13F-HR 1 a2070826z13f-hr.txt 13F-HR UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the or Quarter Ended: December 31, 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: Montgomery Asset Management, LLC Address: 101 California Street, 35th Floor San Francisco, CA 94111 Form 13F File Number: 28-3396 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: Dana Schmidt Title: Chief Administrative Officer Phone: (415)248-6452 /s/Dana Schmidt San Francisco, California February 13, 2002 --------------- ------------------------- ----------------- 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 is reported in this report and a portion is reported by other reporting manager(s).) List of Other Managers Reporting for this Manager: None FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: None Form 13F Information Table Entry Total: 513 Form 13F Information Table Value Total: $2,576,053,000 List of Other Included Managers: None

~~NAME OF ISSUER~~ TITLE OF ~~CUSIP~~ VALUE SHARES/ SH/ PUT/ INVESTMENT OTHER SOLE SHARED NO NAME OF ISSUER CLASS CUSIP (/1000) PRINCIPAL PRIN CALL/ DISCRETION MGRS VOTING VOTING VOTING ~~AES~~AFC ~~Corporation~~Enterprises Stock ~~00130H105~~00104q107 $~~196~~ 152,~~300~~319 81,700 Sh Shared No ~~0 0 15~~4,~~300~~600 ~~AES~~- ~~Corporation Stock 00130H105 $296 23~~77,100 ShAFC ~~Sole~~Enterprises ~~No 8,100 0 31,200 AOL Time Warner Inc.~~ Stock ~~00184A105~~00104q107 $21 4,~~371~~369 ~~645~~153,~~625~~900 Sh Sole No ~~517~~134,~~825~~500 0- ~~127~~19,~~800~~400 ~~AT&T~~Agco ~~Wireless~~Corp ~~Services Inc.~~ Stock ~~00209A106~~001084102 $~~7,378~~ ~~493~~3,~~800~~937 ~~Sh Sole No 349~~249,~~100~~500 ~~0 144,700 Abbott Labs Stock 002824100 $6,315 121,800~~ Sh Sole No 91218,~~900 0 29,900 Abgenix Inc Stock 00339b107 $568 25,~~000 Sh- ~~Sole No 25~~31,~~000~~500 0Agco 0Corp ~~Abiomed Inc~~ Stock ~~003654100~~001084102 $~~12,414~~ ~~710~~2,~~600~~312 ~~Sh Sole No 628~~146,~~600~~500 ~~0 82,000 Abiomed Inc Stock 003654100 $5,816 332,900~~ Sh Shared No 167,~~400~~700 0- ~~316~~138,~~500~~800 ~~Acacia~~AMN ~~Research~~Healthcare ~~Corporation~~Services Stock ~~003881109~~001744101 $1 4,~~259~~354 ~~137~~158,~~000~~900 Sh Sole No 91139,~~700~~200 0- 4519,~~300~~700 ~~Acacia~~AMN ~~Research~~Healthcare ~~Corporation~~Services Stock ~~003881109~~001744101 $1 2,~~590~~499 ~~173~~91,~~000~~200 Sh Shared No 04,900 0- ~~173~~86,~~000~~300 ~~Active~~AOL ~~Power,~~Time Warner Inc. Stock ~~00504W100~~00184A105 $~~166~~ 3325,~~200~~451 792,875 Sh ~~Shared~~Sole No 0604,675 0- 33188,200 ~~Active~~ATI ~~Power,~~Technologies Inc. Stock ~~00504W100~~001941103 $~~316~~ 63980 77,~~100~~200 Sh Sole No ~~500~~77,200 0- ~~62,600~~- ~~Administaff~~AT&T ~~Inc~~Corp. Stock ~~007094105~~001957109 $3 1,~~903~~741 ~~150~~96,~~100~~000 Sh Sole No ~~138~~66,~~700~~500 0- 1129,~~400~~500 ~~Administaff~~ATMI, Inc. Stock ~~007094105~~00207R101 $~~1,139~~ 43224 9,~~800~~400 Sh ~~Shared~~Sole No 05,400 0- 434,~~800~~000 ~~Advent~~AT&T ~~Software,~~Wireless Services Inc. Stock ~~007974108~~00209A106 $20 10,~~579~~686 ~~546~~743,600 Sh Sole No ~~465~~542,700 0- 80200,900 ~~Advent~~Abbott ~~Software,~~Labs ~~Inc.~~ Stock ~~007974108~~002824100 $~~7,790~~ ~~206~~5,~~900~~731 ~~Sh Shared No 10~~102,~~100 0 196,~~800 ~~Affiliated Computer Services, Inc. Stock 008190100 $301 3,700~~ Sh Sole No 271,~~300~~000 0- 131,~~400~~800 ~~Albertson's~~Abiomed Inc. Stock ~~013104104~~003654100 $~~233~~ 75,~~300~~551 ~~Sh Sole No 7~~350,~~300~~900 ~~0 0 Alcoa Inc. Stock 013817101 $3,410 109,975~~ Sh ~~Sole~~Shared No 8218,~~075~~600 0- 27332,~~900~~300 ~~Allegiance~~Abiomed ~~Telecom,~~ Inc. Stock ~~01747T102~~003654100 $~~983~~ ~~327~~10,~~000~~671 ~~Sh Sole No 227~~674,500 ~~0 99,500 Allergan, Inc. Stock 018490102 $789 11,900~~ Sh Sole No 11592,~~900~~500 0- 082,000 ~~Alliance~~Acacia ~~Atlantis~~Research ~~Communication~~Corp Stock ~~01853e204~~003881109 $4 1,~~948~~555 ~~510~~140,~~100~~470 Sh Sole No ~~422~~90,~~100~~640 0- 8849,~~000~~830 ~~Alliance~~Acacia ~~Atlantis~~Research ~~Communication~~Corp Stock ~~01853e205~~003881109 $3 2,~~115~~220 ~~321~~200,~~100~~530 Sh Shared No ~~17,400~~- 0- ~~303~~200,~~700~~530 ~~Alpha~~Active ~~Industries~~Power, Inc. Stock ~~020753109~~00504W100 $~~6,667~~ ~~344~~811 119,200 Sh Sole No ~~305,600~~800 0- 38118,~~600 Alpha Industries Stock 020753109 $3,330 171,900 Sh Shared No 8,~~400 0Active ~~163~~Power,~~500~~ ~~America Movil SA de C~~Inc.V. ~~ADR-Seri~~ Stock ~~02364W105~~00504W100 $~~16,884~~ 1629 92,~~138,500~~400 Sh ~~Sole~~Shared No ~~1,128,300~~- 0- 1092,~~200~~400 ~~American~~Administaff ~~Express Co~~Inc. Stock ~~025816109~~007094105 $~~587~~ 206,~~200~~877 ~~Sh Sole No 20,200 0 0 American International Group Stock 026874107 $12,321 157,957 Sh Sole No 124,707 0 33,~~250 ~~AmeriCredit Corporation Stock 03060R101 $29~~,~~192~~900 ~~923,200~~ Sh Sole No ~~805~~224,300 0- ~~117~~26,~~900~~600 ~~AmeriCredit~~Administaff ~~Corporation~~Inc. Stock ~~03060R101~~007094105 $12 3,~~386~~388 ~~391~~123,~~700~~600 Sh Shared No 196,~~100~~400 ~~0 372,600 Amerisourcebergen Corporation Cl~~-A ~~Stock 03073e105 $2~~117,~~412~~200 ~~34,000~~Advent ~~Sh Sole No 6~~Software,~~000~~ 0Inc. ~~28,000 Amgen~~ Stock ~~031162100~~007974108 $6 18,~~533~~596 ~~111~~372,~~159~~300 Sh Sole No 84310,~~959~~600 0- 2661,~~200~~700 ~~Anadarko~~Advent ~~Petroleum~~Software, ~~Corporation~~Inc. Stock ~~032511107~~007974108 $~~418~~ 8,~~700~~352 167,200 Sh Shared No ~~0 0~~ 8,700 ~~Anadarko~~- ~~Petroleum Corporation Stock 032511107 $837 17~~158,~~400~~500 ShAgilent ~~Sole~~Technologies NoInc. ~~100 0 17,300 Anadarko Pete CorporationCom~~ Stock ~~032511107~~00846U101 $2 9,~~109~~197 43322,~~872~~600 Sh Sole No 33245,~~372~~200 0- 1077,~~500~~400 ~~Angiotech~~Alamosa ~~Pharmaceutls~~Holdings ~~Com~~Inc Stock ~~034918102~~011589108 $2 3,~~986~~346 69280,~~400~~500 Sh ~~Sole~~Shared No 6014,~~000~~700 0- 9265,~~400~~800 ~~Angiotech~~Alamosa ~~Pharmaceutls~~Holdings ~~Com~~Inc Stock ~~034918102~~011589108 $1 5,~~614~~698 37477,~~500~~600 Sh ~~Shared~~Sole No 2417,~~000~~300 0- 3560,~~500~~300 ~~AngloGold~~Albertson's ~~Ltd~~Inc. ~~ADR~~ Stock ~~035128206~~013104104 $~~203~~ 12230 7,~~700~~300 Sh Sole No 127,~~700~~300 0- ~~0 Anheuser~~-~~Busch~~ ~~Cos~~Alcoa Inc. Stock ~~035229103~~013817101 $3 4,~~061~~933 73138,~~100~~775 Sh Sole No 5598,~~000~~975 0- 1839,~~100~~800 ~~Applied~~Allegiance ~~Materials~~ Telecom, Inc. Stock ~~038222105~~01747T102 $2 3,~~860~~170 ~~100~~381,~~600~~200 Sh Sole No 76265,~~100~~700 0- 24115,500 ~~Aquila,~~Alliance ~~Inc.~~Atlantis Communicatio Stock ~~03840J106~~01853e204 $~~366~~ 163,~~800~~843 339,500 Sh Shared No 018,500 0- 16321,~~800~~000 ~~Aquila,~~Alliance ~~Inc.~~Atlantis Communicatio Stock ~~03840J106~~01853e204 $~~774~~ 355,~~500~~761 508,900 Sh Sole No ~~300~~420,900 0- 3588,~~200~~000 ~~Arena~~Alliant ~~Pharmaceuticals,~~Techsystems Inc. Stock ~~040047102~~018804104 $~~239~~ 215,~~700~~118 66,300 Sh Sole No 2166,~~700~~300 0- 0- ~~AstroPower,~~Alliant Techsystems Inc. Stock ~~04644A101~~018804104 $1 3,~~018~~451 2944,~~500~~700 Sh Shared No 02,300 0- 2942,~~500~~400 ~~AstroPower,~~Alpha ~~Inc.~~Industries Stock ~~04644A101~~020753109 $2 4,~~091~~656 60213,600 Sh ~~Sole~~Shared No ~~500 0 60~~11,~~100~~200 ~~Atmel~~- ~~Corporation Stock 049513104 $83 12~~202,400 ShAlpha ~~Sole~~Industries ~~No 12,400 0 0 Automatic Data Processing Inc~~ Stock ~~053015103~~020753109 $~~4,551~~ 968,~~747~~029 ~~Sh Sole No 75~~368,~~547~~300 ~~0 21,200 Aviron Stock 053762100 $6,718 269,900~~ Sh Sole No ~~239~~317,~~600 0 30,~~300 ~~Aviron~~- ~~Stock 053762100 $3~~51,~~353~~000 ~~134,700~~America ShMovil ~~Shared~~SA Node ~~6,600~~C.V. 0ADR ~~128,100~~-Seri ~~Avon Products~~ Stock ~~054303102~~02364W105 $~~2,498~~ 5415,~~000~~181 ~~Sh Sole No 40~~779,~~500~~300 ~~0 13,500 BCE Inc. Stock 05534B109 $1,654 75,000~~ Sh Sole No 51772,~~900~~400 0- 236,~~100~~900

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