1,374 24,800 SH Sole 24,800 JOHNSON & JOHNSON CMN STK 478160104 133 2,400 SH Sole 2,400 JP MORGAN CHASE CMN STK 46625H100 518 15,170 SH Defined 2 15,170 KEY ENERGY SVCS INC CMN STK 492914106 191 30,000 SH Sole 30,000 KEY ENERGY SVCS INC CMN STK 492914106 51 8,000 SH Sole 8,000 KING PHARMACEUTICALS INC CMN STK 495582108 3,636 86,666 SH Defined 1 86,666 KROGER CO CMN STK 501044101 148 6,000 SH Sole 6,000 LABORATORY CORP AMER HLDGS CMN STK 50540R409 809 10,000 SH Defined 1 10,000 LEHMAN BROTHERS HLDGS INC CMN STK 524908100 114 2,000 SH Sole 2,000 LENNAR CORP CMN STK 526057104 721 20,000 SH Defined 1 20,000 LIHIR GOLD LTD SPON ADR CMN STK 532349107 17 1,500 SH Sole 1,500 LIZ CLAIBORNE CMN STK 539320101 754 20,000 SH Defined 1 20,000 LONE STAR TECHNOLOGIES INC CMN STK 542312103 496 40,000 SH Defined 1 40,000 LUBRIZOL CORP CMN STK 549271104 632 20,000 SH Defined 1 20,000 MAGYAR TAVKOZLESI RT SPON ADR CMN STK 559776109 137 10,114 SH Defined 3 10,114 MAXIMUS INC CMN STK 577933104 1,987 50,000 SH Defined 1 50,000 MC CORMICK & CO INC NON-VTG CMN STK 579780206 458 10,000 SH Defined 1 10,000 MC GRAW HILL INC CMN STK 580645109 582 10,000 SH Defined 1 10,000 MEDTRONIC INC CMN STK 585055106 309 7,100 SH Sole 7,100 MENTOR CORP /MINN/ CMN STK 587188103 253 10,000 SH Defined 1 10,000 MERCK & CO. CMN STK 589331107 360 5,400 SH Sole 5,400 MERIDIAN GOLD INC CMN STK 589975952 575 53,000 SH Sole 53,000 MERIDIAN GOLD INC CMN STK 589975952 1,799 166,000 SH Sole 166,000 MICROSOFT CORP CMN STK 594918104 855 16,700 SH Sole 16,700 MINAS BUENAVENTURA SP ADR B CMN STK 204448104 650 30,000 SH Sole 30,000 MINAS BUENAVENTURA SP ADR B CMN STK 204448104 1,199 55,400 SH Sole 55,400 MYLAN LABORATORIES CMN STK 628530107 652 20,000 SH Defined 1 20,000 NABORS IND CMN STK 629568106 419 20,000 SH Defined 2 20,000 NASH FINCH CO CMN STK 631158102 171 5,000 SH Defined 1 5,000 NBTY INC CMN STK 628782104 263 20,000 SH Defined 1 20,000 NETEGRITY INC CMN STK 64110P107 257 30,000 SH Defined 1 30,000 NIKE INC CL B CMN STK 654106103 936 20,000 SH Defined 1 20,000 NOBLE AFFILIATES INC. CMN STK 654894104 108 3,500 SH Sole 3,500 NOBLE DRILLING CORP CMN STK 655042109 48 2,000 SH Sole 2,000 NOBLE DRILLING CORP CMN STK 655042109 480 20,000 SH Defined 2 20,000 NORTH AMERICAN PALLADIUM LTD CMN STK 656912102 211 38,500 SH Defined 2 38,500 OCCIDENTAL PETROLEUM CORP CMN STK 674599105 97 4,000 SH Sole 4,000 ORACLE SYSTEMS CORP CMN STK 68389X105 162 12,872 SH Sole 12,872 O'REILLY AUTOMOTIVE INC CMN STK 686091109 1,719 60,000 SH Defined 1 60,000 ORTHODONTIC CTRS AMER INC CMN STK 68750P103 247 10,000 SH Defined 1 10,000 PEABODY ENERGY CMN STK 704549104 193 8,000 SH Sole 8,000 PEP BOYS MANNY MOE & JACK CMN STK 713278109 553 50,000 SH Defined 1 50,000 PEPSICO INC CMN STK 713448108 422 8,700 SH Sole 8,700 PERKINELMER INC CMN STK 714046109 564 21,500 SH Defined 2 21,500 PERRIGO CO CMN STK 714290103 379 25,000 SH Defined 1 25,000 PFIZER INC CMN STK 717081103 793 19,775 SH Sole 19,775 PFIZER INC CMN STK 717081103 100 2,500 SH Sole 2,500 PFIZER INC CMN STK 717081103 762 19,000 SH Defined 2 19,000 PHARMACEUTICAL PROD DEV INC CMN STK 717124101 2,050 70,000 SH Defined 1 70,000 PHARMACIA CORPORATION CMN STK 71713U102 608 15,000 SH Defined 2 15,000 PHILIP MORRIS COS INC CMN STK 718154107 48 1,000 SH Sole 1,000 PHILLIPS PETROLEUM CO CMN STK 718507106 216 4,000 SH Sole 4,000 PILGRIM PRIDE CORP CMN STK 721467108 138 10,000 SH Defined 1 10,000 PLACER DOME INC CMN STK 725906101 1,395 109,100 SH Sole 109,100 PLACER DOME INC CMN STK 725906101 3,453 270,000 SH Sole 270,000 PRECISION CAST PARTS CMN STK 740189105 333 15,000 SH Defined 1 15,000 PRECISION DRILLING CORP CMN STK 74022D100 68 3,200 SH Sole 3,200 QUEST DIAGNOTICS INC CMN STK 74834L100 740 12,000 SH Defined 2 12,000 QUEST DIAGNOTICS INC CMN STK 74834L100 3,702 60,000 SH Defined 1 60,000 RAYOVAC CORP CMN STK 755081106 305 20,000 SH Defined 1 20,000 REEBOK INTERNATIONAL LTD CMN STK 758110100 414 20,000 SH Defined 1 20,000 RELIANT ENERGY INC CMN STK 75952J108 26 1,000 SH Sole 1,000 RESMED INC CMN STK 761152107 2,540 50,000 SH Defined 1 50,000 RYLAND GROUP INC CMN STK 783764103 477 10,000 SH Defined 1 10,000 S & P 500 DEPOSITARY RECEIPTS CMN STK 78462F103 1,128 10,800 SH Sole 10,800 SBC COMMUNICATIONS INC CMN STK 78387G103 368 7,800 SH Sole 7,800 SIGMA ALDRICH CORP CMN STK 826552101 108 2,400 SH Sole 2,400 SIGMA ALDRICH CORP CMN STK 826552101 68 1,500 SH Sole 1,500 SK TELECOM LTD SPON- SORED ADR CMN STK 78440P108 55 3,000 SH Sole 3,000 SMART & FINAL INC CMN STK 831683107 102 10,000 SH Defined 1 10,000 SOLECTRON CORP CMN STK 834182107 431 37,000 SH Defined 2 37,000 SONIC CORP COM CMN STK 835451105 606 20,000 SH Defined 1 20,000 SOUTHERN CO CMN STK 842587107 24 1,000 SH Sole 1,000 ST JOE COMPANY CMN STK 790148100 259 10,000 SH Defined 1 10,000 ST PAUL COMPANIES INC CMN STK 792860108 618 15,000 SH Defined 2 15,000 ST. JUDE MEDICAL INC CMN STK 790849103 2,054 30,000 SH Defined 1 30,000 STARWOOD HOTELS & RESORTS WORLD CMN STK 85590A203 88 4,000 SH Sole 4,000 STEWART & STEVENSON SVCS INC CMN STK 860342104 482 20,000 SH Defined 1 20,000 SUNCOR ENERGY INC CMN STK 867229106 56 2,000 SH Sole 2,000 SUNTRUST BK INC CMN STK 867914103 67 1,000 SH Sole 1,000 SURMODICS INC CMN STK 868873100 400 10,000 SH Defined 1 10,000 SYNCOR INTL CORP CMN STK 87157J106 637 20,000 SH Defined 1 20,000 SYSCO CORP CMN STK 871829107 46 1,800 SH Sole 1,800 TAIWAN SEMICONDUCTOR SPON ADR CMN STK 874039100 68 7,168 SH Sole 7,168 TALX CORP CMN STK 874918105 351 16,500 SH Defined 1 16,500 TARO PHARMACEUTICALS INDS LTD CMN STK M8737E108 703 20,000 SH Defined 1 20,000 TELEKOMUNIKACJA POLSKA S A GDR CMN STK 87943D207 158 56,063 SH Defined 3 56,063 TENET HEALTHCARE CORP CMN STK 88033G100 185 3,100 SH Sole 3,100 TENET HEALTHCARE CORP CMN STK 88033G100 2,386 40,000 SH Defined 1 40,000 TIFFANY & CO CMN STK 886547108 325 15,000 SH Defined 2 15,000 TOTAL SYSTEM SERVICES INC CMN STK 891906109 495 20,000 SH Defined 1 20,000 TRACTOR SUPPLY CO CMN STK 892356106 190 10,000 SH Defined 1 10,000 TRANSCANADA PIPELINES LTD CMN STK 893526954 77 6,000 SH Sole 6,000 TRANSCANADA PIPELINES LTD CMN STK 893526103 64 5,000 SH Sole 5,000 TWEETER HOME ENTERTAIN- MENT CMN STK 901167106 136 10,000 SH Defined 1 10,000 TXU CORPORATION CMN STK 873168108 23 500 SH Sole 500 TYCO INTL LTD CMN STK 902124106 783 17,200 SH Sole 17,200 TYCO INTL LTD CMN STK 902124106 733 16,100 SH Defined 2 16,100 U.S. PHYSICAL THERAPY INC CMN STK 90337L108 243 15,000 SH Defined 1 15,000 UNITED NATURAL FOODS CMN STK 911163103 182 10,000 SH Defined 1 10,000 UNITED TECHNOLOGIES CORP CMN STK 913017109 102 2,200 SH Sole 2,200 UNIVERSAL HEALTH SVCS INC CL B CMN STK 913903100 488 10,000 SH Defined 1 10,000 UST INC CMN STK 902911106 664 20,000 SH Defined 1 20,000 UTILICORP UNITED INC CMN STK 918005109 70 2,500 SH Sole 2,500 VENATOR GROUP CMN STK 922944103 763 50,000 SH Defined 1 50,000 VERIZON COMMUNICATIONS CMN STK 92343V104 390 7,200 SH Sole 7,200 VIACOM INC CL B CMN STK 925524308 380 11,000 SH Sole 11,000 WAL MART STORES INC CMN STK 931142103 990 20,000 SH Sole 20,000 WASHINGTON MUTUAL INC CMN STK 939322103 418 10,850 SH Sole 10,850 WASHINGTON MUTUAL INC CMN STK 939322103 65 1,700 SH Sole 1,700 WASTE CONNECTIONS INC CMN STK 941053100 270 10,000 SH Defined 1 10,000 WELLPOINT HEALTH NETWORKS INC CMN STK 94973H108 109 1,000 SH Sole 1,000 WELLS FARGO & COMPANY CMN STK 949746101 67 1,500 SH Sole 1,500 WEST MARINE INC CMN STK 954235107 79 10,000 SH Defined 1 10,000 WEYERHAEUSER CO CMN STK 962166104 175 3,600 SH Sole 3,600 WHOLE FOODS MARKET INC CMN STK 966837106 1,571 50,000 SH Defined 1 50,000 WILMINGTON TRUST CORP CMN STK 971807102 55 1,000 SH Sole 1,000 WORLDCOM INC WORLDCOM GROUP CMN STK 98157D106 83 5,500 SH Sole 5,500 WRIGLEY /WILLIAM/ JR CO CMN STK 982526105 2,052 40,000 SH Defined 1 40,000 YUKOS CORP SPONSORED ADR CMN STK 98849W108 184 3,817 SH Defined 3 3,817