13F-HR 1 d13fhr.txt FORM 13 ------------------------- OMB APPROVAL ------------------------- OMB Number: 3235-0006 Expires: October 31, 2000 Estimated average burden hours per response......24.7 ------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 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: David M. Knott ------------------------------------------------------------------------- Address: 485 Underhill Boulevard ---------------------------------------------------------------------- Suite 205 ---------------------------------------------------------------------- Syosset, NY 11791 ---------------------------------------------------------------------- Form 13F File Number: 28- ------------------------------------------------------- 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: Reporting Manager: Name: David M. Knott ------------------------------------------------------------------------- Title: Investment Manager ------------------------------------------------------------------------- Phone: (516) 364-0303 ------------------------------------------------------------------------- Signature, Place and Date of Signing: /s/ David M. Knott -------------------------------------------------------------------------------- [Signature] Syosset, New York -------------------------------------------------------------------------------- [City, State] August 12, 2002 -------------------------------------------------------------------------------- [Date] Report Type (Check only one.): [X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [_] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [_] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) Form 13F Summary Page Report Summary: Number of Other Included Managers: 0 ------------------------------------------------------------------------ Form 13F Information Table Entry Total: 163 ------------------------------------------------------------------------ Form 13F Information Table Value Total: $ 391,154 (thousands) ------------------------------ List of Other Included Managers: NONE Page 2 of 10
FORM 13F INFORMATION TABLE ------------------------------------------------------------------------------------------------------------------------------- Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 ------------------------------------------------------------------------------------------------------------------------------- Name of Issuer Title of Class CUSIP Value Shrs or SH/PRN Put/Call Investment ($) prn amt discretion ------------------------------------------------------------------------------------------------------------------------------- 1800 Contacts Inc. Common 681977104 95,795 7,100 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- 1800 Contacts Inc. Common 681977104 39,121 2,900 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- Alberto-Culver Company Common 013068200 1,084,320 24,000 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- Alberto-Culver Company Common 013068200 555,714 12,300 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- Ambac Financial Group Inc. Common 023139108 12,096,000 180,000 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- Ambac Financial Group Inc. Common 023139108 6,340,320 94,350 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- Amerada Hess Corp. Common 023551104 2,970,000 36,000 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- American Int'l Group Inc. Common 026874107 19,650,240 288,000 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- American Int'l Group Inc. Common 026874107 10,302,730 151,000 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- American Service Group Inc. Common 02364L109 3,257,100 330,000 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- American Service Group Inc. Common 02364L109 1,593,018 161,400 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- Anadarko Petroleum Corp. Common 032511107 526,524 10,680 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- Andrx Corporation Common 034553107 399,156 14,800 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- Andrx Corporation Common 034553107 223,851 8,300 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- Applied Graphics Technologies Inc. Common 037937208 141,680 253,000 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- Applied Graphics Technologies Inc. Common 037937208 101,920 182,000 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- Aristotle Corp. Common 040448201 11,830 3,380 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- Astro Power, Inc. Common 04644A101 147,300 7,500 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- Astro Power, Inc. Common 04644A101 216,531 11,025 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- BAM! Entertainment Inc. Common 059361105 132,300 45,000 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- BAM! Entertainment Inc. Common 059361105 63,798 21,700 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- Bank of NY Inc. Common 064057102 9,450,000 280,000 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- Bank of NY Inc. Common 064057102 5,079,375 150,500 SH DEFINED -------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------- Column 1 Column 7 Column 8 ------------------------------------------------------------------------- Name of Issuer Other Voting Authority Managers ----------------------- Sole Shared None ------------------------------------------------------------------------- 1800 Contacts Inc. X ------------------------------------------------------------------------- 1800 Contacts Inc. X ------------------------------------------------------------------------- Alberto-Culver Company X ------------------------------------------------------------------------- Alberto-Culver Company X ------------------------------------------------------------------------- Ambac Financial Group Inc. X ------------------------------------------------------------------------- Ambac Financial Group Inc. X ------------------------------------------------------------------------- Amerada Hess Corp. X ------------------------------------------------------------------------- American Int'l Group Inc. X ------------------------------------------------------------------------- American Int'l Group Inc. X ------------------------------------------------------------------------- American Service Group Inc. X ------------------------------------------------------------------------- American Service Group Inc. X ------------------------------------------------------------------------- Anadarko Petroleum Corp. X ------------------------------------------------------------------------- Andrx Corporation X ------------------------------------------------------------------------- Andrx Corporation X ------------------------------------------------------------------------- Applied Graphics Technologies Inc. X ------------------------------------------------------------------------- Applied Graphics Technologies Inc. X ------------------------------------------------------------------------- Aristotle Corp. X ------------------------------------------------------------------------- Astro Power, Inc. X ------------------------------------------------------------------------- Astro Power, Inc. X ------------------------------------------------------------------------- BAM! Entertainment Inc. X ------------------------------------------------------------------------- BAM! Entertainment Inc. X ------------------------------------------------------------------------- Bank of NY Inc. X ------------------------------------------------------------------------- Bank of NY Inc. X -------------------------------------------------------------------------
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FORM 13F INFORMATION TABLE ------------------------------------------------------------------------------------------------------------------------------- Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 ------------------------------------------------------------------------------------------------------------------------------- Name of Issuer Title of Class CUSIP Value Shrs or SH/PRN Put/Call Investment ($) prn amt discretion ------------------------------------------------------------------------------------------------------------------------------- Bayview Capital Corp. Common 07262L101 3,846,000 600,000 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- Bayview Capital Corp. Common 07262L101 2,241,340 349,663 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- Beazer Home's USA Inc. Common 07556Q105 14,160,000 177,000 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- Beazer Home's USA Inc. Common 07556Q105 7,584,000 94,800 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- Butler International Inc. Common 123649105 1,162,611 528,700 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- Butler International Inc. Common 123649105 762,960 346,800 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- Calpine Corp. Common 131347106 1,763,124 250,800 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- Calpine Corp. Common 131347106 1,685,794 239,800 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- Canadian Natural Resources Ltd. Common 136385101 6,804,800 200,000 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- Canadian Natural Resources Ltd. Common 136385101 5,450,004 160,200 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- Caremark RX Inc. Common 141705131 5,560,500 337,000 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- Caremark RX Inc. Common 141705131 2,892,450 175,300 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- Cellergy Pharmaceuticals Common 15115L103 369,600 168,000 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- Cellergy Pharmaceuticals Common 15115L103 180,400 82,000 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- Centex Corporation Common 152312104 6,472,480 112,000 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- Centex Corporation Common 152312104 3,594,538 62,200 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- Circuit City Stores Inc. Common 172737108 1,875,000 100,000 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- Circuit City Stores Inc. Common 172737108 986,250 52,600 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- Columbia Labs Inc. Common 197779101 3,511,800 585,300 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- Columbia Labs Inc. Common 197779101 3,045,600 507,600 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- Connetics Corporation Common 208192104 4,034,604 312,300 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- Connetics Corporation Common 208192104 2,133,092 165,100 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- Conseco Inc. Common 208464107 50,000 25,000 SH SOLE -------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------- Column 1 Column 7 Column 8 ------------------------------------------------------------------------- Name of Issuer Other Voting Authority Managers ----------------------- Sole Shared None ------------------------------------------------------------------------- Bayview Capital Corp. X ------------------------------------------------------------------------- Bayview Capital Corp. X ------------------------------------------------------------------------- Beazer Home's USA Inc. X ------------------------------------------------------------------------- Beazer Home's USA Inc. X ------------------------------------------------------------------------- Butler International Inc. X ------------------------------------------------------------------------- Butler International Inc. X ------------------------------------------------------------------------- Calpine Corp. X ------------------------------------------------------------------------- Calpine Corp. X ------------------------------------------------------------------------- Canadian Natural Resources Ltd. X ------------------------------------------------------------------------- Canadian Natural Resources Ltd. X ------------------------------------------------------------------------- Caremark RX Inc. X ------------------------------------------------------------------------- Caremark RX Inc. X ------------------------------------------------------------------------- Cellergy Pharmaceuticals X ------------------------------------------------------------------------- Cellergy Pharmaceuticals X ------------------------------------------------------------------------- Centex Corporation X ------------------------------------------------------------------------- Centex Corporation X ------------------------------------------------------------------------- Circuit City Stores Inc. X ------------------------------------------------------------------------- Circuit City Stores Inc. X ------------------------------------------------------------------------- Columbia Labs Inc. X ------------------------------------------------------------------------- Columbia Labs Inc. X ------------------------------------------------------------------------- Connetics Corporation X ------------------------------------------------------------------------- Connetics Corporation X ------------------------------------------------------------------------- Conseco Inc. X -------------------------------------------------------------------------
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FORM 13F INFORMATION TABLE ------------------------------------------------------------------------------------------------------------------------------- Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 ------------------------------------------------------------------------------------------------------------------------------- Name of Issuer Title of Class CUSIP Value Shrs or SH/PRN Put/Call Investment ($) prn amt discretion ------------------------------------------------------------------------------------------------------------------------------- Cosine Communications Common 221222102 163,400 380,000 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- Cosine Communications Common 221222102 83,119 193,300 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- D.R. Horton Inc. Common 23331A109 24,936,740 958,000 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- D.R. Horton Inc. Common 23331A109 13,611,087 522,900 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- Eastman Kodak Co. @ 20 Exp. 1/03 Common 277461959 43,425 579 SH Puts SOLE ------------------------------------------------------------------------------------------------------------------------------- Eastman Kodak Co. @ 20 Exp. 1/03 Common 277461959 31,575 421 SH Puts DEFINED ------------------------------------------------------------------------------------------------------------------------------- Edison Schools Inc. Common 281033100 108,676 107,600 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- Exegenics Inc. Common 301610101 409,860 506,000 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- Exegenics Inc. Common 301610101 220,806 272,600 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- Fifth Third Bancorp Common 316773100 15,116,220 226,800 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- Fifth Third Bancorp Common 316773100 8,277,930 124,200 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- First Keystone Financial Inc Common 320655103 945,896 50,800 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- First Keystone Financial Inc Common 320655103 331,436 17,800 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- Florida First Bancorp Common 340902105 585,300 30,000 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- Fuel-Tech N.V. Common 359523107 1,320,000 200,000 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- Fuel-Tech N.V. Common 359523107 679,800 103,000 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- Fuelcell Energy Corp. Common 35952H106 95,697 9,300 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- Genesco Inc. Common 371532102 1,643,625 67,500 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- Genesco Inc. Common 371532102 859,555 35,300 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- Genesys Common 37185M100 572,400 212,000 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- Genesys Common 37185M100 305,100 113,000 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- Gentiva Health Services Common 37247A102 3,551,050 395,000 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- Gentiva Health Services Common 37247A102 1,842,950 205,000 SH DEFINED -------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------- Column 1 Column 7 Column 8 ------------------------------------------------------------------------------- Name of Issuer Other Voting Authority Managers ----------------------- Sole Shared None ------------------------------------------------------------------------------- Cosine Communications X ------------------------------------------------------------------------------- Cosine Communications X ------------------------------------------------------------------------------- D.R. Horton Inc. X ------------------------------------------------------------------------------- D.R. Horton Inc. X ------------------------------------------------------------------------------- Eastman Kodak Co. @ 20 Exp. 1/03 X ------------------------------------------------------------------------------- Eastman Kodak Co. @ 20 Exp. 1/03 X ------------------------------------------------------------------------------- Edison Schools Inc. X ------------------------------------------------------------------------------- Exegenics Inc. X ------------------------------------------------------------------------------- Exegenics Inc. X ------------------------------------------------------------------------------- Fifth Third Bancorp X ------------------------------------------------------------------------------- Fifth Third Bancorp X ------------------------------------------------------------------------------- First Keystone Financial Inc X ------------------------------------------------------------------------------- First Keystone Financial Inc X ------------------------------------------------------------------------------- Florida First Bancorp X ------------------------------------------------------------------------------- Fuel-Tech N.V. X ------------------------------------------------------------------------------- Fuel-Tech N.V. X ------------------------------------------------------------------------------- Fuelcell Energy Corp. X ------------------------------------------------------------------------------- Genesco Inc. X ------------------------------------------------------------------------------- Genesco Inc. X ------------------------------------------------------------------------------- Genesys X ------------------------------------------------------------------------------- Genesys X ------------------------------------------------------------------------------- Gentiva Health Services X ------------------------------------------------------------------------------- Gentiva Health Services X -------------------------------------------------------------------------------
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FORM 13F INFORMATION TABLE ------------------------------------------------------------------------------------------------------------------------------- Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 ------------------------------------------------------------------------------------------------------------------------------- Name of Issuer Title of Class CUSIP Value Shrs or SH/PRN Put/Call Investment ($) prn amt discretion ------------------------------------------------------------------------------------------------------------------------------- Gulf Indonesia Resources Ltd. Common 402284103 3,802,677 288,300 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- Gulf Indonesia Resources Ltd. Common 402284103 3,723,537 282,300 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- Halliburton Co. Common 406216101 159,400 10,000 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- Hollinger International Inc. Common 435569108 511,200 42,600 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- Hollinger International Inc. Common 435569108 259,200 21,600 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- Homestead Bancorp. Inc. Common 437698103 630,000 60,000 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- Homestead Bancorp. Inc. Common 437698103 307,650 29,300 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- I-many Inc. Common 44973Q103 236,414 86,000 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- I-many Inc. Common 44973Q103 121,000 44,000 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- Imclone Systems Common 45245W109 10,434 1,200 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- InterMune Inc. Common 45884X103 384,020 18,200 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- InterMune Inc. Common 45884X103 734,280 34,800 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- Internet Sec. Systems Inc. Common 46060X107 1,506,176 114,800 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- Internet Sec. Systems Inc. Common 46060X107 625,824 47,700 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- Ivanhoe Energy Inc. Common 465790103 111,444 88,800 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- Ivanhoe Energy Inc. Common 465790103 76,500 61,200 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- iVillage Inc. Common 46588H105 569,520 452,000 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- iVillage Inc. Common 46588H105 297,108 235,800 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- KB Home Common 48666K109 13,650,150 265,000 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- KB Home Common 48666K109 6,634,488 128,800 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- Kemet Corporation Common 488360108 660,820 37,000 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- Kemet Corporation Common 488360108 321,480 18,000 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- Lennar Corp. Common 526057104 4,896,000 80,000 SH SOLE -------------------------------------------------------------------------------------------------------------------------------
-------------------------------------------------------------------------------- Column 1 Column 7 Column 8 -------------------------------------------------------------------------------- Name of Issuer Other Voting Authority Managers ----------------------- Sole Shared None -------------------------------------------------------------------------------- Gulf Indonesia Resources Ltd. X -------------------------------------------------------------------------------- Gulf Indonesia Resources Ltd. X -------------------------------------------------------------------------------- Halliburton Co. X -------------------------------------------------------------------------------- Hollinger International Inc. X -------------------------------------------------------------------------------- Hollinger International Inc. X -------------------------------------------------------------------------------- Homestead Bancorp. Inc. X -------------------------------------------------------------------------------- Homestead Bancorp. Inc. X -------------------------------------------------------------------------------- I-many Inc. X -------------------------------------------------------------------------------- I-many Inc. X -------------------------------------------------------------------------------- Imclone Systems X -------------------------------------------------------------------------------- InterMune Inc. X -------------------------------------------------------------------------------- InterMune Inc. X -------------------------------------------------------------------------------- Internet Sec. Systems Inc. X -------------------------------------------------------------------------------- Internet Sec. Systems Inc. X -------------------------------------------------------------------------------- Ivanhoe Energy Inc. X -------------------------------------------------------------------------------- Ivanhoe Energy Inc. X -------------------------------------------------------------------------------- iVillage Inc. X -------------------------------------------------------------------------------- iVillage Inc. X -------------------------------------------------------------------------------- KB Home X -------------------------------------------------------------------------------- KB Home X -------------------------------------------------------------------------------- Kemet Corporation X -------------------------------------------------------------------------------- Kemet Corporation X -------------------------------------------------------------------------------- Lennar Corp. X --------------------------------------------------------------------------------
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FORM 13F INFORMATION TABLE ------------------------------------------------------------------------------------------------------------------------------- Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 ------------------------------------------------------------------------------------------------------------------------------- Name of Issuer Title of Class CUSIP Value Shrs or SH/PRN Put/Call Investment ($) prn amt discretion ------------------------------------------------------------------------------------------------------------------------------- Lennar Corp. Common 526057104 2,552,040 41,700 SH DEFINED -------------------------------------------------------------------------------------------------------------------------------- Liquid Metal Technologies Common 53634X100 748,200 64,500 SH SOLE -------------------------------------------------------------------------------------------------------------------------------- Liquid Metal Technologies Common 53634X100 345,680 29,800 SH DEFINED -------------------------------------------------------------------------------------------------------------------------------- Magna Entertainment Corp. Common 559211107 2,798,796 400,400 SH SOLE -------------------------------------------------------------------------------------------------------------------------------- Magna Entertainment Corp. Common 559211107 1,919,454 274,600 SH DEFINED -------------------------------------------------------------------------------------------------------------------------------- Medicis Pharmaceutical Corp. Common 584690309 192,420 4,500 SH SOLE -------------------------------------------------------------------------------------------------------------------------------- Medicis Pharmaceutical Corp. Common 584690309 96,210 2,250 SH DEFINED -------------------------------------------------------------------------------------------------------------------------------- Mellon Financial Corporation Common 58551A108 5,035,086 160,200 SH SOLE -------------------------------------------------------------------------------------------------------------------------------- Mellon Financial Corporation Common 58551A108 2,875,845 91,500 SH DEFINED -------------------------------------------------------------------------------------------------------------------------------- Meritage Corp. Common 59001A102 6,893,150 151,000 SH SOLE -------------------------------------------------------------------------------------------------------------------------------- Meritage Corp. Common 59001A102 3,606,350 79,000 SH DEFINED -------------------------------------------------------------------------------------------------------------------------------- Methanex Corp. Common 59151K108 2,282,245 275,800 SH SOLE -------------------------------------------------------------------------------------------------------------------------------- Methanex Corp. Common 59151K108 943,350 114,000 SH DEFINED -------------------------------------------------------------------------------------------------------------------------------- Nabi Common 628716102 993,300 210,000 SH SOLE -------------------------------------------------------------------------------------------------------------------------------- Nabi Common 628716102 514,151 108,700 SH DEFINED -------------------------------------------------------------------------------------------------------------------------------- Nasdaq 100 Shares Common 631100104 1,062,270 40,700 SH SOLE -------------------------------------------------------------------------------------------------------------------------------- Nasdaq 100 Shares Common 631100104 503,730 19,300 SH DEFINED -------------------------------------------------------------------------------------------------------------------------------- Neurobiological Tech Inc. Common 64124W106 944,640 328,000 SH SOLE -------------------------------------------------------------------------------------------------------------------------------- Neurobiological Tech Inc. Common 64124W106 478,656 166,200 SH DEFINED -------------------------------------------------------------------------------------------------------------------------------- Northrup Grumman Corp. Common 666807102 2,250,000 18,000 SH SOLE -------------------------------------------------------------------------------------------------------------------------------- Northrup Grumman Corp. Common 666807102 1,212,500 9,700 SH DEFINED -------------------------------------------------------------------------------------------------------------------------------- Northwestern Corp. Common 668074107 559,350 33,000 SH SOLE -------------------------------------------------------------------------------------------------------------------------------- Northwestern Corp. Common 668074107 194,925 11,500 SH DEFINED --------------------------------------------------------------------------------------------------------------------------------
-------------------------------------------------------------------------------- Column 1 Column 7 Column 8 -------------------------------------------------------------------------------- Name of Issuer Other Voting Authority Managers ----------------------- Sole Shared None -------------------------------------------------------------------------------- Lennar Corp. X -------------------------------------------------------------------------------- Liquid Metal Technologies X -------------------------------------------------------------------------------- Liquid Metal Technologies X -------------------------------------------------------------------------------- Magna Entertainment Corp. X -------------------------------------------------------------------------------- Magna Entertainment Corp. X -------------------------------------------------------------------------------- Medicis Pharmaceutical Corp. X -------------------------------------------------------------------------------- Medicis Pharmaceutical Corp. X -------------------------------------------------------------------------------- Mellon Financial Corporation X -------------------------------------------------------------------------------- Mellon Financial Corporation X -------------------------------------------------------------------------------- Meritage Corp. X -------------------------------------------------------------------------------- Meritage Corp. X -------------------------------------------------------------------------------- Methanex Corp. X -------------------------------------------------------------------------------- Methanex Corp. X -------------------------------------------------------------------------------- Nabi X -------------------------------------------------------------------------------- Nabi X -------------------------------------------------------------------------------- Nasdaq 100 Shares X -------------------------------------------------------------------------------- Nasdaq 100 Shares X -------------------------------------------------------------------------------- Neurobiological Tech Inc. X -------------------------------------------------------------------------------- Neurobiological Tech Inc. X -------------------------------------------------------------------------------- Northrup Grumman Corp. X -------------------------------------------------------------------------------- Northrup Grumman Corp. X -------------------------------------------------------------------------------- Northwestern Corp. X -------------------------------------------------------------------------------- Northwestern Corp. X --------------------------------------------------------------------------------
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FORM 13F INFORMATION TABLE ------------------------------------------------------------------------------------------------------------------------------- Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 ------------------------------------------------------------------------------------------------------------------------------- Name of Issuer Title of Class CUSIP Value Shrs or SH/PRN Put/Call Investment ($) prn amt discretion ------------------------------------------------------------------------------------------------------------------------------- Ocean Energy Inc. Common 67481E106 2,513,720 116,000 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- Ocean Energy Inc. Common 67481E106 1,826,781 84,300 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- Penwest Pharmaceuticals Co. Common 709754105 5,128,500 263,000 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- Penwest Pharmaceuticals Co. Common 709754105 2,652,000 136,000 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- Pharmaceutical Resources Inc. Common 717125108 4,083,660 147,000 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- Pharmaceutical Resources Inc. Common 717125108 1,991,826 71,700 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- Polycom Inc. Common 73172K104 947,210 79,000 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- Polycom Inc. Common 73172K104 491,590 41,000 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- PolyMedica Corp. Common 731738100 1,366,390 53,500 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- PolyMedica Corp. Common 731738100 462,274 18,100 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- Presstek Common 741113104 528,000 132,000 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- Presstek Common 741113104 272,000 68,000 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- QLT Inc. Common 746927102 708,885 53,100 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- QuadraMed Corp. Common 74730W101 1,901,280 272,000 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- QuadraMed Corp. Common 74730W101 1,015,647 145,300 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- Quest Communications Int'l Inc. Common 749121109 462,000 165,000 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- Quest Communications Int'l Inc. Common 749121109 238,000 85,000 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- Racing Champions Corp. Common 750069106 4,683,360 264,000 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- Racing Champions Corp. Common 750069106 2,574,074 145,100 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- Register.com, Inc. Common 75914G101 361,188 47,400 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- Register.com, Inc. Common 75914G101 140,208 18,400 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- Rehabilicare Inc. Common 758944102 520,800 108,500 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- Rehabilicare Inc. Common 758944102 271,200 56,500 SH DEFINED -------------------------------------------------------------------------------------------------------------------------------
-------------------------------------------------------------------------------- Column 1 Column 7 Column 8 -------------------------------------------------------------------------------- Name of Issuer Other Voting Authority Managers ----------------------- Sole Shared None -------------------------------------------------------------------------------- Ocean Energy Inc. X -------------------------------------------------------------------------------- Ocean Energy Inc. X -------------------------------------------------------------------------------- Penwest Pharmaceuticals Co. X -------------------------------------------------------------------------------- Penwest Pharmaceuticals Co. X -------------------------------------------------------------------------------- Pharmaceutical Resources Inc. X -------------------------------------------------------------------------------- Pharmaceutical Resources Inc. X -------------------------------------------------------------------------------- Polycom Inc. X -------------------------------------------------------------------------------- Polycom Inc. X -------------------------------------------------------------------------------- PolyMedica Corp. X -------------------------------------------------------------------------------- PolyMedica Corp. X -------------------------------------------------------------------------------- Presstek X -------------------------------------------------------------------------------- Presstek X -------------------------------------------------------------------------------- QLT Inc. X -------------------------------------------------------------------------------- QuadraMed Corp. X -------------------------------------------------------------------------------- QuadraMed Corp. X -------------------------------------------------------------------------------- Quest Communications Int'l Inc. X -------------------------------------------------------------------------------- Quest Communications Int'l Inc. X -------------------------------------------------------------------------------- Racing Champions Corp. X -------------------------------------------------------------------------------- Racing Champions Corp. X -------------------------------------------------------------------------------- Register.com, Inc. X -------------------------------------------------------------------------------- Register.com, Inc. X -------------------------------------------------------------------------------- Rehabilicare Inc. X -------------------------------------------------------------------------------- Rehabilicare Inc. X --------------------------------------------------------------------------------
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FORM 13F INFORMATION TABLE ------------------------------------------------------------------------------------------------------------------------------- Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 ------------------------------------------------------------------------------------------------------------------------------- Name of Issuer Title of Class CUSIP Value Shrs or SH/PRN Put/Call Investment ($) prn amt discretion ------------------------------------------------------------------------------------------------------------------------------- Saxon Capital Common 80556P302 2,407,960 148,000 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- Saxon Capital Common 80556P302 1,189,337 73,100 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- Scientific Games Corporation Common 80874P109 2,119,980 267,000 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- Scientific Games Corporation Common 80874P109 1,301,366 163,900 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- Seven Seas Petroleum Common 817917107 94,886 41,800 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- Soundview Technology Group Inc. Common 83611Q109 260,100 153,000 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- Soundview Technology Group Inc. Common 83611Q109 129,880 76,400 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- Stamps.com Inc. Common 852857101 402,687 90,900 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- Standard Pacific Corp. Common 85375C101 4,707,736 134,200 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- Standard Pacific Corp. Common 85375C101 2,490,680 71,000 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- Stone Energy Corp. Common 861642106 499,100 12,400 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- Stone Energy Corp. Common 861642106 68,425 1,700 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- SWS Group Inc. Common 78503N107 1,127,738 57,479 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- SWS Group Inc. Common 78503N107 769,104 39,200 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- Talisman Energy Inc. Common 87425E103 5,048,064 112,000 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- Talisman Energy Inc. Common 87425E103 4,024,751 89,300 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- Tyco International Common 902124106 598,493 44,300 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- Unocal Corp. Common 915289102 295,520 8,000 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- Unocal Corp. Common 915289102 1,629,054 44,100 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- Verso Technologies Inc. Common 925317109 637,499 1,275,000 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- Verso Technologies Inc. Common 925317109 330,633 661,265 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- Wells Fargo & Co. Common 949746101 6,607,920 132,000 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- Wells Fargo & Co. Common 949746101 3,223,864 64,400 SH DEFINED -------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------- Column 1 Column 7 Column 8 ------------------------------------------------------------------------------- Name of Issuer Other Voting Authority Managers ----------------------- Sole Shared None ------------------------------------------------------------------------------- Saxon Capital X ------------------------------------------------------------------------------- Saxon Capital X ------------------------------------------------------------------------------- Scientific Games Corporation X ------------------------------------------------------------------------------- Scientific Games Corporation X ------------------------------------------------------------------------------- Seven Seas Petroleum X ------------------------------------------------------------------------------- Soundview Technology Group Inc. X ------------------------------------------------------------------------------- Soundview Technology Group Inc. X ------------------------------------------------------------------------------- Stamps.com Inc. X ------------------------------------------------------------------------------- Standard Pacific Corp. X ------------------------------------------------------------------------------- Standard Pacific Corp. X ------------------------------------------------------------------------------- Stone Energy Corp. X ------------------------------------------------------------------------------- Stone Energy Corp. X ------------------------------------------------------------------------------- SWS Group Inc. X ------------------------------------------------------------------------------- SWS Group Inc. X ------------------------------------------------------------------------------- Talisman Energy Inc. X ------------------------------------------------------------------------------- Talisman Energy Inc. X ------------------------------------------------------------------------------- Tyco International X ------------------------------------------------------------------------------- Unocal Corp. X ------------------------------------------------------------------------------- Unocal Corp. X ------------------------------------------------------------------------------- Verso Technologies Inc. X ------------------------------------------------------------------------------- Verso Technologies Inc. X ------------------------------------------------------------------------------- Wells Fargo & Co. X ------------------------------------------------------------------------------- Wells Fargo & Co. X -------------------------------------------------------------------------------
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FORM 13F INFORMATION TABLE ------------------------------------------------------------------------------------------------------------------------------- Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 ------------------------------------------------------------------------------------------------------------------------------- Name of Issuer Title of Class CUSIP Value Shrs or SH/PRN Put/Call Investment ($) prn amt discretion ------------------------------------------------------------------------------------------------------------------------------- Zions Bancorp Common 989701107 4,168,000 80,000 SH SOLE ------------------------------------------------------------------------------------------------------------------------------- Zions Bancorp Common 989701107 2,267,705 43,526 SH DEFINED ------------------------------------------------------------------------------------------------------------------------------- GRAND TOTAL 391,153,962 24,173,818 -------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------- Column 1 Column 7 Column 8 ------------------------------------------------------------------------------- Name of Issuer Other Voting Authority Managers ------------------------ Sole Shared None ------------------------------------------------------------------------------- Zions Bancorp X ------------------------------------------------------------------------------- Zions Bancorp X ------------------------------------------------------------------------------- -------------------------------------------------------------------------------
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