-----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, V9Gj4eutMmPzRNZrtvMHu6SaipwPtYKDphMCdkaZHCLqFdqLkWMd25DvhoUl10Xx C4Dbb2wZfe7hwZ16EHbCuQ== /in/edgar/work/0000783003-00-000010/0000783003-00-000010.txt : 20001025 0000783003-00-000010.hdr.sgml : 20001025 ACCESSION NUMBER: 0000783003-00-000010 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000930 FILED AS OF DATE: 20001024 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FINANCIAL INSTITUTIONS RETIREMENT FUND CENTRAL INDEX KEY: 0000783003 STANDARD INDUSTRIAL CLASSIFICATION: [ ] IRS NUMBER: 135645888 STATE OF INCORPORATION: NY FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: SEC FILE NUMBER: 028-01622 FILM NUMBER: 744978 BUSINESS ADDRESS: STREET 1: 108 CORPORATE PARK DRIVE FLOOR 4 CITY: WHITE PLAINS STATE: NJ ZIP: 106043805 MAIL ADDRESS: STREET 1: 108 CORPORATE PARK DRIVE FLOOR 4 CITY: WHITE PLAINS STATE: NY ZIP: 106043805 13F-HR 1 0001.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Quarter Ended: September 30, 2000 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: Financial Institutions Retirement Fund Address: 108 Corporate Park Drive, Fl 4 White Plains, New York 10604-3805 13F File Number: 28-1622 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 ia 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: Name: Mr. Horace J. Caulkins Title: Senior Vice-President and Chief Investment Officer Phone: (914) 694-1300 Signature _________________________ Signed at: White Plains, New York on October 24, 2000. Report Type: 13F Holding Report List of Other Managers Reporting for this Manager: NONE I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES & EXCHANGE COMMISSION OF 1934. Page 1 FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 35 Form 13F Information Table Value Total: $ 56,172,000 Page 2 FINANCIAL INSTITUTIONS RETIREMENT FUND 30 Sept 2000 (13F): CORE EQUITY AND IN HOUSE EQUITY ACCOUNTS ITEM4 ITEM5 PRIN ITEM6 ITEM8 ITEM 1 ITEM2 ITEM3 FAIRMKT SHS AMT INV ITEM7VOTING ISSUER TICKER CLASS CUSIP ($,000) (,000) ($,000) DISCR MGT AUTH - ----------------------------------------------------------------------------- DIAMONDS TR|DIA COM 252787106 320 3 315 SOLE - SOLE ENVIRONMENT|EPTC COM 29406K104 4 27 62 SOLE - SOLE ESYNCH CORP|ESYN COM 297591109 140 47 191 SOLE - SOLE GLOBALNET I|GBNE COM 37940E104 101 7 98 SOLE - SOLE HIBERNIA FO|HIBNY COM 428660104 245 47 305 SOLE - SOLE ISHARES TR |IVV COM 464287200 4,599 32 0 SOLE - SOLE MADDEN STEV|SHOO COM 556269108 43 5 63 SOLE - SOLE MIDCAP SPDR|MDY COM 595635103 2,358 24 1,557 SOLE - SOLE PMCC FINL C|PFC COM 693429102 0 29 207 SOLE - SOLE PERMA-FIX E|PESI COM 714157104 29 20 31 SOLE - SOLE PLAYA MINLS| WT 72811F997 0 0 0 SOLE - SOLE PLAYA MINL | COM 72811F989 50 25 50 SOLE - SOLE REMEDIATION| COM 759547995 0 13 0 SOLE - SOLE SONIC JET P|SJET COM 835455106 8 27 73 SOLE - SOLE STANDARD AU|AJX COM 853097103 186 30 280 SOLE - SOLE STANDARD AU|AJX* CONV PFD 853097202 185 22 222 SOLE - SOLE SUN CMNTYS |SUI COM 866674104 221 7 183 SOLE - SOLE TECHNOLOGY |TFF COM 87869A104 68 45 88 SOLE - SOLE TELULAR COR|WRLS COM 87970T208 71 6 57 SOLE - SOLE TORQUE ENGR|TORQ COM 891321101 3 1 0 SOLE - SOLE VERTEX INTE|VETX COM 925322109 430 24 0 SOLE - SOLE VIVUS INC |VVUS COM 928551100 157 37 187 SOLE - SOLE WEBLINK WIR|WLNK COM 94769A101 115 15 132 SOLE - SOLE THE JAGUAR | COM S86249360 15 0 24 SOLE - SOLE THE JAGUAR | COM S86249400 0 0 44 SOLE - SOLE THE JAGUAR | COM S86249430 190 0 37 SOLE - SOLE THE JAGUAR | COM S86249450 0 0 8 SOLE - SOLE THE JAGUAR | COM S86249580 0 0 81 SOLE - SOLE PLAYA MINLS| CONV NT 72811F9A4 50 50 50 SOLE - SOLE PLAYA MINLS| CONV NT 72811F9B2 50 50 50 SOLE - SOLE REMEDIATION| CONV NT 7595479A2 250 250 250 SOLE - SOLE NDX NOTE TR| BD 6288969A2 22,266 25,000 25,000 SOLE - SOLE NASDQ-100 I| BD 628908AA3 23,262 25,000 25,000 SOLE - SOLE OTC S&P 500| COM S67138050 (4) (17) (408) SOLE - SOLE OTC S & P 5| COM S67142340 758 17 1,365 SOLE - SOLE ---------------------- 56,172 50,840 55,605 -----END PRIVACY-ENHANCED MESSAGE-----