13F-HR 1 schedule13f.txt 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 30, 2001 Check here if Amendment [ ]; Amendment Number: ____ This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Train, Babcock Advisors LLC Address: 667 Madison Avenue New York, NY 10021 Form 13F File Number: 28-02669 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: John H. Rogicki Title: Member and Chief Operating Officer Phone: 212-451-3400 Signature, Place, and Date of Signing: /s/ John H. Rogicki New York, New York May 1, 2001 ----------------------------- ---------------------- ----------------- (Signature) (City, State) (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).) List of Other Managers Reporting for this Manager: NONE I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934. Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 ------------------ Form 13F Information Table Entry Total: 207 ------------------ Form 13F Information Table Value Total: $554,826,733.00 ------------------ List of Other Included Managers: NONE FORM 13F REPORTING MANAGER:
------------------------------------------------------------------------------------------------------------------------------------ ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 NAME OF ISSUE TITLE CUSIP FAIR SHARES OF INVESTMENT VOTING AUTHORITY OF NUMBER MARKET PRINCIPAL DISCRETION CLASS VALUE AMOUNT SOLE SHARED SHARED SOLE SHARED NONE OTHER (A) (B) (C) (A) (B) (C) ------------------------------------------------------------------------------------------------------------------------------------ ABBOTT LABS COMMON 002824100 $1,201,740.00 25,466 N X 21,164 4,302 ABBOTT LABS COMMON 002824100 $320,892.00 6,800 N X 6,800 ADVENT SOFTWARE, INC. COMMON 007974108 $10,917,049.00 246,365 N X 196,250 50,115 ADVENT SOFTWARE, INC. COMMON 007974108 $501,352.00 11,314 N X 10,170 1,144 AMERICAN EXPRESS CO COMMON 025816109 $297,980.00 7,215 N X 7,215 AMERICAN EXPRESS CO COMMON 025816109 $152,810.00 3,700 N X 2,500 1,200 AMERICAN GENERAL CORP COMMON 026351106 $477,972.00 12,496 N X 12,496 AMERICAN HOME PRODS CORP COMMON 026609107 $6,575,653.00 111,926 N X 107,826 4,100 AMERICAN HOME PRODS CORP COMMON 026609107 $611,940.00 10,416 N X 8,716 1,700 AMERICAN INTL GROUP INC COMMON 026874107 $22,996,758.00 285,674 N X 273,163 12,511 AMERICAN INTL GROUP INC COMMON 026874107 $5,064,457.00 62,913 N X 58,589 4,324 AMGEN INC OTC 031162100 $7,951,672.00 132,115 N X 125,140 6,975 AMGEN INC OTC 031162100 $1,858,290.00 30,875 N X 28,675 2,200 AOL TIME WARNER INC COMMON 00184A105 $2,243,622.00 55,881 N X 46,481 9,400 AOL TIME WARNER INC COMMON 00184A105 $214,803.00 5,350 N X 3,750 1,600 ARCHSTONE COMMUNITIES TRUS COMMON 039581103 $290,280.00 11,800 N X 11,800 ARCHSTONE COMMUNITIES TRUS COMMON 039581103 $211,560.00 8,600 N X 8,600 AUTOMATIC DATA PROCESSING COMMON 053015103 $511,172.00 9,400 N X 9,000 400 AUTOMATIC DATA PROCESSING COMMON 053015103 $348,032.00 6,400 N X 6,400 AVERY DENNISON CORP COMMON 053611109 $249,696.00 4,800 N X 4,800 BAKER HUGHES INC COMMON 057224107 $234,272.00 6,452 N X 6,452 BANK NEW YORK INC COMMON 064057102 $316,121.00 6,420 N X 5,420 1,000 BANK NEW YORK INC COMMON 064057102 $79,572.00 1,616 N X 1,616 BANK OF AMERICA CORPORATIO COMMON 060505104 $305,067.00 5,572 N X 5,572 BANK OF AMERICA CORPORATIO COMMON 060505104 $32,850.00 600 N X 600 BAXTER INTL INC COMMON 071813109 $11,602,755.00 123,250 N X 116,550 6,700 BAXTER INTL INC COMMON 071813109 $3,007,773.00 31,950 N X 30,850 1,100 BELLSOUTH CORP COMMON 079860102 $345,774.00 8,450 N X 6,450 2,000 BELLSOUTH CORP COMMON 079860102 $16,368.00 400 N X 400 BERKSHIRE HATHAWAY INC DEL COMMON 084670108 $1,570,800.00 24 N X 24 BERKSHIRE HATHAWAY INC DEL COMMON 084670108 $2,225,300.00 34 N X 3 31 BERKSHIRE HATHAWAY INC-CL COMMON 084670207 $152,320.00 70 N X 70 BERKSHIRE HATHAWAY INC-CL COMMON 084670207 $272,000.00 125 N X 13 112 BEVERLY ENTERPRISES INC. COMMON 087851309 $160,000.00 20,000 N X 20,000 BIOMET INC OTC 090613100 $271,795.00 6,900 N X 6,900 BIOVAIL CORP COMMON 09067J109 $289,040.00 8,000 N X 8,000 BP AMOCO PLC COMMON 055622104 $491,337.00 9,902 N X 9,902 BP AMOCO PLC COMMON 055622104 $414,525.00 8,354 N X 7,026 1,328 BRISTOL MYERS SQUIBB CO COMMON 110122108 $7,533,405.00 126,825 N X 117,325 9,500 BRISTOL MYERS SQUIBB CO COMMON 110122108 $2,170,951.00 36,548 N X 31,298 5,250 BROADCOM CORP-CL A COMMON 111320107 $261,979.00 9,065 N X 165 8,900 BROCADE COMM SYSTEMS INC. COMMON 111621108 $378,109.00 18,100 N X 18,100 CERUS CORP COMMON 157085101 $273,575.00 6,200 N X 6,200 CHARLES E SMITH RESIDENTIA COMMON 832197107 $1,560,307.00 34,300 N X 34,300 CHUBB CORP COMMON 171232101 $108,660.00 1,500 N X 1,500 CHUBB CORP COMMON 171232101 $92,144.00 1,272 N X 1,272 CIENA CORP COMMON 171779101 $242,150.00 5,800 N X 5,800 CISCO SYS INC OTC 17275R102 $3,444,595.00 217,840 N X 139,015 78,825 CISCO SYS INC OTC 17275R102 $1,461,455.00 92,424 N X 88,924 3,500 CITIGROUP, INC. COMMON 172967101 $595,985.00 13,250 N X 12,717 533 CITIGROUP, INC. COMMON 172967101 $1,127,109.00 25,058 N X 23,173 1,885 COCA COLA CO COMMON 191216100 $1,190,508.00 26,362 N X 26,362 COCA COLA CO COMMON 191216100 $474,180.00 10,500 N X 4,500 6,000 COLGATE PALMOLIVE CO COMMON 194162103 $226,566.00 4,100 N X 4,100 COMCAST CORP CL A SPL OTC 200300200 $164,395.00 3,920 N X 3,920 COMCAST CORP CL A SPL OTC 200300200 $213,881.00 5,100 N X 5,100 COMPUTER ASSOC INTL INC COMMON 204912109 $68,000.00 2,500 N X 2,500 COMPUTER ASSOC INTL INC COMMON 204912109 $490,198.00 18,022 N X 17,522 500 COMPUTER SCIENCES CORP COMMON 205363104 $341,098.00 10,544 N X 1,344 9,200 DELL COMPUTER CORP. COMMON 247025109 $3,604,983.00 140,340 N X 87,490 52,850 DELL COMPUTER CORP. COMMON 247025109 $715,654.00 27,860 N X 25,070 2,790 DENDRITE INTERNATIONAL INC OTC 248239105 $210,000.00 15,000 N X 15,000 DISNEY WALT CO. COMMON 254687106 $15,397,182.00 538,363 N X 519,813 18,550 DISNEY WALT CO. COMMON 254687106 $8,328,949.00 291,222 N X 285,222 6,000 DU PONT E I DE NEMOURS CO COMMON 263534109 $16,905,071.00 415,358 N X 4,445 410,913 EMC CORP/MASS COMMON 268648102 $16,332,259.00 555,519 N X 445,129 110,390 EMC CORP/MASS COMMON 268648102 $3,342,045.00 113,675 N X 106,440 7,235 EXXON CORP COMMON 302290101 $202,500.00 2,500 N X 2,500 EXXON MOBIL CORPORATION COMMON 30231G102 $3,747,546.00 46,266 N X 44,766 1,500 EXXON MOBIL CORPORATION COMMON 30231G102 $1,924,398.00 23,758 N X 20,158 3,600 FANNIE MAE COMMON 313586109 $616,900.00 7,750 N X 7,750 FANNIE MAE COMMON 313586109 $177,110.00 2,225 N X 1,925 300 FIRST DATA CORP COMMON 319963104 $19,096,333.00 319,818 N X 312,056 7,762 FIRST DATA CORP COMMON 319963104 $12,474,315.00 208,915 N X 204,315 4,600 FIRST UNION CORP COMMON 337358105 $59,400.00 1,800 N X 1,800 FIRST UNION CORP COMMON 337358105 $149,688.00 4,536 N X 4,536 FLEETBOSTON FINANCIAL CORP COMMON 339030108 $57,758.00 1,530 N X 1,530 FLEETBOSTON FINANCIAL CORP COMMON 339030108 $283,880.00 7,520 N X 7,520 FOREST LABS INC COMMON 345838106 $236,960.00 4,000 N X 4,000 GANNETT INC DEL COMMON 364730101 $315,680.00 5,286 N X 5,286 GANNETT INC DEL COMMON 364730101 $47,776.00 800 N X 800 GENENTECH COMMON 368710406 $373,700.00 7,400 N X 7,400 GENENTECH COMMON 368710406 $20,200.00 400 N X 400 GENERAL ELEC CO COMMON 369604103 $6,367,743.00 152,120 N X 152,120 GENERAL ELEC CO COMMON 369604103 $3,309,829.00 79,069 N X 72,787 6,282 GILLETTE CO COMMON 375766102 $2,172,830.00 69,709 N X 65,209 4,500 GILLETTE CO COMMON 375766102 $1,285,295.00 41,235 N X 37,099 4,136 GLAXOSMITHKLINE PLC COMMON 37733W105 $5,230.00 100 N X 100 GLAXOSMITHKLINE PLC COMMON 37733W105 $397,480.00 7,600 N X 7,600 GRAHAM FIELD HEALTH PRODUC COMMON 384632105 $525.00 10,500 N X 10,500 HARTE-HANKS, INC. COMMON 416196103 $35,061,520.00 1,550,023 N X 1,485,761 64,262 HARTE-HANKS, INC. COMMON 416196103 $14,848,605.00 656,437 N X 637,337 19,100 HERSHEY FOODS CORP COMMON 427866108 $228,756.00 3,300 N X 3,300 HEWLETT PACKARD CO COMMON 428236103 $131,334.00 4,200 N X 2,000 2,200 HEWLETT PACKARD CO COMMON 428236103 $309,573.00 9,900 N X 9,600 300 HOME DEPOT INC COMMON 437076102 $1,353,340.00 31,400 N X 31,400 HOME DEPOT INC COMMON 437076102 $378,935.00 8,792 N X 4,292 4,500 HOUSEHOLD INTL CORP COMMON 441815107 $284,352.00 4,800 N X 4,800 I2 TECHNOLOGIES CORP. COMMON 465754109 $1,416,650.00 97,700 N X 3,200 94,500 IMCLONE SYS INC COM OTC 45245W109 $249,437.00 7,516 N X 7,516 IMCLONE SYS INC COM OTC 45245W109 $3,983.00 120 N X 120 INTEL CORP OTC 458140100 $22,031,878.00 837,316 N X 787,116 50,200 INTEL CORP OTC 458140100 $5,182,221.00 196,949 N X 184,149 12,800 INTERNATIONAL BUSINESS MAC COMMON 459200101 $960,357.00 9,985 N X 9,885 100 INTERNATIONAL BUSINESS MAC COMMON 459200101 $382,893.00 3,981 N X 3,981 IVAX CORP COMMON 465823102 $453,600.00 14,400 N X 14,400 JDS UNIPHASE CORP COMMON 46612J101 $152,109.00 8,250 N X 4,250 4,000 JDS UNIPHASE CORP COMMON 46612J101 $57,709.00 3,130 N X 3,100 30 JOHNSON & JOHNSON COMMON 478160104 $1,798,383.00 20,560 N X 20,560 JOHNSON & JOHNSON COMMON 478160104 $1,787,887.00 20,440 N X 18,300 2,140 KING PHARMACEUTICALS INC. COMMON 495582108 $342,300.00 8,400 N X 8,400 KONINKLIJKE PHILIPS ELEC. COMMON 500472303 $559,899.00 20,970 N X 20,970 LILLY, ELI AND COMPANY COMMON 532457108 $527,038.00 6,875 N X 6,875 LILLY, ELI AND COMPANY COMMON 532457108 $260,644.00 3,400 N X 3,400 MCDATA CORP CL A COMMON 580031201 $378,954.00 20,077 N X 16,070 4,007 MCDATA CORP CL A COMMON 580031201 $71,073.00 3,765 N X 3,518 248 MCGRAW HILL INC COMMON 580645109 $534,703.00 8,964 N X 8,964 MCGRAW HILL INC COMMON 580645109 $334,040.00 5,600 N X 5,600 MEDICIS PHARMACEUTICAL COR OTC 584690309 $313,740.00 7,000 N X 7,000 MEDTRONIC INC COMMON 585055106 $11,463,588.00 250,625 N X 235,890 14,735 MEDTRONIC INC COMMON 585055106 $3,333,028.00 72,869 N X 68,519 4,350 MERCK & CO INC COMMON 589331107 $9,837,095.00 129,606 N X 126,006 3,600 MERCK & CO INC COMMON 589331107 $4,323,037.00 56,957 N X 56,282 675 MICROSOFT CORP OTC 594918104 $8,129,570.00 148,655 N X 127,155 21,500 MICROSOFT CORP OTC 594918104 $1,480,281.00 27,068 N X 25,168 1,900 MINNESOTA MNG & MFG CO COMMON 604059105 $1,225,293.00 11,793 N X 11,793 MINNESOTA MNG & MFG CO COMMON 604059105 $249,360.00 2,400 N X 2,400 MOTOROLA INC COMMON 620076109 $124,062.00 8,700 N X 8,700 MOTOROLA INC COMMON 620076109 $35,736.00 2,506 N X 100 2,406 MYLAN LABS INC COMMON 628530107 $232,650.00 9,000 N X 9,000 NETWORK APPLIANCE CORPORAT COMMON 64120L104 $190,822.00 11,350 N X 6,700 4,650 NEW SKY COMMUNICATIONS OTC 648726107 $90.00 10,000 N X 10,000 NOKIA CORP COMMON 654902204 $4,308,240.00 179,510 N X 137,510 42,000 NOKIA CORP COMMON 654902204 $532,752.00 22,198 N X 20,598 1,600 NORTEL NETWORKS CORPORATIO COMMON 656568102 $276,083.00 19,650 N X 16,250 3,400 NORTEL NETWORKS CORPORATIO COMMON 656568102 $4,496.00 320 N X 320 NTL INCORPORATED COMMON 629407107 $1,494,162.00 59,410 N X 50,210 9,200 NTL INCORPORATED COMMON 629407107 $246,470.00 9,800 N X 8,800 1,000 ORACLE SYS CORP OTC 68389X105 $209,720.00 14,000 N X 14,000 ORACLE SYS CORP OTC 68389X105 $366,950.00 24,496 N X 21,696 2,800 PAYCHEX INC. OTC 704326107 $2,393,311.00 64,575 N X 17,775 46,800 PENWEST PHARMACEUTICALS CO COMMON 709754105 $123,750.00 10,000 N X 10,000 PFIZER INC COMMON 717081103 $3,531,405.00 86,237 N X 86,237 PFIZER INC COMMON 717081103 $3,299,178.00 80,566 N X 76,066 4,500 PHARMACIA CORPORATION COMMON 71713U102 $5,327,232.00 105,762 N X 99,862 5,900 PHARMACIA CORPORATION COMMON 71713U102 $370,018.00 7,346 N X 5,546 1,800 PHILIP MORRIS CO. INC. COMMON 718154107 $61,685.00 1,300 N X 1,100 200 PHILIP MORRIS CO. INC. COMMON 718154107 $521,950.00 11,000 N X 11,000 PROCTER & GAMBLE COMPANY COMMON 742718109 $503,241.00 8,039 N X 7,839 200 PROCTER & GAMBLE COMPANY COMMON 742718109 $302,859.00 4,838 N X 2,938 1,900 PROLOGIS TRUST COMMON 743410102 $781,112.00 38,900 N X 36,900 2,000 PROLOGIS TRUST COMMON 743410102 $1,560,216.00 77,700 N X 77,700 PROTECTIVE LIFE CORP. COMMON 743674103 $122,680.00 4,000 N X 4,000 PROTECTIVE LIFE CORP. COMMON 743674103 $165,618.00 5,400 N X 5,400 RADIOSHACK CORPORATION COMMON 750438103 $220,140.00 6,000 N X 6,000 REUTERS GROUP PLC ADR COMMON 76132M102 $2,209,909.00 29,564 N X 29,464 100 REUTERS GROUP PLC ADR COMMON 76132M102 $2,659,979.00 35,585 N X 35,585 ROYAL DUTCH PETROLEUM PAR COMMON 780257804 $4,041,576.00 72,900 N X 72,900 ROYAL DUTCH PETROLEUM PAR COMMON 780257804 $455,384.00 8,214 N X 8,214 SAFEWAY INC COMMON 786514208 $441,200.00 8,000 N X 8,000 SANMINA CORP. COMMON 800907107 $2,914,812.00 149,000 N X 105,700 43,300 SANMINA CORP. COMMON 800907107 $202,981.00 10,376 N X 8,700 1,676 SBC COMMUNICATIONS, INC. COMMON 78387G103 $488,074.00 10,936 N X 6,936 4,000 SBC COMMUNICATIONS, INC. COMMON 78387G103 $325,486.00 7,293 N X 5,659 1,634 SCHERING PLOUGH CORP COMMON 806605101 $2,020,109.00 55,300 N X 55,300 SCHERING PLOUGH CORP COMMON 806605101 $597,339.00 16,352 N X 16,352 SCHLUMBERGER COMMON 806857108 $150,304.00 2,609 N X 2,509 100 SCHLUMBERGER COMMON 806857108 $553,056.00 9,600 N X 9,600 SCHWAB (CHARLES) CORP. COMMON 808513105 $462,600.00 30,000 N X 30,000 SCHWAB (CHARLES) CORP. COMMON 808513105 $160,430.00 10,404 N X 10,404 SCIOS INC OTC 808905103 $239,200.00 10,400 N X 10,400 SHIRE PHARMACEUTICALS GR-A COMMON 82481R106 $5,238,188.00 119,730 N X 116,280 3,450 SHIRE PHARMACEUTICALS GR-A COMMON 82481R106 $546,875.00 12,500 N X 11,000 1,500 SOLECTRON CORP COMMON 834182107 $31,478,660.00 1,655,900 N X 1,532,550 123,350 SOLECTRON CORP COMMON 834182107 $12,278,730.00 645,909 N X 613,266 32,643 STATE STREET CORP COMMON 857477103 $51,834,385.00 554,972 N X 532,135 22,837 STATE STREET CORP COMMON 857477103 $30,349,303.00 324,939 N X 317,339 7,600 STRYKER CORP OTC 863667101 $261,250.00 5,000 N X 5,000 STRYKER CORP OTC 863667101 $120,175.00 2,300 N X 2,300 SUN MICROSYSTEM INC OTC 866810104 $1,134,306.00 73,800 N X 54,800 19,000 SUN MICROSYSTEM INC OTC 866810104 $174,450.00 11,350 N X 8,950 2,400 SYMBOL TECHNOLOGIES INC COMMON 871508107 $300,140.00 8,600 N X 8,600 TANDY BRANDS ACCESSORIES I OTC 875378101 $67,231.00 10,757 N X 10,757 TANGER FACTORY OUTLET CTRS COMMON 875465106 $206,500.00 10,000 N X 10,000 TANGER FACTORY OUTLET CTRS COMMON 875465106 $68,145.00 3,300 N X 3,300 TARGET CORP COMMON 87612E106 $1,804.00 50 N X 50 TARGET CORP COMMON 87612E106 $389,664.00 10,800 N X 10,800 TECO ENERGY INC COMMON 872375100 $29,960.00 1,000 N X 1,000 TECO ENERGY INC COMMON 872375100 $194,740.00 6,500 N X 6,500 TENET HEALTHCARE CORPORATI COMMON 88033G100 $308,000.00 7,000 N X 7,000 TEXAS INSTRUMENTS INC COMMON 882508104 $261,781.00 8,450 N X 1,050 7,400 TEXAS INSTRUMENTS INC COMMON 882508104 $74,352.00 2,400 N X 400 2,000 TYCO INTERNATIONAL LTD COMMON 902124106 $227,001.00 5,251 N X 5,251 TYCO INTERNATIONAL LTD COMMON 902124106 $259,380.00 6,000 N X 6,000 UNILEVER N V COMMON 904784501 $526,400.00 10,000 N X 10,000 UNION PAC CORP COMMON 907818108 $213,863.00 3,802 N X 3,802 UNOCAL CORP COMMON 915289102 $200,506.00 5,800 N X 4,400 1,400 VERITAS SOFTWARE CORP COMMON 923436109 $1,026,528.00 22,200 N X 15,700 6,500 VERIZON COMMUNICATIONS COMMON 92343V104 $5,989,556.00 121,492 N X 110,042 11,450 VERIZON COMMUNICATIONS COMMON 92343V104 $3,597,569.00 72,973 N X 69,813 3,160 VODAFONE GROUP PLC COMMON 92857W100 $127,605.00 4,700 N X 4,700 VODAFONE GROUP PLC COMMON 92857W100 $124,890.00 4,600 N X 3,600 1,000 WAL MART STORES INC COMMON 931142103 $404,000.00 8,000 N X 8,000 WAL MART STORES INC COMMON 931142103 $80,800.00 1,600 N X 1,600 WALGREEN COMPANY COMMON 931422109 $2,338,778.00 57,323 N X 57,323 WALGREEN COMPANY COMMON 931422109 $3,065,018.00 75,123 N X 75,123 WEINGARTEN REALTY INC COM COMMON 948741103 $296,100.00 7,000 N X 7,000