-----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, O588V5+T6MfAJ/RoRYmSCA0JjEqsKMDXlx7cmhbef2vwxLjn6Qdl42oMZWkuZEo3 QiMnOLwKEDePwz0g3i69uA== /in/edgar/work/0000950148-00-002389/0000950148-00-002389.txt : 20001116 0000950148-00-002389.hdr.sgml : 20001116 ACCESSION NUMBER: 0000950148-00-002389 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000630 FILED AS OF DATE: 20001114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: KAYNE ANDERSON INVESTMENT MANAGEMENT LLC CENTRAL INDEX KEY: 0001021223 STANDARD INDUSTRIAL CLASSIFICATION: [ ] IRS NUMBER: 954575414 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: SEC FILE NUMBER: 028-05792 FILM NUMBER: 769382 BUSINESS ADDRESS: STREET 1: 1800 AVE OF THE STAR 2ND FL CITY: LOS ANGELES STATE: CA ZIP: 90067 BUSINESS PHONE: 3105562721 MAIL ADDRESS: STREET 1: 1800 AVENUE OF THE STARS 2ND FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90067 13F-HR/A 1 v67387ce13f-hra.txt FORM 13F/AMENDMENT 1 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: June 30, 2000 -- AMENDED Check here if Amendment [X]; Amendment Number: 1 ------------ This Amendment (Check only one.): [X] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: KAYNE ANDERSON INVESTMENT MANAGEMENT, LLC Address: 1800 AVENUE OF THE STARS SECOND FLOOR LOS ANGELES, CA 90067 Form 13F File Number: 28-05792 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: Richard A. Kayne Title: Administrative Manager Phone: (310) 556-2721 Signature, Place, and Date of Signing: Richard A. Kayne Los Angeles, California 13 November 2000 Report Type (Check only one.): [X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: None I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934. 2 KAYNE ANDERSON INVESTMENT MANAGEMENT, LLC Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 233 Form 13F Information Table Value Total: $ 4,909,110 (thousands)
List of Other Included Managers: NONE 3 KAYNE ANDERSON INVESTMENT MANAGEMENT, LLC FORM 13F INFORMATION TABLE
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 - --------------------------------------------------------------------------------------------------------------- TITLE VALUE SHARES OR SH/ PUT/ NAME OF ISSUER OF CLASS CUSIP (X 1000) PRN AMT PRN CALL - --------------------------------------------------------------------------------------------------------------- EVEREST RE GROUP LTD COM G3223R108 $ 431 13,100 SH PLAYMATES INTERACTIVE ENTMT OR COM G7130P105 $ 9 100,000 SH UBS COM H8920G155 $ 12,769 86,867 SH PANAMERICAN BEVERAGES ADR COM P74823108 $ 12,990 869,622 SH ABM INDUSTRIES INC COM 000957100 $ 31,450 1,367,413 SH ABBOTT LABS COM 002824100 $ 2,434 54,613 SH ACNIELSEN CORP COM 004833109 $ 475 21,600 SH AEGON ADR COM 007924103 $ 230 6,456 SH AGILENT TECHNOLOGIES INC COM 00846U101 $ 32,632 442,466 SH ALCOA INC COM 013817101 $ 267 9,200 SH ALCATEL ADR SPONSORED ADR 013904305 $ 26,569 399,535 SH AMERICA ONLINE INC COM 02364J104 $ 372 7,064 SH AMERICAN HOME PRODS CORP COM 026609107 $ 1,246 21,209 SH AMERICAN INTL GROUP INC COM 026874107 $163,906 2,092,418 SH ANHEUSER BUSCH COMPANIES INC COM 035229103 $ 233 6,230 SH APPLIED MATERIALS INC COM 038222105 $ 449 4,950 SH ARIS CORP WASH COM 04040A101 $ 79 28,800 SH ASTORIA FINL CORP COM 046265104 $ 242 9,400 SH ASTRAZENECA ADR SPONSORED ADR 046353108 $ 13,484 289,989 SH AT & T CORP LIBERTY MEDIA GROU COM 001957208 $ 345 14,172 SH ATLANTIC PREM BRANDS LTD COM 04878P105 $ 25 11,803 SH AT&T CORP COM 001957109 $ 82,605 2,596,620 SH AUTOMATIC DATA PROCESSING COM 053015103 $153,504 2,865,890 SH AVALONBAY CMNTYS INC COM 053484101 $ 292 7,000 SH AXA ADR SPONSORED ADR 054536107 $ 22,923 288,119 SH BANK OF AMERICA COM 060505104 $ 421 9,700 SH BAY VIEW CAP CORP DEL COM 07262L101 $ 393 40,100 SH BEAR STEARNS COS INC COM 073902108 $ 401 9,641 SH BELDEN INC COM 077459105 $ 505 19,700 SH BELL ATLANTIC CORP COM 077853109 $ 321 6,294 SH BELL & HOWELL CO NEW COM 077852101 $ 572 23,600 SH BELLSOUTH CORP COM 079860102 $ 304 7,123 SH BEMIS INC COM 081437105 $ 36,004 1,070,758 SH BERKSHIRE HATHAWAY INC CL A CL A 084670108 $ 699 13 SH BERKSHIRE HATHAWAY INC DEL CL CL B 084670207 $ 407 231 SH BESTFOODS COM 08658U101 $ 99,306 1,434,026 SH BIG DOG HLDGS INC COM 089128102 $ 75 18,300 SH BINDLEY WESTN INDS INC COM 090324104 $ 637 24,100 SH BLANCH E W HLDGS INC COM 093210102 $ 17,285 850,936 SH BOC GROUP PLC ADR SPONSORED ADR 055617609 $ 1,254 43,340 SH BP AMOCO PLC ADR SPONSORED ADR 055622104 $ 1,660 29,309 SH BRE PPTYS INC CL A 05564E106 $ 286 9,900 SH BRISTOL MYERS SQUIBB CO COM 110122108 $ 1,488 25,540 SH BROKEN HILL PROPRIETARY LTD ADR SPONSORED ADR 112169602 $ 20,113 846,852 SH C H ROBINSON WORLDWIDE INC COM 12541W100 $ 46,180 932,932 SH CLECO CORP NEW COM 12561W105 $ 268 8,000 SH CSG SYSTEMS INTL INC COM 126349109 $ 56,853 1,014,103 SH CVB FINL CORP COM 126600105 $ 501 31,702 SH CABLE & WIRELESS ADR SPONSORED ADR 126830207 $ 18,583 369,812 SH CADBURY SCHWEPPES ADR COM 127209302 $ 214 8,170 SH CANANDAIGUA BRANDS INC CL A CL A 137219200 $ 262 5,200 SH CANNONDALE CORP COM 137798104 $ 101 15,500 SH CANON ADR ADR 138006309 $ 23,432 465,154 SH CATALINA MARKETING CORP COM 148867104 $ 44,143 1,298,310 SH CERTRON CORP COM 157078106 $ 15 54,230 SH CHEVRON CORP COM 166751107 $ 302 3,556 SH CHUBB CORP COM 171232101 $ 354 5,762 SH CINCINNATI FINL CORP COM 172062101 $ 765 24,333 SH CINTAS CORP COM 172908105 $ 957 26,075 SH CISCO SYSTEMS INC COM 17275R102 $117,483 1,848,307 SH CITIGROUP INC COM 172967101 $ 1,584 34,948 SH CITY NATL CORP COM 178566105 $ 611 17,575 SH CLAIRES STORES INC COM 179584107 $ 49,964 2,595,539 SH COCA COLA COM 191216100 $133,084 2,317,029 SH COLGATE PALMOLIVE CO COM 194162103 $ 2,273 37,961 SH COMPUTER ASSOCIATE INTL INC COM 204912109 $ 438 8,555 SH CONMED CORP COM 207410101 $ 520 20,100 SH CORAM HEALTHCARE CORP COM 218103109 $ 7 20,000 SH
COLUMN 1 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------------------------------------------------------------------------------ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER DISCRETION MANAGERS SOLE SHARED NONE - ------------------------------------------------------------------------------------------------------- EVEREST RE GROUP LTD SOLE 13,100 -- -- PLAYMATES INTERACTIVE ENTMT OR SOLE -- -- 100,000 UBS DEFINED 39,064 3,595 44,208 PANAMERICAN BEVERAGES ADR DEFINED 386,320 27,370 455,932 ABM INDUSTRIES INC DEFINED 833,913 2,185 531,315 ABBOTT LABS SOLE 12,404 -- 42,209 ACNIELSEN CORP SOLE 21,600 -- -- AEGON ADR SOLE 6,456 -- -- AGILENT TECHNOLOGIES INC DEFINED 180,480 60 261,925 ALCOA INC SOLE 9,200 -- -- ALCATEL ADR DEFINED 205,140 15,660 178,735 AMERICA ONLINE INC SOLE -- -- 7,064 AMERICAN HOME PRODS CORP SOLE -- -- 21,209 AMERICAN INTL GROUP INC DEFINED 859,499 300 1,232,619 ANHEUSER BUSCH COMPANIES INC SOLE 4,800 -- 1,430 APPLIED MATERIALS INC SOLE 400 -- 4,550 ARIS CORP WASH SOLE 28,800 -- -- ASTORIA FINL CORP SOLE 9,400 -- -- ASTRAZENECA ADR DEFINED 149,275 10,620 130,094 AT & T CORP LIBERTY MEDIA GROU SOLE 14,172 -- -- ATLANTIC PREM BRANDS LTD SOLE -- -- 11,803 AT&T CORP DEFINED 1,078,072 372 1,518,176 AUTOMATIC DATA PROCESSING DEFINED 1,208,863 373 1,656,654 AVALONBAY CMNTYS INC SOLE 7,000 -- -- AXA ADR DEFINED 135,661 9,695 142,763 BANK OF AMERICA SOLE -- -- 9,700 BAY VIEW CAP CORP DEL SOLE 40,100 -- -- BEAR STEARNS COS INC SOLE -- -- 9,641 BELDEN INC SOLE 19,700 -- -- BELL ATLANTIC CORP SOLE -- -- 6,294 BELL & HOWELL CO NEW SOLE 23,600 -- -- BELLSOUTH CORP SOLE -- -- 7,123 BEMIS INC DEFINED 687,845 1,790 381,123 BERKSHIRE HATHAWAY INC CL A SOLE 9 -- 4 BERKSHIRE HATHAWAY INC DEL CL SOLE 156 -- 75 BESTFOODS DEFINED 604,428 167 829,431 BIG DOG HLDGS INC SOLE -- -- 18,300 BINDLEY WESTN INDS INC SOLE 24,100 -- -- BLANCH E W HLDGS INC DEFINED 527,791 1,460 321,685 BOC GROUP PLC ADR SOLE 8,830 -- 34,510 BP AMOCO PLC ADR SOLE 13,473 -- 15,836 BRE PPTYS INC SOLE 9,900 -- -- BRISTOL MYERS SQUIBB CO SOLE 8,230 -- 17,310 BROKEN HILL PROPRIETARY LTD ADR DEFINED 409,090 31,960 405,802 C H ROBINSON WORLDWIDE INC DEFINED 605,162 1,450 326,320 CLECO CORP NEW SOLE 8,000 -- -- CSG SYSTEMS INTL INC DEFINED 620,523 1,755 391,825 CVB FINL CORP SOLE 31,702 -- -- CABLE & WIRELESS ADR DEFINED 182,774 13,995 173,043 CADBURY SCHWEPPES ADR SOLE 5,150 -- 3,020 CANANDAIGUA BRANDS INC CL A SOLE 5,200 -- -- CANNONDALE CORP SOLE -- -- 15,500 CANON ADR DEFINED 232,906 15,890 216,358 CATALINA MARKETING CORP DEFINED 784,710 2,190 511,410 CERTRON CORP SOLE -- -- 54,230 CHEVRON CORP SOLE -- -- 3,556 CHUBB CORP SOLE -- -- 5,762 CINCINNATI FINL CORP SOLE 13,744 -- 10,589 CINTAS CORP SOLE 7,195 -- 18,880 CISCO SYSTEMS INC DEFINED 776,622 280 1,071,405 CITIGROUP INC SOLE 11,992 -- 22,956 CITY NATL CORP SOLE 13,100 -- 4,475 CLAIRES STORES INC DEFINED 1,629,589 3,935 962,015 COCA COLA DEFINED 933,842 306 1,382,881 COLGATE PALMOLIVE CO SOLE 2,800 -- 35,161 COMPUTER ASSOCIATE INTL INC SOLE 8,000 -- 555 CONMED CORP SOLE 20,100 -- -- CORAM HEALTHCARE CORP SOLE 20,000 -- --
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COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 - -------------------------------------------------------------------------------------------------------------- TITLE VALUE SHARES OR SH/ PUT/ NAME OF ISSUER OF CLASS CUSIP (X 1000) PRN AMT PRN CALL - -------------------------------------------------------------------------------------------------------------- COVANCE INC COM 222816100 $ 482 54,700 SH DPL INC COM 233293109 $ 390 17,765 SH DALLAS SEMICONDUCTOR CORP COM 235204104 $ 52,599 1,290,764 SH DELPHI FINL GROUP INC CL A CL A 247131105 $ 443 13,063 SH DENTSPLY INTL INC NEW COM 249030107 $ 721 23,400 SH DEVON ENERGY CORP COM 25179M103 $ 40,808 728,717 SH DEXTER CORP COM 252165105 $ 394 8,200 SH DIAGEO ADR SPON NEW ADR 25243Q205 $ 15,571 437,840 SH DISNEY COMMON STOCK COM DISNEY 254687106 $ 6,069 156,368 SH DOVER CORP COM 260003108 $ 251 6,200 SH DOWNEY FINL CORP COM 261018105 $ 284 9,800 SH DUKE PWR CO COM 264399106 $ 582 10,255 SH DURA PHARMACEUTICALS INC COM 26632S109 $ 306 21,300 SH EARTHGRAINS CO COM 270319106 $ 667 34,300 SH EATON VANCE CORP NON VTG COM NON VTG 278265103 $ 40,314 871,655 SH ELECTRONIC DATA SYS CORP NEW COM 285661104 $ 81,337 1,971,800 SH EMERSON ELEC CO COM 291011104 $ 78,356 1,297,815 SH ENDESA S A SPONSORED ADR 29258N107 $ 11,429 586,108 SH ENRON CORP COM 293561106 $ 419 6,500 SH EQUIFAX INC COM 294429105 $ 584 22,250 SH EQUITY RESIDENTIAL PROP CVT PF PFD CV 1/10 G 29476L859 $ 416 18,500 SH ERICSSON L M TEL CO ADR CL B SEK10 294821400 $ 9,332 466,584 SH EXXON MOBIL CORPORATION COM 30231G102 $127,625 1,625,797 SH FACTSET RESH SYS INC COM 303075105 $ 30,071 1,064,477 SH FAIR ISAAC & CO INC COM 303250104 $ 28,999 659,058 SH FEDERAL NAT MORTGAGE ASSN COM 313586109 $113,045 2,160,961 SH FEDERAL SIGNAL CORP COM 313855108 $ 31,321 1,898,241 SH FEDEX CORP COM 31428X106 $ 251 6,600 SH FIDUCIARY TRUST CO INTL COM 316495100 $ 2,839 62,393 SH FIFTH THIRD BANCORP COM 316773100 $ 3,334 79,079 SH G A P INC COM 364760108 $ 63,296 2,025,466 SH GANNETT INC DEL COM 364730101 $ 1,373 22,949 SH GENERAL ELEC CO COM 369604103 $168,485 3,216,902 SH GLACIER WTR SVCS INC COM 376395109 $ 417 35,450 SH GOLDEN ST BANCORP INC COM 381197102 $ 360 20,000 SH GROUPE DANONE ADR SPONSORED ADR 399449107 $ 21,942 814,562 SH GTE CORP COM 362320103 $ 376 6,041 SH HEICO CORP-CL A CL A 422806208 $ 16,997 1,526,234 SH HEIDRICK & STRUGGLES INTL INC COM 422819102 $ 751 11,900 SH HELLER FINL INC CL A CL A 423328103 $ 529 25,800 SH HENRY JACK & ASSOC INC COM 426281101 $ 54,336 1,084,017 SH HERSHEY FOODS CORP COM 427866108 $ 1,137 23,440 SH HEWLETT PACKARD CO COM 428236103 $146,306 2,343,235 SH HOME DEPOT INC COM 437076102 $ 67,675 1,355,194 SH HONEYWELL INTERNATIONAL, INC COM 438516106 $ 206 6,128 SH HOOPER HOLMES INC COM 439104100 $ 32,384 4,047,945 SH HSBC HLDGS PLC SPON NEW ADR 404280406 $ 19,543 337,308 SH HYPERION SOLUTIONS CORP COM 44914M104 $ 496 15,300 SH IBM CORP COM 459200101 $152,982 1,396,299 SH IDEXX LABORATORIES CORP COM 45168D104 $ 291 12,700 SH IDT CORP COM 448947101 $ 638 18,800 SH ILLINOIS TOOL WORKS INC COM 452308109 $ 61,839 1,084,887 SH INFOCUS CORP COM 45665B106 $ 425 13,200 SH INTEL CORP COM 458140100 $214,395 3,207,400 SH INTERIM SVCS INC COM 45868P100 $ 330 18,600 SH INTERNATIONAL RECTIFIER CORP COM 460254105 $ 1,047 18,700 SH INTERPUBLIC GROUP COS INC COM 460690100 $ 274 6,374 SH INTERVOICE-BRITE INC COM 461142101 $ 118 18,000 SH JOHNSON & JOHNSON COM 478160104 $174,186 1,709,799 SH JONES PHARMA INC COM 480236108 $ 50,363 1,261,049 SH KIMBERLY CLARK CORP COM 494368103 $ 884 15,409 SH KONINKLIJKE AHOLD N V ADR SPON NEW ADR 500467303 $ 20,515 699,869 SH LA-Z-BOY INC COM 505336107 $ 39,852 2,846,566 SH LABRANCHE & CO INC COM 505447102 $ 338 23,500 SH LANDAUER INC COM 51476K103 $ 14,895 957,138 SH LIBERTY PPTY TR SH BEN INT SH BEN INT 531172104 $ 342 13,200 SH LINEAR TECHNOLOGY CORP COM 535678106 $ 4,488 70,198 SH LIQUI BOX CORP COM 536314107 $ 14,966 302,343 SH
COLUMN 1 COLUMN 6 COLUMN 7 COLUMN 8 - ---------------------------------------------------------------------------------------------------- INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER DISCRETION MANAGERS SOLE SHARED NONE - ----------------------------------------------------------------------------------------------------- COVANCE INC SOLE 54,700 -- -- DPL INC SOLE 10,610 -- 7,155 DALLAS SEMICONDUCTOR CORP DEFINED 812,654 1,830 476,280 DELPHI FINL GROUP INC CL A SOLE 13,063 -- -- DENTSPLY INTL INC NEW SOLE 23,400 -- -- DEVON ENERGY CORP DEFINED 456,074 1,225 271,418 DEXTER CORP SOLE 8,200 -- -- DIAGEO ADR DEFINED 209,346 15,375 213,119 DISNEY COMMON STOCK SOLE 65,475 -- 90,893 DOVER CORP SOLE 5,000 -- 1,200 DOWNEY FINL CORP SOLE 9,800 -- -- DUKE PWR CO SOLE 4,670 -- 5,585 DURA PHARMACEUTICALS INC SOLE 21,300 -- -- EARTHGRAINS CO SOLE 34,300 -- -- EATON VANCE CORP NON VTG DEFINED 560,667 1,320 309,668 ELECTRONIC DATA SYS CORP NEW DEFINED 829,639 280 1,141,881 EMERSON ELEC CO DEFINED 529,178 211 768,426 ENDESA S A DEFINED 286,350 20,365 279,393 ENRON CORP SOLE -- -- 6,500 EQUIFAX INC SOLE -- -- 22,250 EQUITY RESIDENTIAL PROP CVT PF SOLE 1,000 -- 17,500 ERICSSON L M TEL CO SOLE 147,780 -- 318,804 EXXON MOBIL CORPORATION DEFINED 690,099 228 935,470 FACTSET RESH SYS INC DEFINED 655,102 1,680 407,695 FAIR ISAAC & CO INC DEFINED 407,478 1,030 250,550 FEDERAL NAT MORTGAGE ASSN DEFINED 894,321 306 1,266,334 FEDERAL SIGNAL CORP DEFINED 1,238,405 2,390 657,446 FEDEX CORP SOLE 5,400 -- 1,200 FIDUCIARY TRUST CO INTL SOLE 13,178 -- 49,215 FIFTH THIRD BANCORP SOLE 35,592 -- 43,487 G A P INC DEFINED 815,786 285 1,209,395 GANNETT INC DEL SOLE 12,005 -- 10,944 GENERAL ELEC CO DEFINED 1,276,674 420 1,939,808 GLACIER WTR SVCS INC DEFINED 22,000 2,950 10,500 GOLDEN ST BANCORP INC SOLE 20,000 -- -- GROUPE DANONE ADR DEFINED 374,104 30,330 410,128 GTE CORP SOLE -- -- 6,041 HEICO CORP-CL A DEFINED 948,376 1,221 576,637 HEIDRICK & STRUGGLES INTL INC SOLE 11,900 -- -- HELLER FINL INC CL A SOLE 25,800 -- -- HENRY JACK & ASSOC INC DEFINED 649,306 1,645 433,066 HERSHEY FOODS CORP SOLE 12,140 -- 11,300 HEWLETT PACKARD CO DEFINED 964,631 342 1,378,262 HOME DEPOT INC DEFINED 527,983 195 827,016 HONEYWELL INTERNATIONAL, INC SOLE -- -- 6,128 HOOPER HOLMES INC DEFINED 2,538,795 6,435 1,502,715 HSBC HLDGS PLC DEFINED 160,432 11,865 165,011 HYPERION SOLUTIONS CORP SOLE 15,300 -- -- IBM CORP DEFINED 575,676 196 820,427 IDEXX LABORATORIES CORP SOLE 12,700 -- -- IDT CORP SOLE 18,800 -- -- ILLINOIS TOOL WORKS INC DEFINED 468,028 155 616,704 INFOCUS CORP SOLE 13,200 -- -- INTEL CORP DEFINED 1,316,090 458 1,890,852 INTERIM SVCS INC SOLE 18,600 -- -- INTERNATIONAL RECTIFIER CORP SOLE 18,700 -- -- INTERPUBLIC GROUP COS INC SOLE 6,374 -- -- INTERVOICE-BRITE INC SOLE 18,000 -- -- JOHNSON & JOHNSON DEFINED 692,243 235 1,017,321 JONES PHARMA INC DEFINED 774,744 2,250 484,055 KIMBERLY CLARK CORP SOLE 4,730 -- 10,679 KONINKLIJKE AHOLD N V ADR DEFINED 366,711 27,860 305,298 LA-Z-BOY INC DEFINED 1,814,405 4,520 1,027,641 LABRANCHE & CO INC SOLE 23,500 -- -- LANDAUER INC DEFINED 511,488 1,600 444,050 LIBERTY PPTY TR SH BEN INT SOLE 13,200 -- -- LINEAR TECHNOLOGY CORP SOLE 3,985 -- 66,213 LIQUI BOX CORP DEFINED 178,035 220 124,088
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COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 - --------------------------------------------------------------------------------------------------------------- TITLE VALUE SHARES OR SH/ PUT/ NAME OF ISSUER OF CLASS CUSIP (X 1000) PRN AMT PRN CALL - --------------------------------------------------------------------------------------------------------------- LUCENT TECHNOLOGIES INC COM 549463107 $ 69,398 1,181,243 SH MARSH & MCLENNAN COS INC COM 571748102 $ 75,000 718,134 SH MATSUSHITA ELEC INDL ADR ADR 576879209 $ 17,040 66,305 SH MAY DEPT STORES CO COM 577778103 $ 434 18,085 SH MCDONALDS CORP COM 580135101 $107,021 3,249,211 SH MEDTRONIC INC COM 585055106 $ 80,378 1,613,611 SH MERCK & CO INC COM 589331107 $144,789 1,889,575 SH MERIDIAN RESOURCE CORP COM 58977Q109 $ 137 24,150 SH MERRILL LYNCH & CO INC COM 590188108 $ 347 6,030 SH MICRON TECHNOLOGY INC COM 595112103 $ 240 2,730 SH MICROSOFT CORP COM 594918104 $112,998 1,412,477 SH MIDWEST LODGING PROPERTIES INC COM 598330108 $ -- 100,000 SH MINNESOTA MNG & MFG CO COM 604059105 $ 526 6,360 SH MONACO COACH CORP COM 60886R103 $ 175 12,862 SH BENJAMIN MOORE & CO COM 615649100 $ 23,377 969,005 SH MORGAN J.P. & CO INC COM 616880100 $ 358 3,251 SH MORGAN STANLEY DEAN WITTER NEW COM 617446448 $ 3,174 38,132 SH MORGAN STANLEY FIN PLC CAP UT UNIT EX 083015 616906608 $ 917 37,323 SH MORRISON KNUDSEN CORP NEW COM 61844A109 $ 74 10,200 SH MOTOROLA INC COM 620076109 $ 592 19,740 SH NATIONAL COMMERCE BANCORP COM 635449101 $ 36,097 2,247,306 SH NEWS CORP ADR SPON ADR PFD 652487802 $ 409 8,600 SH NIPPON TELEG & TEL ADR SPONSORED ADR 654624105 $ 12,833 187,688 SH NOKIA ADR SPONSORED ADR 654902204 $ 3,565 71,219 SH NORDSON CORP COM 655663102 $ 35,357 1,396,802 SH NOVARTIS ADR SPONSORED ADR 66987V109 $ 22,330 558,262 SH NRG ENERGY INC COM 629377102 $ 579 31,700 SH NSTAR COM 67019E107 $ 263 6,466 SH OCEAN ENERGY INC COM 67418E106 $ 521 36,700 SH OMNICARE INC COM 681904108 $ 277 30,600 SH PNC FINANCIAL CORP COM 693475105 $ 428 9,120 SH PPG INDS INC COM 693506107 $ 79,230 1,787,983 SH PACIFIC CAP BANCORP NEW COM 69404P101 $ 288 11,500 SH PACKARD BIOSCIENCE INC COM 695172205 $ 386 22,700 SH PEPSICO INC COM 713448108 $ 769 17,303 SH PERSONNEL GROUP AMER INC COM 715338109 $ 145 51,400 SH PFIZER INC COM 717081103 $179,032 3,729,837 SH PHARMACIA CORP COM 71713U102 $ 295 5,700 SH PLAINS ALL AMERN PIPELINE L UN UNIT LTD PARTN 726503105 $ 287 15,400 SH PLAINS RES INC COM 726540503 $ 194 12,150 SH PRIME RETAIL INC 8.50 CONV PFD PFD CONV SER B 741570303 $ 109 15,530 SH PROCTER & GAMBLE COMPANY COM 742718109 $109,243 1,908,181 SH QWEST COMMUNICATIONS INTL INC COM 749121109 $ 1,356 27,288 SH R H DONNELLEY CORP COM NEW 74955W307 $ 314 16,200 SH RADIAN GROUP INC COM 750236101 $ 419 8,100 SH RECKSON ASSOCS RLTY CORP COM 75621K106 $ 311 13,100 SH RENT WAY INC COM 76009U104 $ 333 11,400 SH REPSOL S A ADR SPONSORED ADR 76026T205 $ 18,575 937,561 SH REUTERS GROUP ADR SPONSORED ADR 76132M102 $ 17,569 175,801 SH REYNOLDS & REYNOLDS CO CL A CL A 761695105 $ 34,414 1,885,697 SH ROYAL DUTCH PETE CO NY REG GLD1.25 780257804 $ 1,654 26,870 SH RPM INC OHIO COM 749685103 $ 151 14,870 SH SANTA FE SNYDER CORPORATION COM 80218K105 $ 415 36,500 SH SAP AKTIENGESELLSCHAFT ADR SPONSORED ADR 803054204 $ 18,912 405,622 SH SARA LEE CORP COM 803111103 $ 1,166 60,756 SH SBC COMMUNICATIONS INC COM 78387G103 $ 891 20,595 SH SCHEIB EARL INC COM 806398103 $ 50 16,120 SH SCHERING PLOUGH CORP COM 806605101 $ 1,532 30,335 SH SCHLUMBERGER COM 806857108 $ 220 2,950 SH SINCLAIR BROADCAST GROUP INC CL A 829226109 $ 322 29,300 SH SONY ADR ADR NEW 835699307 $ 16,353 173,387 SH SOUTHWEST SECS GROUP INC COM 845224104 $ 308 9,100 SH SOVEREIGN BANCORP INC COM 845905108 $ 380 54,100 SH SPIEGEL INC CL A NON-VTG CL A 848457107 $ 289 34,000 SH STATE STREET CORP COM 857477103 $ 7,065 66,615 SH STRAYER EDUCATION INC COM 863236105 $ 37,616 1,567,324 SH SUN MICROSYSTEMS INC COM 866810104 $ 418 4,600 SH SUPERIOR TELECOM INC COM 868365107 $ 122 12,300 SH
COLUMN 1 COLUMN 6 COLUMN 7 COLUMN 8 - ----------------------------------------------------------------------------------------------------- INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER DISCRETION MANAGERS SOLE SHARED NONE - ------------------------------------------------------------------------------------------------------ LUCENT TECHNOLOGIES INC DEFINED 426,088 150 755,005 MARSH & MCLENNAN COS INC DEFINED 291,342 130 426,662 MATSUSHITA ELEC INDL ADR DEFINED 34,700 2,455 29,150 MAY DEPT STORES CO SOLE 9,725 -- 8,360 MCDONALDS CORP DEFINED 1,251,142 465 1,997,604 MEDTRONIC INC DEFINED 652,752 225 960,634 MERCK & CO INC DEFINED 744,521 260 1,144,794 MERIDIAN RESOURCE CORP DEFINED 1,500 16,850 5,800 MERRILL LYNCH & CO INC SOLE 5,400 -- 630 MICRON TECHNOLOGY INC SOLE -- -- 2,730 MICROSOFT CORP DEFINED 552,854 190 859,433 MIDWEST LODGING PROPERTIES INC SOLE -- -- 100,000 MINNESOTA MNG & MFG CO SOLE 1,200 -- 5,160 MONACO COACH CORP SOLE 12,862 -- -- BENJAMIN MOORE & CO DEFINED 535,210 500 433,295 MORGAN J.P. & CO INC SOLE 1,400 -- 1,851 MORGAN STANLEY DEAN WITTER NEW SOLE 6,630 -- 31,502 MORGAN STANLEY FIN PLC CAP UT SOLE -- -- 37,323 MORRISON KNUDSEN CORP NEW SOLE 10,200 -- -- MOTOROLA INC SOLE 240 -- 19,500 NATIONAL COMMERCE BANCORP DEFINED 1,394,236 3,370 849,700 NEWS CORP ADR SOLE -- -- 8,600 NIPPON TELEG & TEL ADR DEFINED 94,142 6,880 86,666 NOKIA ADR SOLE 11,753 -- 59,466 NORDSON CORP DEFINED 913,584 2,540 480,678 NOVARTIS ADR DEFINED 273,289 19,920 265,053 NRG ENERGY INC SOLE 31,700 -- -- NSTAR SOLE 6,466 -- -- OCEAN ENERGY INC SOLE 36,700 -- -- OMNICARE INC SOLE 30,600 -- -- PNC FINANCIAL CORP SOLE 8,200 -- 920 PPG INDS INC DEFINED 774,167 239 1,013,577 PACIFIC CAP BANCORP NEW SOLE 11,500 -- -- PACKARD BIOSCIENCE INC SOLE 22,700 -- -- PEPSICO INC SOLE 1,298 -- 16,005 PERSONNEL GROUP AMER INC SOLE 51,400 -- -- PFIZER INC DEFINED 1,558,554 555 2,170,728 PHARMACIA CORP SOLE 5,700 -- -- PLAINS ALL AMERN PIPELINE L UN DEFINED -- 4,900 10,500 PLAINS RES INC DEFINED 3,500 4,150 4,500 PRIME RETAIL INC 8.50 CONV PFD SOLE -- -- 15,530 PROCTER & GAMBLE COMPANY DEFINED 762,336 290 1,145,555 QWEST COMMUNICATIONS INTL INC SOLE -- -- 27,288 R H DONNELLEY CORP SOLE 16,200 -- -- RADIAN GROUP INC SOLE 8,100 -- -- RECKSON ASSOCS RLTY CORP SOLE 13,100 -- -- RENT WAY INC SOLE 11,400 -- -- REPSOL S A ADR DEFINED 453,337 33,520 450,704 REUTERS GROUP ADR DEFINED 85,293 6,185 84,323 REYNOLDS & REYNOLDS CO CL A DEFINED 1,221,070 2,510 662,117 ROYAL DUTCH PETE CO SOLE 9,700 -- 17,170 RPM INC OHIO SOLE -- -- 14,870 SANTA FE SNYDER CORPORATION SOLE 36,500 -- -- SAP AKTIENGESELLSCHAFT ADR DEFINED 195,260 14,660 195,702 SARA LEE CORP SOLE 22,460 -- 38,296 SBC COMMUNICATIONS INC SOLE -- -- 20,595 SCHEIB EARL INC SOLE -- -- 16,120 SCHERING PLOUGH CORP SOLE 4,400 -- 25,935 SCHLUMBERGER SOLE -- -- 2,950 SINCLAIR BROADCAST GROUP INC SOLE 29,300 -- -- SONY ADR DEFINED 92,156 5,724 75,507 SOUTHWEST SECS GROUP INC SOLE 9,100 -- -- SOVEREIGN BANCORP INC SOLE 54,100 -- -- SPIEGEL INC CL A NON-VTG SOLE 34,000 -- -- STATE STREET CORP SOLE 29,095 -- 37,520 STRAYER EDUCATION INC DEFINED 914,487 2,670 650,167 SUN MICROSYSTEMS INC SOLE -- -- 4,600 SUPERIOR TELECOM INC SOLE 12,300 -- --
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COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 - -------------------------------------------------------------------------------------------------------------- TITLE VALUE SHARES OR SH/ PUT/ NAME OF ISSUER OF CLASS CUSIP (X 1000) PRN AMT PRN CALL - -------------------------------------------------------------------------------------------------------------- TELEFONICA ADR SPONSORED ADR 879382208 $ 12,061 188,269 SH TIDEWATER INC COM 886423102 $ 547 15,200 SH TIMBERLINE SOFTWARE INC COM 887134104 $ 9,678 1,323,426 SH TIME WARNER INC COM 887315109 $ 400 5,260 SH TOOTSIE ROLL INDS INC COM 890516107 $ 53,261 1,521,742 SH TOTAL FINA ELF ADR SPONSORED ADR 89151E113 $ 21,260 276,774 SH TOWER AUTOMOTIVE INC COM 891707101 $ 190 15,200 SH TYCO INTL LTD NEW COM 902124106 $ 1,164 24,562 SH UNILEVER N V ADR NY SHS NEW 904784709 $ 12,387 288,063 SH UNION PAC CORP COM 907818108 $ 222 5,910 SH UNOCAL CORP COM 915289102 $ 305 9,220 SH US RESTAURANT PROPERTIES 7.72% PFD CV SER A 902971209 $ 168 16,900 SH USEC INC COM 90333E108 $ 415 89,800 SH VALSPAR CORP COM 920355104 $ 290 8,605 SH VERITAS DGC INC COM 92343P107 $ 447 17,200 SH VERSUS TECHNOLOGY INC COM 925313108 $ 10 30,000 SH VICOR CORP COM 925815102 $ 905 26,000 SH VODAFONE AIRTOUCH ADR SPONSORED ADR 92857T107 $ 15,350 367,667 SH WAL MART STORES INC COM 931142103 $ 2,485 43,543 SH WALGREEN COMPANY COM 931422109 $ 705 21,961 SH WASHINGTON FEDERAL INC COM 938824109 $ 35,435 1,941,669 SH WELLS FARGO NEW COM 949746101 $ 128,462 3,272,926 SH WESTVACO CORP COM 961548104 $ 309 12,444 SH WILD OATS MKTS INC COM 96808B107 $ 457 36,400 SH WILLIAMS COS INC COM 969457100 $ 212 5,090 SH WORLDCOM INC GA NEW COM 98157D106 $ 431 9,391 SH WRIGLEY WM JR CO COM 982526105 $ 60,019 748,487 SH ZALE CORP NEW COM 988858106 $ 398 10,900 SH ZEBRA TECHNOLOGIES CORP CL A COM 989207105 $ 368 8,300 SH --------- $4,909,110
COLUMN 1 COLUMN 6 COLUMN 7 COLUMN 8 - --------------------------------------------------------------------------------------------------- INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER DISCRETION MANAGERS SOLE SHARED NONE - ---------------------------------------------------------------------------------------------------- TELEFONICA ADR DEFINED 93,259 7,172 87,838 TIDEWATER INC SOLE 15,200 -- -- TIMBERLINE SOFTWARE INC DEFINED 797,537 2,520 523,369 TIME WARNER INC SOLE 5,000 -- 260 TOOTSIE ROLL INDS INC DEFINED 950,286 2,353 569,103 TOTAL FINA ELF ADR DEFINED 127,988 9,426 139,360 TOWER AUTOMOTIVE INC SOLE 15,200 -- -- TYCO INTL LTD NEW SOLE 1,400 -- 23,162 UNILEVER N V ADR DEFINED 129,377 9,500 149,186 UNION PAC CORP SOLE -- -- 5,910 UNOCAL CORP SOLE -- -- 9,220 US RESTAURANT PROPERTIES 7.72% SOLE 1,000 -- 15,900 USEC INC SOLE -- -- 89,800 VALSPAR CORP SOLE 4,900 -- 3,705 VERITAS DGC INC SOLE 17,200 -- -- VERSUS TECHNOLOGY INC SOLE -- -- 30,000 VICOR CORP SOLE 26,000 -- -- VODAFONE AIRTOUCH ADR DEFINED 140,692 9,760 217,215 WAL MART STORES INC SOLE 30,930 -- 12,613 WALGREEN COMPANY SOLE 11,200 -- 10,761 WASHINGTON FEDERAL INC DEFINED 1,249,814 3,545 688,310 WELLS FARGO NEW DEFINED 1,330,183 431 1,942,312 WESTVACO CORP SOLE -- -- 12,444 WILD OATS MKTS INC SOLE 36,400 -- -- WILLIAMS COS INC SOLE -- -- 5,090 WORLDCOM INC GA NEW SOLE 4,760 -- 4,631 WRIGLEY WM JR CO DEFINED 311,828 94 436,565 ZALE CORP NEW SOLE 10,900 -- -- ZEBRA TECHNOLOGIES CORP CL A SOLE 8,300 -- --
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