13F-HR 1 d13fhr.txt FORM 13-F ------------------------------ OMB Approval OMB 3235-0006 ------------------------------ ------------------------------ SEC USE ONLY ------------------------------ ------------------------------ FORM INFORMATION REQUIRED OF INSTITUTIONAL INVESTMENT 13F MANAGERS PURSUANT TO SECTION 13(f) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULES THEREUNDER Securities and Exchange Commission Washington, D.C. 20549 Report for the Calendar Quarter Ended: DECEMBER 31st 2001 ---------------------- -------------------------------------------------------------------------------- (Please read instructions before preparing form.) -------------------------------------------------------------------------------- If amended report check here: [_] -------------------------------------------------------------------------------- Name of Institutional Investment Manager: ARNHOLD AND S. BLEICHROEDER, INC. -------------------------------------------------------------------------------- Business Address: 1345 Avenue of the Americas New York, NY 10105-4300 -------------------------------------------------------------------------------- Street city State Zip Name, Phone No., and Title of Person Duly Authorized to Submit This Report. William Casciani 212-698-3240 SENIOR VICE PRESIDENT -------------------------------------------------------------------------------- ATTENTION -- Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). -------------------------------------------------------------------------------- The institutional investment manager submitting this Form and its attachments and the person by whom it is signed represent hereby that all information contained therein is true, correct and complete. It is understood that all required items, statements and schedules are considered integral parts of this Form and that the submission of any amendment represents that all unamended items, statements and schedules remain true, correct and complete as previously submitted. Pursuant to the requirements of Securities Exchange Act of 1934, the undersigned institutional investment manager has caused this report to be signed on its behalf in the city of NEW YORK and State of NEW YORK on the 29th day ---------- ---------- ---- of January , 2002 -------- ---- ARNHOLD AND S. BLEICHROEDER, INC. ------------------------------------------- (Name of institutional investment Manager) /s/ William P. Casciani ------------------------------------------- (Manual Signature of Person Duly Authorized to Submit This Report) Name and 13F file number of ALL Institutional Investment Managers with respect to which this schedule is filed (other than the one filing this report: (List in alphabetical order). 13F File Numbers will be assigned to Institutional Investment Managers after they file their first report. Name: 13F File No.: Name: 13F File No.: -------------------------- ------------- ------------------------ ------------- 1. 7. -------------------------- ------------- ------------------------ ------------- 2. 8. -------------------------- ------------- ------------------------ ------------- 3. 9. -------------------------- ------------- ------------------------ ------------- 4. 10. -------------------------- ------------- ------------------------ ------------- 5. 11. -------------------------- ------------- ------------------------ ------------- 6. 12. -------------------------- ------------- ------------------------ ------------- REPORT SUMMARY Number of Other Included Manages: 0 Form 13 F Information Table Entry Total: 104,323,265 Form 13 F Information Table Value Total: $ 2,145,378

D ENERGIZER HOLDINGS INC COM 29266R108 16478 865000 SH SOLE 865000 0 0 D EQUIFAX INC (EFX) COM 294429105 8991 372300 SH SOLE 372300 0 0 D ESPIRITO SANTO FINANCIAL GROUP SPONSORED ADR 29665F200 18648 1065000 SH SOLE 1065000 0 0 D ETHYL CORP COM 297659104 4140 4500000 SH SOLE 4500000 0 0 D EXXON MOBIL CORP COM 30231G102 222 5656 SH SOLE 5656 0 0 D FAIRMONT HOTELS & RESORTS COM 305204109 4392 183750 SH SOLE 183750 0 0 D FANNIE MAE COM 313586109 795 10000 SH SOLE 10000 0 0 D FIDELITY NATIONAL FINANCIAL IN COM 316326107 316 12738 SH SOLE 12738 0 0 D FORD MOTOR CORP COM PAR $0.01 345370860 990 63000 SH SOLE 63000 0 0 D FORTUNE BRANDS INC (FO) COM 349631101 1188 30000 SH SOLE 30000 0 0 D FRANKLIN ELECTRIC COMPANY, INC COM 353514102 10455 127500 SH SOLE 127500 0 0 D FREEPORT MCMORAN COPPER & GOLD CL B 35671D857 2009 150000 SH SOLE 150000 0 0 D FUJI PHOTO FILM CO., LTD. ADR ADR 359586302 1673 47000 SH SOLE 47000 0 0 D GATX CORP COM 361448103 1528 47000 SH SOLE 47000 0 0 D GENERAL DYNAMICS CORP COM 369550108 40417 507500 SH SOLE 507500 0 0 D GENERAL MOTORS CORP CL H COM N CL H NEW 370442832 16918 1095000 SH SOLE 1095000 0 0 D GREENPOINT FINANCIAL CORP. (GP COM 395384100 995 27833 SH SOLE 27833 0 0 D GREIF BROS. CORPORATION CLASS CL A 397624107 23559 715000 SH SOLE 715000 0 0 D HANCOCK FABRICS, INC. COM 409900107 4800 365000 SH SOLE 365000 0 0 D HANDLEMAN CO DEL COM COM 410252100 3267 220000 SH SOLE 220000 0 0 D HARRIS CORP. (HRS) COM 413875105 2874 94200 SH SOLE 94200 0 0 D HERCULES INC COM 427056106 600 60000 SH SOLE 60000 0 0 D HIBBETT SPORTING GOODS COM 428565105 1273 42000 SH SOLE 42000 0 0 D HILTON HOTELS CORP COM 432848109 437 40000 SH SOLE 40000 0 0 D HITACHI, LTD. ADR ADR 10 COM 433578507 512 7000 SH SOLE 7000 0 0 D HONEYWELL INTERNATIONAL INC COM 438516106 34693 1025800 SH SOLE 1025800 0 0 D HOTJOBS.COM LTD COM 441474103 2151 207000 SH SOLE 207000 0 0 D ICN PHARMACEUTICALS COM 448924100 3333 99500 SH SOLE 99500 0 0 D IDACORP COM 451107106 5481 135000 SH SOLE 135000 0 0 D IKOS SYSTEMS INC COM NEW 451716203 234 19710 SH SOLE 19710 0 0 D INDEPENDENCE HOLDING CO COM NEW 453440307 4214 234116 SH SOLE 234116 0 0 D INFOUSA INC COM 456818301 335 48310 SH SOLE 48310 0 0 D INTEL CORP COM 458140100 1107 35200 SH SOLE 35200 0 0 D INTERNATIONAL BUSINESS MACHINE COM 459200101 87793 725800 SH SOLE 725800 0 0 D INTERNATIONAL GAME TECHNOLOGY COM 459902102 9835 144000 SH SOLE 144000 0 0 D INTERNATIONAL PAPER CO COM 460146103 19780 490200 SH SOLE 490200 0 0 D InterTAN, Inc. COM 461120107 440 35000 SH SOLE 35000 0 0 D INTERWOVEN INC COM 46114T102 681 69868 SH SOLE 69868 0 0 D IVILLAGE INC COM 46588H105 250 131800 SH SOLE 131800 0 0 D JP MORGAN CHASE & CO COM 46625H100 3359 92400 SH SOLE 92400 0 0 D JOHNSON & JOHNSON COM 478160104 3010 50936 SH SOLE 50936 0 0 D KADANT INC COM 48282T104 544 37515 SH SOLE 37515 0 0 D KANEB SERVICES LLC COM 484173109 5181 265000 SH SOLE 265000 0 0 D KB HOME COM 48666K109 902 22500 SH SOLE 22500 0 0 D KIMBERLY CLARK CORP COM 494368103 1399 23400 SH SOLE 23400 0 0 D KRAFT FOODS INC. CL A 50075N104 7282 214000 SH SOLE 214000 0 0 D KROGER CO. COM 501044101 10018 480000 SH SOLE 480000 0 0 D L-3 COMMUNICATIONS COM 502424104 11844 131600 SH SOLE 131600 0 0 D LEHMAN BROTHERS INC COM 524908100 267 4000 SH SOLE 4000 0 0 D LENNAR CORP COM 526057104 702 15000 SH SOLE 15000 0 0 D LIBERTY DIGITAL INC CL A 530436104 1202 347300 SH SOLE 347300 0 0 D LIBERTY MEDIA CORP COM SER A 530718105 3951 282200 SH SOLE 282200 0 0 D LINCOLN NATIONAL CORP COM 534187109 4056 83500 SH SOLE 83500 0 0 D LOCKHEED MARTIN CORP COM 539830109 700 15000 SH SOLE 15000 0 0 D LOEWS CORP COM 540424108 886 16000 SH SOLE 16000 0 0 D LONGVIEW FIBRE COMPANY COM 543213102 531 45000 SH SOLE 45000 0 0 D LOWES COMPANIES COM 548661107 97289 2096300 SH SOLE 2096300 0 0 D LUCENT TECHNOLOGIES INC COM 549463107 674 107092 SH SOLE 107092 0 0 D M & T BANK COM 55261F104 32565 447019 SH SOLE 447019 0 0 D MRV COMMUNICATIONS INC SUB NT SUB NT CONV 5%03 553477AB6 1294 1875000 SH SOLE 1875000 0 0 D MAIN STREET BANCORP INC COM 559906102 2123 135900 SH SOLE 135900 0 0 D MANDALAY RESORT GROUP (MBG) COM 562567107 8676 405400 SH SOLE 405400 0 0 D MANPOWER INC. COM 56418H100 33036 980000 SH SOLE 980000 0 0 D MATTEL INC COM 577081102 3511 204100 SH SOLE 204100 0 0 D THE MAY STORES COMPANY COM 577778103 4623 125000 SH SOLE 125000 0 0 D MCDONALDS CORP COM 580135101 21308 805000 SH SOLE 805000 0 0 D MCGRAW HILL INC COM 580645109 1829 30000 SH SOLE 30000 0 0 D MEDIMMUNE INC COM 584699102 901 19440 SH SOLE 19440 0 0 D MELLON FINANCIAL CORP COM 58551A108 763 20280 SH SOLE 20280 0 0 D MERCK & CO INC COM 589331107 2961 50350 SH SOLE 50350 0 0 D METLIFE INC COM 59156R108 963 30400 SH SOLE 30400 0 0 D METRIS COMPAINIES INC COM 591598107 3039 118200 SH SOLE 118200 0 0 D MILLIPORE CORP COM 601073109 8213 135300 SH SOLE 135300 0 0 D MITCHELL ENERGY & DEVELOPMENT CL A 606592202 18320 343710 SH SOLE 343710 0 0 D THE MONTANA POWER COMPANY COM 612085100 870 151368 SH SOLE 151368 0 0 D MOORE CORP LTD COM 615785102 4161 438000 SH SOLE 438000 0 0 D MORGAN STANLEY, DEAN WITTER, A COM NEW 617446448 738 13200 SH SOLE 13200 0 0 D MUELLER INDUS. COM 624756102 432 13000 SH SOLE 13000 0 0 D MURPHY OIL CORPORATION COM 626717102 10716 127507 SH SOLE 127507 0 0 D MUTUAL RISK MANAGEMENT LTD COM 628351108 419 57332 SH SOLE 57332 0 0 D NETWORK ASSOCIATES INC CONV SB DB CV ZERO 18 640938AB2 905 2000000 SH SOLE 2000000 0 0 D NEW GERMANY FUND INC (GF) COM 644465106 1102 187692 SH SOLE 187692 0 0 D NEWMONT MINING CORPORATION COM 651639106 8638 452000 SH SOLE 452000 0 0 D NEWS CORP LTD ADR 652487703 64 2000 SH SOLE 2000 0 0 D NEWS CORP LTD SPON PFD 652487802 26 1000 SH SOLE 1000 0 0 D NIAGARA MOHAWK HOLDINGS INC COM 653520106 8349 470900 SH SOLE 470900 0 0 D NORTH FORK BANCORPORATION INC COM 659424105 282 8800 SH SOLE 8800 0 0 D NORTHERN TRUST CO COM 665859104 578 9600 SH SOLE 9600 0 0 D NORTHROP GRUMMAN CORP COM 666807102 67341 668000 SH SOLE 668000 0 0 D NOVA CHEMICALS CORP COM 66977W109 241 12500 SH SOLE 12500 0 0 D NOVARTIS AG SPONSORED ADR SPONSORED ADR 66987V109 584 16000 SH SOLE 16000 0 0 D NOVELL INC COM 670006105 207 45000 SH SOLE 45000 0 0 D ORION POWER HOLDINGS INC COM 686286105 6577 252000 SH SOLE 252000 0 0 D P & O PRINCESS CRUISES PLC ADR ADR 693070104 783 33750 SH SOLE 33750 0 0 D PACKAGING CORP OF AMERICA COM 695156109 13662 752700 SH SOLE 752700 0 0 D PANCANADIAN ENERGY CORP COM 69831A107 17511 673500 SH SOLE 673500 0 0 D PAPA JOHNS INTL INC COM 698813102 2748 100000 SH SOLE 100000 0 0 D PARTY CITY CORP COM 702145103 1145 152400 SH SOLE 152400 0 0 D PENTON MEDIA COM 709668107 417 66596 SH SOLE 66596 0 0 D PEPSIAMERICAS COM 71343P200 1104 80000 SH SOLE 80000 0 0 D PFIZER INC COM 717081103 13033 327050 SH SOLE 327050 0 0 D PHARMACIA CORPORATION COM 71713U102 440 10310 SH SOLE 10310 0 0 D PHILIP MORRIS COM 718154107 11761 256500 SH SOLE 256500 0 0 D PHILLIPS PETROLEUM CO COM 718507106 12561 208451 SH SOLE 208451 0 0 D PLACER DOME INC. COM 725906101 655 60000 SH SOLE 60000 0 0 D PLAYTEX PRODUCTS INC COM 72813P100 98 10000 SH SOLE 10000 0 0 D PRAECIS PHARMACEUTICALS INC COM 739421105 1950 335000 SH SOLE 335000 0 0 D PRAXAIR INC COM 74005P104 55551 1005455 SH SOLE 1005455 0 0 D PULTE CORP COM 745867101 357 8000 SH SOLE 8000 0 0 D QUINENCO S.A. ADR SPONSORED ADR 748718103 6497 890000 SH SOLE 890000 0 0 D RCN CORPORATION COM 749361101 522 178065 SH SOLE 178065 0 0 D READERS DIGEST ASSN INC CL A CL A NON VTG 755267101 1616 70000 SH SOLE 70000 0 0 D RIGHTCHOICE MANAGED CARE INC C COM 76657T102 12038 171990 SH SOLE 171990 0 0

D RITE AID CORP COM 767754104 2658 525200 SH SOLE 525200 0 0 D ROCKWELL COLLINS INC COM 774341101 3672 188300 SH SOLE 188300 0 0 D ROYAL GOLD, INC. COM 780287108 389 75000 SH SOLE 75000 0 0 D RYDER SYSTEM INC COM 783549108 775 35000 SH SOLE 35000 0 0 D S & P 500 DEPOSITARY RECEIPTS UNIT SER 1 78462F103 3943 34500 SH SOLE 34500 0 0 D SAN JUAN BASIN ROYALTY TRUST UNIT BEN INT 798241105 8967 935000 SH SOLE 935000 0 0 D SCHERING-PLOUGH CORP COM 806605101 10764 300600 SH SOLE 300600 0 0 D SCHLUMBERGER LTD COM 806857108 385 7000 SH SOLE 7000 0 0 D SEALED AIR CORPORATION COM 81211K100 13879 340000 SH SOLE 340000 0 0 D SEALED AIR CORP $2 PFD SER A D PFD CV A $2 81211K209 10139 244600 SH SOLE 244600 0 0 D SECURITY CAPITAL GROUP INC REI CL B 81413P204 31966 1260000 SH SOLE 1260000 0 0 D SECURITY CAPITAL GROUP INCORPO CL B 81413P204 27907 1100000 SH SOLE 1100000 0 0 D SELECTICA INC COM 816288104 7111 1175307 SH SOLE 1175307 0 0 D SENECA FOODS CORPORATION A CL A 817070501 1655 115000 SH SOLE 115000 0 0 D SHERWIN WILLIAMS CO COM 824348106 13750 500000 SH SOLE 500000 0 0 D SNAP ON TOOLS CORP COM 833034101 505 15000 SH SOLE 15000 0 0 D SOLUTIA INC COM 834376105 6544 466754 SH SOLE 466754 0 0 D SOUTHRUST CORP. COM 844730101 296 12000 SH SOLE 12000 0 0 D SONY CORP SPON ADR 835699307 18 400 SH SOLE 400 0 0 D SPRINT CORP COM FON GROUP 852061100 436 21700 SH SOLE 21700 0 0 D STANCORP FINANCIAL GROUP COM 852891100 1181 25000 SH SOLE 25000 0 0 D STORAGE USA INC COM 861907103 7578 180000 SH SOLE 180000 0 0 D STORAGE TECHNOLOGY CORP (STK) COM PAR $0.10 862111200 10819 523400 SH SOLE 523400 0 0 D SWISS HELVETIA FUND (THE) (SWZ COM 870875101 841 76478 SH SOLE 76478 0 0 D SYBASE INC COM 871130100 3586 227525 SH SOLE 227525 0 0 D TJX COMPANIES INC COM 872540109 9140 229300 SH SOLE 229300 0 0 D TRW, INC. COM 872649108 1204 32500 SH SOLE 32500 0 0 D TVX GOLD INC NEW COM NEW 87308K200 647 1505600 SH SOLE 1505600 0 0 D TARGET CORP COM 87612E106 1642 40000 SH SOLE 40000 0 0 D TEKTRONIX INC. (TEK) COM 879131100 2707 105000 SH SOLE 105000 0 0 D TELEPHONE & DATA SYSTEMS INC COM 879433100 1795 20000 SH SOLE 20000 0 0 D TENET HEALTHCARE CORP COM 88033G100 19301 328700 SH SOLE 328700 0 0 D THERMO ELECTRON CORP COM 883556102 34802 1458600 SH SOLE 1458600 0 0 D 3 DIMENSIONAL PHARMACEUTICALS COM 88554W104 1473 173500 SH SOLE 173500 0 0 D TIFFANY & CO COM 886547108 8812 280000 SH SOLE 280000 0 0 D TOLL BROTHERS INC COM 889478103 351 8000 SH SOLE 8000 0 0 D TRICON GLOBAL RESTAURANT INC COM 895953107 9673 196600 SH SOLE 196600 0 0 D TRIQUINT SEMICONDUCTOR SUB NT CV 4%07 89674KAB9 1470 2000000 SH SOLE 2000000 0 0 D UIL HOLDINGS CORPORATION COM 902748102 749 14600 SH SOLE 14600 0 0 D U.S. BANCORP NEW (USB) COM NEW 902973304 2398 114593 SH SOLE 114593 0 0 D USA NETWORKS INC. COM 902984103 4916 180000 SH SOLE 180000 0 0 D USG CORPORATION COM NEW 903293405 257 45000 SH SOLE 45000 0 0 D ULTRAMAR DIAMOND SHAMROCK CORP COM 904000106 27489 540000 SH SOLE 540000 0 0 D UNIFIRST CORPORATION COM 904708104 11050 490000 SH SOLE 490000 0 0 D UNITED TECHNOLOGIES CORP COM 913017109 569 8800 SH SOLE 8800 0 0 D UNITEDGLOBALCOM INC CL A (UCOM CL A 913247508 1620 324000 SH SOLE 324000 0 0 D UNOCAL CORP COM 915289102 505 14000 SH SOLE 14000 0 0 D UNUMPROVIDENT CORP COM 91529Y106 1259 47500 SH SOLE 47500 0 0 D VERITAS DGC INC. COM 92343P107 1958 105840 SH SOLE 105840 0 0 D VIASTAT INC. (VSAT) COM 92552V100 434 27800 SH SOLE 27800 0 0 D VIACOM INC CL B CL B 925524308 1916 43400 SH SOLE 43400 0 0 D VIASYS HEALTHCARE INC COM NEW 92553Q209 16566 819697 SH SOLE 819697 0 0 D VIDAMED INC COM 926530106 880 112500 SH SOLE 112500 0 0 D VITRIA TECHNOLOGY INC COM 92849Q104 612 95800 SH SOLE 95800 0 0 D WACHOVIA CORP NEW COM 929903102 1156 36857 SH SOLE 36857 0 0 D WALMART STORES INC COM 931142103 1151 20000 SH SOLE 20000 0 0 D WASTE MANAGEMENT INC COM 94106L109 9091 284900 SH SOLE 284900 0 0 D WELLMAN INC COM 949702104 155 10000 SH SOLE 10000 0 0 D WELLS FARGO & CO COM 949746101 11858 272900 SH SOLE 272900 0 0 D WESTCOAST ENERGY INC COM 95751D102 14867 562500 SH SOLE 562500 0 0 D WEYCO GROUP, INC. COM 962149100 3676 145000 SH SOLE 145000 0 0 D XANSER CORP COM 98389J103 1548 770000 SH SOLE 770000 0 0 D YORK INTERNATIONAL CORP COM 986670107 381 10000 SH SOLE 10000 0 0 D ZEBRA TECH CL A 989207105 8604 155000 SH SOLE 155000 0 0 S REPORT SUMMARY 286 DATA RECORDS 2145378 104323265 0 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED

ARNHOLD & S BLEICHROEDER INC 13F-HR