13F-HR 1 0001.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: December 31, 2000 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Tudor Investment Corporation Address: 1275 King Street Greenwich, CT 06831 Form 13F File Number: 28-7762 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: Mark Pickard Title: Managing Director Phone: (203) 862- Signature, Place, and Date of Signing: /s/ Mark Pickard Greenwich, CT 06831 February 13, 2000 ------------------------ ------------------- ----------------- [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.) [ ] 13 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 Included Managers: Form 13F File Number Name 28-5175 Tudor Proprietary Trading, L.L.C. Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers 1. Form 13F Information Table Entry Total 245 Form 13F Information Table Value Total $3,017,401 (Thousands) List of Other Included Managers: No. Form 13F File Number Name 1. 28-5175 Tudor Proprietary Trading, L.L.C. TUDOR INVESTMENT CORPORATION QUARTERLY REPORT DETAILING 13F ELIGIBLE SECURITIES AS DECEMBER 31, 2000
Investment Discretion ------------------------------ Cusip Fair Market Shares or Shared- Name of Issuer Title of Class Number Value (x1000) Prin. Amt. as defined ---------------------------------------------------------------------------------------------------------------------------------- 3TEC ENERGY CORPORATION COMMON STOCK 88575R308 3,373 190,000 140,600 ABERCROMBIE & FITCH COMPANY COMMON STOCK 002896207 500 25,000 23,514 ADVANTA CORPORATION COMMON STOCK 007942204 180 25,000 18,750 AES CORPORATION COMMON STOCK 00130H105 15,450 279,000 262,425 AETNA INC. COMMON STOCK 00817Y108 22,847 556,400 531,863 ALKERMES INCORPORATED COMMON STOCK 01642T108 471 15,000 - ALLTRISTA CORPORATION COMMON STOCK 020040101 230 17,000 12,750 AMERICAN HOME PRODUCTS CORPORATION COMMON STOCK 026609107 18,728 294,700 285,111 AMERICAN STATES WATER COMPANY COMMON STOCK 029899101 5,240 142,100 58,284 ANTIGENICS INC./DEL COMMON STOCK 037032109 194 17,500 - ARCH WIRELESS INC. COMMON STOCK 039392105 2,883 4,614,135 4,375,595 ARGOSY GAMING COMPANY COMMON STOCK 040228108 5,864 305,600 285,387 ART TECHNOLOGY GROUP COMMON STOCK 04289L107 5,438 177,936 - ASPECT MEDICAL SYSTEMS INC. COMMON STOCK 045235108 122 14,200 - ASTROPOWER INCORPORATED COMMON STOCK 04644A101 3,363 107,200 101,625 AURORA FOODS INC/DE COMMON STOCK 05164B106 785 321,911 321,911 AUSPEX SYSTEMS INCORPORATED COMMON STOCK 052116100 13,709 1,958,440 1,850,290 AVADO BRANDS INCORPORATED COMMON STOCK 05336P108 14 25,000 18,750 AVICI SYSTEMS INC COMMON STOCK 05367L109 13,337 621,461 587,133 AVIS GROUP HOLDINGS INC COMMON STOCK 053790101 13,487 414,200 310,650 BARD (C.R.) INCORPORATED COMMON STOCK 067383109 26,415 567,300 537,940 BEAR STEARNS COMPANIES INCORPORATED COMMON STOCK 073902108 1,267 25,000 18,750 BECTON DICKINSON & COMPANY COMMON STOCK 075887109 47,980 1,385,700 1,312,696 BIOTIME INCORPORATED COMMON STOCK 09066L105 432 57,610 54,512 BIOTRANSPLANT INCORPORATED COMMON STOCK 09066Y107 261 30,000 - BLANCH E W HOLDINGS INCORPORATED COMMON STOCK 093210102 546 31,300 29,658 BMC SOFTWARE INCORPORATED COMMON STOCK 055921100 12,054 861,000 809,851 BOSTON SCIENTIFIC CORPORATION COMMON STOCK 101137107 548 40,000 - BRUKER DALTONICS INC COMMON STOCK 116795105 7,069 300,000 284,196 CABOT CORPORATION COMMON STOCK 127055101 15,031 569,900 539,121 CARDIMA INC COMMON STOCK 14147M106 13 50,000 - CAREMARK RX INC. COMMON STOCK 141705103 75,842 5,592,040 5,297,386 CELL PATHWAYS INCORPORATED COMMON STOCK 15114R101 404 85,000 80,631 CHESAPEAKE ENERGY CORPORATION COMMON STOCK 165167107 3,038 300,000 222,500 CHILDREN'S PLACE COMMON STOCK 168905107 387 19,100 18,060 CHOICEPOINT INCORPORATED COMMON STOCK 170388102 76,311 1,163,937 1,102,488 CHORDIANT SOFTWARE INC. COMMON STOCK 170404107 3,906 1,315,789 1,315,789 CHUBB CORPORATION COMMON STOCK 171232101 1,730 20,000 18,811 CIRCLE.COM COMMON STOCK 832914204 28 50,000 37,500 CIRCUIT CITY STORES-CIRCUIT CITY GROUP COMMON STOCK 172737108 10,465 910,000 795,629 CITRIX SYSTEMS COMMON STOCK 177376100 9,860 438,200 418,660 COMCAST CORPORATION COMMON STOCK 200300200 57,502 1,377,300 1,299,094 COMSTOCK RESOURCES INCORPORATED COMMON STOCK 205768203 738 50,000 37,000 CONAGRA INCORPORATED COMMON STOCK 205887102 2,600 100,000 94,753 CONCORD EFS INCORPORATED COMMON STOCK 206197105 6,687 152,200 143,158 CONEXANT SYSTEMS INC COMMON STOCK 207142100 308 20,000 19,919 CONOCO INC COMMON STOCK 208251306 2,863 100,000 74,000 CONSECO INCORPORATED COMMON STOCK 208464107 3,835 290,800 273,525 COOPER INDUSTRIES INCORPORATED COMMON STOCK 216669101 1,461 31,800 30,124 CORIXA CORPORATION COMMON STOCK 21887F100 4,425 158,762 149,621 CORVIS CORP COMMON STOCK 221009103 6,032 298,020 298,020 COSINE COMMUNICATIONS COMMON STOCK 221222102 6,730 570,613 570,613 COSTCO WHOLESALE CORP. COMMON STOCK 22160K105 39,938 1,000,000 940,596 CROSSROADS SYSTEMS INC COMMON STOCK 22765D100 469 100,002 100,002 CRYSTAL SYSTEMS SOLUTIONS LIMITED COMMON STOCK M26763108 290 40,000 37,100 CUMMINS ENGINE COMPANY INCORPORATED COMMON STOCK 231021106 33,692 888,100 840,871 CURIS INC. COMMON STOCK 231269101 178 20,000 - CURON MEDICAL INC COMMON STOCK 231292103 40 10,000 - Voting Authority ------------------------------- Shared Name of Issuer Other Managers Sole Shared None -------------------------------------------------------------------------------------------------------------- 3TEC ENERGY CORPORATION 49,400 1 140,600 49,400 ABERCROMBIE & FITCH COMPANY 1,486 1 23,514 1,486 ADVANTA CORPORATION 6,250 1 18,750 6,250 AES CORPORATION 16,575 1 262,425 16,575 AETNA INC. 24,537 1 531,863 24,537 ALKERMES INCORPORATED 15,000 1 - 15,000 ALLTRISTA CORPORATION 4,250 1 12,750 4,250 AMERICAN HOME PRODUCTS CORPORATION 9,589 1 285,111 9,589 AMERICAN STATES WATER COMPANY 83,816 1 58,284 83,816 ANTIGENICS INC./DEL 17,500 1 - 17,500 ARCH WIRELESS INC. 238,540 1 4,375,595 238,540 ARGOSY GAMING COMPANY 20,213 1 285,387 20,213 ART TECHNOLOGY GROUP 177,936 1 - 177,936 ASPECT MEDICAL SYSTEMS INC. 14,200 1 - 14,200 ASTROPOWER INCORPORATED 5,575 1 101,625 5,575 AURORA FOODS INC/DE - 1 321,911 - AUSPEX SYSTEMS INCORPORATED 108,150 1 1,850,290 108,150 AVADO BRANDS INCORPORATED 6,250 1 18,750 6,250 AVICI SYSTEMS INC 34,328 1 587,133 34,328 AVIS GROUP HOLDINGS INC 103,550 1 310,650 103,550 BARD (C.R.) INCORPORATED 29,360 1 537,940 29,360 BEAR STEARNS COMPANIES INCORPORATED 6,250 1 18,750 6,250 BECTON DICKINSON & COMPANY 73,004 1 1,312,696 73,004 BIOTIME INCORPORATED 3,098 1 54,512 3,098 BIOTRANSPLANT INCORPORATED 30,000 1 - 30,000 BLANCH E W HOLDINGS INCORPORATED 1,642 1 29,658 1,642 BMC SOFTWARE INCORPORATED 51,149 1 809,851 51,149 BOSTON SCIENTIFIC CORPORATION 40,000 1 - 40,000 BRUKER DALTONICS INC 15,804 1 284,196 15,804 CABOT CORPORATION 30,779 1 539,121 30,779 CARDIMA INC 50,000 1 - 50,000 CAREMARK RX INC. 294,654 1 5,297,386 294,654 CELL PATHWAYS INCORPORATED 4,369 1 80,631 4,369 CHESAPEAKE ENERGY CORPORATION 77,500 1 222,500 77,500 CHILDREN'S PLACE 1,040 1 18,060 1,040 CHOICEPOINT INCORPORATED 61,449 1 1,102,488 61,449 CHORDIANT SOFTWARE INC. - 1 1,315,789 - CHUBB CORPORATION 1,189 1 18,811 1,189 CIRCLE.COM 12,500 1 37,500 12,500 CIRCUIT CITY STORES-CIRCUIT CITY GROUP 114,371 1 795,629 114,371 CITRIX SYSTEMS 19,540 1 418,660 19,540 COMCAST CORPORATION 78,206 1 1,299,094 78,206 COMSTOCK RESOURCES INCORPORATED 13,000 1 37,000 13,000 CONAGRA INCORPORATED 5,247 1 94,753 5,247 CONCORD EFS INCORPORATED 9,042 1 143,158 9,042 CONEXANT SYSTEMS INC 81 1 19,919 81 CONOCO INC 26,000 1 74,000 26,000 CONSECO INCORPORATED 17,275 1 273,525 17,275 COOPER INDUSTRIES INCORPORATED 1,676 1 30,124 1,676 CORIXA CORPORATION 9,141 1 149,621 9,141 CORVIS CORP - 1 298,020 - COSINE COMMUNICATIONS - 1 570,613 - COSTCO WHOLESALE CORP. 59,404 1 940,596 59,404 CROSSROADS SYSTEMS INC - 1 100,002 - CRYSTAL SYSTEMS SOLUTIONS LIMITED 2,900 1 37,100 2,900 CUMMINS ENGINE COMPANY INCORPORATED 47,229 1 840,871 47,229 CURIS INC. 20,000 1 - 20,000 CURON MEDICAL INC 10,000 1 - 10,000
Investment Discretion ------------------------------ Cusip Fair Market Shares or Shared- Name of Issuer Title of Class Number Value (x1000) Prin. Amt. as defined ---------------------------------------------------------------------------------------------------------------------------------- CYTOCLONAL PHARMACEUTICALS COMMON STOCK 23282G105 184 25,000 23,200 DELHAIZE AMERICA INC COMMON STOCK 246688105 5,517 311,940 233,956 DELPHI AUTOMOTIVE SYSTEMS COMMON STOCK 247126105 27,672 2,459,700 2,324,995 DELUXE CORPORATION COMMON STOCK 248019101 5,259 208,100 197,272 DEVX ENERGY INCORPORATED COMMON STOCK 25189P203 11,812 1,500,000 1,254,327 DIAL CORPORATION COMMON STOCK 25247D101 1,469 133,500 126,552 DIGITAL LIGHTWAVE INCORPORATED COMMON STOCK 253855100 2,405 75,900 71,902 DIRECT FOCUS INC COMMON STOCK 254931108 3,524 105,000 99,562 DIVERSA CORP COMMON STOCK 255064107 484 27,000 - DIVINE INTERVENTURES INC COMMON STOCK 255404105 989 666,666 583,333 DOW CHEMICAL COMPANY COMMON STOCK 260543103 883 24,100 18,075 DU PONT (E.I.) DE NEMOURS COMMON STOCK 263534109 33,819 700,000 658,416 DUN & BRADSTREET CORPORATION - NEW COMMON STOCK 26483E100 8,867 342,700 324,664 ECHOSTAR COMMUNICATIONS - A COMMON STOCK 278762109 27,591 1,212,800 1,140,754 EL PASO ELECTRIC COMPANY COMMON STOCK 283677854 6,285 476,100 405,107 ELECTRONIC DATA SYSTEMS CORPORATED COMMON STOCK 285661104 37,572 650,600 616,568 ELITE INFORMATION GROUP INCORPORATED COMMON STOCK 28659M106 2,453 545,150 508,734 EMERSON ELECTRIC COMPANY COMMON STOCK 291011104 10,175 129,100 121,430 EMUSIC.COM INC COMMON STOCK 292476108 28 100,000 75,000 ENHERENT CORP COMMON STOCK 293313102 3,807 4,511,960 3,793,976 ESPERION THERAPEUTICS INC. COMMON STOCK 29664R106 308 28,300 - EXELON CORPORATION COMMON STOCK 30161N101 93,935 1,337,911 1,267,968 F5 NETWORKS INC COMMON STOCK 315616102 713 75,000 71,096 FAIR, ISAAC, AND COMPANY INCORPORATED COMMON STOCK 303250104 1,275 25,000 23,514 FAIRFIELD COMMUNITIES INC COMMON STOCK 304231301 1,406 100,000 75,000 FANNIE MAE COMMON STOCK 313586109 13,013 150,000 142,194 FEDERAL - MOGUL CORPORATION COMMON STOCK 313549107 81 35,000 28,086 FIBERNET TELECOM COMMON STOCK 315653105 1,500 530,670 530,670 FILENET CORPORATION COMMON STOCK 316869106 5,663 207,800 196,504 FIRST AUSTRALIA FUND COMMON STOCK 318652104 561 96,600 71,484 FIRST AUSTRALIA PRIME INCOME FD COMMON STOCK 318653102 1,087 269,000 199,060 FMC CORPORATION COMMON STOCK 302491303 9,169 127,900 120,301 FOREST OIL CORPORATION COMMON STOCK 346091705 6,531 177,111 141,688 FREDDIE MAC COMMON STOCK 313400301 41,353 600,400 566,574 FREEPORT-MCMORAN COPPER-B COMMON STOCK 35671D857 343 40,000 30,000 FREQUENCY ELECTRONICS INCORPORATED COMMON STOCK 358010106 2,036 119,700 113,472 GALILEO INTERNATIONAL INC. COMMON STOCK 363547100 3,766 188,300 178,401 GANNETT INC COMMON STOCK 364730101 719 11,400 10,806 GAP INC COMMON STOCK 364760108 4,049 158,800 152,284 GARDENBURGER INCORPORATED COMMON STOCK 365476100 9 17,400 15,500 GATX CORPORATION COMMON STOCK 361448103 35,122 704,200 665,079 GENERAL CABLE CORP COMMON STOCK 369300108 621 140,000 103,600 GENERAL DYNAMICS CORP COMMON STOCK 369550108 92,820 1,190,000 1,127,319 GENERAL MOTORS CORPORATION COMMON STOCK 370442105 12,230 240,100 228,931 GEORGIA GULF CORP COMMON STOCK 373200203 628 36,800 27,232 GEORGIA-PACIFIC (TIMBER GROUP) COMMON STOCK 373298702 1,647 55,000 41,250 GRANT PRIDECO INC COMMON STOCK 38821G101 1,645 75,000 55,500 GREKA ENERGY CORPORATION COMMON STOCK 397637109 810 60,000 44,399 HASBRO INCORPORATED COMMON STOCK 418056107 15,650 1,472,900 1,387,256 HEALTHAXIS INC COMMON STOCK 42219D100 791 550,000 550,000 HEALTHSOUTH CORPORATION COMMON STOCK 421924101 22,803 1,397,900 1,324,263 HERCULES INC. COMMON STOCK 427056106 10,643 558,300 527,847 HILTON HOTELS CORPORATION COMMON STOCK 432848109 5,460 520,000 489,109 HOME DEPOT INC. COMMON STOCK 437076102 36,536 799,700 752,193 HONEYWELL INTERNATIONAL INC COMMON STOCK 438516106 51,433 1,087,100 1,007,195 HOUGHTON MIFFLIN CO. COMMON STOCK 441560109 5,134 110,700 104,898 IMS HEALTH INCORPORATED COMMON STOCK 449934108 68,850 2,550,000 2,415,686 INFINITY BROADCASTING CORP COMMON STOCK 45662S102 19,296 690,700 600,579 INFORMAX INCORPORATED COMMON STOCK 45677N205 3,800 366,300 348,848 INSIGHT COMMUNICATIONS INC. COMMON STOCK 45768V108 2,350 100,000 94,059 INTERNATIONAL BISINESS MACHINES CORP COMMON STOCK 459200101 8,509 100,100 100,100 INTERNATIONAL GAME TECHNOLOGY COMMON STOCK 459902102 17,976 374,500 354,605 INTIMATE BRANDS INCORPORATED COMMON STOCK 461156101 15,663 1,044,200 982,168 JDS UNIPHASE CORPORATION COMMON STOCK 46612J101 1,041 24,980 18,735 JOHN HANCOCK FINANCIAL SERVICES COMMON STOCK 41014S106 10,362 275,400 260,893 KANSAS CITY SOUTHERN INDUSTRIES INC. COMMON STOCK 485170302 10,870 1,073,600 1,017,556 KEEBLER FOODS COMPANY COMMON STOCK 487256109 8,288 200,000 150,000 Voting Authority ------------------------------- Shared Name of Issuer Other Managers Sole Shared None -------------------------------------------------------------------------------------------------------------- CYTOCLONAL PHARMACEUTICALS 1,800 1 23,200 1,800 DELHAIZE AMERICA INC 77,984 1 233,956 77,984 DELPHI AUTOMOTIVE SYSTEMS 134,705 1 2,324,995 134,705 DELUXE CORPORATION 10,828 1 197,272 10,828 DEVX ENERGY INCORPORATED 245,673 1 1,254,327 245,673 DIAL CORPORATION 6,948 1 126,552 6,948 DIGITAL LIGHTWAVE INCORPORATED 3,998 1 71,902 3,998 DIRECT FOCUS INC 5,438 1 99,562 5,438 DIVERSA CORP 27,000 1 - 27,000 DIVINE INTERVENTURES INC 83,333 1 583,333 83,333 DOW CHEMICAL COMPANY 6,025 1 18,075 6,025 DU PONT (E.I.) DE NEMOURS 41,584 1 658,416 41,584 DUN & BRADSTREET CORPORATION - NEW 18,036 1 324,664 18,036 ECHOSTAR COMMUNICATIONS - A 72,046 1 1,140,754 72,046 EL PASO ELECTRIC COMPANY 70,993 1 405,107 70,993 ELECTRONIC DATA SYSTEMS CORPORATED 34,032 1 616,568 34,032 ELITE INFORMATION GROUP INCORPORATED 36,416 1 508,734 36,416 EMERSON ELECTRIC COMPANY 7,670 1 121,430 7,670 EMUSIC.COM INC 25,000 1 75,000 25,000 ENHERENT CORP 717,984 1 3,793,976 717,984 ESPERION THERAPEUTICS INC. 28,300 1 - 28,300 EXELON CORPORATION 69,943 1 1,267,968 69,943 F5 NETWORKS INC 3,904 1 71,096 3,904 FAIR, ISAAC, AND COMPANY INCORPORATED 1,486 1 23,514 1,486 FAIRFIELD COMMUNITIES INC 25,000 1 75,000 25,000 FANNIE MAE 7,806 1 142,194 7,806 FEDERAL - MOGUL CORPORATION 6,914 1 28,086 6,914 FIBERNET TELECOM - 1 530,670 - FILENET CORPORATION 11,296 1 196,504 11,296 FIRST AUSTRALIA FUND 25,116 1 71,484 25,116 FIRST AUSTRALIA PRIME INCOME FD 69,940 1 199,060 69,940 FMC CORPORATION 7,599 1 120,301 7,599 FOREST OIL CORPORATION 35,423 1 141,688 35,423 FREDDIE MAC 33,826 1 566,574 33,826 FREEPORT-MCMORAN COPPER-B 10,000 1 30,000 10,000 FREQUENCY ELECTRONICS INCORPORATED 6,228 1 113,472 6,228 GALILEO INTERNATIONAL INC. 9,899 1 178,401 9,899 GANNETT INC 594 1 10,806 594 GAP INC 6,516 1 152,284 6,516 GARDENBURGER INCORPORATED 1,900 1 15,500 1,900 GATX CORPORATION 39,121 1 665,079 39,121 GENERAL CABLE CORP 36,400 1 103,600 36,400 GENERAL DYNAMICS CORP 62,681 1 1,127,319 62,681 GENERAL MOTORS CORPORATION 11,169 1 228,931 11,169 GEORGIA GULF CORP 9,568 1 27,232 9,568 GEORGIA-PACIFIC (TIMBER GROUP) 13,750 1 41,250 13,750 GRANT PRIDECO INC 19,500 1 55,500 19,500 GREKA ENERGY CORPORATION 15,601 1 44,399 15,601 HASBRO INCORPORATED 85,644 1 1,387,256 85,644 HEALTHAXIS INC - 1 550,000 - HEALTHSOUTH CORPORATION 73,637 1 1,324,263 73,637 HERCULES INC. 30,453 1 527,847 30,453 HILTON HOTELS CORPORATION 30,891 1 489,109 30,891 HOME DEPOT INC. 47,507 1 752,193 47,507 HONEYWELL INTERNATIONAL INC 79,905 1 1,007,195 79,905 HOUGHTON MIFFLIN CO. 5,802 1 104,898 5,802 IMS HEALTH INCORPORATED 134,314 1 2,415,686 134,314 INFINITY BROADCASTING CORP 90,121 1 600,579 90,121 INFORMAX INCORPORATED 17,452 1 348,848 17,452 INSIGHT COMMUNICATIONS INC. 5,941 1 94,059 5,941 INTERNATIONAL BISINESS MACHINES CORP - 1 100,100 - INTERNATIONAL GAME TECHNOLOGY 19,895 1 354,605 19,895 INTIMATE BRANDS INCORPORATED 62,032 1 982,168 62,032 JDS UNIPHASE CORPORATION 6,245 1 18,735 6,245 JOHN HANCOCK FINANCIAL SERVICES 14,507 1 260,893 14,507 KANSAS CITY SOUTHERN INDUSTRIES INC. 56,044 1 1,017,556 56,044 KEEBLER FOODS COMPANY 50,000 1 150,000 50,000
Investment Discretion ------------------------------ Cusip Fair Market Shares or Shared- Name of Issuer Title of Class Number Value (x1000) Prin. Amt. as defined ---------------------------------------------------------------------------------------------------------------------------------- KMART CORPORATION COMMON STOCK 482584109 133 25,000 18,750 LAFARGE CORP COMMON STOCK 505862102 5,583 236,300 177,227 LAMAR ADVERTISING COMPANY COMMON STOCK 512815101 243 6,300 5,968 MARINE DRILLING COMPANY INCORPORATED COMMON STOCK 568240204 5,083 190,000 140,600 MARRIOTT INTERNATIONAL-CL A COMMON STOCK 571903202 4,225 100,000 94,059 MARVEL ENTERPRISES INC COMMON STOCK 57383M108 1,436 999,100 947,238 MASSEY ENERGY COMPANY COMMON STOCK 576206106 302 23,700 17,538 MATTEL INC COMMON STOCK 577081102 86,504 5,990,600 5,675,049 MAXTOR CORPORATION COMMON STOCK 577729205 9,527 1,703,100 1,615,120 MCDATA COMMON STOCK 580031102 10,950 200,000 189,506 MCKESSON HBOC INC COMMON STOCK 58155Q103 74,235 2,068,400 1,959,452 MEDQUIST INC COMMON STOCK 584949101 720 45,000 33,750 MEREDITH CORP COMMON STOCK 589433101 19,251 598,100 566,648 METLIFE INC. COMMON STOCK 59156R108 33,978 970,800 918,495 MICROSTRATEGY INCORPORATED COMMON STOCK 594972101 632 66,500 63,043 MIDAS, INC. COMMON STOCK 595626102 2,299 192,600 182,546 MILLIPORE CORPORATION COMMON STOCK 601073109 6,300 100,000 94,774 MORGAN STANLEY DEAN WITTER & CO. COMMON STOCK 617446448 89,553 1,130,000 1,062,871 MOTIENT CORPORATION COMMON STOCK 619908106 7,750 1,937,400 1,808,549 MURPHY OIL CORPORATION COMMON STOCK 626717102 5,742 95,000 70,300 NAVISTAR INTERNATIONAL CORPORATION COMMON STOCK 63934E108 4,452 170,000 125,800 NEFF CORP COMMON STOCK 640094108 125 100,000 75,000 NEWELL RUBBERMAID INCORPORATED COMMON STOCK 651229106 7,963 350,000 329,208 NOVELL INCORPORATED COMMON STOCK 670006105 3,914 750,000 708,566 OCEAN ENERGY INC. COMMON STOCK 67481E106 6,950 400,000 296,000 OFFICE DEPOT INC COMMON STOCK 676220106 2,494 350,000 329,208 OLIN CORP COMMON STOCK 680665205 14,313 646,900 604,287 OMI CORP COMMON STOCK Y6476W104 789 122,500 90,650 ORACLE CORP. COMMON STOCK 68389X105 24,703 850,000 799,506 OSTEOTECH INC COMMON STOCK 688582105 139 29,300 - PACTIV CORPRATION COMMON STOCK 695257105 47,828 3,864,900 3,593,917 PARAMETRICS TECHNOLOGY CORPORATION COMMON STOCK 699173100 6,719 500,000 470,298 PARK PLACE ENTERTAINMENT COMMON STOCK 700690100 57,227 4,793,900 4,541,628 PE CORP CELERA GENOMICS GROUP COMMON STOCK 038020202 795 22,000 - PEGASUS COMMUNICATIONS CORPORATION COMMON STOCK 705904100 888 34,500 32,635 PHILIP MORRIS COMPANIES INCORPORATED COMMON STOCK 718154107 88,942 2,021,400 1,914,977 PHILLIPS PETROLEUM CO. COMMON STOCK 718507106 2,559 45,000 33,300 PLUG POWER INC COMMON STOCK 72919P103 150 10,200 9,665 POWERTEL INC COMMON STOCK 73936C109 12,759 206,000 154,500 PRIDE INTERNATIONAL INC COMMON STOCK 741932107 4,925 200,000 148,000 PRIME HOSPITALITY CORPORATION COMMON STOCK 741917108 1,163 100,000 94,805 PROGENICS PHARMACEUTICALS INC. COMMON STOCK 743187106 25,063 2,235,257 1,741,797 PROXIM, INC. COMMON STOCK 744284100 2,150 50,000 47,583 PURCHASEPRO.COM INC COMMON STOCK 746144104 2,100 120,000 113,678 QUALITY DINING INCORPORATED COMMON STOCK 74756P105 103 50,000 37,500 QWEST COMMUNICATIONS INTL INC COMMON STOCK 749121109 432 10,576 7,044 R.H. DONNELLEY CORP COMMON STOCK 74955W307 10,092 415,100 390,439 R.R. DONNELLEY & SONS COMPANY COMMON STOCK 257867101 9,423 349,000 328,266 RACING CHAMPIONS CORPORATION COMMON STOCK 750069106 56 50,000 25,000 RALSTON-RALSTON PURINA GROUP COMMON STOCK 751277302 62,227 2,381,900 2,253,426 RATEXCHANGE CORPORATION COMMON STOCK 754091106 273 125,000 125,000 READ-RITE CORPORATION COMMON STOCK 755246105 12,646 3,136,950 2,954,959 RELIANT ENERGY INC. COMMON STOCK 75952J108 8,663 200,000 188,119 ROCKWELL INTERNATIONAL CORPORATION COMMON STOCK 773903109 2,858 60,000 56,878 ROSETTA INPHARMATICS, INC. COMMON STOCK 777777103 160 10,000 - RYERSON TULL INCORPORATED COMMON STOCK 78375P107 1,238 150,000 114,080 SAFENET INC COMMON STOCK 78645R107 2,350 50,000 50,000 SANTA FE INTERNATIONAL CORPORATION COMMON STOCK G7805C108 5,611 175,000 129,500 SCHERING-PLOUGH CORPORATION COMMON STOCK 806605101 49,946 880,100 833,874 SCM MICROSYSTEMS INCORPORATED COMMON STOCK 784018103 6,155 186,500 174,711 SCRIPPS CO (E.W.)-CL A COMMON STOCK 811054204 48,118 765,300 724,301 SEGUE SOFTWARE INCORPORATED COMMON STOCK 815807102 180 40,000 - SENSORMATIC ELECTRONICS CORPORATION COMMON STOCK 817265101 17,479 871,230 825,343 SEPRACOR INCORPORATED COMMON STOCK 817315104 296 3,700 - SIRIUS SATELLITE RADIO INC. COMMON STOCK 82966U103 7,293 243,600 229,125 SIX FLAGS INC. COMMON STOCK 83001P109 6,194 360,400 341,424 SNAP-ON INCORPORATED COMMON STOCK 833034101 5,575 200,000 189,505 Voting Authority ------------------------------- Shared Name of Issuer Other Managers Sole Shared None -------------------------------------------------------------------------------------------------------------- KMART CORPORATION 6,250 1 18,750 6,250 LAFARGE CORP 59,073 1 177,227 59,073 LAMAR ADVERTISING COMPANY 332 1 5,968 332 MARINE DRILLING COMPANY INCORPORATED 49,400 1 140,600 49,400 MARRIOTT INTERNATIONAL-CL A 5,941 1 94,059 5,941 MARVEL ENTERPRISES INC 51,862 1 947,238 51,862 MASSEY ENERGY COMPANY 6,162 1 17,538 6,162 MATTEL INC 315,551 1 5,675,049 315,551 MAXTOR CORPORATION 87,980 1 1,615,120 87,980 MCDATA 10,494 1 189,506 10,494 MCKESSON HBOC INC 108,948 1 1,959,452 108,948 MEDQUIST INC 11,250 1 33,750 11,250 MEREDITH CORP 31,452 1 566,648 31,452 METLIFE INC. 52,305 1 918,495 52,305 MICROSTRATEGY INCORPORATED 3,457 1 63,043 3,457 MIDAS, INC. 10,054 1 182,546 10,054 MILLIPORE CORPORATION 5,226 1 94,774 5,226 MORGAN STANLEY DEAN WITTER & CO. 67,129 1 1,062,871 67,129 MOTIENT CORPORATION 128,851 1 1,808,549 128,851 MURPHY OIL CORPORATION 24,700 1 70,300 24,700 NAVISTAR INTERNATIONAL CORPORATION 44,200 1 125,800 44,200 NEFF CORP 25,000 1 75,000 25,000 NEWELL RUBBERMAID INCORPORATED 20,792 1 329,208 20,792 NOVELL INCORPORATED 41,434 1 708,566 41,434 OCEAN ENERGY INC. 104,000 1 296,000 104,000 OFFICE DEPOT INC 20,792 1 329,208 20,792 OLIN CORP 42,613 1 604,287 42,613 OMI CORP 31,850 1 90,650 31,850 ORACLE CORP. 50,494 1 799,506 50,494 OSTEOTECH INC 29,300 1 - 29,300 PACTIV CORPRATION 270,983 1 3,593,917 270,983 PARAMETRICS TECHNOLOGY CORPORATION 29,702 1 470,298 29,702 PARK PLACE ENTERTAINMENT 252,272 1 4,541,628 252,272 PE CORP CELERA GENOMICS GROUP 22,000 1 - 22,000 PEGASUS COMMUNICATIONS CORPORATION 1,865 1 32,635 1,865 PHILIP MORRIS COMPANIES INCORPORATED 106,423 1 1,914,977 106,423 PHILLIPS PETROLEUM CO. 11,700 1 33,300 11,700 PLUG POWER INC 535 1 9,665 535 POWERTEL INC 51,500 1 154,500 51,500 PRIDE INTERNATIONAL INC 52,000 1 148,000 52,000 PRIME HOSPITALITY CORPORATION 5,195 1 94,805 5,195 PROGENICS PHARMACEUTICALS INC. 493,460 1 1,741,797 493,460 PROXIM, INC. 2,417 1 47,583 2,417 PURCHASEPRO.COM INC 6,322 1 113,678 6,322 QUALITY DINING INCORPORATED 12,500 1 37,500 12,500 QWEST COMMUNICATIONS INTL INC 3,532 1 7,044 3,532 R.H. DONNELLEY CORP 24,661 1 390,439 24,661 R.R. DONNELLEY & SONS COMPANY 20,734 1 328,266 20,734 RACING CHAMPIONS CORPORATION 25,000 1 25,000 25,000 RALSTON-RALSTON PURINA GROUP 128,474 1 2,253,426 128,474 RATEXCHANGE CORPORATION - 1 125,000 - READ-RITE CORPORATION 181,991 1 2,954,959 181,991 RELIANT ENERGY INC. 11,881 1 188,119 11,881 ROCKWELL INTERNATIONAL CORPORATION 3,122 1 56,878 3,122 ROSETTA INPHARMATICS, INC. 10,000 1 - 10,000 RYERSON TULL INCORPORATED 35,920 1 114,080 35,920 SAFENET INC - 1 50,000 - SANTA FE INTERNATIONAL CORPORATION 45,500 1 129,500 45,500 SCHERING-PLOUGH CORPORATION 46,226 1 833,874 46,226 SCM MICROSYSTEMS INCORPORATED 11,789 1 174,711 11,789 SCRIPPS CO (E.W.)-CL A 40,999 1 724,301 40,999 SEGUE SOFTWARE INCORPORATED 40,000 1 - 40,000 SENSORMATIC ELECTRONICS CORPORATION 45,887 1 825,343 45,887 SEPRACOR INCORPORATED 3,700 1 - 3,700 SIRIUS SATELLITE RADIO INC. 14,475 1 229,125 14,475 SIX FLAGS INC. 18,976 1 341,424 18,976 SNAP-ON INCORPORATED 10,495 1 189,505 10,495
Investment Discretion ------------------------------ Cusip Fair Market Shares or Shared- Name of Issuer Title of Class Number Value (x1000) Prin. Amt. as defined ---------------------------------------------------------------------------------------------------------------------------------- SOFTLOCK.COM SER. B PREF W/WARRANTS PPL COMMON STOCK 83402W109 1,992 1,875,000 1,875,000 SOLUTIA INCORPORATED COMMON STOCK 834376105 7,204 600,300 569,193 SOUTHWEST GAS CORPORATION COMMON STOCK 844895102 2,188 100,000 62,150 SOUTHWEST SECURITIES GROUP INCORPORATED COMMON STOCK 845224104 518 20,000 18,945 ST. PAUL COMPANIES COMMON STOCK 792860108 13,431 247,300 232,885 STATION CASINOS INCORPORATED COMMON STOCK 857689103 2,850 190,800 180,929 STONEPATH GROUP INC COMMON STOCK 861837102 208 416,666 416,666 SUNQUEST INFORMATION SYSTEMS INC. COMMON STOCK 867654105 4,781 534,900 506,730 SYCAMORE NETWORKS INC. COMMON STOCK 871206108 1,341 36,000 34,103 SYNOPSYS INC COMMON STOCK 871607107 7,552 159,200 151,548 TARGET CORPORATION COMMON STOCK 87612E106 52,406 1,625,000 1,530,549 TELEDYNE TECH INC. COMMON STOCK 879360105 13,211 559,200 529,657 TELEPHONE AND DATA SYSTEMS INCORPORATED COMMON STOCK 879433100 900 10,000 9,483 TENET HEALTHCARE CORPORATION COMMON STOCK 88033G100 22,841 514,000 492,475 TESORO PETROLEUM CORPORATION COMMON STOCK 881609101 1,163 100,000 74,000 THE MEAD CORPORATION COMMON STOCK 582834107 19,895 634,100 604,357 THERMO ELECTRON CORPORATION COMMON STOCK 883556102 50,846 1,709,118 1,619,124 TRANSMETA CORPORATION COMMON STOCK 89376R109 40,091 2,270,500 2,270,500 TRANSOCEAN SEDCO FOREX INC. COMMON STOCK G90078109 5,175 112,500 84,374 TRIBUNE COMPANY COMMON STOCK 896047107 7,373 174,500 164,133 TULARIK INCOPORATED COMMON STOCK 899165104 589 20,000 - TUPPERWARE CORPORATION COMMON STOCK 899896104 2,044 100,000 94,796 UNISYS CORP COMMON STOCK 909214108 5,389 368,500 346,608 UNITED SHIPPING & TECH PROSPECTUS COMMON STOCK 911498103 1,567 895,522 895,522 USX-MARATHON GROUP COMMON STOCK 902905827 3,469 125,000 91,880 VALASSIS COMMUNICATIONS INC. COMMON STOCK 918866104 20,064 635,700 599,660 VARCO INTERNATIONAL INC. COMMON STOCK 922122106 3,806 175,000 129,500 VENATOR GROUP INC COMMON STOCK 922944103 10,075 650,000 611,386 VERITAS SOFTWARE CORP. COMMON STOCK 923436109 7,764 800,600 616,350 VIACOM CLASS B COMMON STOCK 925524308 92,570 1,980,100 1,872,939 VIAD CORP. COMMON STOCK 92552R109 4,149 180,400 169,681 VINTAGE PETROLEUM INC. COMMON STOCK 927460105 1,613 75,000 55,500 VOICESTREAM WIRELESS CORP COMMON STOCK 928615103 63,987 635,900 476,824 W.R. GRACE & CO COMMON STOCK 38388F108 579 181,600 170,812 WADDELL & REED FINAN -CL B COMMON STOCK 930059209 5,678 151,400 143,523 WADDELL & REED FINANCIAL-A COMMON STOCK 930059100 7,709 204,900 194,206 WAL-MART STORES INCORPORATED COMMON STOCK 931142103 51,159 963,000 905,793 WASTE MANAGEMENT INC COMMON STOCK 94106L109 51,618 1,860,100 1,758,556 WASTE SYSTEMS INTERNATIONAL, INC. PPL COMMON STOCK 94106P209 13 71,429 69,300 WEBEX COMMUNICATIONS INC. COMMON STOCK 94767L109 1,357 65,000 61,137 WEBMD CORPORATION COMMON STOCK 94769M105 3,307 416,667 416,667 WEIS MARKETS INCORPORATED COMMON STOCK 948849104 1,916 50,000 - WESTERN WIRELESS CORPORATION COMMON STOCK 95988E204 1,959 50,000 47,384 WHIRLPOOL CORPORATION COMMON STOCK 963320106 14,745 309,200 294,479 WIND RIVER SYSTEMS INCORPORATED COMMON STOCK 973149107 3,180 93,200 88,288 XEROX CORP COMMON STOCK 984121103 46 10,000 9,432 XM SATELLITE RADIO HOLDINGS INC. - CL A COMMON STOCK 983759101 9,143 569,200 539,458 YORK INTERNATIONAL CORPORATION COMMON STOCK 986670107 23,430 763,500 723,336 ZOLTEK COMPANIES INCORPORATED COMMON STOCK 98975W104 516 158,800 150,700 PHILIP MORRIS COS INC CALL OPTION 718154907 9 1400 1284 CENTEX CORP CALL OPTION 152312904 56 750 499 FORT JAMES CORP CALL OPTION 347471904 59 250 166 FORT JAMES CORP CALL OPTION 347471904 66 500 332 Grand Total 3,017,401 133,256,159 123,116,721 Voting Authority ------------------------------- Shared Name of Issuer Other Managers Sole Shared None -------------------------------------------------------------------------------------------------------------- SOFTLOCK.COM SER. B PREF W/WARRANTS PPL - 1 1,875,000 - SOLUTIA INCORPORATED 31,107 1 569,193 31,107 SOUTHWEST GAS CORPORATION 37,850 1 62,150 37,850 SOUTHWEST SECURITIES GROUP INCORPORATED 1,055 1 18,945 1,055 ST. PAUL COMPANIES 14,415 1 232,885 14,415 STATION CASINOS INCORPORATED 9,871 1 180,929 9,871 STONEPATH GROUP INC - 1 416,666 - SUNQUEST INFORMATION SYSTEMS INC. 28,170 1 506,730 28,170 SYCAMORE NETWORKS INC. 1,897 1 34,103 1,897 SYNOPSYS INC 7,652 1 151,548 7,652 TARGET CORPORATION 94,451 1 1,530,549 94,451 TELEDYNE TECH INC. 29,543 1 529,657 29,543 TELEPHONE AND DATA SYSTEMS INCORPORATED 517 1 9,483 517 TENET HEALTHCARE CORPORATION 21,525 1 492,475 21,525 TESORO PETROLEUM CORPORATION 26,000 1 74,000 26,000 THE MEAD CORPORATION 29,743 1 604,357 29,743 THERMO ELECTRON CORPORATION 89,994 1 1,619,124 89,994 TRANSMETA CORPORATION - 1 2,270,500 - TRANSOCEAN SEDCO FOREX INC. 28,126 1 84,374 28,126 TRIBUNE COMPANY 10,367 1 164,133 10,367 TULARIK INCOPORATED 20,000 1 - 20,000 TUPPERWARE CORPORATION 5,204 1 94,796 5,204 UNISYS CORP 21,892 1 346,608 21,892 UNITED SHIPPING & TECH PROSPECTUS - 1 895,522 - USX-MARATHON GROUP 33,120 1 91,880 33,120 VALASSIS COMMUNICATIONS INC. 36,040 1 599,660 36,040 VARCO INTERNATIONAL INC. 45,500 1 129,500 45,500 VENATOR GROUP INC 38,614 1 611,386 38,614 VERITAS SOFTWARE CORP. 184,250 1 616,350 184,250 VIACOM CLASS B 107,161 1 1,872,939 107,161 VIAD CORP. 10,719 1 169,681 10,719 VINTAGE PETROLEUM INC. 19,500 1 55,500 19,500 VOICESTREAM WIRELESS CORP 159,076 1 476,824 159,076 W.R. GRACE & CO 10,788 1 170,812 10,788 WADDELL & REED FINAN -CL B 7,877 1 143,523 7,877 WADDELL & REED FINANCIAL-A 10,694 1 194,206 10,694 WAL-MART STORES INCORPORATED 57,207 1 905,793 57,207 WASTE MANAGEMENT INC 101,544 1 1,758,556 101,544 WASTE SYSTEMS INTERNATIONAL, INC. PPL 2,129 1 69,300 2,129 WEBEX COMMUNICATIONS INC. 3,863 1 61,137 3,863 WEBMD CORPORATION - 1 416,667 - WEIS MARKETS INCORPORATED 50,000 1 - 50,000 WESTERN WIRELESS CORPORATION 2,616 1 47,384 2,616 WHIRLPOOL CORPORATION 14,721 1 294,479 14,721 WIND RIVER SYSTEMS INCORPORATED 4,912 1 88,288 4,912 XEROX CORP 568 1 9,432 568 XM SATELLITE RADIO HOLDINGS INC. - CL A 29,742 1 539,458 29,742 YORK INTERNATIONAL CORPORATION 40,164 1 723,336 40,164 ZOLTEK COMPANIES INCORPORATED 8,100 1 150,700 8,100 PHILIP MORRIS COS INC 116 1 1,284 116 CENTEX CORP 251 1 499 251 FORT JAMES CORP 84 1 166 84 FORT JAMES CORP 168 1 332 168 Grand Total 10,139,438 123,116,721 10,139,438