13F-HR 1 edgtiff.txt 13F-HR FORM 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, 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: Foundation Advisers, Inc. ---------------------------- Address: 21405 Ivy Road ---------------------------- Charlottesville, VA 22903 ---------------------------- Form 13F File Number: 028-06313 --------- 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 is it 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: Esther Cash ------------------------------------------------------- Title: Director, Managing Director, Foundation Advisers, Inc. ------------------------------------------------------- Phone: 804-817-8206 ------------------------------------------------------- Signature, Place, and Date of Signing: /s/ Esther Cash Charlottesville, VA November 14, 2001 ---------------- ------------------- ------------------ (Signature) (City, State) (Date) Report Type (Check only one.): ( ) 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 in this report and a portion are reported by other reporting manager(s).) (X) 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: 4 ---- Form 13F Information Table Entry Total: 125 ----- Form 13F Information Table Value Total: $44,845.24 ---------- (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file numbers (s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. Aronson & Partners - 028-05508 Martingale Asset Management, L.P. - 028-04632 Shapiro Capital - 028-04097 Westport Asset Management, Inc. - 028-04441

Item 1: Item 2: Item 3: Item 4: Item 5: Item 6: Item 7: ------ ------ ------- ------- ------- ------- ------ Title Fair Market Shares or Investment Discretion ----- ----------- --------- --------------------- Name Of Issuer of Class CUSIP Value Principal Amt. (a)Sole (b)Shared (c)Shared Other Managers -------------- -------- ----- ----- -------------- ------ -------- --------------- -------- ~~American~~Agil ~~Italian~~Software ~~Pasta Co~~Corp.~~-Class~~ A COM ~~027070101~~00846X105 $~~129~~49,~~920~~086.00 25,~~800~~400.00 X Arena Pharmaceuticals, Inc. COM 040047102 $~~192~~399,~~087~~300.00 636,300.00 X Art Technology Group Inc. COM 04289L107 $73,080.00 104,400.00 X ArthoCare Corp. COM 043136100 $1566,~~344,110~~440.00 5128,~~400~~900.00 X Biosite Diagnostics Inc. COM 090945106 $~~300~~186,~~160~~417.00 67,700.00 X Brancote Holdings plc COM 990120081 $~~137~~111,~~541~~109.0332 60,000.00 X ~~C-Bridge Internet Solutions~~ClickAction, Inc. COM ~~12500B105~~18681E107 $82 21,~~500~~844.00 50,~~000~~800.00 X ~~Clickaction~~ClickAction, Inc. ~~COM~~WARRANT ~~18681E107~~18681E9W9 $~~100,860~~0.00 ~~49,200~~600.00 X ClickAction, Inc. PREFERRED 18681E990 $91,~~225~~935.00 6,000.00 X ~~ClickAction~~Conductus, Inc. ~~WARRANT~~COM ~~18681E9W9~~206784100 $0320,618.0185 ~~600~~92,933.00 X Conductus, Inc. WARRANT 206784993 $4915,~~200~~000.00 20,000.00 X ~~Conductus~~Corner Bay Minerals, Inc. COM ~~206784100~~992205039 $~~479~~38,~~534~~440.2884 9234,~~933~~700.00 X ~~Corner~~Curon ~~Bay~~Medical ~~Minerals,~~ Inc. COM ~~992205039~~231292103 $365,~~584~~800.0700 342,~~700~~000.00 X Cysive Inc. COM 23281T108 $2017,~~605~~485.00 6,500.00 X DB Group Ltd. COM 996555587 $~~851~~797,~~922~~328.0200 400,000.00 X Dyax Corp. COM 26746E103 $7134,~~463~~632.00 43,~~100~~600.00 X ~~Embrex,~~eXcelon ~~Inc. COM 290817105 $371,884.00 23,900.00 X Excelon~~ Corp. COM 300691102 $~~165~~102,~~963~~775.0055 ~~112~~223,~~900~~425.0011 X Exponent, Inc. COM 30214U102 $~~551~~558,~~936~~080.00 51,200.00 X ~~Fischer Imaging Corp. COM 337719108 $23,200.00 4,000.00 X~~ Geerlings & Wade, Inc. COM 368473104 $8860,~~480~~830.00 55,300.00 X Genencor International Inc. COM 368709101 $~~587~~364,~~930~~820.00 37,000.00 X Hain Celestial Group, Inc. COM 405217100 $2218,~~000~~410.00 1,000.00 X HPD Exploration COM 990304941 $54,~~062~~629.8655 60,000.00 X IBT Repurchase Agreement ~~COM~~REPO REPO009X1 $1,~~776~~034,~~017~~800.2990 1,~~776~~034,800.~~017.29~~90 X IntelliCorp Inc. COM 458153103 $31,~~300~~110.00 3,000.00 X iPrint.~~com~~Com, Inc. COM 462628108 $7222,~~448~~640.00 113,200.00 X Keynote Systems Inc. COM 493308100 $95,000.00 12,500.00 X Lion Bioscience AG COM 536191109 $3,366.00 330.00 X Med-Design ~~ADR~~Corp. COM ~~536191109~~583926100 $811,~~843~~520.9900 ~~330~~800.00 X Navidec, Inc. COM 63934Q101 $4835,~~307~~238.00 4683,900.00 X Niku Corp. COM 654113109 $3,180.00 6,000.00 X North American Palladium Ltd. COM 656912102 $~~271~~184,~~095~~481.00 34,100.00 X North American Scientific Corp. COM 65715D100 $6951,~~600~~840.00 4,800.00 X Pacific Rim Mining Corp. COM 694915794 $5,~~189~~649.1180 35,000.00 X Pacific Rim Mining ~~Warrants~~Corp. WARRANT 6949159A9 $0.1817 17,500.00 X Patina Oil & Gas Corp. COM 703224105 $108,100.00 4,700.00 X Pep Boys-Manny, Moe & Jack (The) COM 713278109 $471,835.00 42,700.00 X PharmChem Laboratories, Inc. COM 717133102 $~~804~~403,~~908~~800.00 269,200.00 X Preview Systems, Inc. COM 741379101 $~~230~~6,~~460~~680.00 66,800.00 X Quicksilver Resources Inc. COM 74837R104 $103,360.00 7,600.00 X RehabCare Group Inc. COM 759148109 $87,020.00 2,000.00 X SeeBeyond Technology Corp. COM 815704101 $83,160.00 46,200.00 X Stillwater Mining Co. COM 86074Q102 $~~429~~295,~~975~~764.00 14,700.00 X Strategic Diagnostics, Inc. COM 862700101 $~~293~~398,125.00 87,500.00 X ~~The~~Titan ~~Pep~~Pharmaceuticals, ~~Boys~~Inc. COM ~~713278109~~888314101 $~~771~~38,~~501~~750.00 686,~~700~~200.00 X ~~Titan~~Tumbleweed ~~Pharmaceuticals,~~Communications ~~Inc.~~CP COM ~~888314101~~899690101 $~~102~~756,~~034~~160.00 3236,~~400~~300.00 X ~~Tumbleweed~~UCBH ~~Communications~~Holdings, CPInc. COM ~~899690101~~90262T308 $~~824~~142,~~325~~982.00 ~~217~~4,~~500~~900.00 X Unify Corp. COM 904743101 $1219,~~480~~136.00 83,200.00 X ~~Valicert~~ValiCert Inc. COM 91915q105 $~~222~~223,~~768~~395.00 7184,~~400~~300.00 X Valley Media, Inc. COM 91972C106 $9675,~~922~~852.00 60,200.00 X Vicinity Corp. COM 925653107 $~~114~~103,~~380~~740.00 66,500.00 X Websense Inc. COM 947684106 $137,340.00 12,600.00 X Global Crossing Ltd. COM G3921A100 $82,800.00 46,000.00 X Transocean Sedco Forex Inc. COM G90078109 $184,800.00 7,000.00 X XI Capital Ltd. Class A COM G98255105 $434,500.00 5,500.00 X Check Point Software Technologies Ltd. COM M22465104 $209,190.00 9,500.00 X ADC Telecommunications, Inc. COM 000886101 $~~229~~121,~~020~~103.00 34,700.00 X AOL Time Warner Inc. COM 00184A105 $873,840.00 26,400.00 X Adobe Systems, Inc. COM 00724F101 $~~564~~155,~~000~~870.00 126,~~000~~500.00 X Ambac Financial Group, Inc. COM 023139108 $~~564~~530,687.~~540.~~00 9,700.00 X American International Group, Inc. COM 026874107 $~~817~~897,000.00 911,500.00 X Amgen, Inc. COM 031162100 $1,~~395~~351,~~640~~480.00 23,000.00 X Anadarko Petroleum Corp. COM 032511107 $~~810~~721,~~450~~200.00 15,000.00 X ~~AOL~~Annheuser-Busch ~~Time~~Companies, ~~Warner~~ Inc. COM ~~00184A105~~035229103 $1125,~~399,200~~640.00 263,~~400~~000.00 X ~~AT & T Liberty Media Group COM 001957208 $620,895.00 35,500.00 X~~ Automatic Data Processing, Inc. COM 053015103 $~~372~~70,~~750~~560.00 71,500.00 X Baxter International, Inc. COM 071813109 $~~505~~550,~~000~~500.00 10,000.00 X ~~Bea~~Best ~~Systems~~Buy Co., Inc. COM ~~073325102~~086516101 $~~353~~204,~~165~~525.00 114,500.00 X Boeing Co. COM 097023105 $~~450~~271,~~360~~350.00 8,100.00 X Bristol-Myers Squibb Co. COM 110122108 $~~721~~766,~~740~~728.00 13,800.00 X Brocade Communications Systems, Inc. COM 111621108 $~~255~~116,~~142~~449.00 58,~~800~~300.00 X Calpine Corp. COM 131347106 $~~457~~344,~~380~~431.00 1215,100.00 X Cardinal Health, Inc. COM 14149Y108 $~~189~~277,~~750~~312.0050 23,750.00 X ~~Ceridian~~CIENA ~~COM 156779100 $348,894.00 18,200.00 X Check Point Software Technology COM M22465104 $480,415.00 9,500.00 X Ciena~~ Corp. COM 171779101 $~~608~~164,~~000~~640.00 16,000.00 X Cisco Systems, Inc. COM 17275R102 $1764,~~142,960~~904.00 62,800.00 X Citigroup, Inc. COM 172967101 $~~787~~603,~~316~~450.00 14,900.00 X Colgate-Palmolive Co. COM 194162103 $~~513~~506,~~213~~775.00 8,700.00 X ~~Corning~~Dell ~~Incorporated~~Computer Corp. COM ~~219350105~~247025109 $~~309~~268,~~135~~685.00 1814,500.00 X ~~Dell~~EMC ~~Computer~~ Corp. COM ~~247025109~~268648109 $~~311~~293,~~400~~750.00 1225,000.00 X Elan Corp. plc - ADR COM 284131208 $~~579~~460,~~500~~275.00 9,500.00 X Electronic Data Systems Corp. COM 285661104 $~~687~~547,~~500~~010.00 119,~~000~~500.00 X ~~Eli~~Enron ~~Lilly & Co~~Corp. COM ~~532457108~~293561106 $~~710~~381,~~400~~220.00 914,~~600~~000.00 X ~~EMC~~Fifth ~~Corp~~Third Bancorp. COM ~~268648109~~316773100 $~~726~~399,~~250~~620.00 256,~~000~~500.00 X ~~Enron~~First Data Corp. COM ~~293561106~~319963104 $~~686~~186,~~000~~432.00 143,~~000~~200.00 X General Electric Co. COM 369604103 $2,~~798~~135,~~250~~280.00 57,400.00 X General ~~Motore~~Motors CICorp. H COM 370442832 $~~305~~201,~~775~~283.00 15,100.00 X Genzyme Corp. COM 372917104 $~~610~~454,~~000~~200.00 10,000.00 X ~~Global Crossing Ltd. COM G3921A100 $397,440.00 46,000.00 X~~ Harley-Davidson COM 412822108 $~~301~~259,~~312~~200.00 6,400.00 X Home Depot, Inc. COM 437076102 $1824,~~000,825~~955.00 21,500.00 X ~~Honeywell International, Inc. COM 438516106 $104,970.00 3,000.00 X~~ Human Genome Sciences COM 444903108 $~~180~~138,~~750~~645.00 34,~~000.00 X 12 Technologies, Inc. COM 465754109 $247,~~500.00 ~~12,500.00~~ X IBT Repurchase Agreement ~~COM~~REPO REPO009X1 $1,~~624~~240,~~408~~983.0107 1,~~624~~240,983.~~408.01~~07 X Intel Corp. COM 458140100 $~~965~~734,~~250~~040.00 3336,000.00 X International Business Machines Corp. COM 459200101 $~~791~~932,~~000~~230.00 710,~~000~~100.00 X JDS Uniphase Corp. COM 46612J101 $~~461~~228,~~550~~784.00 36,200.00 X ~~Juniper~~Kohl's ~~Networks~~Corp. COM ~~48203R104~~500255104 $~~307~~278,~~890~~400.00 95,~~900~~800.00 X ~~Kohl's~~Kraft ~~Corp~~Foods Inc. COM ~~500255104~~50075N104 $~~708~~223,~~849~~405.00 116,~~300~~500.00 X ~~Linear~~Liberty ~~Technology~~Media Corp., Class A COM ~~535678106~~530718105 $~~530~~501,~~640~~650.00 1239,~~000~~500.00 X ~~Loews~~Eli Lilly & Co. COM 532457108 $774,720.00 ~~Inc~~9,600.00 X Linear Technology Corp.COM ~~548661107~~535678106 $~~217~~393,~~650~~600.00 312,000.00 X ~~Linear~~Lowe's, ~~Technolgy Corp~~Inc. COM ~~535678106~~548661107 $~~307~~269,~~968~~025.7500 78,500.00 X Marsh & McLennan Companies, Inc. COM 571748102 $~~454~~435,~~500~~150.00 4,500.00 X Medimmune, Inc. COM 584699102 $~~330~~213,~~400~~780.00 76,000.00 X Medtronic, Inc. COM 585055106 $~~989~~913,~~215~~500.00 21,~~500~~000.00 X Merck & Company, Inc. COM 589331107 $~~664~~692,~~664~~640.00 10,400.00 X Merrill Lynch & Co., ~~Inc.~~ COM 590188108 $~~592~~406,~~500~~000.00 10,000.00 X Microsoft Corp. COM 594918104 $21,~~403~~693,~~060~~727.00 33,100.00 X Nokia Corp.-ADR COM 654902204 $~~544~~386,~~388~~555.00 24,700.00 X Novellus ~~System~~Systems, Inc. COM 670008101 $56128,~~790~~520.00 14,500.00 X NVIDIA COM 67066G104 $82,410.00 3,000.00 X Oracle Corp. COM 68389X105 $~~644~~187,~~100~~442.00 3314,900.00 X PeopleSoft Inc. COM 712713106 $81,180.00 4,500.00 X PepsiCo, Inc. COM 713448108 $~~702~~771,~~780~~150.00 15,900.00 X Pfizer, Inc. COM 717081103 $1,~~405~~828,~~755~~560.00 3545,~~100~~600.00 X ~~Schlumberger~~Qualcomm ~~Ltd~~Inc. COM ~~806857108~~747525103 $~~552~~309,~~825~~010.00 106,500.00 X ~~Siebel~~RF ~~Systems,~~Micro Devices Inc. COM ~~826170102~~749941100 $~~286~~91,~~090~~410.00 65,~~100~~500.00 X ~~Sun~~Siebel ~~Microsytems~~Systems, Inc. COM ~~866810104~~826170102 $~~366~~27,~~276~~321.00 232,~~300~~100.00 X ~~Sysco~~Sun ~~Corp~~Microsystems, Inc. COM ~~871829107~~866810104 $~~176~~192,~~475~~691.00 623,~~500~~300.00 X ~~Target~~Sysco Corp. COM ~~87612E106~~871829107 $1255,~~176,~~400.00 3410,000.00 X ~~Transocean~~Target ~~Sedco Forex, Inc~~Corp. COM ~~G90078109~~87612E106 $~~391~~1,~~875~~079,840.00 934,~~500~~000.00 X Tyco International Ltd.COM 902124106 $1,~~455~~214,~~150~~850.00 26,700.00 X ~~United~~UnitedHealth ~~Health~~ Group, Inc. COM 91324P102 $~~988~~897,~~000~~750.00 1613,~~000~~500.00 X ~~Verisign~~VeriSign, Inc. COM 92343E102 $~~354~~247,~~059~~210.00 5,900.00 X Veritas Software Corp. COM 923436109 $~~798~~165,~~360~~960.00 129,000.00 X Viacom, Inc. Class B COM 925524308 $~~439~~293,~~875~~250.00 8,500.00 X Vodafone Group plc SP - ADR COM 92857W100 $~~578~~568,~~865~~764.00 25,900.00 X Walgreen Co. COM 931422109 $~~529~~533,~~325~~665.00 15,500.00 X XLZimmer ~~Capital~~Holdings, ~~Ltd~~Inc. COM ~~G98255105~~98956P102 $~~492~~38,~~600~~295.00 61,~~000~~380.00 X ------------ $5844,~~305~~845,~~246~~242.8555 -------------- -------------- Item 1: Item 8: ------ ------- Voting Auth. ------------ Name Of Issuer (a) Sole (b) Shared ( c) None -------------- -------- ---------- -------- ~~American~~Argil ~~Italian~~Software ~~Pasta Co~~Corp.~~-Class~~ A X Arena Pharmaceuticals, Inc. X Art Technology Group Inc. X ArthoCare Corp. X Biosite Diagnostics Inc. X Brancote Holdings plc X ~~C-Bridge Internet Solutions~~ClickAction, Inc. X ~~Clickaction, Inc. X~~ ClickAction, Inc. X ClickAction, Inc. X Conductus, Inc. X Conductus, Inc. X Corner Bay Minerals, Inc. X Curon Medical Inc. X Cysive Inc. X DB Group Ltd. X Dyax Corp. X ~~Embrex,~~eXcelon ~~Inc. X Excelon~~ Corp. X Exponent, Inc. X ~~Fischer Imaging Corp. X~~ Geerlings & Wade, Inc. X Genencor International Inc. X Hain Celestial Group, Inc. X HPD Exploration X IBT Repurchase Agreement X IntelliCorp Inc. X iPrint.~~com~~Com, Inc. X Keynote Systems Inc. X Lion Bioscience AG X Med-Design ~~ADR~~Corp. X Navidec, Inc. X Niku Corp. X North American Palladium Ltd. X North American Scientific Corp. X Pacific Rim Mining Corp. X Pacific Rim Mining ~~Warrants~~Corp. X Patina Oil & Gas Corp. X Pep Boys-Manny, Moe & Jack (The) X PharmChem Laboratories, Inc. X Preview Systems, Inc. X Quicksilver Resources Inc. X RehabCare Group Inc. X SeeBeyond Technology Corp. X Stillwater Mining Co. X Strategic Diagnostics, Inc. X ~~The Pep Boys X~~ Titan Pharmaceuticals, Inc. X Tumbleweed Communications CP X UCBH Holdings, Inc. X Unify Corp. X ~~Valicert~~ValiCert Inc. X Valley Media, Inc. X Vicinity Corp. X Websense Inc. X Global Crossing Ltd. X Transocean Sedco Forex Inc. X XI Capital Ltd. Class A X Check Point Software Technologies Ltd. X ADC Telecommunications, Inc. X AOL Time Warner Inc. X Adobe Systems, Inc. X Ambac Financial Group, Inc. X American International Group, Inc. X Amgen, Inc. X Anadarko Petroleum Corp. X ~~AOL~~Annheuser-Busch ~~Time~~Companies, ~~Warner~~ Inc. X ~~AT & T Liberty Media Group X~~ Automatic Data Processing, Inc. X Baxter International, Inc. X ~~Bea~~Best ~~Systems~~Buy Co., Inc. X Boeing Co. X Bristol-Myers Squibb Co. X Brocade Communications Systems, Inc. X Calpine Corp. X Cardinal Health, Inc. X ~~Ceridian~~CIENA ~~X Check Point Software Technology X Ciena~~ Corp. X Cisco Systems, Inc. X Citigroup, Inc. X Colgate-Palmolive Co. X ~~Corning~~Dell ~~Incorporated~~Computer Corp. X ~~Dell~~EMC ~~Computer~~ Corp. X Elan Corp. plc - ADR X Electronic Data Systems Corp. X ~~Eli~~Enron ~~Lilly & Co~~Corp. X ~~EMC~~Fifth ~~Corp~~Third Bancorp. X ~~Enron~~First Data Corp. X General Electric Co. X General ~~Motore~~Motors CICorp. H X Genzyme Corp. X ~~Global Crossing Ltd. X~~ Harley-Davidson X Home Depot, Inc. X ~~Honeywell International, Inc. X~~ Human ~~Renome~~Genome Sciences X ~~12 Technologies, Inc. X~~ IBT Repurchase Agreement X Intel Corp. X International Business Machines Corp. X JDS Uniphase Corp. X ~~Juniper Networks X~~ Kohl's Corp. X ~~Linear~~Kraft ~~Technology~~Foods ~~Corp~~Inc. X ~~Loews~~Liberty CoMedia Corp., ~~Inc~~Class A X Eli Lilly & Co. X Linear ~~Technolgy~~Technology Corp. X Lowe's, Inc. X Marsh & McLennan Companies, Inc. X Medimmune, Inc. X Medtronic, Inc. X Merck & Company, Inc. X Merrill Lynch & Co., ~~Inc.~~ X Microsoft Corp. X Nokia Corp.-ADR X Novellus ~~System~~Systems, Inc. X NVIDIA X Oracle Corp. X PeopleSoft Inc. X PepsiCo, Inc. X Pfizer, Inc. X ~~Schlumberger~~Qualcomm ~~Ltd~~Inc. X RF Micro Devices Inc. X Siebel Systems, Inc. X Sun ~~Microsytems~~Microsystems, Inc. X Sysco Corp. X Target Corp. X ~~Transocean Sedco Forex, Inc. X~~ Tyco International Ltd. X ~~United~~UnitedHealth ~~Health~~ Group, Inc. X ~~Verisign~~VeriSign, Inc. X Veritas Software Corp. X Viacom, Inc. Class B X Vodafone Group plc SP - ADR X Walgreen Co. X XLZimmer ~~Capital~~Holdings, ~~Ltd~~Inc. X

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