13F-HR/A 1 e90561_13f-hra.txt ----------------------------- | OMB APPROVAL | |---------------------------| | OMB Number: 3235-0006 | | Expires: October 31, 2000 | | Estimated average | | burden hours | | per response ..... 24.7 | ----------------------------- THIS FILING INCLUDES THE PUBLICLY REPORTED SECURITIES THAT WERE REPORTED ON THE ORIGINAL FORM 13F-HR, WHICH WAS FILED ON MAY 14, 2001, AND ALL SECURITIES FOR WHICH CONFIDENTIAL TREATMENT WAS REQUESTED WITH THAT FILING, AND FOR WHICH CONFIDENTIAL TREATMENT EXPIRED ON MAY 15, 2002. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F/A COVER PAGE Report for the Calendar Year or Quarter Ended: March 31, 2001 Check here if Amendment [X]; Amendment Number: 2 This Amendment (Check only one): [X] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Kenneth Lipper Address: 101 Park Avenue, 6th Floor New York, New York 10178 Form 13F File Number: 28-6106 The institutional investment manager filing this report and the attachment hereto 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: Kenneth Lipper Phone: (212) 883-6333 Signature, Place and Date of Signing: /s/ Kenneth Lipper New York, New York December 11, 2002 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).) -------------------------------------------------------------------------------- Page 1 FORM 13F SUMMARY PAGE Report Summary Number of Other Included Managers: 5 Form 13F Information Table Entry Total: 398 Form 13F Information Table Value Total: $1,522,330 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. No. Form 13F File Number Name 1 28-6547 Jerome Services Corp. LDC 2 28-6112 Lipper & Company, Inc. 3 28-6114 Lipper & Company, L.P. 4 28-6108 Lipper Convertibles, L.P. 5 28-6802 Lipper Holdings, LLC ATTACHMENT Kenneth Lipper ("K. Lipper") owns a majority of the shares of Lipper & Company, Inc. ("Lipper Inc."), a Delaware corporation, and a majority of the member interests of Lipper Holdings, LLC ("Lipper Holdings"), a Delaware limited liability company. Lipper Inc. is the general partner of Lipper & Company, L.P. ("Lipper L.P."), a Delaware limited partnership, and the manager of Lipper Holdings. Lipper L.P. is the investment manager of a number of limited partnerships. Lipper Holdings is the general partner of a number of limited partnerships, some of which are or may be deemed to be "institutional investment managers" for the purposes of the reporting requirements under Section 13(f) of the Act, including Lipper Convertibles, L.P. ("Lipper Convertibles"). K. Lipper is the majority shareholder of Jerome Service Corp. LDC ("Jerome Services"), a Cayman Islands limited duration company, which is the general partner of a number of limited partnerships. K. Lipper, by virtue of his relationship to the aforementioned entities, may be deemed to exercise investment discretion with respect to the Section 13(f) securities held directly and indirectly by such entities, but K. Lipper disclaims investment discretion with respect to such Section 13(f) securities for all other purposes. To the extent that K. Lipper's interest in the aforementioned entities may nevertheless give rise to a Form 13F filing obligation for K. Lipper, the information required by Form 13F is reported herein on behalf of certain entities which are themselves institutional investment managers subject to Section 13(f) of the Act. In that regard, the Section 13(f) securities positions of Jerome Services, Lipper Inc., Lipper L.P., Lipper Convertibles and Lipper Holdings are included in this Form 13F-HR report by K. Lipper on behalf of himself and each such entity. -------------------------------------------------------------------------------- Page 2 FORM 13F INFORMATION TABLE

LIPPER KENNETH 13F-HR/A