13F-HR 1 file001.txt FORM 13F-HR UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: March 31, 2001 Check here if Amendment [ ]; Amendment Number: N/A This Amendment (Check only one.): [ ] is a restatement [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Gruntal & Co., L.L.C. Address: One Liberty Plaza New York, NY 10006-1487 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: David R. Rappaport Title: Senior Vice President Phone: (212) 820-8720 Signature, Place, and Date of Signing: /s/ DAVID R. RAPPAPORT NEW YORK, NY 2001 -------------------------------------------------------------------- [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 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: Form 13F Information Table Entry Total: 1031 Form 13F Information Table Value Total: 27160871 2 FORM 13F INFORMATION TABLE

21 VOTING AUTHORITY NAME OF ISSUER SOLE SHARED NONE -------------- ---- ------ ---- 3COM CORP 100 3COM CORP 189,360 3COM CORP 2,990 3COM CORP (250) A D C TELECOMMUNICATIONS 5,170 A D C TELECOMMUNICATIONS 390 A D C TELECOMMUNICATIONS 21,625 A D C TELECOMMUNICATIONS (43) ABBOTT LABS 2,938 ABBOTT LABS 20,815 ABITIBI-CONSOLIDATED INC 12,000 ADAPTIVE BROADBAND CORP 750 ADAPTIVE BROADBAND CORP 20,150 ADOBE SYS INC 3,500 ADOBE SYS INC 26,950 ADVANCED AERODYNAMICS&STRUCTUR 16,600 AEGON N V 2,306 AEGON N V 6,300 AES CORP 3,421 AES CORP 6,210 AES CORP 700 AFLAC INC 5,950 AFLAC INC 3,678 AGILENT TECHNOLOGIES INC 3,603 AGILENT TECHNOLOGIES INC 29,633 AGILENT TECHNOLOGIES INC 4,322 AIR PRODS & CHEMS INC 1,025 AIR PRODS & CHEMS INC 2,410 AIR PRODS & CHEMS INC 58,400 AIRBORNE INC 1,560 AIRBORNE INC 1,950 AIRBORNE INC 68,834 ALBERTA ENERGY LTD 5,117 ALCOA INC 3,542 ALCOA INC 11,846 ALLIED RISER COMMUNICATIONS CP 24,000 ALLSTATE CORP 11,175 ALLSTATE CORP 12,167 ALLSTATE CORP 1,650 ALLTEL CORP 1,733 ALLTEL CORP 3,338 ALLTEL CORP 600 ALZA CORP DEL 12,600 ALZA CORP DEL 4,880 ALZA CORP DEL 42,795 AMERICAN EAGLE OUTFITTERS NEW 8,785 AMERICAN EXPRESS CO 6,725 AMERICAN EXPRESS CO 1,000 AMERICAN EXPRESS CO 37,545 22 VOTING AUTHORITY NAME OF ISSUER SOLE SHARED NONE -------------- ---- ------ ---- AMERICAN EXPRESS CO 5,066 AMERICAN GENERAL CORP 7,758 AMERICAN GENERAL CORP 6,660 AMERICAN HOME PRODS CORP 13,959 AMERICAN HOME PRODS CORP 11,854 AMERICAN HOME PRODS CORP 56,007 AMERICAN HOME PRODS CORP 329 AMERICAN INTL GROUP INC 33,602 AMERICAN INTL GROUP INC 63 AMERICAN INTL GROUP INC 100 AMERICAN INTL GROUP INC 72,257 AMERICAN INTL GROUP INC 3,922 AMGEN INC 2,580 AMGEN INC 200 AMGEN INC 14,587 AMGEN INC 2,000 ANADARKO PETE CORP 224 ANADARKO PETE CORP 5,010 ANADARKO PETE CORP 409 ANDRX GROUP 9,492 ANDRX GROUP 5,295 ANHEUSER BUSCH COS INC 2,200 ANHEUSER BUSCH COS INC 7,915 AOL TIME WARNER INC 32,147 AOL TIME WARNER INC 225 AOL TIME WARNER INC 3,254 AOL TIME WARNER INC 40,466 AOL TIME WARNER INC 9,827 APACHE CORP 23,670 APOGENT TECHNOLOGIES INC 286,774 APOGENT TECHNOLOGIES INC 375 APPLE COMPUTER INC 3,782 APPLE COMPUTER INC 1,550 APPLE COMPUTER INC 119,935 APPLERA CORP 10,800 APPLERA CORP 1,605 APPLIED MATLS INC 6,515 APPLIED MATLS INC 200 APPLIED MATLS INC 66,475 APPLIED MATLS INC 550 APPLIED MICRO CIRCUITS CORP 1,708 APPLIED MICRO CIRCUITS CORP 10,706 APPLIED MICRO CIRCUITS CORP 2,890 ARENA PHARMACEUTICALS INC 10,000 ARMSTRONG HLDGS INC 10,000 ARTISTDIRECT INC 123,900 ASHANTI GOLDFIELDS LTD 25,750 ASTORIA FINL CORP 5,455 ASTORIA FINL CORP 100 ASYST TECHNOLOGY CORP 4,600 ASYST TECHNOLOGY CORP 7,300 AT HOME CORP 3,175 AT HOME CORP 100 AT HOME CORP 1,778 AT HOME CORP 23,060 23 VOTING AUTHORITY NAME OF ISSUER SOLE SHARED NONE -------------- ---- ------ ---- AT HOME CORP 50,000 AT&T CORP 34,718 AT&T CORP 7,418 AT&T CORP 22,679 AT&T CORP 87,112 AT&T CORP 9,180 AT&T CORP 448 AT&T CORP 14,671 ATMEL CORP 3,500 ATMEL CORP 42,290 ATMEL CORP 2,200 AUTOMATIC DATA PROCESSING INC 430 AUTOMATIC DATA PROCESSING INC 100 AUTOMATIC DATA PROCESSING INC 8,534 AUTOMATIC DATA PROCESSING INC 67 AUTOZONE INC 8,200 AVATAR HLDGS INC 25,000 AVERY DENNISON CORP 2,388 AVERY DENNISON CORP 31,780 AVON PRODS INC 5,800 AVON PRODS INC 4,240 AVX CORP NEW 2,400 AVX CORP NEW 8,180 BANK NEW YORK INC 429 BANK NEW YORK INC 7,279 BANK NEW YORK INC 2,726 BANK OF AMERICA CORPORATION 720 BANK OF AMERICA CORPORATION 11,518 BANK OF AMERICA CORPORATION 1,618 BANK ONE CORP 3,903 BANK ONE CORP 200 BANK ONE CORP 5,675 BARPOINT COM INC 500 BARPOINT COM INC 54,150 BARR LABS INC 104,083 BAXTER INTL INC 995 BAXTER INTL INC 100 BAXTER INTL INC 3,230 BB&T CORP 1,000 BB&T CORP 8,550 BB&T CORP 2,330 BCE INC 6,761 BCE INC 310 BCE INC 5,850 BEA SYS INC 794 BEA SYS INC 225 BEA SYS INC 5,835 BEA SYS INC 300 BEAR STEARNS COS INC 105 BEAR STEARNS COS INC 20,628 BECTON DICKINSON & CO 1,030 BECTON DICKINSON & CO 28,200 BED BATH & BEYOND INC 4,282 BED BATH & BEYOND INC 21,820 BELLSOUTH CORP 26,763 24 VOTING AUTHORITY NAME OF ISSUER SOLE SHARED NONE -------------- ---- ------ ---- BELLSOUTH CORP 2,708 BELLSOUTH CORP 19,166 BELLSOUTH CORP 2,150 BENTON OIL & GAS CO 10,000 BIOSITE DIAGNOSTICS INC 35 BIOSITE DIAGNOSTICS INC 6,200 BJS WHOLESALE CLUB INC 9,895 BLOCK H & R INC 3,500 BLOCK H & R INC 6,750 BMC SOFTWARE INC 2,200 BMC SOFTWARE INC 1,283 BMC SOFTWARE INC 12,885 BOEING CO 7,175 BOEING CO 700 BOEING CO 7,580 BOEING CO 2,100 BP AMOCO P L C 6,124 BP AMOCO P L C 246 BP AMOCO P L C 13,819 BP AMOCO P L C 924 BRISTOL MYERS SQUIBB CO 35,981 BRISTOL MYERS SQUIBB CO 900 BRISTOL MYERS SQUIBB CO 73,716 BROADCOM CORP 3,399 BROADCOM CORP 4,384 BROADCOM CORP 1,500 BROADVISION INC 5,220 BROADVISION INC 400 BROADVISION INC 1,875 BROADVISION INC 3,000 BROCADE COMMUNICATIONS SYS INC 702 BROCADE COMMUNICATIONS SYS INC 12,705 BROCADE COMMUNICATIONS SYS INC 400 BROWN FORMAN CORP 7,749 BROWN FORMAN CORP 300 BURLINGTON RES INC 4,957 BURLINGTON RES INC 31,717 BURLINGTON RES INC 500 CALPINE CORP 12,400 CALYPTE BIOMEDICAL CORP 15,000 CAPSTEAD MTG CORP 16,700 CAPSTEAD MTG CORP 3,858 CAPSTEAD MTG CORP 1,400 CAPSTEAD MTG CORP 1,000 CARDINAL HEALTH INC 635 CARDINAL HEALTH INC 28,932 CAREMARK RX INC 105 CAREMARK RX INC 10,620 CENDANT CORP 14,620 CENDANT CORP 500 CENDANT CORP 2,450 CENDANT CORP 135 CENTRAL GARDEN & PET CO 486,344 CENTRAL GARDEN & PET CO 8,450 CHARTER COMMUNICATIONS INC DEL 2,760 25 VOTING AUTHORITY NAME OF ISSUER SOLE SHARED NONE -------------- ---- ------ ---- CHARTER COMMUNICATIONS INC DEL 200 CHARTER COMMUNICATIONS INC DEL 16,530 CHARTER COMMUNICATIONS INC DEL 300 CHARTER COMMUNICATIONS INC DEL 100 CHECKPOINT SYS INC 67,000 CHESAPEAKE ENERGY CORP 2,500 CHESAPEAKE ENERGY CORP 1,907,380 CHESAPEAKE ENERGY CORP 3,100 CHESAPEAKE ENERGY CORP 133,850 CHESAPEAKE ENERGY CORP 3,200 CHEVRON CORPORATION 1,560 CHEVRON CORPORATION 104 CHEVRON CORPORATION 17,950 CHUBB CORP 1,147 CHUBB CORP 13,565 CIENA CORP 103 CIENA CORP 2,300 CIENA CORP 2,680 CIENA CORP 700 CINTAS CORP 6,970 CISCO SYS INC 54,223 CISCO SYS INC 260 CISCO SYS INC 3,448 CISCO SYS INC 140,591 CISCO SYS INC 19,385 CISCO SYS INC 200 CIT GROUP INC 209,644 CIT GROUP INC 3,695 CIT GROUP INC 7,310 CITIGROUP INC 36,624 CITIGROUP INC 2,575 CITIGROUP INC 5,600 CITIGROUP INC 129,449 CITIGROUP INC 4,000 CITIZENS COMMUNICATIONS CO 7,711 CITIZENS COMMUNICATIONS CO 233,887 CITIZENS COMMUNICATIONS CO 9,000 CLEAR CHANNEL COMMUNICATIONS 1,013 CLEAR CHANNEL COMMUNICATIONS 100 CLEAR CHANNEL COMMUNICATIONS 6,645 COCA COLA CO 1,082 COCA COLA CO 7,991 COCA COLA CO 40,751 COEUR D ALENE MINES CORP IDAHO 270,000 COLGATE PALMOLIVE CO 2,461 COLGATE PALMOLIVE CO 17,014 COLGATE PALMOLIVE CO 600 COMCAST CORP 5,427 COMCAST CORP 5,449 COMMERCIAL NET LEASE RLTY INC 20,790 COMMERCIAL NET LEASE RLTY INC 2,809 COMPAQ COMPUTER CORP 5,440 COMPAQ COMPUTER CORP 4,600 COMPAQ COMPUTER CORP 30,186 COMPAQ COMPUTER CORP 2,500 26 VOTING AUTHORITY NAME OF ISSUER SOLE SHARED NONE -------------- ---- ------ ---- COMPAQ COMPUTER CORP 4,000 COMPUTER SCIENCES CORP 2,748 COMPUTER SCIENCES CORP 21,940 CONCORD EFS INC 8,135 CONDUCTUS INC 2,000 CONDUCTUS INC 11,683 CONEXANT SYSTEMS INC 70,000 CONEXANT SYSTEMS INC 4,660,000 CONOCO INC 3,535 CONOCO INC 32,340 CONSOLIDATED EDISON INC 2,102 CONSOLIDATED EDISON INC 3,637 CONSOLIDATED EDISON INC 200 CONSORCIO G GRUPO DINA S A CV 460,000 CONSORCIO G GRUPO DINA S A CV 62,000 CORNING INC 12,501 CORNING INC 3,420 CORNING INC 100 CORNING INC 8,695 CORPORATE HIGH YIELD FD III 9,133 CORPORATE HIGH YIELD FD III 700 CORPORATE HIGH YIELD FD III 1,000 CORPORATE HIGH YIELD FD III 11,630 COSTCO WHSL CORP NEW 10,319 COSTCO WHSL CORP NEW 49,430 COSTCO WHSL CORP NEW 1,500 COVAD COMMUNICATIONS GROUP INC 5,800 COVAD COMMUNICATIONS GROUP INC 4,524 COVAD COMMUNICATIONS GROUP INC 6,850 COX COMMUNICATIONS INC NEW 1,740 COX COMMUNICATIONS INC NEW 5,570 CREE INC 15,000 CUSEEME NETWORKS INC 41,274 CVS CORP 890 CVS CORP 6,828 DANKA BUSINESS SYS PLC 10,000 DELPHI AUTOMOTIVE SYS CORP 815 DELPHI AUTOMOTIVE SYS CORP 209 DELPHI AUTOMOTIVE SYS CORP 9,017 DELPHI AUTOMOTIVE SYS CORP 6,939 DISNEY WALT CO 8,783 DISNEY WALT CO 218 DISNEY WALT CO 18,750 DISNEY WALT CO 93,100 DLJ HIGH YIELD BD FD 14,998 DLJ HIGH YIELD BD FD 6,043 DLJ HIGH YIELD BD FD (925) DMC STRATEX NETWORKS INC 215 DMC STRATEX NETWORKS INC 11,000 DOWNEY FINL CORP 27,909 DRAXIS HEALTH INC 62,850 DRAXIS HEALTH INC 29,900 DRAXIS HEALTH INC 13,217 DREYFUS STRATEGIC MUN BD FD 5,745 DREYFUS STRATEGIC MUN BD FD 3,120 27 VOTING AUTHORITY NAME OF ISSUER SOLE SHARED NONE -------------- ---- ------ ---- DREYFUS STRATEGIC MUN BD FD 5,128 DREYFUS STRATEGIC MUN BD FD 1,039 DREYFUS STRATEGIC MUNS INC 8,202 DREYFUS STRATEGIC MUNS INC 5,265 DREYFUS STRATEGIC MUNS INC 6,300 DU PONT E I DE NEMOURS & CO 4,057 DU PONT E I DE NEMOURS & CO 100 DU PONT E I DE NEMOURS & CO 21,496 DU PONT E I DE NEMOURS & CO 194 DYNEGY INC NEW 300 DYNEGY INC NEW 6,820 E M C CORP MASS 12,915 E M C CORP MASS 1,975 E M C CORP MASS 1,660 E M C CORP MASS 112,855 E M C CORP MASS 10,900 E MACHINES INC 75,383 EARTHLINK INC 5,900 EARTHLINK INC 238,822 EARTHLINK INC 44 EASTMAN KODAK CO 4,639 EASTMAN KODAK CO 100 EASTMAN KODAK CO 1,100 ECOLAB INC 2,707 ECOLAB INC 28,310 EL PASO CORP 1,466 EL PASO CORP 15,137 ELAN PLC 2,974 ELAN PLC 157,120 ELAN PLC 1,135 ELECTRONIC DATA SYS NEW 1,520 ELECTRONIC DATA SYS NEW 13,279 ELECTRONIC DATA SYS NEW 150 EMERGING MKTS INCM FD II 76,150 EMERGING MKTS TELECOMNC FD NEW 37,387 EMERGING VISION INC 26,000 EMERSON ELEC CO 6,615 EMERSON ELEC CO 700 EMERSON ELEC CO 18,905 EMERSON ELEC CO 140 ENRON CORP 9,898 ENRON CORP 17,460 ENRON CORP 10,650 ENTRADA NETWORKS INC 9 ENTRADA NETWORKS INC 45,432 ENVOY COMMUNICATIONS GROUP INC 95,577 ERICSSON L M TEL CO 10,000 ERICSSON L M TEL CO 3,200 ERICSSON L M TEL CO 27,200 EXODUS COMMUNICATIONS INC 1,066 EXODUS COMMUNICATIONS INC 11,935 EXODUS COMMUNICATIONS INC 4,400 EXPRESS SCRIPTS INC 2,720 EXXON MOBIL CORP 14,352 EXXON MOBIL CORP 2,946 28 VOTING AUTHORITY NAME OF ISSUER SOLE SHARED NONE -------------- ---- ------ ---- EXXON MOBIL CORP 34,380 EXXON MOBIL CORP 52 FAMILY DLR STORES INC 250 FAMILY DLR STORES INC 20,235 FEDERAL HOME LN MTG CORP 3,310 FEDERAL HOME LN MTG CORP 100 FEDERAL HOME LN MTG CORP 3,860 FEDERAL NATL MTG ASSN 11,663 FEDERAL NATL MTG ASSN 100 FEDERAL NATL MTG ASSN 26,760 FEDERAL NATL MTG ASSN 200 FEDERAL SIGNAL CORP 11,653 FEDERAL SIGNAL CORP 1,200 FEDEX CORP 2,220 FEDEX CORP 1,226 FEDEX CORP 2,120 FIDELITY NATL FINL INC 2,519 FIDELITY NATL FINL INC 80,465 FIELDCREST CANNON INC 215,000 FIRST AUSTRALIA PRIME INCOME 15,000 FIRST AUSTRALIA PRIME INCOME 302 FIRST AUSTRALIA PRIME INCOME 10,732 FIRST AUSTRALIA PRIME INCOME 12,435 FIRST DATA CORP 2,357 FIRST DATA CORP 15,875 FIRST DATA CORP 500 FIRSTFED FINL CORP 60,800 FLEETBOSTON FINL CORP 2,216 FLEETBOSTON FINL CORP 504 FLEETBOSTON FINL CORP 78,461 FLEETBOSTON FINL CORP 248 FLORIDA ROCK INDS INC 6,800 FORD MTR CO DEL 8,824 FORD MTR CO DEL 1,000 FORD MTR CO DEL 5,081 FOUNDRY NETWORKS INC 12,875 FRANKLIN UNVL TR 13,650 GAP INC DEL 9,410 GAP INC DEL 1,750 GAP INC DEL 7,890 GEMSTAR-TV GUIDE INTL INC 8,570 GENENTECH INC 4,263 GENENTECH INC 4,173 GENERAL DYNAMICS CORP 4,885 GENERAL DYNAMICS CORP 10,830 GENERAL ELEC CO 59,814 GENERAL ELEC CO 2,460 GENERAL ELEC CO 96,842 GENERAL ELEC CO 3,000 GENERAL ELEC CO (1,000) GENERAL MLS INC 1,841 GENERAL MLS INC 80 GENERAL MLS INC 4,100 GENERAL MLS INC 650 GENERAL MTRS CORP 2,632 29 VOTING AUTHORITY NAME OF ISSUER SOLE SHARED NONE -------------- ---- ------ ---- GENERAL MTRS CORP 342 GENERAL MTRS CORP 9,746 GENERAL MTRS CORP 3,350 GENERAL MTRS CORP 125 GENERAL MTRS CORP 2,806 GENERAL MTRS CORP 46,984 GENZYME CORP 15,216 GENZYME CORP 400 GENZYME CORP 107,430 GENZYME CORP 3,645 GENZYME CORP 19,214 GILLETTE CO 9,000 GILLETTE CO 180 GILLETTE CO 23,970 GILLETTE CO 565 GLAXOSMITHKLINE PLC 512 GLAXOSMITHKLINE PLC 600 GLAXOSMITHKLINE PLC 3,832 GLAXOSMITHKLINE PLC 2,316 GLOBAL CROSSING LTD 3,964 GLOBAL CROSSING LTD 1,100 GLOBAL CROSSING LTD 300 GLOBAL CROSSING LTD 9,380 GLOBAL CROSSING LTD 5,000 GLOBAL PARTNERS INCOME FD INC 12,088 GLOBAL PARTNERS INCOME FD INC 3,831 GLOBAL PARTNERS INCOME FD INC (240) GOLDEN WEST FINL CORP DEL 3,048 GOLDEN WEST FINL CORP DEL 1,575 GOLDMAN SACHS GROUP INC 4,994 GOLDMAN SACHS GROUP INC 4,055 GRANITE BROADCASTING CORP 120,075 GRANT PRIDECO INC 1,800 GRANT PRIDECO INC 31,067 GUIDANT CORP 4,975 GUIDANT CORP 1,085 GUIDANT CORP 12,150 GULFMARK OFFSHORE INC 17,650 HALLIBURTON CO 500 HALLIBURTON CO 7,795 HALLIBURTON CO 400 HARKEN ENERGY CORP 500 HARKEN ENERGY CORP 514,057 HCA-HEALTHCARE CO 10,333 HCA-HEALTHCARE CO 15,150 HEALTHSOUTH CORP 1,000 HEALTHSOUTH CORP 21,550 HELLER FINANCIAL INC 5,790 HEWLETT PACKARD CO 12,836 HEWLETT PACKARD CO 106,150 HEWLETT PACKARD CO 7,200 HIGH INCOME OPPORTUNITY FD INC 500 HIGH INCOME OPPORTUNITY FD INC 40,952 HOLLINGER INTL INC 373,994 HOME DEPOT INC 14,144 30 VOTING AUTHORITY NAME OF ISSUER SOLE SHARED NONE -------------- ---- ------ ---- HOME DEPOT INC 250 HOME DEPOT INC 39,896 HOME DEPOT INC 34,254 HONEYWELL INTL INC 5,860 HONEYWELL INTL INC 1,200 HONEYWELL INTL INC 45,658 HONEYWELL INTL INC 100 HONEYWELL INTL INC 1,000 ILLINOIS TOOL WKS INC 6,630 ILLINOIS TOOL WKS INC 12,380 ILLINOIS TOOL WKS INC 40 INFORMIX CORP 5,200 INFORMIX CORP 2,430 INFORMIX CORP 9,300 INFORMIX CORP 2,336 INKINE PHARMACEUTICALS INC 10,000 INTEL CORP 81,652 INTEL CORP 3,660 INTEL CORP 1,650 INTEL CORP 159,567 INTEL CORP 19,346 INTERNATIONAL BUSINESS MACHS 10,003 INTERNATIONAL BUSINESS MACHS 28 INTERNATIONAL BUSINESS MACHS 7,250 INTERNATIONAL BUSINESS MACHS 11,590 INTERNATIONAL BUSINESS MACHS 3,000 INTERNATIONAL RECTIFIER CORP 2,995 INTERNATIONAL RECTIFIER CORP 2,050 INTERNATIONAL RECTIFIER CORP 400 INTERPUBLIC GROUP COS INC 3,000 INTERPUBLIC GROUP COS INC 3,085 INTERPUBLIC GROUP COS INC 80 INTL PAPER CO 780 INTL PAPER CO 3,954 INTL PAPER CO 1,111 IONICS INC 3,000 IONICS INC 8,300 IONICS INC 500 IRVINE SENSORS CORP 37,735 ISHARES TR 32,600 ISHARES TR 35,750 ISHARES TR 60,000 ISHARES TR 25,300 ISHARES TR 34,200 ISHARES TR 36,600 ISHARES TR 42,050 IVAX CORP 2,530 IVAX CORP 1,500 IVAX CORP 328 IVAX CORP 4,390 J P MORGAN CHASE & CO 6,957 J P MORGAN CHASE & CO 2,590 J P MORGAN CHASE & CO 1,000 J P MORGAN CHASE & CO 27,254 J P MORGAN CHASE & CO 53,864 31 VOTING AUTHORITY NAME OF ISSUER SOLE SHARED NONE -------------- ---- ------ ---- JDS UNIPHASE CORP 12,933 JDS UNIPHASE CORP 2,125 JDS UNIPHASE CORP 75 JDS UNIPHASE CORP 48,400 JDS UNIPHASE CORP 2,000 JOHN HANCOCK BK &THRIFT OPP FD 13,000 JOHNSON & JOHNSON 17,234 JOHNSON & JOHNSON 649 JOHNSON & JOHNSON 39,387 JOHNSON & JOHNSON 22,275 JUNIPER NETWORKS INC 380 JUNIPER NETWORKS INC 1,500 JUNIPER NETWORKS INC 11,642 JUNIPER NETWORKS INC 5,110 JUNIPER NETWORKS INC 370,000 K2 DIGITAL INC 156,737 K2 DIGITAL INC 96,467 KCS ENERGY INC 10,000 KEY TECHNOLOGY INC 41,222 KEY TECHNOLOGY INC 49,276 KIMBERLY CLARK CORP 2,811 KIMBERLY CLARK CORP 7,020 KINDER MORGAN INC KANS 500 KINDER MORGAN INC KANS 4,160 KINDER MORGAN INC KANS 1,200 KING PHARMACEUTICALS INC 15,970 KING PHARMACEUTICALS INC 4,217 KOHLS CORP 4,165 KOHLS CORP 134 KONINKLIJKE PHILIPS ELECTRS NV 4,615 KONINKLIJKE PHILIPS ELECTRS NV 1,500 KONINKLIJKE PHILIPS ELECTRS NV 455 KONINKLIJKE PHILIPS ELECTRS NV 11,954 KROGER CO 6,181 KROGER CO 5,070 L-3 COMMUNICATIONS HLDGS INC 15 L-3 COMMUNICATIONS HLDGS INC 5,820 LANDSTAR SYS INC 11,480 LEGATO SYS INC 12,375 LEHMAN BROS HLDGS INC 86 LEHMAN BROS HLDGS INC 4,150 LIFESTREAM TECHNOLOGIES INC 50,000 LILLY ELI & CO 1,539 LILLY ELI & CO 18,540 LILLY ELI & CO 3,065 LINEAR TECHNOLOGY CORP 11,040 LML PMT SYS INC 45,323 LOEWS CORP 5,790 LOEWS CORP 1,440 LOWES COS INC 8,005 LOWES COS INC 12,563 LSI LOGIC CORP 9,350 LSI LOGIC CORP 150 LSI LOGIC CORP 4,950 LUCENT TECHNOLOGIES INC 39,077 32 VOTING AUTHORITY NAME OF ISSUER SOLE SHARED NONE -------------- ---- ------ ---- LUCENT TECHNOLOGIES INC 3,760 LUCENT TECHNOLOGIES INC 4,650 LUCENT TECHNOLOGIES INC 25,268 LUCENT TECHNOLOGIES INC 30,722 LUCENT TECHNOLOGIES INC 5,000 MANAGED HIGH YIELD PLUS FD INC 2,660 MANAGED HIGH YIELD PLUS FD INC 300 MANAGED HIGH YIELD PLUS FD INC 1,000 MANAGED HIGH YIELD PLUS FD INC 25,000 MARKETING SVCS GROUP INC 26,090 MARSH & MCLENNAN COS INC 5,988 MARSH & MCLENNAN COS INC 15,961 MAXIM INTEGRATED PRODS INC 241 MAXIM INTEGRATED PRODS INC 13,880 MAY DEPT STORES CO 5,550 MAY DEPT STORES CO 820 MBIA INC 54,670 MBIA INC 300 MBNA CORP 14,320 MBNA CORP 25,959 MCDONALDS CORP 6,496 MCDONALDS CORP 42,475 MCDONALDS CORP 200 MCGRAW HILL COS INC 2,085 MCGRAW HILL COS INC 2,635 MCKESSON HBOC INC 7,711 MCKESSON HBOC INC 192 MCKESSON HBOC INC 100 MEDTRONIC INC 8,983 MEDTRONIC INC 23,020 MEDTRONIC INC 130 MELLON FINL CORP 750 MELLON FINL CORP 103,953 MELLON FINL CORP 3,710 MELLON FINL CORP 3,302 MERCK & CO INC 18,025 MERCK & CO INC 600 MERCK & CO INC 600 MERCK & CO INC 45,557 MERCK & CO INC 3,577 MERRILL LYNCH & CO INC 305 MERRILL LYNCH & CO INC 3,509 MESSAGEMEDIA INC 10,000 METAMOR WORLDWIDE INC 16,000 METLIFE INC 300 METLIFE INC 11,410 METROMEDIA FIBER NETWORK INC 5,400 METROMEDIA FIBER NETWORK INC 5,847 METROMEDIA FIBER NETWORK INC 980 MFS MULTIMARKET INCOME TR 3,478 MFS MULTIMARKET INCOME TR 9,800 MGM MIRAGE 398 MGM MIRAGE 7,760 MICROMUSE INC 6,045 MICROSOFT CORP 24,977 33 VOTING AUTHORITY NAME OF ISSUER SOLE SHARED NONE -------------- ---- ------ ---- MICROSOFT CORP 6,100 MICROSOFT CORP 5,860 MICROSOFT CORP 38,990 MICROSOFT CORP 5,979 MINNESOTA MNG & MFG CO 525 MINNESOTA MNG & MFG CO 7,830 MITCHELL ENERGY & DEV CORP 1,000 MITCHELL ENERGY & DEV CORP 6,650 MOLEX INC 2,306 MOLEX INC 5,607 MORGAN STANLEY D WITTER EMG DB 300 MORGAN STANLEY D WITTER EMG DB 12,310 MORGAN STANLEY DEAN WITTER 116,425 MORGAN STANLEY DEAN WITTER 1,000 MORGAN STANLEY DEAN WITTER 116,200 MORGAN STANLEY DEAN WITTER 144,400 MORGAN STANLEY DEAN WITTER&CO 910 MORGAN STANLEY DEAN WITTER&CO 6 MORGAN STANLEY DEAN WITTER&CO 18,713 MORTON INDUSTRIAL GROUP 10,000 MOTOROLA INC 19,627 MOTOROLA INC 7,753 MOTOROLA INC 3,275 MOTOROLA INC 4,900 MOTOROLA INC 21,300 MUNIHOLDINGS N Y INSD FD INC 48,788 MUNIYIELD INSD FD INC 38,100 MUNIYIELD INSD FD INC (6,411) MUNIYIELD N Y INSD FD INC 182,596 MUNIYIELD N Y INSD FD INC 6,623 MUNIYIELD QUALITY FD II 4,000 MUNIYIELD QUALITY FD II 15,000 MUNIYIELD QUALITY FD INC 99,500 MUNIYIELD QUALITY FD INC 8,730 MYTURN COM 14,821 NABORS INDS INC 10,525 NASDAQ 100 TR 2,744 NASDAQ 100 TR 4,650 NASDAQ 100 TR 100 NASDAQ 100 TR 100 NASDAQ 100 TR 2,525 NATIONAL COMM BANCORP 25,930 NATIONAL-OILWELL INC 1,200 NATIONAL-OILWELL INC 21,691 NBC INTERNET INC 2,915 NBC INTERNET INC 32,828 NBTY INC 1,200 NBTY INC 12,000 NCR CORP NEW 1,070 NCR CORP NEW 94 NCR CORP NEW 3,131 NCR CORP NEW 61,332 NETCURRENTS INC 234,844 NETCURRENTS INC 180,498 NETWORK ENGINES INC 20,380 34 VOTING AUTHORITY NAME OF ISSUER SOLE SHARED NONE -------------- ---- ------ ---- NEW AMER HIGH INCOME FD INC 66,954 NEW VY CORP 10,275 NEWMONT MINING CORP 6,327 NEWMONT MINING CORP 6,630 NEWS CORP LTD 389 NEWS CORP LTD 3,920 NEWS CORP LTD 40,743 NMT MED INC 14,600 NOKIA CORP 5,856 NOKIA CORP 2,467 NOKIA CORP 1,200 NOKIA CORP 112,827 NOKIA CORP 4,658 NORTEL NETWORKS CORP NEW 15,156 NORTEL NETWORKS CORP NEW 1,200 NORTEL NETWORKS CORP NEW 31,506 NORTEL NETWORKS CORP NEW 700 NORTEL NETWORKS CORP NEW 2,000 NORTHERN TR CORP 200 NORTHERN TR CORP 3,960 NOVARTIS A G 1,468 NOVARTIS A G 7,000 NOVARTIS A G 276 NOVO-NORDISK A S 5,044 NUVEEN DIVID ADVANTAGE MUN FD 11,101 NUVEEN INSD MUN OPPORTUNITY FD 2,308 NUVEEN INSD MUN OPPORTUNITY FD 1,000 NUVEEN INSD MUN OPPORTUNITY FD 12,371 NUVEEN INSD QUALITY MUN FD INC 1,000 NUVEEN INSD QUALITY MUN FD INC 9,394 NUVEEN MUN VALUE FD INC 7,109 NUVEEN MUN VALUE FD INC 1,904 NUVEEN MUN VALUE FD INC 74,224 NUVEEN PERFORMANCE PLUS MUN FD 1,000 NUVEEN PERFORMANCE PLUS MUN FD 11,167 NUVEEN PREM INCOME MUN FD 7,539 NUVEEN PREM INCOME MUN FD 1,282 NUVEEN PREM INCOME MUN FD 3,344 NUVEEN PREM INCOME MUN FD 4 929 NUVEEN PREM INCOME MUN FD 4 14,588 NX NETWORKS INC 12,000 OFFICE DEPOT INC 6,000 OFFICE DEPOT INC 11,900 OFFICE DEPOT INC 3,600 OLD REP INTL CORP 6,500 OLD REP INTL CORP 1,000 OLD REP INTL CORP 345 OMNICOM GROUP INC 20 OMNICOM GROUP INC 6,016 OPUS360 CORP 8 OPUS360 CORP 137,629 ORACLE CORP 19,893 ORACLE CORP 195 ORACLE CORP 730 ORACLE CORP 52,779 35 VOTING AUTHORITY NAME OF ISSUER SOLE SHARED NONE -------------- ---- ------ ---- ORACLE CORP 10,100 ORACLE CORP 55 PAC-WEST TELECOM INC 13,125 PALL CORP 4,350 PALL CORP 319,257 PALM INC 2,718 PALM INC 6,006 PALM INC 1,300 PARAMETRIC TECHNOLOGY CORP 8,300 PARAMETRIC TECHNOLOGY CORP 7,350 PAYCHEX INC 1,245 PAYCHEX INC 6,575 PEPSICO INC 43,149 PEPSICO INC 2,592 PEPSICO INC 50,515 PETROLEUM GEO-SVCS A/S 10,400 PETSMART INC 17,400 PFF BANCORP INC 214,436 PFIZER INC 47,014 PFIZER INC 4,935 PFIZER INC 122,994 PFIZER INC 19,900 PHARMACIA CORP 9,390 PHARMACIA CORP 100 PHARMACIA CORP 13,673 PHILIP MORRIS COS INC 14,618 PHILIP MORRIS COS INC 3,335 PHILIP MORRIS COS INC 3,000 PHILLIPS PETE CO 3,535 PHILLIPS PETE CO 24,900 PMC-SIERRA INC 3,690 PMC-SIERRA INC 20,322 PNC FINL SVCS GROUP INC 630 PNC FINL SVCS GROUP INC 15,165 PORTAL SOFTWARE INC 10,320 PROCTER & GAMBLE CO 255 PROCTER & GAMBLE CO 11,467 PROCTER & GAMBLE CO 700 PROSPECT STR HIGH INCOME PTFLO 8,064 PROSPECT STR HIGH INCOME PTFLO 1,500 PROSPECT STR HIGH INCOME PTFLO 1,100 PROVIDIAN FINL CORP 5,405 PROVIDIAN FINL CORP 455 PUMATECH INC 10,600 QUALCOMM INC 6,558 QUALCOMM INC 400 QUALCOMM INC 100 QUALCOMM INC 5,905 QUALCOMM INC 64,941 QUESTCOR PHARMACEUTICALS INC 1,000 QUESTCOR PHARMACEUTICALS INC 18,897 QWEST COMMUNICATIONS INTL INC 19,841 QWEST COMMUNICATIONS INTL INC 678 QWEST COMMUNICATIONS INTL INC 23,755 QWEST COMMUNICATIONS INTL INC 2,000 36 VOTING AUTHORITY NAME OF ISSUER SOLE SHARED NONE -------------- ---- ------ ---- READ-RITE CORP 15,000 RENAISSANCE RE HLDGS LTD 6,445 REYNOLDS & REYNOLDS CO 5,800 REYNOLDS & REYNOLDS CO 4,880 RITE AID CORP 800 RITE AID CORP 800 RITE AID CORP 9,000 ROBERT HALF INTL INC 11,585 ROCK OF AGES CORP 15,000 ROHM & HAAS CO 400 ROHM & HAAS CO 7,675 ROWAN COS INC 100 ROWAN COS INC 4,557 ROWAN COS INC 99,552 ROYAL DUTCH PETE CO 1,725 ROYAL DUTCH PETE CO 872 ROYAL DUTCH PETE CO 24,995 SABRE HLDGS CORP 116,472 SABRE HLDGS CORP 1,275 SABRE HLDGS CORP 50,629 SAFEWAY INC 2,848 SAFEWAY INC 200 SAFEWAY INC 2,065 SAN JUAN BASIN RTY TR 11,700 SARA LEE CORP 481 SARA LEE CORP 5,075 SARA LEE CORP 135,711 SBC COMMUNICATIONS INC 41,428 SBC COMMUNICATIONS INC 4,765 SBC COMMUNICATIONS INC 32,537 SBC COMMUNICATIONS INC 300 SCHERING PLOUGH CORP 15,852 SCHERING PLOUGH CORP 3,200 SCHERING PLOUGH CORP 58,903 SCHERING PLOUGH CORP SCHLUMBERGER LTD 1,796 SCHLUMBERGER LTD 1,100 SCHLUMBERGER LTD 18,910 SCHLUMBERGER LTD 3,776 SCHWAB CHARLES CORP NEW 9,874 SCHWAB CHARLES CORP NEW 12,643 SECTOR SPDR TR 123,100 SECTOR SPDR TR 99,075 SECTOR SPDR TR 8,400 SECTOR SPDR TR 69,200 SERVICE CORP INTL 4,470 SERVICE CORP INTL 1,200 SERVICE CORP INTL 750 SERVICE CORP INTL 3,610 SERVICE CORP INTL 40,150 SERVICEMASTER CO 12,135 SHAW COMMUNICATIONS INC 20,000 SHAW GROUP INC 40 SHAW GROUP INC 7,030 SHERWOOD BRANDS INC 23,000 37 VOTING AUTHORITY NAME OF ISSUER SOLE SHARED NONE -------------- ---- ------ ---- SIEBEL SYS INC 5,051 SIEBEL SYS INC 5,937 SILVERLINE TECHNOLOGIES LTD 19,305 SMALLCAP FD INC 18,908 SOLECTRON CORP 8,534 SOLECTRON CORP 15,333 SOLECTRON CORP 4,300 SORRENTO NETWORKS CORP 34 SORRENTO NETWORKS CORP 16,199 SOUTHWEST AIRLS CO 5,383 SOUTHWEST AIRLS CO 150 SOUTHWEST AIRLS CO 24,092 SOUTHWEST AIRLS CO 3,375 SPRINT CORP 9,694 SPRINT CORP 19,701 SPRINT CORP 117,400 SPRINT CORP 3,502 SPRINT CORP 5,136 SPRINT CORP 14,150 STARBUCKS CORP 200 STARBUCKS CORP 6,475 STEWART INFORMATION SVCS CORP 200 STEWART INFORMATION SVCS CORP 52,850 SUN MICROSYSTEMS INC 21,633 SUN MICROSYSTEMS INC 220 SUN MICROSYSTEMS INC 3,000 SUN MICROSYSTEMS INC 164,143 SUN MICROSYSTEMS INC 1,700 SUNGARD DATA SYS INC 7,100 SYBRON DENTAL SPECIALTIES INC 78,104 SYBRON DENTAL SPECIALTIES INC 125 SYCAMORE NETWORKS INC 230 SYCAMORE NETWORKS INC 21,425 SYMBOL TECHNOLOGIES INC 1,687 SYMBOL TECHNOLOGIES INC 171,149 SYMBOL TECHNOLOGIES INC 800 TALK CITY INC 12,000 TARGET CORP 3,187 TARGET CORP 1,200 TARGET CORP 4,695 TELEFONICA S A 3,650 TELEFONICA S A 19,228 TELLABS INC 9,275 TELLABS INC 17,908 TELOCITY INC 70,000 TENET HEALTHCARE CORP 1,740 TENET HEALTHCARE CORP 8,223 TERAYON COMMUNICATION SYS 2,000 TERAYON COMMUNICATION SYS 7,205 TERAYON COMMUNICATION SYS 1,600 TEXACO INC 6,950 TEXACO INC 200 TEXACO INC 10,358 TEXAS INSTRS INC 23,436 TEXAS INSTRS INC 3,180 38 VOTING AUTHORITY NAME OF ISSUER SOLE SHARED NONE -------------- ---- ------ ---- TEXAS INSTRS INC 3,200 TEXAS INSTRS INC 18,336 TEXAS INSTRS INC 1,800 TOSCO CORP 20,050 TRANSOCEAN SEDCO FOREX INC 1,377 TRANSOCEAN SEDCO FOREX INC 4,465 TRICORD SYSTEMS INC 12,500 TRITON ENERGY LTD 500 TRITON ENERGY LTD 220,017 TYCO INTL LTD NEW 11,928 TYCO INTL LTD NEW 3,580 TYCO INTL LTD NEW 52,885 TYCO INTL LTD NEW 3,070 UAL CORP 14,780 ULTRAK INC 25,850 UNILEVER N V 850 UNILEVER N V 14,238 UNION PAC CORP 910 UNION PAC CORP 200 UNION PAC CORP 9,450 UNION PAC CORP 37,322 UNITED PARCEL SERVICE INC 2,000 UNITED PARCEL SERVICE INC 200 UNITED PARCEL SERVICE INC 1,525 UNITED PARCEL SERVICE INC 600 UNITED TECHNOLOGIES CORP 4,395 UNITED TECHNOLOGIES CORP 20,930 UNITED TECHNOLOGIES CORP 347 UNITEDHEALTH GROUP INC 1,035 UNITEDHEALTH GROUP INC 5,005 US BANCORP DEL 15,915 US BANCORP DEL 40,359 USA ED INC 7,480 USINTERNETWORKING INC 29,450 USINTERNETWORKING INC 450 VERITAS SOFTWARE CO 1,784 VERITAS SOFTWARE CO 200 VERITAS SOFTWARE CO 5,068 VERIZON COMMUNICATIONS 36,499 VERIZON COMMUNICATIONS 170 VERIZON COMMUNICATIONS 2,726 VERIZON COMMUNICATIONS 27,933 VERIZON COMMUNICATIONS 2,075 VIACOM INC 21,842 VIACOM INC 36,388 VIACOM INC 27,882 VIACOM INC 1,085 VIRBAC CORP 13,500 VISIBLE GENETICS INC 20,000 VODAFONE GROUP PLC NEW 10,453 VODAFONE GROUP PLC NEW 700 VODAFONE GROUP PLC NEW 24,390 VORNADO RLTY TR 7,500 WAL MART STORES INC 7,112 WAL MART STORES INC 690 39 VOTING AUTHORITY NAME OF ISSUER SOLE SHARED NONE -------------- ---- ------ ---- WAL MART STORES INC 17,315 WAL MART STORES INC 3,290 WAL MART STORES INC 44 WALGREEN CO 13,240 WASHINGTON MUT INC 2,169 WASHINGTON MUT INC 111,396 WASHINGTON MUT INC 2,846 WASHINGTON MUT INC 47,324 WASTE MGMT INC DEL 3,840 WASTE MGMT INC DEL 2,920 WASTE MGMT INC DEL 53,400 WEATHERFORD INTL INC 200 WEATHERFORD INTL INC 21,509 WEBMD CORP 14,000 WEBMD CORP 400 WELLS FARGO & CO NEW 11,361 WELLS FARGO & CO NEW 800 WELLS FARGO & CO NEW 23,665 WELLS FARGO & CO NEW 429 WESTERN DIGITAL CORP 575,000 WILLAMETTE INDS INC 16,500 WILLIAMS COS INC DEL 10,580 WILLIAMS COS INC DEL 14,995 WIND RIVER SYSTEMS INC 300 WIND RIVER SYSTEMS INC 13,780 WIND RIVER SYSTEMS INC 10 WORLD ACCESS INC 44,000 WORLDCOM INC GA NEW 24,639 WORLDCOM INC GA NEW 3,650 WORLDCOM INC GA NEW 66,560 WORLDCOM INC GA NEW 9,257 XILINX INC 344 XILINX INC 8,175 YANKEE CANDLE INC 6,000 YANKEE CANDLE INC 4,400 YOUBET COM INC 38,000 ZALE CORP NEW 115,912 40

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