13F-HR 1 scm011st.txt 13F QUARTER ENDING 03/31/01 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: March 31, 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: 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 May 2, 2001 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: 80 Form 13F Information Table Value Total: $68,398 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 2323 57855 SH DEFINED 0 57855 0 ABBOTT LABORATORIES INC COM 002824100 2517 53333 SH DEFINED 0 53333 0 AEGON NV ADR COM 007924103 1131 38685 SH DEFINED 0 38685 0 ALLTEL CORPORATION COM 020039103 1681 32040 SH DEFINED 0 32040 0 AMERICAN EXPRESS COMPANY COM 025816109 1652 40005 SH DEFINED 0 40005 0 AMERICAN INTERNATIONAL GROUP COM 026874107 1803 22399 SH DEFINED 0 22399 0 AMGEN INCORPORATED COM 031162100 1503 24975 SH DEFINED 0 24975 0 ANADARKO PETE CORP COM 032511107 1304 20771 SH DEFINED 0 20771 0 ANHEUSER BUSCH COS INC COM 035229103 98 2130 SH DEFINED 0 2130 0 ARTESYN TECHNOLOGY COM 043127109 385 35625 SH DEFINED 0 35625 0 B J SERVICES COMPANY COM 055482103 242 3400 SH DEFINED 0 3400 0 BANK OF AMERICA CORP COM 060505104 55 1005 SH DEFINED 0 1005 0 BEST BUY INC COM 086516101 360 10000 SH DEFINED 0 10000 0 BRISTOL-MYERS SQUIBB COMPANY COM 110122108 147 2475 SH DEFINED 0 2475 0 CALPINE CORP COM 131347106 1706 30985 SH DEFINED 0 30985 0 CISCO SYSTEMS COM 17275R102 703 44473 SH DEFINED 0 44473 0 CITIGROUP INC COM 172967101 2271 50481 SH DEFINED 0 50481 0 DELL COMPUTER CORPORATION COM 247025109 197 7680 SH DEFINED 0 7680 0 DOLLAR TREE STORES COM 256747106 498 25839 SH DEFINED 0 25839 0 E I DU PONT DE NEMOURS & CO COM 263534109 81 2000 SH DEFINED 0 2000 0 DUKE ENERGY COMPANY COM 264399106 1170 27365 SH DEFINED 0 27365 0 EMC CORPORATION COM 268648102 640 21760 SH DEFINED 0 21760 0 ECHOSTAR COMM CORP COM 278762109 222 8000 SH DEFINED 0 8000 0 EDEN BIOSCIENCE CORPORATION COM 279445100 421 28330 SH DEFINED 0 28330 0 ENRON CORPORATION COM 293561106 1625 27965 SH DEFINED 0 27965 0 ENTERGY CORP COM 29364G103 1112 29275 SH DEFINED 0 29275 0 EXXON MOBIL CORP COM 30231G102 137 1694 SH DEFINED 0 1694 0 FEDERAL HOME LOAN COM 313400301 1844 28450 SH DEFINED 0 28450 0 FEDERAL NATIONAL MORTGAGE COM 313586109 1818 22840 SH DEFINED 0 22840 0 FIRST DATA CORP COM 319963104 1070 17920 SH DEFINED 0 17920 0 FOAMEX INTL INC. COM 344123104 337 65800 SH DEFINED 0 65800 0 GENERAL ELECTRIC COMPANY COM 369604103 2938 70190 SH DEFINED 0 70190 0 GILLETTE CO COM 375766102 33 1064 SH DEFINED 0 1064 0 GUIDANT CORP COM 401698105 1525 33900 SH DEFINED 0 33900 0 H J HEINZ COMPANY COM 423074103 8 200 SH DEFINED 0 200 0 HOME DEPOT INCORPORATED COM 437076102 562 13037 SH DEFINED 0 13037 0 INTEL CORPORATION COM 458140100 736 27965 SH DEFINED 0 27965 0 INTERNATIONAL BUSINESS COM 459200101 1298 13500 SH DEFINED 0 13500 0 I2 TECHNOLOGIES COM 465754109 350 24160 SH DEFINED 0 24160 0 JP MORGAN CHASE & CO COM 46625H100 22 500 SH DEFINED 0 500 0 JOHNSON AND JOHNSON COM 478160104 210 2400 SH DEFINED 0 2400 0 KINDER MORGAN ENERGY PARTNERS COM 494550106 2492 39490 SH DEFINED 0 39490 0 LINEAR TECHNOLOGIES COM 535678106 807 19650 SH DEFINED 0 19650 0 LUCENT TECHNOLOGIES INC. COM 549463107 160 16024 SH DEFINED 0 16024 0 M B N A CORP COM 55262L100 1254 37900 SH DEFINED 0 37900 0 MAXIM INTEGRATED PRODUCTS COM 57772K101 505 12140 SH DEFINED 0 12140 0 MEDIMMUNE COM 584699102 759 21155 SH DEFINED 0 21155 0 MEDTRONIC INCORPORATED COM 585055106 435 9513 SH DEFINED 0 9513 0 MERCK & COMPANY INCORPORATED COM 589331107 1134 14945 SH DEFINED 0 14945 0 MERRILL LYNCH & CO. COM 590188108 131 2360 SH DEFINED 0 2360 0 METLIFE INC COM 59156R108 1670 55560 SH DEFINED 0 55560 0 MICROSOFT CORP. COM 594918104 743 13583 SH DEFINED 0 13583 0 NOKIA CORP ADR COM 654902204 394 16399 SH DEFINED 0 16399 0 NORTEL NETWORKS CORP COM 656568102 678 48245 SH DEFINED 0 48245 0 ORACLE SYS CORP COM 68389X105 1517 101245 SH DEFINED 0 101245 0 PFIZER INCORPORATED COM 717081103 1332 32527 SH DEFINED 0 32527 0 POWER-ONE INC COM 739308104 334 23020 SH DEFINED 0 23020 0 PROCTER & GAMBLE COMPANY COM 742718109 43 690 SH DEFINED 0 690 0 REGIONS FINANCIAL CORP COM 758940100 73 2550 SH DEFINED 0 2550 0 SBC COMMUNICATIONS, INC. COM 78387G103 810 18144 SH DEFINED 0 18144 0 SANGAMO BIOSCIENCES COM 800677106 1279 119010 SH DEFINED 0 119010 0 SCHERING-PLOUGH CORPORATION COM 806605101 29 800 SH DEFINED 0 800 0 CHARLES SCHWAB CORP COM 808513105 730 47332 SH DEFINED 0 47332 0 TECHNOLOGY SELECT SECTOR COM 81369Y803 12 500 SH DEFINED 0 500 0 SEMTECH CORP COM 816850101 868 29490 SH DEFINED 0 29490 0 SOLECTRON CORP (DE) COM 834182107 10 550 SH DEFINED 0 550 0 SUN MICROSYSTEMS INC. COM 866810104 548 35645 SH DEFINED 0 35645 0 TARGET CORP COM 87612E106 1682 46605 SH DEFINED 0 46605 0 TEXAS INSTRUMENTS INC. COM 882508104 1247 40240 SH DEFINED 0 40240 0 TYCO INTERNATIONAL LTD COM 902124106 1414 32706 SH DEFINED 0 32706 0 TYSON FOODS INC CLASS A COM 902494103 10 750 SH DEFINED 0 750 0 USA TRUCK INC COM 902925106 427 55065 SH DEFINED 0 55065 0 UNISYS CORP COM 909214108 462 33000 SH DEFINED 0 33000 0 UNITED AUTO GROUP COM 909440109 377 38590 SH DEFINED 0 38590 0 WAL-MART STORES INC. COM 931142103 1225 24254 SH DEFINED 0 24254 0 WHOLE FOODS MARKET INC. COM 966837106 754 17890 SH DEFINED 0 17890 0 WILLIAMS COMPANIES COM 969457100 1820 42465 SH DEFINED 0 42465 0 WORLDCOM INC COM 98157D106 82 4390 SH DEFINED 0 4390 0 AMDOCS LTD COM G02602103 766 16000 SH DEFINED 0 16000 0 FLEXTRONICS INTERNATIONAL COM Y2573F102 650 43350 SH DEFINED 0 43350 0