-----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, BLjY6kK3eC5cQCwkd9dFcZWHfCdgfP2MFNdMAQLG9May9lSuWZ1MpI1Fpu2SK8/l DP/eI/OWddDbTnQ0NbwAAw== 0000860655-01-500015.txt : 20020410 0000860655-01-500015.hdr.sgml : 20020410 ACCESSION NUMBER: 0000860655-01-500015 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000930 FILED AS OF DATE: 20011114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: AMERINDO INVESTMENT ADVISORS INC CENTRAL INDEX KEY: 0000860655 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 942997472 STATE OF INCORPORATION: CA FISCAL YEAR END: 0430 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-02623 FILM NUMBER: 1789170 BUSINESS ADDRESS: STREET 1: ONE EMBARCADERO CENTER STREET 2: STE 2300 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 4153620292 MAIL ADDRESS: STREET 1: ONE EMBARCADERO CENTER STREET 2: STE 2300 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 13F-HR/A 1 a13fhra-093000.txt 13F HOLDINGS REPORT THIS FILING LISTS SECURITIES HOLDINGS REPORTED ON THE FORM 13F FILED ON NOVEMBER 14, 2000 PURSUANT TO A REQUEST FOR CONFIDENTIAL TREATMENT AND FOR WHICH CONFIDENTIAL TREATMENT EXPIRED ON NOVEMBER 14, 2001. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2000 Check here if Amendment [ X ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ X ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Amerindo Investment Advisors Inc. Address: One Embarcadero Center, Suite 2300 San Francisco, California 94111 Form 13F File Number: 28-2623 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: Jessica L. Caruso Title: Chief Compliance Officer Phone: 212-371-6360 Signature, Place, and Date of Signing: /s/ Jessica L. Caruso New York, New York November 14, 2001 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: 1 Form 13F Information Table Entry Total: 289 Form 13F Information Table Value Total: $7,893,850 (in thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. No. 13F File Number Name 01 To Be Determined Amerindo Investment Advisors, Inc.
FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHR VOTING AUTHORITY NAME OF ISSUER TTL OF CLASS CUSIP (X$1000) PRN AMT PRN CALL DSCRETN MGRS SOLE SHARED NONE Abgenix Inc. COM 00339B107 2613 32340 SH DEFINED 01 32340 0 0 About.com Inc. COM 003736105 240 7400 SH DEFINED 01 7400 0 0 ACE*COMM Corp. COM 004404109 9 1400 SH DEFINED 01 1400 0 0 Actuate Corp. COM 00508B102 11404 330100 SH DEFINED 01 330100 0 0 Actuate Corp. COM 00508B102 48279 1397500 SH SOLE 1397500 0 0 ADC Telecommunications Inc. COM 000886101 15 544 SH DEFINED 01 544 0 0 Affymetrix Inc. COM 00826T108 11162 223800 SH DEFINED 01 223800 0 0 Affymetrix Inc. COM 00826T108 21067 422400 SH SOLE 422400 0 0 AGENCY.COM Ltd. COM 008447104 299 20000 SH DEFINED 01 20000 0 0 AirNet Communications Corp. COM 00941P106 138 6173 SH DEFINED 01 6173 0 0 AirNet Communications Corp. COM 00941P106 34 1544 SH SOLE 1544 0 0 Airspan Networks Inc. COM 00950H102 1627 141500 SH DEFINED 01 141500 0 0 Akamai Technologies Inc. COM 00971T101 2421 46100 SH DEFINED 01 46100 0 0 Akamai Technologies Inc. COM 00971T101 63365 1206600 SH SOLE 1206600 0 0 Alexion Pharmaceuticals Inc. COM 015351109 2400 21052 SH DEFINED 01 21052 0 0 Alkermes Inc. COM 01642T108 19 500 SH DEFINED 01 500 0 0 Alkermes Inc. COM 01642T108 74307 1923800 SH SOLE 1923800 0 0 ALZA Corp. COM 022615108 69 800 SH DEFINED 01 800 0 0 Amazon.com Inc. COM 023135106 21383 556300 SH DEFINED 01 556300 0 0 Amazon.com Inc. COM 023135106 97062 2525200 SH SOLE 2525200 0 0 America Online Inc. COM 02364J104 4541 84484 SH DEFINED 01 84484 0 0 America Online Inc. COM 02364J104 22709 422500 SH SOLE 422500 0 0 answerthink inc. COM 036916104 16 1000 SH DEFINED 01 1000 0 0 Aquila BioPharm. Inc. COM 03839F107 0 66 SH DEFINED 01 66 0 0 ARIAD Pharmaceuticals Inc. COM 04033A100 1431 113928 SH DEFINED 01 113928 0 0 Ariba Inc. COM 04033V104 512418 3576700 SH DEFINED 01 3576700 0 0 Ariba Inc. COM 04033V104 998236 6967731 SH SOLE 6967731 0 0 Ariel Corp. COM 04033M104 207 99000 SH DEFINED 01 99000 0 0 Art Technology Group Inc. COM 04289L107 2369 25000 SH DEFINED 01 25000 0 0 Artisan Components Inc. COM 042923102 5570 432600 SH DEFINED 01 432600 0 0 Artisan Components Inc. COM 042923102 5961 463000 SH SOLE 463000 0 0 ARTISTdirect Inc. COM 04315D103 106 89400 SH DEFINED 01 89400 0 0 Ashford.com Inc. COM 044093102 14 4000 SH DEFINED 01 4000 0 0 Ask Jeeves Inc. COM 045174109 4805 250400 SH DEFINED 01 250400 0 0 Ask Jeeves Inc. COM 045174109 20218 1053700 SH SOLE 1053700 0 0 Aurora Biosciences Corp. COM 051920106 170 2500 SH DEFINED 01 2500 0 0 Autobytel.com Inc. COM 05275N106 4 900 SH DEFINED 01 900 0 0 Avanex Corp. COM 05348W109 54 500 SH DEFINED 01 500 0 0 Avant! Corp. COM 053487104 2691 147462 SH DEFINED 01 147462 0 0 Avant! Corp. COM 053487104 870 47650 SH SOLE 47650 0 0 Avici Systems Inc. COM 05367L109 82271 864877 SH DEFINED 01 864877 0 0 Avici Systems Inc. COM 05367L109 14183 149100 SH SOLE 149100 0 0 Baan Company N.V. COM N08044104 12 5500 SH DEFINED 01 5500 0 0 Biochem Pharma Inc. COM 09058T108 22 1000 SH DEFINED 01 1000 0 0 Biogen Inc. COM 090597105 305 5000 SH DEFINED 01 5000 0 0 Blaze Software Inc. COM 09347T109 747 59200 SH DEFINED 01 59200 0 0 Blue Martini Software Inc. COM 095698106 664 19600 SH DEFINED 01 19600 0 0 BMC Software Inc. COM 055921100 287 15000 SH DEFINED 01 15000 0 0 Bookham Technology plc COM 09856Q108 31741 740316 SH DEFINED 01 740316 0 0 Bookham Technology plc COM 09856Q108 6661 155358 SH SOLE 155358 0 0 Broadbase Software Inc. COM 11130R100 261 19244 SH DEFINED 01 19244 0 0 Broadcom Corp. COM 111320107 52796 216600 SH DEFINED 01 216600 0 0 Broadcom Corp. COM 111320107 130553 535600 SH SOLE 535600 0 0 BroadVision Inc. COM 111412102 7886 307000 SH DEFINED 01 307000 0 0 Brocade Comm. Systems Inc. COM 111621108 1605 6800 SH DEFINED 01 6800 0 0 CacheFlow Inc. COM 126946102 14 100 SH DEFINED 01 100 0 0 Calico Commerce Inc. COM 129897104 1075 175516 SH DEFINED 01 175516 0 0 Centra Software Inc. COM 15234X103 55 8500 SH DEFINED 01 8500 0 0 chinadotcom Corp. COM G2108N109 51 3800 SH DEFINED 01 3800 0 0 CIENA Corp. COM 171779101 172 1400 SH DEFINED 01 1400 0 0 Ciphergen Biosystems Inc. COM 17252Y104 4800 150000 SH DEFINED 01 150000 0 0 Cisco Systems Inc. COM 17275R102 5546 100372 SH DEFINED 01 100372 0 0 Cisco Systems Inc. COM 17275R102 6288 113813 SH SOLE 113813 0 0 Citrix Systems Inc. COM 177376100 2604 129800 SH DEFINED 01 129800 0 0 CMGI Inc. COM 125750109 6778 242600 SH DEFINED 01 242600 0 0 CMGI Inc. COM 125750109 54548 1952500 SH SOLE 1952500 0 0 CNET Networks Inc. COM 12613R104 141 5800 SH DEFINED 01 5800 0 0 Commerce One Inc. COM 200693109 3470 44200 SH DEFINED 01 44200 0 0 Commerce One Inc. COM 200693109 58522 745500 SH SOLE 745500 0 0 Corio Inc. COM 218875102 5285 690300 SH DEFINED 01 690300 0 0 Corio Inc. COM 218875102 172 22500 SH SOLE 22500 0 0 Corixa Corp. COM 21887F100 254 5055 SH DEFINED 01 5055 0 0 Corvis Corporation COM 221009103 135892 2226028 SH DEFINED 01 2226028 0 0 Corvis Corporation COM 221009103 11372 186276 SH SOLE 186276 0 0 CoSine Communications Inc. COM 221222102 38202 687547 SH DEFINED 01 687547 0 0 Coulter Pharmaceutical Inc. COM 222116105 2137 74000 SH DEFINED 01 74000 0 0 Coulter Pharmaceutical Inc. COM 222116105 3927 136000 SH SOLE 136000 0 0 Covad Comm. Group Inc. COM 222814204 2147 160495 SH DEFINED 01 160495 0 0 Covad Comm. Group Inc. COM 222814204 3310 247500 SH SOLE 247500 0 0 Critical Path Inc. COM 22674V100 5656 93100 SH DEFINED 01 93100 0 0 Critical Path Inc. COM 22674V100 6822 112300 SH SOLE 112300 0 0 Crossroads Systems Inc. COM 22765D100 128 15000 SH DEFINED 01 15000 0 0 Crossroads Systems Inc. COM 22765D100 85 10000 SH SOLE 10000 0 0 CrossWorlds Software Inc. COM 22769P109 6106 309167 SH DEFINED 01 309167 0 0 CrossWorlds Software Inc. COM 22769P109 4938 250000 SH SOLE 250000 0 0 CV Therapeutics Inc. COM 126667104 4 48 SH SOLE 48 0 0 Cygnus Inc. COM 232560102 11624 1056700 SH DEFINED 01 1056700 0 0 dELiA*s Inc. COM 246885107 1 400 SH DEFINED 01 400 0 0 Digital Lightwave Inc. COM 253855100 908 12500 SH SOLE 12500 0 0 divine interVentures inc. COM 255404105 150 40000 SH DEFINED 01 40000 0 0 DMC Stratex Networks Inc. COM 23322L106 47 2940 SH DEFINED 01 2940 0 0 DoubleClick Inc. COM 258609304 2051 64100 SH DEFINED 01 64100 0 0 DoubleClick Inc. COM 258609304 320 10000 SH SOLE 10000 0 0 drugstore.com inc. COM 262241102 712 211000 SH DEFINED 01 211000 0 0 Dyax Corporation COM 26746E103 2188 50000 SH DEFINED 01 50000 0 0 E.piphany Inc. COM 26881V100 177 2300 SH DEFINED 01 2300 0 0 eBay Inc. COM 278642103 37380 544200 SH DEFINED 01 544200 0 0 eBay Inc. COM 278642103 305014 4440600 SH SOLE 4440600 0 0 ELAN Corp. plc COM 284131208 32 577 SH DEFINED 01 577 0 0 E-LOAN Inc. COM 26861P107 6 1400 SH DEFINED 01 1400 0 0 eMachines Inc. COM 29076P102 838 812708 SH DEFINED 01 812708 0 0 eMachines Inc. COM 29076P102 202 195802 SH SOLE 195802 0 0 Emisphere Technologies Inc. COM 291345106 11092 370500 SH DEFINED 01 370500 0 0 Emisphere Technologies Inc. COM 291345106 18992 634400 SH SOLE 634400 0 0 Entrust Technologies Inc. COM 293848107 829 30000 SH DEFINED 01 30000 0 0 Epoch Biosciences Inc. COM 294273107 3639 377515 SH DEFINED 01 377515 0 0 Epoch Biosciences Inc. COM 294273107 3109 322500 SH SOLE 322500 0 0 Eprise Corp. COM 294352109 345 40000 SH DEFINED 01 40000 0 0 eToys Inc. COM 297862104 956 178900 SH DEFINED 01 178900 0 0 eToys Inc. COM 297862104 2108 394500 SH SOLE 394500 0 0 Excite@Home Corp. COM 045919107 4161 294600 SH DEFINED 01 294600 0 0 Excite@Home Corp. COM 045919107 22052 1561185 SH SOLE 1561185 0 0 Exodus Communications Inc. COM 302088109 46956 951000 SH DEFINED 01 951000 0 0 Exodus Communications Inc. COM 302088109 217907 4413300 SH SOLE 4413300 0 0 FlexiInternational Soft. Inc. COM 338923105 21 75000 SH DEFINED 01 75000 0 0 Foundry Networks Inc. COM 35063R100 67 1000 SH DEFINED 01 1000 0 0 FreeMarkets Inc. COM 356602102 10240 179253 SH DEFINED 01 179253 0 0 FreeMarkets Inc. COM 356602102 18577 325200 SH SOLE 325200 0 0 Gateway Inc. COM 367626108 48 1000 SH DEFINED 01 1000 0 0 GelTex Pharmaceuticals Inc. COM 368538104 295 6300 SH DEFINED 01 6300 0 0 GelTex Pharmaceuticals Inc. COM 368538104 468 10000 SH SOLE 10000 0 0 Gemini Genomics plc COM 36865M109 12833 892700 SH DEFINED 01 892700 0 0 Gemini Genomics plc COM 36865M109 2839 197500 SH SOLE 197500 0 0 Genzyme Corp. Tissue Repair COM 372917401 103 25279 SH DEFINED 01 25279 0 0 Genzyme Transgenics Corp. COM 37246E105 12778 362500 SH DEFINED 01 362500 0 0 Genzyme Transgenics Corp. COM 37246E105 18207 516500 SH SOLE 516500 0 0 Geron Corp. COM 374163103 96 3400 SH DEFINED 01 3400 0 0 Getty Images Inc. COM 374276103 3546 116500 SH DEFINED 01 116500 0 0 Getty Images Inc. COM 374276103 8492 279000 SH SOLE 279000 0 0 Gilead Sciences Inc. COM 375558103 548 5000 SH DEFINED 01 5000 0 0 Gilead Sciences Inc. COM 375558103 82310 750400 SH SOLE 750400 0 0 Global Crossing Ltd. COM G3921A100 13452 433920 SH SOLE 433920 0 0 GoTo.com Inc. COM 38348T107 5 300 SH DEFINED 01 300 0 0 homestore.com Inc. COM 437852106 63918 1367225 SH DEFINED 01 1367225 0 0 homestore.com Inc. COM 437852106 125313 2680500 SH SOLE 2680500 0 0 Hoover's Inc. COM 439321100 159 25000 SH DEFINED 01 25000 0 0 Human Genome Sciences Inc. COM 444903108 12552 72500 SH DEFINED 01 72500 0 0 Human Genome Sciences Inc. COM 444903108 3982 23000 SH SOLE 23000 0 0 i2 Technologies Inc. COM 465754109 1763 9425 SH DEFINED 01 9425 0 0 i2 Technologies Inc. COM 465754109 74975 400800 SH SOLE 400800 0 0 iBEAM Broadcasting Corp. COM 45073P101 4486 658500 SH DEFINED 01 658500 0 0 iBEAM Broadcasting Corp. COM 45073P101 1141 167500 SH SOLE 167500 0 0 IDEC Pharmaceuticals Corp. COM 449370105 877 5000 SH DEFINED 01 5000 0 0 Industri-Matematik Int. Corp. COM 455792101 89 22200 SH DEFINED 01 22200 0 0 Inet Technologies Inc. COM 45662V105 18 600 SH DEFINED 01 600 0 0 Inktomi Corp. COM 457277101 5552 48700 SH DEFINED 01 48700 0 0 Inktomi Corp. COM 457277101 229026 2009000 SH SOLE 2009000 0 0 InsWeb Corp. COM 45809K103 4 2000 SH DEFINED 01 2000 0 0 Interactive Intelligence Inc. COM 45839M103 79 2000 SH DEFINED 01 2000 0 0 Interactive Investor Intl. COM 457955102 76 10000 SH DEFINED 01 10000 0 0 InterNAP Network Svcs. Corp. COM 45885A102 5920 183200 SH DEFINED 01 183200 0 0 InterNAP Network Svcs. Corp. COM 45885A102 39906 1235000 SH SOLE 1235000 0 0 Internet Capital Group Inc. COM 46059C106 13450 771300 SH DEFINED 01 771300 0 0 Internet Capital Group Inc. COM 46059C106 31301 1795050 SH SOLE 1795050 0 0 InterTrust Technologies Corp. COM 46113Q109 27937 2316052 SH DEFINED 01 2316052 0 0 JDS Uniphase Corp. COM 46612J101 473 5000 SH DEFINED 01 5000 0 0 JDS Uniphase Corp. COM 46612J101 182368 1926000 SH SOLE 1926000 0 0 Juniper Networks Inc. COM 48203R104 7050 32200 SH DEFINED 01 32200 0 0 Juniper Networks Inc. COM 48203R104 13092 59800 SH SOLE 59800 0 0 Jupiter Media Metrix Inc. COM 48206U104 48 3000 SH DEFINED 01 3000 0 0 Kana Communications Inc. COM 483600102 49203 2211386 SH DEFINED 01 2211386 0 0 Kana Communications Inc. COM 483600102 44684 2008252 SH SOLE 2008252 0 0 lastminute.com plc COM 518129101 494 52000 SH DEFINED 01 52000 0 0 Launch Media Inc. COM 518567102 17 2500 SH DEFINED 01 2500 0 0 Legato Systems Inc. COM 524651106 34 2500 SH DEFINED 01 2500 0 0 Lexicon Genetics Inc. COM 528872104 380 12000 SH DEFINED 01 12000 0 0 LookSmart Ltd. COM 543442107 15226 1360974 SH DEFINED 01 1360974 0 0 LookSmart Ltd. COM 543442107 10013 895000 SH SOLE 895000 0 0 Manhattan Associates Inc. COM 562750109 31 500 SH DEFINED 01 500 0 0 Manugistics Group Inc. COM 565011103 98 1000 SH DEFINED 01 1000 0 0 marchFIRST Inc. COM 566244109 2239 142725 SH SOLE 142725 0 0 Maxygen Inc. COM 577776107 259 5000 SH DEFINED 01 5000 0 0 Maxygen Inc. COM 577776107 31877 614500 SH SOLE 614500 0 0 MedicaLogic Inc. COM 584642102 238 66667 SH DEFINED 01 66667 0 0 MedImmune Inc. COM 584699102 45848 593500 SH SOLE 593500 0 0 MemberWorks Inc. COM 586002107 104 3169 SH DEFINED 01 3169 0 0 MicroStrategy Inc. COM 594972101 991 36300 SH DEFINED 01 36300 0 0 MMC Networks Inc. COM 55308N102 127 1000 SH DEFINED 01 1000 0 0 Motorola Inc. COM 620076109 8570 296162 SH DEFINED 01 296162 0 0 MP3.com Inc. COM 62473M109 2283 579700 SH DEFINED 01 579700 0 0 MP3.com Inc. COM 62473M109 771 195700 SH SOLE 195700 0 0 MyPoints.com Inc. COM 62855T102 14 2500 SH DEFINED 01 2500 0 0 NASDAQ 100 Shares COM 631100104 1775 20000 SH DEFINED 01 20000 0 0 NBC Internet Inc. COM 62873D105 3 500 SH DEFINED 01 500 0 0 Neoforma.com Inc. COM 640475109 4942 1329030 SH DEFINED 01 1329030 0 0 Neoforma.com Inc. COM 640475109 985 265000 SH SOLE 265000 0 0 Net Perceptions Inc. COM 64107U101 59 12500 SH DEFINED 01 12500 0 0 Net.B@nk Inc. COM 640933107 1595 135000 SH DEFINED 01 135000 0 0 Net.B@nk Inc. COM 640933107 2546 215500 SH SOLE 215500 0 0 Net2000 Communications Inc. COM 64122G103 4 700 SH DEFINED 01 700 0 0 NetSolve Inc. COM 64115J106 109 15252 SH SOLE 15252 0 0 Network Appliance Inc. COM 64120L104 268732 2109772 SH SOLE 2109772 0 0 NetZero Inc. COM 64122R109 64 30200 SH DEFINED 01 30200 0 0 Nexell Therapeutics Inc. COM 65332H203 159 17352 SH SOLE 17352 0 0 NEXTLINK Communications Inc. COM 65333H707 3 97 SH DEFINED 01 97 0 0 NEXTLINK Communications Inc. COM 65333H707 14955 425000 SH SOLE 425000 0 0 Niku Corp. COM 654113109 22591 926800 SH DEFINED 01 926800 0 0 Niku Corp. COM 654113109 11298 463500 SH SOLE 463500 0 0 NorthPoint Comm. Group Inc. COM 666610100 1265 142500 SH SOLE 142500 0 0 Nuance Communications Inc. COM 669967101 78927 648600 SH DEFINED 01 648600 0 0 Nuance Communications Inc. COM 669967101 3042 25000 SH SOLE 25000 0 0 ONI Systems Corp. COM 68273F103 58860 681942 SH DEFINED 01 681942 0 0 ONI Systems Corp. COM 68273F103 78907 914200 SH SOLE 914200 0 0 Onvia.com Inc. COM 68338T106 1322 297862 SH DEFINED 01 297862 0 0 Open Market Inc. COM 68370M100 6 1000 SH DEFINED 01 1000 0 0 OPNET Technologies Inc. COM 683757108 95 2500 SH DEFINED 01 2500 0 0 Organic Inc. COM 68617E101 317 70400 SH DEFINED 01 70400 0 0 OSI Pharmaceuticals Inc. COM 671040103 77 1100 SH DEFINED 01 1100 0 0 Palm Inc. COM 696642107 286 5400 SH DEFINED 01 5400 0 0 Parametric Technology Corp. COM 699173100 7 600 SH DEFINED 01 600 0 0 PC Connection Inc. COM 69318J100 205 3600 SH DEFINED 01 3600 0 0 pcOrder.com Inc. COM 70453H107 9 2500 SH DEFINED 01 2500 0 0 PE Corp.-Celera Genomics COM 69332S201 15631 156900 SH DEFINED 01 156900 0 0 PE Corp.-Celera Genomics COM 69332S201 2989 30000 SH SOLE 30000 0 0 PeopleSoft Inc. COM 712713106 2469 88392 SH DEFINED 01 88392 0 0 Persistence Software Inc. COM 715329108 6312 577123 SH DEFINED 01 577123 0 0 Persistence Software Inc. COM 715329108 3125 285708 SH SOLE 285708 0 0 Pharmacyclics Inc. COM 716933106 5657 114000 SH DEFINED 01 114000 0 0 Pharmacyclics Inc. COM 716933106 4020 81000 SH SOLE 81000 0 0 PictureTel Corp. COM 720035302 7 1000 SH DEFINED 01 1000 0 0 PlanetRx.com Inc. COM 727049108 327 747907 SH DEFINED 01 747907 0 0 PlanetRx.com Inc. COM 727049108 10 22184 SH SOLE 22184 0 0 Portal Software Inc. COM 736126103 79893 1997332 SH DEFINED 01 1997332 0 0 Portal Software Inc. COM 736126103 2560 64000 SH SOLE 64000 0 0 priceline.com Inc. COM 741503106 7879 663500 SH DEFINED 01 663500 0 0 priceline.com Inc. COM 741503106 22009 1853400 SH SOLE 1853400 0 0 Protein Design Labs Inc. COM 74369L103 3977 33000 SH DEFINED 01 33000 0 0 PSINet Inc. COM 74437C101 10 1000 SH DEFINED 01 1000 0 0 PurchasePro.com Inc. COM 746144104 1116 12700 SH DEFINED 01 12700 0 0 QUALCOMM Inc. COM 747525103 10388 145800 SH DEFINED 01 145800 0 0 Quokka Sports Inc. COM 749077103 33 8300 SH DEFINED 01 8300 0 0 Qwest Comm. Int. Inc. COM 749121109 12016 250000 SH SOLE 250000 0 0 QXL.com plc COM 74912W101 22 6000 SH DEFINED 01 6000 0 0 Rambus Inc. COM 750917106 4484 56800 SH DEFINED 01 56800 0 0 RCN Corp. COM 749361101 2905 140000 SH SOLE 140000 0 0 Red Hat Inc. COM 756577102 462 27100 SH DEFINED 01 27100 0 0 Redback Networks Inc. COM 757209101 20910 127500 SH DEFINED 01 127500 0 0 Redback Networks Inc. COM 757209101 87068 530900 SH SOLE 530900 0 0 Resonate Inc. COM 76115Q104 853 21600 SH DEFINED 01 21600 0 0 Reuters Holdings PLC COM 76132M102 8 67 SH DEFINED 01 67 0 0 Rhythms NetConnections Inc. COM 762430205 14 1900 SH DEFINED 01 1900 0 0 Saba Software Inc. COM 784932105 420 15000 SH DEFINED 01 15000 0 0 Scient Corp. COM 80864H109 10913 521224 SH DEFINED 01 521224 0 0 Scient Corp. COM 80864H109 27993 1337000 SH SOLE 1337000 0 0 SEQUENOM Inc. COM 817337108 211 5000 SH DEFINED 01 5000 0 0 Siebel Systems Inc. COM 826170102 59938 538468 SH DEFINED 01 538468 0 0 Siebel Systems Inc. COM 826170102 777228 6982400 SH SOLE 6982400 0 0 SilverStream Software Inc. COM 827907106 226 7500 SH SOLE 7500 0 0 SkyMall Inc. COM 830859104 1 500 SH DEFINED 01 500 0 0 Smallworldwide plc COM 83168P108 50 2500 SH DEFINED 01 2500 0 0 Snowball.com Inc. COM 83335R102 9 6400 SH DEFINED 01 6400 0 0 StarBase Corp. COM 854910205 7 1228 SH DEFINED 01 1228 0 0 StorageNetworks Inc. COM 86211E103 1277 12500 SH DEFINED 01 12500 0 0 StorageNetworks Inc. COM 86211E103 3066 30000 SH SOLE 30000 0 0 Sycamore Networks Inc. COM 871206108 235077 2176635 SH DEFINED 01 2176635 0 0 Sycamore Networks Inc. COM 871206108 126662 1172800 SH SOLE 1172800 0 0 Talarian Corp. COM 874090103 19 1000 SH DEFINED 01 1000 0 0 TCSI Corp. COM 87233R106 28 15000 SH DEFINED 01 15000 0 0 Terayon Comm. Systems Inc. COM 880775101 75 2200 SH DEFINED 01 2200 0 0 theglobe.com inc. COM 88335R101 18 23200 SH DEFINED 01 23200 0 0 TIBCO Software Inc. COM 88632Q103 211 2500 SH DEFINED 01 2500 0 0 Tumbleweed Comm. Corp. COM 899690101 2390 46858 SH SOLE 46858 0 0 Turnstone Systems Inc. COM 900423104 4137 89200 SH DEFINED 01 89200 0 0 Tyco International Ltd. COM 902124106 97 1864 SH DEFINED 01 1864 0 0 Universal Access Inc. COM 913363107 6118 520677 SH DEFINED 01 520677 0 0 Universal Access Inc. COM 913363107 8126 691600 SH SOLE 691600 0 0 US Oncology Inc. COM 90338W103 11 2350 SH DEFINED 01 2350 0 0 VA Linux Systems Inc. COM 91819B105 3612 78100 SH DEFINED 01 78100 0 0 Ventro Corp. COM 922815105 2707 246078 SH DEFINED 01 246078 0 0 Ventro Corp. COM 922815105 1536 139600 SH SOLE 139600 0 0 VeriSign Inc. COM 92343E102 13562 66950 SH DEFINED 01 66950 0 0 VeriSign Inc. COM 92343E102 199929 987000 SH SOLE 987000 0 0 VerticalNet Inc. COM 92532L107 49421 1407000 SH SOLE 1407000 0 0 Vignette Corp. COM 926734104 141858 4748392 SH DEFINED 01 4748392 0 0 Vignette Corp. COM 926734104 195041 6528578 SH SOLE 6528578 0 0 Virage Inc. COM 92763Q106 177 10500 SH DEFINED 01 10500 0 0 Visual Networks Inc. COM 928444108 131 19900 SH DEFINED 01 19900 0 0 WebMD Corp. COM 94769M105 7945 521009 SH DEFINED 01 521009 0 0 WebMD Corp. COM 94769M105 31388 2058200 SH SOLE 2058200 0 0 webMethods Inc. COM 94768C108 720 6252 SH DEFINED 01 6252 0 0 Webvan Group Inc. COM 94845V103 441 190910 SH DEFINED 01 190910 0 0 Webvan Group Inc. COM 94845V103 185 80000 SH SOLE 80000 0 0 Westell Technologies Inc. COM 957541105 118 9200 SH DEFINED 01 9200 0 0 Wink Communications Inc. COM 974168106 11 900 SH DEFINED 01 900 0 0 Wit SoundView Group Inc. COM 977383108 36 4000 SH DEFINED 01 4000 0 0 Worldcom Inc. COM 98157D106 615 20000 SH DEFINED 01 20000 0 0 WorldGate Comm. Inc. COM 98156L307 294 14000 SH DEFINED 01 14000 0 0 Yahoo Inc. COM 984332106 26200 287908 SH DEFINED 01 287908 0 0 Yahoo Inc. COM 984332106 524741 5766390 SH SOLE 5766390 0 0
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