-----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, PcFnZdgwTbyciHBzrnKTxTRNqcQey4+P2LARVVEdruurhfoN1/bTivP3Sorlbj3v wCch0fAFvh0sXMhFZZ9rrg== 0001169232-04-004518.txt : 20040824 0001169232-04-004518.hdr.sgml : 20040824 20040824154538 ACCESSION NUMBER: 0001169232-04-004518 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020331 FILED AS OF DATE: 20040824 DATE AS OF CHANGE: 20040824 EFFECTIVENESS DATE: 20040824 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CARRET ASSET MANAGEMENT CENTRAL INDEX KEY: 0000791490 IRS NUMBER: 134113321 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-01317 FILM NUMBER: 04994174 BUSINESS ADDRESS: STREET 1: 50 WEST 57TH STREET CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 2125933800 MAIL ADDRESS: STREET 1: 50 WEST 57TH STREET CITY: NEW YORK STATE: NY ZIP: 10019 FORMER COMPANY: FORMER CONFORMED NAME: CARRET & CO LLC DATE OF NAME CHANGE: 20001010 FORMER COMPANY: FORMER CONFORMED NAME: CARRET & CO INC DATE OF NAME CHANGE: 19990326 13F-HR/A 1 d60545_13fhra.txt AMENDMENT TO FORM 13F-HR 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, 2002 Check here if Amendment |X|; Amendment Number: 2 This Amendment (Check only one.): |X| is a restatement. |_| adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Carret & Co. LLC Address: 40 E 52nd st 19th floor NY, NY 10022 13F File Number: 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: Robert Searing Title: CFO/Compliance Officer Phone: Signature, Place, and Date of Signing: - -------------------------------------------------------------------------------- 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: 1 Form 13F Information Table Entry Total: 593 Form 13F Information Table Value Total: 987,069 List of Other Included Managers: William H. Webber No. 13F File Number 1 Name William H. Webber FORM 13F Assets Under Management March 31, 2002
VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 3-D SYSTEMS COM 88554D205 938 59000 SH Other 1 59000 3M Co. COM 88579Y101 4441 38612 SH Other 1 38612 AAR CORP COM 000361105 148 13750 SH Other 1 13750 ABBOTT LABORATORIES COM 002824100 12937 245942 SH Other 1 245942 AES CORP COM 00130H105 1528 169752 SH Other 1 169752 AETNA INC COM 00817Y108 1547 39842 SH Other 1 39842 AFLAC INC COM 001055102 5024 170300 SH Other 1 170300 AGILENT TECHNOLOGIES INC. COM 00846u101 2264 64760 SH Other 1 64760 ALBERTSONS INC COM 013104104 253 7649 SH Other 1 7649 ALCAN ALUMINIUM COM 013716105 334 8420 SH Other 1 8420 ALCOA INC COM 013817101 4471 118456 SH Other 1 118456 ALLEGIANT BANCORP INC COM 017476102 685 39800 SH Other 1 39800 ALLIANCE CAP MGMT HOLDING LP COM 01855A101 849 18300 SH Other 1 18300 ALLIANCE RESOURCE PARTNERS LP COM 01877R108 290 12000 SH Other 1 12000 ALLSTATE CORP COM 020002101 335 8866 SH Other 1 8866 ALLTEL CORP COM 020039103 276 4960 SH Other 1 4960 ALTEON INC. COM 02144G107 101 29000 SH Other 1 29000 AMAZON.COM, INC COM 023135106 260 18150 SH Other 1 18150 AMC ENTERTAINMENT COM 001669100 720 52759 SH Other 1 52759 AMER INTERNATIONAL GROUP INC COM 026874107 11969 165918 SH Other 1 165918 AMERICAN ELEC PWR COM 025537101 365 7917 SH Other 1 7917 AMERICAN EXPRESS COM 025816109 5095 124400 SH Other 1 124400 AMERICAN NATIONAL INSURANCE COM 028591105 814 8615 SH Other 1 8615 AMERICAN PWR CONVERSION COM 029066107 3976 269000 SH Other 1 269000 AMERICAN WATER WORKS INC COM 030411102 648 14798 SH Other 1 14798 AMERIGAS PARTNERS LP UNIT COM 030975106 423 19633 SH Other 1 19633 AMGEN INC COM 031162100 5221 87479 SH Other 1 87479 AMSOUTH BANCORPORATION COM 032165102 374 17000 SH Other 1 17000 ANADARKO PETE CORP COM 032511107 592 10491 SH Other 1 10491 ANALOG DEVICES INC COM 032654105 482 10701 SH Other 1 10701 AOL TIME WARNER INC COM 00184a105 9382 396705 SH Other 1 396705 APPLIED INNOVATIONS INC COM 037916103 258 59000 SH Other 1 59000 APPLIED MATLS INC COM 038222105 2289 42175 SH Other 1 42175 ARDIC EXPLORATION & DEV LTD COM 03979K106 266 132962 SH Other 1 132962 ARIAD PHARMACEUTICALS COM 04033a100 53 10000 SH Other 1 10000 ASSOCIATED ESTATE RLTY COM COM AEC 145 14147 SH Other 1 14147 AT & T WIRELESS GROUP COM 00209A106 430 48039 SH Other 1 48039 AT&T CORP COM 001957109 3267 208091 SH Other 1 208091 AUTOMATIC DATA PROCESS COM 053015103 769 13190 SH Other 1 13190 AVAYA INC COM 053499109 115 15643 SH Other 1 15643 AVIALL INC NEW COM 05366B102 199 22000 SH Other 1 22000 AVON PRODUCTS INC COM 054303102 5296 97500 SH Other 1 97500 BAKER HUGHES COM 057224107 1409 36838 SH Other 1 36838 BANK OF AMER CORP NEW COM 060505104 7432 109256 SH Other 1 109256 BANK OF NEW YORK CO INC COM 064057102 4002 95233 SH Other 1 95233 BANK ONE CORP COM 06423A103 1207 28892 SH Other 1 28892 BANKATLANTIC BANCORP CL A COM 065908501 425 32696 SH Other 1 32696 BAUSCH & LOMB INC COM 383 8600 SH Other 1 8600 BAXTER INTERNATIONAL INC COM 071813109 259 4346 SH Other 1 4346 BB&T Corp. COM 054937107 498 13072 SH Other 1 13072 BEAR STEARNS COMPANIES INC COM 073902108 1450 23100 SH Other 1 23100 BECKMAN COULTER INC COM 075811109 262 5131 SH Other 1 5131 BECTON DICKINSON & CO COM 075887109 253 6700 SH Other 1 6700 BED BATH & BEYOND COM 075896100 202 6000 SH Other 1 6000 BELLSOUTH CORP COM 079860102 1930 52365 SH Other 1 52365 BELO CORPORATION COM 080555105 372 16000 SH Other 1 16000 BERKSHIRE HATHAWAY - A COM 084670108 3199 45 SH Other 1 45
1 FORM 13F Assets Under Management March 31, 2002
VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- BERKSHIRE HATHAWAY - B COM 084670207 12541 5294 SH Other 1 5294 BIO - TECH IMAGING PRIVATE PLA COM 1320160 0 25000 SH Other 1 25000 BIOTECH HOLDRs TRUST COM 09067D201 347 2900 SH Other 1 2900 BJS WHOLESALE CLUB INC COM 05548J106 2244 50200 SH Other 1 50200 BLACK & DECKER CORP COM 091797100 3183 68400 SH Other 1 68400 BLUEGREEN CORP COM 096231105 453 90748 SH Other 1 90748 BOEING CO COM 097023105 356 7385 SH Other 1 7385 BRISTOL MYERS SQUIBB COM 110122108 9711 239841 SH Other 1 239841 BURLINGTON NORTHERN SANTA FE COM 12189T104 313 10374 SH Other 1 10374 BURLINGTON RESOURCES COM 122014103 4818 120179 SH Other 1 120179 BWAY CORP COM 056039100 509 40200 SH Other 1 40200 CABLE DESIGN TECHNOLOGIES COM 126924109 808 60550 SH Other 1 60550 CALLAWAY GOLF CO COM 131193104 551 28600 SH Other 1 28600 CARDINAL HEALTH INC COM 14149Y108 2719 38352 SH Other 1 38352 CASCADE CORP COM 147195101 296 21000 SH Other 1 21000 CELGENE CORP COM 151020104 292 11800 SH Other 1 11800 CENDANT CORP COM 151313103 433 22550 SH Other 1 22550 CENTERPOINT PPTYS TR SH BEN IN COM 151895109 324 6000 SH Other 1 6000 CENTURYTEL INC COM 156700106 697 20500 SH Other 1 20500 CHART INDS INC COM 16115Q100 203 96500 SH Other 1 96500 CHEVRONTEXACO CORP COM 166764100 13751 152333 SH Other 1 152333 CHUBB CORP COM 171232101 3143 42998 SH Other 1 42998 CHURCH & DWIGHT CO INC COM 171340102 233 7900 SH Other 1 7900 CIGNA CORP COM 125509109 503 4965 SH Other 1 4965 CINCINNATI FIN'L COM 172062101 3616 82812 SH Other 1 82812 CISCO SYS INC COM 17275R102 9685 572032 SH Other 1 572032 CITIGROUP INC COM 172967101 17151 346346 SH Other 1 346346 CITIZENS COMMUNICATIONS CO. COM 17453B101 111 10300 SH Other 1 10300 CKE RESTAURANTS INC COM 12561E105 192 21500 SH Other 1 21500 CLEAR CHANNEL COMMUNICATIONS COM 184502102 4493 87400 SH Other 1 87400 CLOROX COMPANY COM 189054109 353 8100 SH Other 1 8100 COACH, INC COM 189754104 216 4252 SH Other 1 4252 COCA COLA CO COM 191216100 2039 39017 SH Other 1 39017 COLGATE PALMOLIVE COM 194162103 1408 24630 SH Other 1 24630 COLONIAL BANCGROUP INC COM 195493309 246 16500 SH Other 1 16500 COMCAST CORP CL A SPL COM 200300200 229 7210 SH Other 1 7210 COMPAQ COMPUTER COM 204493100 5011 479553 SH Other 1 479553 COMPUTER ASSOC INT'L COM 204912109 508 23218 SH Other 1 23218 COMPUTER HORIZONS CORP COM 205908106 307 79000 SH Other 1 79000 CONAGRA FOODS INC COM 205887102 552 22755 SH Other 1 22755 CONOCO INC COM 208251504 4754 162932 SH Other 1 162932 CONSECO INC COM 298 82400 SH Other 1 82400 CONTINENTAL AIRLINES-CL B COM 210795308 1232 43500 SH Other 1 43500 CONTINUCARE CORP RESTRICTED COM 995343100 359 718292 SH Other 1 718292 CORNING INC COM 219350105 4113 539705 SH Other 1 539705 COSTCO WHOLESALE CORP. COM 22160K105 4996 125464 SH Other 1 125464 COVAD COMMUNICATIONS GROUP INC COM 222814204 36 16000 SH Other 1 16000 CYBERONICS, INC. COM 23251P102 160 10000 SH Other 1 10000 DEERE & CO COM 244199105 1764 38726 SH Other 1 38726 DEL MONTE PACIFIC LIMITED COM g27054108 636 2802000 SH Other 1 2802000 DELL COMPUTER CORP COM 247025109 2603 99676 SH Other 1 99676 DELPHI FINANCIAL GROUP INC COM 361 9208 SH Other 1 9208 DELTA & PINE LAND CO COM 247357106 1059 55800 SH Other 1 55800 DEPOMED INC COM 249908104 80 16000 SH Other 1 16000 DEVON ENERGY CORPORATION COM 25179M103 549 11371 SH Other 1 11371 DIAMOND OFFSHORE DRILL COM 25271C102 2676 85600 SH Other 1 85600
2 FORM 13F Assets Under Management March 31, 2002
VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- DIMENSIONAL VISION GROUP - RE COM 25434F406 0 100000 SH Other 1 100000 DMI FURNITURE INC COM 233230101 29 15859 SH Other 1 15859 DOLLAR GENERAL CORPORATION COM 256669102 1506 92500 SH Other 1 92500 DOLLAR TREE STORES INC COM 256747106 3842 117100 SH Other 1 117100 DOMINION RES INC VA NEW COM 25746U109 733 11253 SH Other 1 11253 DOMTAR INC COM 257561100 748 68675 SH Other 1 68675 DORAL FINL CORP COM 25811P100 7707 227000 SH Other 1 227000 DOUBLE EAGLE PETE&MNG COM PAR COM DBLE 111 25900 SH Other 1 25900 DOVER CORP COM 260003108 353 8600 SH Other 1 8600 DTE ENERGY CO COM 233331107 395 8690 SH Other 1 8690 DU PONT E I DE NEMOURS COM 263534109 2657 56355 SH Other 1 56355 DUKE ENERGY CORP COM 264399106 2789 73787 SH Other 1 73787 DUKE REALTY INVT INC NEW COM 264411505 211 8100 SH Other 1 8100 DYNEGY INC CL-A COM 26816Q101 610 21050 SH Other 1 21050 E M C CORP MASS COM 268648102 3964 332528 SH Other 1 332528 EASTMAN KODAK CO COM 277461109 532 17078 SH Other 1 17078 EASYLINK SVCS CORP COM 27784T200 121 45000 SH Other 1 45000 EGL INC COM 268484102 1575 99350 SH Other 1 99350 EL PASO CORP COM 28336L109 3678 83545 SH Other 1 83545 ELOT INC COM 290143106 1 25000 SH Other 1 25000 EMERSON ELECTRIC COM 291011104 803 13996 SH Other 1 13996 ENERGY CONVERSION DEVICES COM 292659109 399 19250 SH Other 1 19250 ENERGY EAST CORPORATION COM 29266m109 291 13400 SH Other 1 13400 ENSCO INT'L COM 26874Q100 214 7098 SH Other 1 7098 ENZO BIOCHEM INC COM 294100102 389 19182 SH Other 1 19182 EOG RESOURCES INC COM 26875P101 2081 51304 SH Other 1 51304 EQUITY RESIDENT PPTYS COM 29476L107 1617 56274 SH Other 1 56274 ESTERLINE TECHNOLOGIES CORPORA COM 297425100 206 10100 SH Other 1 10100 ETHAN ALLEN INTERIORS COM 297602104 384 10100 SH Other 1 10100 EXXON MOBIL CORP COM 30231g102 24265 553620 SH Other 1 553620 FAIRCHILD SEMICONDUCTOR INTL COM 303726103 3830 133900 SH Other 1 133900 FAMILY DOLLAR STORES INC COM 307000109 3502 104500 SH Other 1 104500 FEDERAL NATL MTG ASSN COM 313586109 7770 97277 SH Other 1 97277 FEDERATED DEP'T STORES COM 31410H101 2451 60005 SH Other 1 60005 FIDELITY NATIONAL FINANCIAL IN COM 316326107 343 13000 SH Other 1 13000 FIFTH THIRD BANCORP COM 316773100 1259 18653 SH Other 1 18653 FIRST DATA CORP COM 319963104 511 5860 SH Other 1 5860 FIRST GEORGIA HLDG INC COM 320369101 38 10000 SH Other 1 10000 FIRST NATIONAL BANK ALASKA COM 32112j106 825 600 SH Other 1 600 FIRSTMERIT CORP COM 337915102 6630 230302 SH Other 1 230302 FLEETBOSTON FINL CORP COM 339030108 5041 144034 SH Other 1 144034 FLOWSERVE CORP COM 34354P105 1280 40000 SH Other 1 40000 FLUOR CORP COM 343412102 3447 84500 SH Other 1 84500 FORD MTR CO COM 345370860 2356 142879 SH Other 1 142879 FORTUNE BRANDS INC COM 349631101 388 7850 SH Other 1 7850 FPL GROUP INC COM 302571104 783 13152 SH Other 1 13152 FRANKLIN RES INC COM 354613101 284 6765 SH Other 1 6765 FREDDIE MAC (FED HM LOAN MTG) COM 313400301 8941 141090 SH Other 1 141090 FREEPORT-MCMORAN COPPPER B COM 35671D857 474 26880 SH Other 1 26880 FREQUENCY ELECTRS INC COM 358010106 1048 80600 SH Other 1 80600 FRISCHS RESTAURANTS COM 358748101 202 10214 SH Other 1 10214 FRONTIER AIRLINES INC COM 359065109 988 53940 SH Other 1 53940 GANNETT INC COM 364730101 2055 27005 SH Other 1 27005 GATX CORP COM 361448103 1288 40496 SH Other 1 40496 GENELABS TECHNOLOGIES INC COM 368706107 983 558600 SH Other 1 558600 GENERAL DYNAMICS CORP COM 369550108 280 2976 SH Other 1 2976
3 FORM 13F Assets Under Management March 31, 2002
VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- GENERAL ELEC CO COM 369604103 28947 772950 SH Other 1 772950 GENERAL MILLS INC COM 370334104 309 6317 SH Other 1 6317 GENERAL MTRS COM 370442105 2185 36141 SH Other 1 36141 GENERAL MTRS - H COM 370442832 1579 96004 SH Other 1 96004 GENUINE PARTS CO COM 372460105 1499 40760 SH Other 1 40760 GENZYME CORP COM 372917104 2079 47600 SH Other 1 47600 GEORGIA PACIFIC GROUP COM 373298108 279 9300 SH Other 1 9300 GILLETTE CO COM 375766102 3481 102358 SH Other 1 102358 GRACO INC COM 384109104 568 13910 SH Other 1 13910 GRANITE CONSTR INC COM 387328107 489 19887 SH Other 1 19887 GREIF BROS CL B COM 397624206 851 25600 SH Other 1 25600 GREIF BROS CORP CLASS A COM 4819 134975 SH Other 1 134975 H T E INC COM 403926108 221 46500 SH Other 1 46500 HALLIBURTON CO COM 406216101 719 42143 SH Other 1 42143 HAMMOND SECURITIES CO LLC COM 12 11667 SH Other 1 11667 HARRAH'S ENTMT INC COM COM 413619107 584 13200 SH Other 1 13200 HARTFORD FINANCIAL SERVICES GR COM 416515104 1706 25043 SH Other 1 25043 HAVERTY FURNITURE COM 419596101 258 15000 SH Other 1 15000 HAWAIIAN ELEC INDS COM 419870100 247 5617 SH Other 1 5617 HCA - THE HEALTHCARE COMPANY COM 404119109 2627 59600 SH Other 1 59600 HEINZ H J CO COM 423074103 293 7051 SH Other 1 7051 HERSHEY FOODS CORP COM 427866108 1822 26581 SH Other 1 26581 HEWLETT PACKARD CO COM 428236103 1738 96858 SH Other 1 96858 HOME DEPOT INC COM 437076102 9617 197838 SH Other 1 197838 HOME PPTYS NY COM 437306103 668 19400 SH Other 1 19400 HOMEFED CORP COM 43739D208 13 15000 SH Other 1 15000 HONEYWELL INTL INC COM 438516106 4741 123880 SH Other 1 123880 HORIZON ORGANIC HOLDING CORP COM 44043T103 332 20200 SH Other 1 20200 HORMEL FOODS CORP COM 440452100 219 8000 SH Other 1 8000 HOSPITALITY PPTYS COM 44106M102 3653 106400 SH Other 1 106400 HOUSEHOLD INT'L INC COM 441815107 417 7346 SH Other 1 7346 HUDSON UNITED BANCORP COM 444165104 204 6419 SH Other 1 6419 HUNTINGTON BANCSHARES INC COM 446150104 541 27465 SH Other 1 27465 I. D. SYSTEMS INC. COM 449489103 82 10000 SH Other 1 10000 IDACORP INC COM 451107106 497 12265 SH Other 1 12265 IGENE BIOTECHNOLOGY INC COM 451695100 3 50000 SH Other 1 50000 IMMUNEX CORP COM 452528102 993 32800 SH Other 1 32800 IMS HEALTH INC COM 449934108 516 23004 SH Other 1 23004 INDEPENDENCE CMNTY BK COM 453414104 305 10857 SH Other 1 10857 INDEPENDENT BANK CORP-MICH COM 453838104 267 9270 SH Other 1 9270 INGERSOLL RAND CO LTD CL A COM g4776g101 1672 33430 SH Other 1 33430 INT'L PAPER CO COM 460146103 350 8148 SH Other 1 8148 INTEL CORP COM 458140100 17421 572876 SH Other 1 572876 INTERACTIVE TELESIS, INC. COM 45838A209 0 16923 SH Other 1 16923 INTERMOUNTAIN RES INC COM COM 458842101 0 20000 SH Other 1 20000 INTERNATIONAL BUSINESS MACHINE COM 459200101 23153 222620 SH Other 1 222620 INTERNATIONAL FLAV&FRA COM 459506101 3539 101200 SH Other 1 101200 INTERPUBLIC GROUP COS COM 460690100 390 11372 SH Other 1 11372 IONICS INC. COM 462218108 423 13200 SH Other 1 13200 IRWIN FINANCIAL CORPORATION COM 464119106 318 17000 SH Other 1 17000 J P MORGAN CHASE & CO. COM 46625h100 3621 101580 SH Other 1 101580 JDS UNIPHASE CORP COM 46612J101 60 10130 SH Other 1 10130 JEFFERSON PILOT CORP COM 1512 30200 SH Other 1 30200 JOHN WILEY & SONS INC - A COM 968223206 776 29600 SH Other 1 29600 JOHNSON & JOHNSON COM 478160104 22317 343601 SH Other 1 343601 JPM CO COM 465933109 1 58000 SH Other 1 58000
4 FORM 13F Assets Under Management March 31, 2002
VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- KELLOGG CO COM 487836108 222 6600 SH Other 1 6600 KERR-MCGEE CORP COM 492386107 508 8079 SH Other 1 8079 KEYCORP NEW COM 493267108 1095 41106 SH Other 1 41106 KEYSPAN CORP COM 49337W100 602 16545 SH Other 1 16545 KIMBERLY CLARK COM 494368103 1035 16008 SH Other 1 16008 KRAFT FOODS INC-A COM 50075N104 508 13150 SH Other 1 13150 KROGER CO COM 501044101 6375 287700 SH Other 1 287700 LAFARGE CORP COM 505862102 2875 66500 SH Other 1 66500 LAKELAND INDS INC COM 511795106 526 54200 SH Other 1 54200 LEAR CORP COM 521865105 6945 145900 SH Other 1 145900 LEHMAN BROS HLDGS COM 524908100 1257 19445 SH Other 1 19445 LIBERTY MEDIA CORP - A COM 530718105 2225 176010 SH Other 1 176010 LILLY ELI & CO COM 532457108 4529 59436 SH Other 1 59436 LINCARE HOLDINGS INC COM 532791100 406 14980 SH Other 1 14980 LINCOLN NATIONAL CORP -IND- COM 2141 42200 SH Other 1 42200 LINEAR TECHNOLOGY CORP COM 535678106 265 5984 SH Other 1 5984 LIZ CLAIBORNE INC COM COM 539320101 839 29575 SH Other 1 29575 LOWES COS INC COM 548661107 798 18340 SH Other 1 18340 LSI LOGIC COM 502161102 307 18058 SH Other 1 18058 LUCENT TECHNOLOGIES COM 549463107 951 201122 SH Other 1 201122 LUMINEX CORP COM 55027E102 474 37735 SH Other 1 37735 MANULIFE FINANCIAL CORP COM 56501R106 892 32500 SH Other 1 32500 MARRIOTT INTL INC NEW CL A COM 571903202 248 5516 SH Other 1 5516 MATTEL INC COM 577081102 236 11312 SH Other 1 11312 MAYTAG CORP COM 578592107 438 9904 SH Other 1 9904 MBIA INC COM 55262C100 1234 22561 SH Other 1 22561 MC CORMICK & CO INC NV COM 579780206 271 5294 SH Other 1 5294 MCDONALDS CORP COM 580135101 558 20112 SH Other 1 20112 MEDIMMUNE INC. COM 584699102 2875 73100 SH Other 1 73100 MEDIS TECHNOLOGIES LTD COM 58500P107 624 50799 SH Other 1 50799 MEDTRONIC INC COM 585055106 2571 56875 SH Other 1 56875 MELLON FINANCIAL CORP COM 58551A108 1266 32801 SH Other 1 32801 MERCK & CO INC COM 589331107 7265 126173 SH Other 1 126173 MERIDIAN RESOURCE CORP COM 58977Q109 52 10656 SH Other 1 10656 MERRILL LYNCH & CO INC COM 590188108 2745 49568 SH Other 1 49568 MGIC INVT CORP WIS COM 552848103 1334 19500 SH Other 1 19500 MICROSOFT CORP COM 594918104 11951 198153 SH Other 1 198153 MID AMER MINERALS INC COM COM 59522G109 0 10000 SH Other 1 10000 MIDAMERICA BANCORP COM 595915109 258 7592 SH Other 1 7592 MOODY'S CORPORATION COM 615369105 1093 26600 SH Other 1 26600 MORGAN STAN DEAN WITTER COM 617446448 757 13217 SH Other 1 13217 MOTOROLA INC COM 620076109 2727 192058 SH Other 1 192058 MRV COMMUNICATIONS INC COM 553477100 54 19000 SH Other 1 19000 NABORS INDUSTRIES INC COM 629568106 282 6675 SH Other 1 6675 NATIONAL CITY CORP COM 635405103 2322 75485 SH Other 1 75485 NBTY INC COM 628782104 186 10875 SH Other 1 10875 NCO GROUP INC COM 628858102 798 28750 SH Other 1 28750 NETWORK ASSOCIATES, INC. COM 640938106 211 8720 SH Other 1 8720 NEW GENERATION HOLDING INC COM 64446R108 67 50000 SH Other 1 50000 NEW YORK TIMES CL A COM 650111107 466 9730 SH Other 1 9730 NEWMONT MINING CORP COM 651639106 3279 118426 SH Other 1 118426 NEXTEL COMMUNICATIONS - A COM 65332v103 56 10496 SH Other 1 10496 NOBLE AFFILIATES INC COM 654894104 933 23897 SH Other 1 23897 NOBLE DRILLING CORP COM 655042109 393 9500 SH Other 1 9500 NORTH AMERICA DETECTORS COM 656918109 0 81000 SH Other 1 81000
5 FORM 13F Assets Under Management March 31, 2002
VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- NORTHERN TR CORP COM 665859104 382 6348 SH Other 1 6348 NORTHWEST NAT GAS CO COM 667655104 211 7550 SH Other 1 7550 NOVELL INC COM 670006105 51 13200 SH Other 1 13200 NSTAR COM 67019E107 221 4869 SH Other 1 4869 OCEAN ENERGY INC TEX CON COM 67481e106 787 39750 SH Other 1 39750 OGLEBAY NORTON CO NEW COM 677007106 1233 122100 SH Other 1 122100 ONEIDA LTD COM 682505102 431 28750 SH Other 1 28750 ORACLE CORP COM 68389X105 9928 775612 SH Other 1 775612 PACIFICARE HEALTH SYSTEMS INC COM 695112102 714 40900 SH Other 1 40900 PALL CORP COM 696429307 675 32932 SH Other 1 32932 PARAMETRIC TECH CORP COM 699173100 290 48018 SH Other 1 48018 PARTNERRE LTD COM G6852T105 1638 30000 SH Other 1 30000 PAXAR CORP COM 704227107 1533 91000 SH Other 1 91000 PENNSYLVANIA REAL EST TR COM 709102107 255 10000 SH Other 1 10000 PEPSICO INC COM 713448108 8140 158060 SH Other 1 158060 PFIZER INC COM 717081103 14056 353689 SH Other 1 353689 PHARMACIA CORPORATION COM 71713U102 2377 52737 SH Other 1 52737 PHILIP MORRIS COS COM 718154107 4807 91270 SH Other 1 91270 PHILLIPS PETROLEUM CO COM 718507106 7100 113056 SH Other 1 113056 PHOENIX GOLD INT'L COM 719068108 50 35000 SH Other 1 35000 PITNEY BOWES INC COM 724479100 2505 58539 SH Other 1 58539 PLUM CREEK TIMBER COM 729251108 1677 56429 SH Other 1 56429 PNC FINANCIAL SVCS GROUP INC COM 693475105 1086 17667 SH Other 1 17667 POLYMER GROUP, INC. COM 731745105 15 26000 SH Other 1 26000 POPE EVANS & ROBBINS INC COM 732852108 0 26000 SH Other 1 26000 PRAXAIR INC COM 74005P104 1277 21350 SH Other 1 21350 PRECISION CASTPARTS CP COM 740189105 531 15000 SH Other 1 15000 PROCTER & GAMBLE COM 742718109 4814 53439 SH Other 1 53439 PROGRESS ENERGY INC. COM 743263105 537 10740 SH Other 1 10740 PROGRESSIVE CORP-OHIO- COM 3804 22831 SH Other 1 22831 PROQUEST COMPANY COM 74346P102 258 6000 SH Other 1 6000 PROVIDENT BANKSHARES CORP COM 743859100 892 37159 SH Other 1 37159 PROVIDIAN FINL COM 74406A102 88 11602 SH Other 1 11602 PUBLIC SVC ENTERPRISE COM 744573106 340 7433 SH Other 1 7433 PURE H2O BIO-TECHNOLOGIES COM 746223106 0 15000 SH Other 1 15000 QUALCOMM INC COM 747525103 729 19379 SH Other 1 19379 QUESTAR CORP COM 748356102 563 21900 SH Other 1 21900 QWEST COMMUNICATIONS INTERNATI COM 749121109 240 29255 SH Other 1 29255 R & B INC COM 749124103 280 33700 SH Other 1 33700 RAYTHEON COMPANY COM 755111507 1372 33420 SH Other 1 33420 READERS DIGEST - A - NON VTG COM 755267101 948 42304 SH Other 1 42304 RITE AID CORP COM 767754104 85 24500 SH Other 1 24500 ROWAN COS INC COM 779382100 470 20400 SH Other 1 20400 SAFECO CORP COM 3938 122924 SH Other 1 122924 SAFEWAY INC NEW COM 786514208 1351 30009 SH Other 1 30009 SARA LEE CORP COM 803111103 1838 88551 SH Other 1 88551 SBC COMMUNICATIONS INC COM 78387g103 7694 205513 SH Other 1 205513 SBS BROADCASTING SA COM l8137f102 358 18900 SH Other 1 18900 SCHERING PLOUGH COM 806605101 5782 184731 SH Other 1 184731 SCHLUMBERGER LTD COM 806857108 6068 103154 SH Other 1 103154 SCIENT INC COM 808649107 7 56600 SH Other 1 56600 SCIENTIFIC ATLANTA INC COM 808655104 431 18661 SH Other 1 18661 SECURITY BANK CORP COM 4 11375 SH Other 1 11375 SELECT COMFORT CORP COM 81616x103 196 47035 SH Other 1 47035 SEVENTH GENERATION COM 836997aa4 778 432008 SH Other 1 432008 SHAW GROUP INC. COM 820280105 2648 96300 SH Other 1 96300
6 FORM 13F Assets Under Management March 31, 2002
VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- SHELL TRANS&TRAD PLC NY COM 822703609 1287 29075 SH Other 1 29075 SIONIX CORP COM COM SINX 8 43000 SH Other 1 43000 SOLECTRON CORP COM 834182107 114 14600 SH Other 1 14600 SOMANETICS CORP NEW COM 834445405 36 10000 SH Other 1 10000 SONIC INNOVATIONS, INC. COM 83545M109 850 170000 SH Other 1 170000 SOUTHERN CO COM 842587107 363 13700 SH Other 1 13700 SOUTHWEST AIRLS CO COM 844741108 1570 81161 SH Other 1 81161 SOUTHWEST GAS COM 844895102 566 22640 SH Other 1 22640 SOVEREIGN BANCORP INC COM 845905108 1553 110540 SH Other 1 110540 SPRINT CORP (PCS GRP) COM 852061506 212 20601 SH Other 1 20601 SPRINT CORP - FON GROUP COM 852061100 637 41631 SH Other 1 41631 SPX CORP COM 784635104 354 2500 SH Other 1 2500 ST JOE CO COM 790148100 1548 51600 SH Other 1 51600 STATE AUTO FINL COM 855707105 3696 254000 SH Other 1 254000 STERIS CORP COM 859152100 238 11400 SH Other 1 11400 STRYKER CORP COM 863667101 1140 18896 SH Other 1 18896 SUBURBAN PROPANE PARTNERS LP L COM 864482104 225 8600 SH Other 1 8600 SUN MICROSYSTEMS INC COM 866810104 4612 522946 SH Other 1 522946 SUNTRUST BKS INC COM 867914103 3649 54681 SH Other 1 54681 SYBASE INC COM 871130100 648 37115 SH Other 1 37115 SYMBOL TECHNOLOGIES COM 871508107 176 15691 SH Other 1 15691 SYNOVUS FINL CORP COM 87161C105 1703 55886 SH Other 1 55886 SYSCO CORP COM 871829107 433 14524 SH Other 1 14524 TARGET CORP COM 87612E106 2377 55133 SH Other 1 55133 TECO ENERGY INC COM 872375100 1655 57800 SH Other 1 57800 TELEPHONE & DATA SYS COM 879433100 600 6800 SH Other 1 6800 TELLABS INC COM COM 879664100 334 31864 SH Other 1 31864 TERAYON COMMNS SYS COM 880775101 228 26900 SH Other 1 26900 TEVA PHARMACEUTICAL INDUSTRIES COM 881624209 213 3900 SH Other 1 3900 TEXAS INSTRS INC COM 882508104 441 13325 SH Other 1 13325 TEXTRON INC COM 883203101 1941 37980 SH Other 1 37980 THERMO ELECTRON CORP COM 883556102 985 47539 SH Other 1 47539 THOMAS & BETTS CORP COM 884315102 277 13100 SH Other 1 13100 THORATEC LABS CORP COM 885175307 322 29400 SH Other 1 29400 TIFFANY & CO. COM 886547108 1799 50600 SH Other 1 50600 TORO CO COM COM 891092108 513 8600 SH Other 1 8600 TOYS R US INC COM 892335100 1257 69978 SH Other 1 69978 TRAFFIX INC COM 892721101 73 10000 SH Other 1 10000 TRANSOCEAN SEDCO FOREX INC COM G90078109 3722 112017 SH Other 1 112017 TRAVELERS PROPERTY & CASUALTY COM 89420G109 430 22000 SH Other 1 22000 TRIBUNE CO NEW COM 896047107 1736 38150 SH Other 1 38150 TXU CORP. COM 873168108 679 12460 SH Other 1 12460 TYCO INT'L LTD COM 902124106 11609 359193 SH Other 1 359193 TYSON FOODS INC CL A COM 902494103 610 48867 SH Other 1 48867 U.S. BANCORP COM 902973304 2060 91258 SH Other 1 91258 UNION PACIFIC CORP COM 907818108 382 6150 SH Other 1 6150 UNITED DOMINION RLTY TR COM 910197102 238 15000 SH Other 1 15000 UNITED INDUSTRIAL CORP COM 910671106 211 9500 SH Other 1 9500 UNITED PARCEL SERVICE INC CL B COM 911312106 1233 20280 SH Other 1 20280 UNITED RENTALS INC COM 911363109 6216 226200 SH Other 1 226200 UNITED TECHNOLOGIES CP COM 913017109 6500 87599 SH Other 1 87599 UNITEDGLOBALCOM INC CL-A COM 913247805 388 71645 SH Other 1 71645 UNIVERSAL HEALTH RLTY COM 91359E105 476 19800 SH Other 1 19800 UNIVERSAL HLTH SVCS - B COM 913903100 289 7000 SH Other 1 7000 UNOCAL CORP COM COM 915289102 329 8438 SH Other 1 8438 USA NETWORKS INC COM 902984103 7164 225494 SH Other 1 225494
7 FORM 13F Assets Under Management March 31, 2002
VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- VALERO ENERGY CORP NEW COM 91913Y100 659 13300 SH Other 1 13300 VERITAS DGC INC COM 92343P107 245 14500 SH Other 1 14500 VERIZON COMMUNICATIONS COM 92343V104 8148 178491 SH Other 1 178491 VIACOM INC CL B COM 925524308 9046 187014 SH Other 1 187014 VULCAN MATLS CO COM 929160109 537 11300 SH Other 1 11300 WACHOVIA CORP 2ND NEW COM COM 929903102 473 12763 SH Other 1 12763 WAL MART STORES COM 931142103 6610 107842 SH Other 1 107842 WALGREEN CO COM 931422109 4969 126800 SH Other 1 126800 WALT DISNEY CO COM 254687106 7644 331180 SH Other 1 331180 WASHINGTON MUTUAL INC COM 939322103 446 13465 SH Other 1 13465 WASTE MGMT INC COM 94106l109 238 8745 SH Other 1 8745 WEB PORTALS/ISP COM 439338104 12 38462 SH Other 1 38462 WELLPOINT HEALTH NETWORKS INC COM 94973H108 446 7000 SH Other 1 7000 WELLS FARGO & CO COM 949746101 6898 139632 SH Other 1 139632 WHOLE FOOD MARKET COM 966837106 218 4775 SH Other 1 4775 WILLIAMS COS INC COM 969457100 2970 126042 SH Other 1 126042 WILSHIRE FIN'L SVCS GROUP INC COM 971867205 1054 456478 SH Other 1 456478 WINSTAR COMMUNICATIONS INC COM 975515107 0 18000 SH Other 1 18000 WORLDCOM GROUP COM 98157d106 2600 385765 SH Other 1 385765 WORLDCOM INC-MCI GROUP COM 98157d304 59 10017 SH Other 1 10017 WYETH COM 983024100 9148 139345 SH Other 1 139345 XEROX CORP COM 984121103 1556 144711 SH Other 1 144711 XILINX INC COM 983919101 941 23600 SH Other 1 23600 XL CAPITAL LTD-CL A COM G98255105 765 8200 SH Other 1 8200 ZI CORPORATION COM 988918108 79 14200 SH Other 1 14200 ZIMMER HOLDINGS COM 98956p102 261 7658 SH Other 1 7658 BANCO BILBAO VIZCAYA ARGENTARI 05946k101 148 12599 SH Other 1 12599 BP AMOCO PLC SPON ADR 055622104 6877 129517 SH Other 1 129517 CABLE & WIRELESS PLC SPONSORED 126830207 430 43700 SH Other 1 43700 DAIMLERCHRYSLER AG ORD D1668R123 301 6693 SH Other 1 6693 ELAN PLC ADR 284131208 1260 90550 SH Other 1 90550 ERICSSON TEL CO ADR 294821400 239 57210 SH Other 1 57210 GLAXO SMITHKLINE PLC SPON ADR 37733W105 2606 55456 SH Other 1 55456 ING GROUP N V SPONSORED ADR 456837103 1558 57908 SH Other 1 57908 KONINKLIJKE AHOLD N V SPON ADR 500467303 409 15646 SH Other 1 15646 KONINKLIJKE PHILIPS ELECTRS SP 500472303 959 31722 SH Other 1 31722 NOKIA CORP-SPONSORED ADR REPST 654902204 3423 165059 SH Other 1 165059 NOVARTIS AG-SPONSORED ADR 66987v109 257 6491 SH Other 1 6491 ROGERS COMMUNICATIONS CL B 775109200 164 12000 SH Other 1 12000 ROYAL DUTCH PETROLEUM CO NY RE 780257804 4493 82720 SH Other 1 82720 ROYAL KPN NEDERLAND NV SPONSOR 780641205 66 12966 SH Other 1 12966 TAIWAN SEMICONDUCTOR MFG CO LT 874039100 466 22466 SH Other 1 22466 TOYOTA MOTOR CORP SP ADR TM 446 7665 SH Other 1 7665 UBS AG ORDINARY H8920G155 315 6339 SH Other 1 6339 UNITED PAN-EUROPE COMMUNICATIO 911300200 3 20000 SH Other 1 20000 VIVENDI UNIVERSAL - SP ADR 92851s204 213 5524 SH Other 1 5524 VODAFONE GROUP PLC SPON ADR 92857W100 670 36369 SH Other 1 36369 ALADDIN KNOWLEDGE SYSTEMS LTD M0392N101 130 37000 SH Other 1 37000 KNIGHTSBRIDGE TANKERS G5299G106 251 13800 SH Other 1 13800 P T BANK BIRA Y0632L102 7 100000 SH Other 1 100000 UNIBANCO-UNIAO DE BANC GDR REP 90458E107 350 14300 SH Other 1 14300 APPLIED SEMICONDUCTOR, INC SER 022994123 101 16800 SH Other 1 16800 GENETIC ID INC CONV PFD SER B 382991107 176 14650 SH Other 1 14650 STAT-CHEM INC. PFD SER B 847995107 100 100001 SH Other 1 100001 TAENSA, INC. SERIES A 140 56000 SH Other 1 56000 TAENSA, INC. SERIES C 904995107 50 20000 SH Other 1 20000
8 FORM 13F Assets Under Management March 31, 2002
VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- -------- ---------- -------- -------- AXA ASIA PACIFIC HLDGS PAR ORD COM 6617794 19 11586 SH Other 1 11586 BRESAGEN NPV COM q1757g109 133 255000 SH Other 1 255000 COMMONWEALTH BANK OF AUSTRALIA COM q26915100 237 13872 SH Other 1 13872 COMPUTERSHARE LTD NPV(POST REC COM 6180412 58 44000 SH Other 1 44000 FUTURIS CORP LTD A$0.20 PAR COM q39718103 169 178000 SH Other 1 178000 POLARTECHNICS LTD A$0.20 PAR COM q7682m103 95 62593 SH Other 1 62593 SPOTLESS GROUP LTD-ORD A$0.50 COM q86963107 122 50000 SH Other 1 50000 ST GEORGE BANK LTD-ORD A$1.00 COM q8757f106 290 29750 SH Other 1 29750 STERICORP LTD NPV AUSTRALIA LI COM q8750r107 119 400000 SH Other 1 400000 EADS(EURO AERONAUT) EUR1 COM f17114103 326 23100 SH Other 1 23100 GRUPO DRAGADOS SA MADRID EUR1 COM e5700x104 307 24000 SH Other 1 24000 BEIJING CAPITAL INT'L AIRPORT COM 6208422 169 692000 SH Other 1 692000 CHEUNG KONG HOLDINGS LTD ORD ( COM y13213106 358 40000 SH Other 1 40000 CHINA PETROLEUM & CHEMICAL COR COM 65 400000 SH Other 1 400000 HUTCHISON WHAMPOA LTD-ORD H$0. COM y38024108 339 38500 SH Other 1 38500 JOHNSON ELECTRIC HOLDINGS LTD- COM g5150j140 1033 736000 SH Other 1 736000 LI & FUNG HKD0.025 PAR NEW COM g5485f144 54 34000 SH Other 1 34000 LI & FUNG HKDO .025 COM 6286257 399 250000 SH Other 1 250000 LI & FUNG LTD NEW HKD0.05(PARA COM g5485f136 126 79000 SH Other 1 79000 NANJING PANDA ELECTRONICS COM y6204f100 42 100000 SH Other 1 100000 WAH SANG GAS HOLDINGS LTD COM g9419c128 461 4192000 SH Other 1 4192000 YANZHOU COAL MINING COM 6109893 677 1718000 SH Other 1 1718000 ZHEJIANG EXPRESSWAY CO COM 558 2150000 SH Other 1 2150000 CONSORCIO ARA SA DE CV SER UNI COM arcz6 bz 51 25000 SH Other 1 25000 GRUPO FINANCIERO BBVA BANCOMER COM p49505103 182 166000 SH Other 1 166000 SAN MIGUEL SA-SER B AP 0.1 PAR COM p85215104 93 26327 SH Other 1 26327 LAND & HOUSE PUBLIC CO LTD (FO COM y5172c115 146 100000 SH Other 1 100000 THAI FARMERS BANK PUBLIC CO LT COM y86219113 88 150000 SH Other 1 150000 DIAMONDS TR UNIT SER 1 252787106 628 6053.977 SH Other 1 6053.977 ISHARES RUSSELL 2000 464287655 1265 12640.000 SH Other 1 12640.000 ISHARES S&P MIDCAP 400 464287507 447 4142.000 SH Other 1 4142.000 ISHARES TR DJ US FINL SEC IYF 205 2476.054 SH Other 1 2476.054 MIDCAP SPDR TR UNIT SER 1 595635103 458 4638.000 SH Other 1 4638.000 NASDAQ-100 SHARES 631100104 514 14250.000 SH Other 1 14250.000 STANDARD & POORS DEPOSITORY RE 78462F103 2355 20563.361 SH Other 1 20563.361 KEMPER INSD CORP TR UT 6 LTD P 487903213 16 19782 SH Other 1 19782 CAMPBELL SOUP CO 134429AK5 66 65000 PRN Other 1 65000 AES TRUST III PFD CONV 6.75% 00808N202 718 31900 SH Other 1 31900 ELECTRONIC DATA SYSTEMS PREFER 285661203 253 5000 SH Other 1 5000 ENRON CORP EXCHANGEABLE NOTES 293561882 65 20100 SH Other 1 20100 IFC CAP TRUST III 449498203 2106 73500 SH Other 1 73500 RAYTHEON CO 8.25% CV PFD 755111606 1950 28675 SH Other 1 28675 SEALED AIR 2.000 SER A CV PRF 81211k209 3895 84960 SH Other 1 84960 NEW MEXICO ST HWY COMM TAX REV 647357AE2 77 75000 PRN Other 1 75000 AMERICAN INVEST CO OF AMER - A 461308108 307 10628.426 SH Other 1 10628.426 ARTISAN INTERNATIONAL FUND 04314H204 559 30175.022 SH Other 1 30175.022 BT ADVISOR FDS EAFE EQ INDEX 05576L874 1864 195606.863 SH Other 1 195606.863 CALVERT SOCIAL INVESTMENT MNG 131618860 820 49737.334 SH Other 1 49737.334 DFA INVESTMENT DIMENSIONS LAR 233203827 564 34388.647 SH Other 1 34388.647 DLJ HIGH YIELD BOND 23322Y108 92 16000.000 SH Other 1 16000.000 DOMINI SOCIAL EQUITY FUND 257132100 355 12984.179 SH Other 1 12984.179 FIDELITY ADVISOR MORTGAGE 266 2596.800 SH Other 1 2596.800 FRANKLIN CUST US GOVT A 353496607 220 32388.121 SH Other 1 32388.121 JANUS FUND INC 471023101 219 8926.382 SH Other 1 8926.382 LAZARD SMALL CAP PORTFOLIO FD 52106N509 890 47023.730 SH Other 1 47023.730 MAINSTAY BLUE CHIP GROWTH - A 56062F616 199 18654.368 SH Other 1 18654.368
9 FORM 13F Assets Under Management March 31, 2002
VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- --------- ---------- -------- -------- MAINSTAY CONVERTIBLE FUND 56062f780 177 15334.983 SH Other 1 15334.983 MAINSTAY EQUITY INCOME FUND 56062f491 573 39398.518 SH Other 1 39398.518 MAINSTAY FDS CAP APPRECTN A 56062F665 1035 33039.826 SH Other 1 33039.826 MAINSTAY FDS EQUITY INDEX 56062F848 683 18287.996 SH Other 1 18287.996 MAINSTAY GROWTH OPPORTUNITIES 56062f541 513 43386.689 SH Other 1 43386.689 MAINSTAY TOTAL RETURN - A 56062F798 357 19598.864 SH Other 1 19598.864 MORGAN J P SER TR TX AWR EQ SE 616920104 323 19485.333 SH Other 1 19485.333 PIONEER FUND 723682100 261 6498.014 SH Other 1 6498.014 PIONEER GROWTH 723907101 247 19091.894 SH Other 1 19091.894 SCHWAB CAP TR INSTL 500 S&P ISLCX 1382 153764.579 SH Other 1 153764.579 SEI S&P 500 INDEX 783924103 218 6146.210 SH Other 1 6146.210 SOLONIAN GOLD RESERVE LP 998356109 571 15.250 SH Other 1 15.250 STRONG ADV BOND FUND INVT Z 86334F409 109 10363.596 SH Other 1 10363.596 TEMPLETON WORLD FUND CL A 880196100 648 42210.672 SH Other 1 42210.672 TWEEDY BROWNE FD INC AMERN VAL 901165209 1158 48079.219 SH Other 1 48079.219 TWEEDY BROWNE GLOBAL VALUE FUN 901165100 2831 143062.843 SH Other 1 143062.843 VANGUARD 500 INDEX 922908108 1847 17448.356 SH Other 1 17448.356 VANGUARD SPECIALIZED HLTH CARE VGH1Z 278 2315.629 SH Other 1 2315.629 WASHINGTON MUTUAL INVESTORS FU 939330106 296 10148.927 SH Other 1 10148.927 ABERDEEN ASIA PAC INCOME FD 003009107 253 60008.000 SH Other 1 60008.000 MORGAN STANLEY ASIA-PAC 61744U106 266 31296.000 SH Other 1 31296.000 ENBRIDGE ENERGY PARTNERS LP 29250r106 257 5800 SH Other 1 5800 Physicians Life VISTA 500 66 49808.05 SH Other 1 49808.05 BESIKTAS FUTBOL YATIRIMLARI COM 0 2100000 SH Other 1 2100000 REPORT SUMMARY 528 DATA RECORDS 928260 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED
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