-----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, MA8BkprR+Cf0YNdaw8D+7SrzHBjmjqguu/riEWO87laLYmopGFj60fwVomMVZlyB OVrnjZamn15FYnJRDLH/cg== 0000757657-02-000013.txt : 20020912 0000757657-02-000013.hdr.sgml : 20020912 20020912110726 ACCESSION NUMBER: 0000757657-02-000013 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020630 FILED AS OF DATE: 20020912 FILER: COMPANY DATA: COMPANY CONFORMED NAME: STEPHENS INC /AR/ CENTRAL INDEX KEY: 0000757657 IRS NUMBER: 710641468 STATE OF INCORPORATION: AR FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-01458 FILM NUMBER: 02762188 BUSINESS ADDRESS: STREET 1: 111 CENTER ST CITY: LITTLE ROCK STATE: AR ZIP: 72201 BUSINESS PHONE: 5013744361 MAIL ADDRESS: STREET 1: 111 CENTRE STREET CITY: LITTLE ROCK STATE: AR ZIP: 72201 13F-HR 1 scm022nd.txt QUARTERLY SCM 13F FILINGS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: June 30, 2002 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: Stephens Inc. Address: 111 Center Street Little Rock, AR 72201 13F File Number: 28-1458 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. Persons Signing this Report on Behalf of Reporting Manager: Name: J. Warren Simpson Title: Executive Vice President Phone: (501) 377-2538 Signature, Place, and Date of Signing: Warren Simpson Little Rock, Arkansas July 29, 2002 Report Type (Check only one.): [ X ] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 060 Form 13F Information Table Value Total: $37,718 List of Other Included Managers: No. 13F File Number Name FORM 13F INFORMATION TABLE TITLE OF VALUE PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (x$1000) SHARES SH CALL DSCRETN MANAGERS SOLE SHARED NONE - ---------------------------------------------------------------------------------------------------------------------------- AOL TIME WARNER INC COM 00184A105 6 400 SH DEFINED 0 400 0 AEGON NV ADR COM 007924103 318 15627 SH DEFINED 0 15627 0 ALCOA INC COM 013817101 1402 42285 SH DEFINED 0 42285 0 ALLSTATE CORPORATION COM 020002101 1051 28425 SH DEFINED 0 28425 0 ALLTEL CORPORATION COM 020039103 1058 22520 SH DEFINED 0 22520 0 ANHEUSER BUSCH COS INC COM 035229103 107 2130 SH DEFINED 0 2130 0 BANK OF AMERICA CORP COM 060505104 92 1305 SH DEFINED 0 1305 0 BEST BUY INC COM 086516101 272 7500 SH DEFINED 0 7500 0 BRISTOL-MYERS SQUIBB COMPANY COM 110122108 32 1250 SH DEFINED 0 1250 0 CHEVRONTEXACO CORP COM 166764100 68 769 SH DEFINED 0 769 0 CISCO SYSTEMS COM 17275R102 262 18810 SH DEFINED 0 18810 0 CITIGROUP INC COM 172967101 18 467 SH DEFINED 0 467 0 CLARENT CORP COM 180461105 1 13000 SH DEFINED 0 13000 0 CONAGRA INCORPORATED COM 205887102 1569 56750 SH DEFINED 0 56750 0 DELTA & PINE LAND CO COM 247357106 503 25000 SH DEFINED 0 25000 0 EDEN BIOSCIENCE CORPORATION COM 279445100 18 8980 SH DEFINED 0 8980 0 ELECTRONIC DATA SYSTEMS CORP COM 285661104 4 100 SH DEFINED 0 100 0 ENTERGY CORP COM 29364G103 860 20255 SH DEFINED 0 20255 0 EXXON MOBIL CORP COM 30231G102 85 2088 SH DEFINED 0 2088 0 FEDERAL NATIONAL MORTGAGE COM 313586109 9 120 SH DEFINED 0 120 0 FIFTH THIRD BANCORP COM 316773100 1352 20280 SH DEFINED 0 20280 0 FIRST DATA CORP COM 319963104 9 240 SH DEFINED 0 240 0 FOAMEX INTL INC. COM 344123104 689 62000 SH DEFINED 0 62000 0 GENERAL ELECTRIC COMPANY COM 369604103 1197 41205 SH DEFINED 0 41205 0 INTEL CORPORATION COM 458140100 249 13650 SH DEFINED 0 13650 0 INTERNATIONAL BUSINESS COM 459200101 43 600 SH DEFINED 0 600 0 JP MORGAN CHASE & CO COM 46625H100 17 500 SH DEFINED 0 500 0 JOHNSON AND JOHNSON COM 478160104 1244 23795 SH DEFINED 0 23795 0 KIMBERLY-CLARK CORPORATION COM 494368103 1134 18285 SH DEFINED 0 18285 0 KROGER COMPANY COM 501044101 16 800 SH DEFINED 0 800 0 LEHMAN BROTHERS HOLDING INC COM 524908100 466 7455 SH DEFINED 0 7455 0 MERCK & COMPANY INCORPORATED COM 589331107 71 1410 SH DEFINED 0 1410 0 MERRILL LYNCH & CO. COM 590188108 23 580 SH DEFINED 0 580 0 METLIFE INC COM 59156R108 1063 36905 SH DEFINED 0 36905 0 MICROSOFT CORP. COM 594918104 553 10110 SH DEFINED 0 10110 0 NEOPHARM INC COM 640919106 478 38000 SH DEFINED 0 38000 0 OGE ENERGY CORP COM 670837103 449 19645 SH DEFINED 0 19645 0 OCCIDENTAL PETROLEUM CORP COM 674599105 2114 70480 SH DEFINED 0 70480 0 PEPSICO INCORPORATED COM 713448108 48 990 SH DEFINED 0 990 0 PFIZER INCORPORATED COM 717081103 563 16092 SH DEFINED 0 16092 0 PHARMACIA CORP COM 71713U102 4 100 SH DEFINED 0 100 0 PLUM CREEK TIMBER CO INC COM 729251108 1678 54645 SH DEFINED 0 54645 0 POWER-ONE INC COM 739308104 72 11585 SH DEFINED 0 11585 0 REGIONS FINANCIAL CORP COM 758940100 122 3475 SH DEFINED 0 3475 0 RESEARCH IN MOTION COM 760975102 292 25620 SH DEFINED 0 25620 0 ST. PAUL COS INC COM 792860108 1168 30015 SH DEFINED 0 30015 0 SANGAMO BIOSCIENCES COM 800677106 219 37275 SH DEFINED 0 37275 0 CHARLES SCHWAB CORP COM 808513105 155 13800 SH DEFINED 0 13800 0 TEPPCO PARTNERS LP COM 872384102 1847 57625 SH DEFINED 0 57625 0 TEXAS INSTRUMENTS INC. COM 882508104 1135 47899 SH DEFINED 0 47899 0 TYSON FOODS INC CLASS A COM 902494103 1657 106840 SH DEFINED 0 106840 0 USA TRUCK INC COM 902925106 226 19695 SH DEFINED 0 19695 0 UNISYS CORP COM 909214108 297 33000 SH DEFINED 0 33000 0 UNITED AUTO GROUP COM 909440109 627 30000 SH DEFINED 0 30000 0 UNOCAL CORPORATION COM 915289102 1303 35275 SH DEFINED 0 35275 0 VALERO LP COM 91913W104 728 19939 SH DEFINED 0 19939 0 VENTAS INC COM 92276F100 1921 150705 SH DEFINED 0 150705 0 WAL-MART STORES INC. COM 931142103 1991 36195 SH DEFINED 0 36195 0 WISCONSIN ENERGY CORPORATION COM 976657106 1109 43900 SH DEFINED 0 43900 0 YUM BRANDS INC COM 988498101 1654 56550 SH DEFINED 0 56550 0
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