13F-HR 1 grun13f.txt FORM 13F 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: 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: 0 Form 13F Information Table Entry Total: 870 Form 13F Information Table Value Total: 23364529 2 FORM 13F INFORMATION TABLE

18 VOTING AUTHORITY NAME OF ISSUER SOLE SHARED NONE -------------- ---- ------ ---- 3COM CORP 100 3COM CORP 460,085 3COM CORP 12,750 A D C TELECOMMUNICATIONS 4,000 A D C TELECOMMUNICATIONS 30,250 ABBOTT LABS 2,435 ABBOTT LABS 103 ABBOTT LABS 19,230 ABERDEEN ASIA PACIFIC INCOM FD 19,000 ABERDEEN ASIA PACIFIC INCOM FD 302 ABERDEEN ASIA PACIFIC INCOM FD (6,100) ACCELERATED NETWORKS INC 62,000 ACE LTD 17,226 ADAPTEC INC 12,500 ADOBE SYS INC 2,900 ADOBE SYS INC 23,130 ADVANCEPCS 4,595 AFFILIATED COMPUTER SERVICES 5,515 AIR PRODS & CHEMS INC 1,025 AIR PRODS & CHEMS INC 2,610 AIR PRODS & CHEMS INC 45,850 AIRBORNE INC 1,560 AIRBORNE INC 2,350 AIRBORNE INC 64,236 AKAMAI TECHNOLOGIES INC 1,000 AKAMAI TECHNOLOGIES INC 10,500 ALBERTA ENERGY LTD 4,500 ALBERTA ENERGY LTD 165,933 ALCOA INC 2,082 ALCOA INC 10,550 ALLIED RISER COMMUNICATIONS CP 24,000 ALLSTATE CORP 11,517 ALLSTATE CORP 13,790 ALLSTATE CORP 1,650 ALLTEL CORP 1,148 ALLTEL CORP 7,284 ALLTEL CORP 600 AMERADA HESS CORP 91,450 AMERICAN EXPRESS CO 11,686 AMERICAN EXPRESS CO 2,100 AMERICAN EXPRESS CO 1,000 AMERICAN EXPRESS CO 36,597 AMERICAN EXPRESS CO 3,666 AMERICAN GREETINGS CORP 7,735 AMERICAN GREETINGS CORP 243,225 AMERICAN HOME PRODS CORP 12,853 AMERICAN HOME PRODS CORP 9,700 AMERICAN HOME PRODS CORP 52,798 AMERICAN HOME PRODS CORP 329 AMERICAN INTL GROUP INC 34,477 AMERICAN INTL GROUP INC 300 19 VOTING AUTHORITY NAME OF ISSUER SOLE SHARED NONE -------------- ---- ------ ---- AMERICAN INTL GROUP INC 100 AMERICAN INTL GROUP INC 59,585 AMERICAN INTL GROUP INC 500 AMERISOURCEBERGEN CORP 22 AMERISOURCEBERGEN CORP 3,006 AMGEN INC 1,136 AMGEN INC 200 AMGEN INC 10,436 ANADARKO PETE CORP 947 ANADARKO PETE CORP 4,432 ANADARKO PETE CORP 409 ANHEUSER BUSCH COS INC 2,200 ANHEUSER BUSCH COS INC 11,730 ANHEUSER BUSCH COS INC 300 ANNALY MTG MGMT INC 100 ANNALY MTG MGMT INC 217,100 AOL TIME WARNER INC 23,809 AOL TIME WARNER INC 2,900 AOL TIME WARNER INC 2,479 AOL TIME WARNER INC 49,349 AOL TIME WARNER INC 7,042 AOL TIME WARNER INC 5,000 APACHE CORP 640 APACHE CORP 17,440 APOGENT TECHNOLOGIES INC 296,904 APOGENT TECHNOLOGIES INC 500 APPLE COMPUTER INC 2,002 APPLE COMPUTER INC 3,350 APPLE COMPUTER INC 118,850 APPLERA CORP 11,065 APPLERA CORP 3,215 APPLIED MATLS INC 5,165 APPLIED MATLS INC 200 APPLIED MATLS INC 45,499 APPLIED MATLS INC 50 APPLIED MICRO CIRCUITS CORP 1,619 APPLIED MICRO CIRCUITS CORP 6,801 APPLIED MICRO CIRCUITS CORP 3,490 ARMSTRONG HLDGS INC 10,700 ASCENTIAL SOFTWARE CORP 2,650 ASCENTIAL SOFTWARE CORP 2,430 ASCENTIAL SOFTWARE CORP 9,700 ASHANTI GOLDFIELDS LTD 53,150 ASTORIA FINL CORP 6,689 AT&T CORP 30,714 AT&T CORP 3,993 AT&T CORP 18,029 AT&T CORP 84,835 AT&T WIRELESS SVCS INC 16,733 AT&T WIRELESS SVCS INC 1,275 AT&T WIRELESS SVCS INC 9,472 AT&T WIRELESS SVCS INC 26,121 ATMEL CORP 3,500 ATMEL CORP 17,800 AUTOMATIC DATA PROCESSING INC 440 AUTOMATIC DATA PROCESSING INC 207 AUTOMATIC DATA PROCESSING INC 4,837 20 VOTING AUTHORITY NAME OF ISSUER SOLE SHARED NONE -------------- ---- ------ ---- AUTOMATIC DATA PROCESSING INC 567 AVATAR HLDGS INC 50,000 AVERY DENNISON CORP 1,654 AVERY DENNISON CORP 28,120 AVON PRODS INC 6,490 AVON PRODS INC 8,030 AVX CORP NEW 4,850 AVX CORP NEW 8,611 BANK NEW YORK INC 2,062 BANK NEW YORK INC 200 BANK NEW YORK INC 2,510 BANK NEW YORK INC 2,726 BANK OF AMERICA CORPORATION 4,520 BANK OF AMERICA CORPORATION 175 BANK OF AMERICA CORPORATION 17,511 BANK OF AMERICA CORPORATION 1,618 BANK ONE CORP 1,710 BANK ONE CORP 250 BANK ONE CORP 200 BANK ONE CORP 8,200 BANK ONE CORP 45 BARNES & NOBLE INC 300 BARNES & NOBLE INC 1,100 BARNES & NOBLE INC 4,950 BARR LABS INC 59,678 BARR LABS INC 1,765 BARRICK GOLD CORP 1,000 BARRICK GOLD CORP 3,000 BARRICK GOLD CORP 12,199 BAXTER INTL INC 430 BAXTER INTL INC 200 BAXTER INTL INC 5,378 BB&T CORP 1,000 BB&T CORP 4,700 BEAR STEARNS COS INC 1,405 BEAR STEARNS COS INC 17,634 BECTON DICKINSON & CO 1,000 BECTON DICKINSON & CO 19,500 BED BATH & BEYOND INC 2,263 BED BATH & BEYOND INC 12,250 BELLSOUTH CORP 25,913 BELLSOUTH CORP 1,972 BELLSOUTH CORP 18,761 BELLSOUTH CORP 150 BENTON OIL & GAS CO 10,000 BJS WHOLESALE CLUB INC 5,025 BLOCK H & R INC 7,200 BLOCK H & R INC 9,260 BOEING CO 9,645 BOEING CO 700 BOEING CO 12,130 BOEING CO 4,000 BOSTON SCIENTIFIC CORP 3,470 BOSTON SCIENTIFIC CORP 246,690 BOSTON SCIENTIFIC CORP 200 BP PLC 5,251 BP PLC 246 21 VOTING AUTHORITY NAME OF ISSUER SOLE SHARED NONE -------------- ---- ------ ---- BP PLC 9,286 BP PLC 924 BRINKER INTL INC 814 BRINKER INTL INC 16,810 BRISTOL MYERS SQUIBB CO 35,620 BRISTOL MYERS SQUIBB CO 900 BRISTOL MYERS SQUIBB CO 68,666 BROWN FORMAN CORP 7,749 BROWN FORMAN CORP 200 BURLINGTON RES INC 4,919 BURLINGTON RES INC 26,542 BURLINGTON RES INC 1,200 CALPINE CORP 500 CALPINE CORP 7,490 CALPINE CORP 3,200 CAPITAL ONE FINL CORP 240 CAPITAL ONE FINL CORP 485 CAPITAL ONE FINL CORP 40,900 CAPSTEAD MTG CORP 17,000 CAPSTEAD MTG CORP 4,858 CAPSTEAD MTG CORP 1,400 CAPSTEAD MTG CORP 1,000 CARDINAL HEALTH INC 1,535 CARDINAL HEALTH INC 22,855 CAREMARK RX INC 25,845 CENDANT CORP 16,070 CENDANT CORP 500 CENDANT CORP 6,080 CENDANT CORP 135 CENTRAL GARDEN & PET CO 382,844 CENTRAL GARDEN & PET CO 5,895 CHESAPEAKE ENERGY CORP 1,200 CHESAPEAKE ENERGY CORP 1,965,135 CHESAPEAKE ENERGY CORP 3,900 CHESAPEAKE ENERGY CORP 159,650 CHESAPEAKE ENERGY CORP 9,000 CHOICEPOINT INC 60 CHOICEPOINT INC 198 CHOICEPOINT INC 4,864 CHUBB CORP 761 CHUBB CORP 10,385 CINTAS CORP 6,970 CISCO SYS INC 46,852 CISCO SYS INC 2,027 CISCO SYS INC 63,612 CISCO SYS INC 19,900 CITIGROUP INC 28,554 CITIGROUP INC 1,200 CITIGROUP INC 5,715 CITIGROUP INC 120,024 CITIGROUP INC 4,108 CITIZENS COMMUNICATIONS CO 9,810 CITIZENS COMMUNICATIONS CO 250,578 CITIZENS COMMUNICATIONS CO 8,280 CLEAR CHANNEL COMMUNICATIONS 983 CLEAR CHANNEL COMMUNICATIONS 100 CLEAR CHANNEL COMMUNICATIONS 10,023 22 VOTING AUTHORITY NAME OF ISSUER SOLE SHARED NONE -------------- ---- ------ ---- COCA COLA CO 202 COCA COLA CO 6,288 COCA COLA CO 2,201 COEUR D ALENE MINES CORP IDAHO 270,000 COLGATE PALMOLIVE CO 1,239 COLGATE PALMOLIVE CO 19,443 COLGATE PALMOLIVE CO 5,150 COMCAST CORP 4,283 COMCAST CORP 4,462 COMMERCIAL NET LEASE RLTY INC 27,790 COMMERCIAL NET LEASE RLTY INC 3,245 COMPAQ COMPUTER CORP 4,230 COMPAQ COMPUTER CORP 4,900 COMPAQ COMPUTER CORP 14,830 COMPAQ COMPUTER CORP 2,500 COMPUTER SCIENCES CORP 1,150 COMPUTER SCIENCES CORP 14,740 CONCORD EFS INC 17,420 CONEXANT SYSTEMS INC 70,000 CONEXANT SYSTEMS INC 4,250,000 CONSOLIDATED EDISON INC 2,102 CONSOLIDATED EDISON INC 3,637 CORNING INC 14,685 CORNING INC 1,120 CORNING INC 400 CORNING INC 13,655 CORNING INC 500 CORPORATE HIGH YIELD FD III 18,642 CORPORATE HIGH YIELD FD III 3,200 CORPORATE HIGH YIELD FD III 1,000 CORPORATE HIGH YIELD FD III 8,000 CORVIS CORP 100 CORVIS CORP 18,325 COSINE COMMUNICATIONS INC 38,000 COSTCO WHSL CORP NEW 7,992 COSTCO WHSL CORP NEW 50 COSTCO WHSL CORP NEW 43,278 COSTCO WHSL CORP NEW 1,500 COX COMMUNICATIONS INC NEW 845 COX COMMUNICATIONS INC NEW 5,840 COX COMMUNICATIONS INC NEW 65 CREDIT SUISSE ASSET MGMT INCOM 10,000 CREDIT SUISSE HIGH YLD BND FD 18,584 CREDIT SUISSE HIGH YLD BND FD 6,671 CREE INC 15,000 CREW DEVELOPMENT CORP 10,000 CROSSWAVE COMMUNICATIONS INC 14,500 CVS CORP 935 CVS CORP 5,273 CYTYC CORP 8,395 DELPHI AUTOMOTIVE SYS CORP 215 DELPHI AUTOMOTIVE SYS CORP 209 DELPHI AUTOMOTIVE SYS CORP 6,648 DELPHI AUTOMOTIVE SYS CORP 6,243 DIME BANCORP INC NEW 5,705 DISNEY WALT CO 8,064 DISNEY WALT CO 318 23 VOTING AUTHORITY NAME OF ISSUER SOLE SHARED NONE -------------- ---- ------ ---- DISNEY WALT CO 13,183 DISNEY WALT CO 88,600 DMC STRATEX NETWORKS INC 11,000 DOWNEY FINL CORP 27,909 DRAXIS HEALTH INC 38,450 DRAXIS HEALTH INC 23,575 DU PONT E I DE NEMOURS & CO 3,280 DU PONT E I DE NEMOURS & CO 100 DU PONT E I DE NEMOURS & CO 17,136 DU PONT E I DE NEMOURS & CO 194 DUKE ENERGY CORP 4,030 DUKE ENERGY CORP 7,958 DYNEGY INC NEW 1,265 DYNEGY INC NEW 3,268 DYNEGY INC NEW 4,650 E M C CORP MASS 19,697 E M C CORP MASS 1,700 E M C CORP MASS 660 E M C CORP MASS 98,454 E M C CORP MASS 9,025 EARTHLINK INC 21,000 EARTHLINK INC 207,344 EBAY INC 60 EBAY INC 5,195 ECOLAB INC 1,873 ECOLAB INC 20,670 EL PASO CORP 1,833 EL PASO CORP 16,169 ELAN PLC 2,377 ELAN PLC 197,450 ELAN PLC 439 ELASTIC NETWORKS 11,100 ELECTRONIC ARTS INC 5,380 ELECTRONIC DATA SYS NEW 6,155 ELECTRONIC DATA SYS NEW 18,912 EMERGING MKTS INCM FD II 2,500 EMERGING MKTS INCM FD II 48,000 EMERGING MKTS TELECOMNC FD NEW 34,342 EMERSON ELEC CO 2,230 EMERSON ELEC CO 828 EMERSON ELEC CO 9,754 EMERSON ELEC CO 140 ENRON CORP 3,868 ENRON CORP 8,211 ENRON CORP 20 ENZON INC 4,555 EOG RES INC 1,430 EOG RES INC 5,750 EQUITY OFFICE PROPERTIES TRUST 7,725 ERICSSON L M TEL CO 16,500 ERICSSON L M TEL CO 35,800 EXODUS COMMUNICATIONS INC 800 EXODUS COMMUNICATIONS INC 3,400 EXODUS COMMUNICATIONS INC 59,026 EXXON MOBIL CORP 26,635 EXXON MOBIL CORP 5,492 EXXON MOBIL CORP 60,135 24 VOTING AUTHORITY NAME OF ISSUER SOLE SHARED NONE -------------- ---- ------ ---- EXXON MOBIL CORP 6,774 FAMILY DLR STORES INC 250 FAMILY DLR STORES INC 23,130 FEDERAL HOME LN MTG CORP 2,970 FEDERAL HOME LN MTG CORP 179 FEDERAL HOME LN MTG CORP 7,085 FEDERAL HOME LN MTG CORP 45 FEDERAL NATL MTG ASSN 11,388 FEDERAL NATL MTG ASSN 100 FEDERAL NATL MTG ASSN 23,953 FEDERAL SIGNAL CORP 11,653 FEDERAL SIGNAL CORP 1,000 FELCOR LODGING TR INC 11,500 FIDELITY NATL FINL INC 3,025 FIDELITY NATL FINL INC 83,923 FIELDCREST CANNON INC 215,000 FIFTH THIRD BANCORP 3,647 FIRST DATA CORP 1,441 FIRST DATA CORP 18,505 FIRSTFED FINL CORP 60,800 FLEETBOSTON FINL CORP 1,882 FLEETBOSTON FINL CORP 504 FLEETBOSTON FINL CORP 63,690 FLEETBOSTON FINL CORP 248 FLORIDA ROCK INDS INC 7,100 FOREST LABS INC 4,020 GENENTECH INC 4,575 GENENTECH INC 2,000 GENENTECH INC 1,976 GENERAL DYNAMICS CORP 4,345 GENERAL DYNAMICS CORP 12,765 GENERAL ELEC CO 54,790 GENERAL ELEC CO 1,000 GENERAL ELEC CO 1,800 GENERAL ELEC CO 80,678 GENERAL ELEC CO 2,300 GENERAL MLS INC 1,270 GENERAL MLS INC 80 GENERAL MLS INC 13,950 GENERAL MLS INC 200 GENERAL MTRS CORP 9,262 GENERAL MTRS CORP 4,350 GENERAL MTRS CORP 342 GENERAL MTRS CORP 6,860 GENERAL MTRS CORP 2,950 GENERAL MTRS CORP 325 GENERAL MTRS CORP 5,071 GENERAL MTRS CORP 47,016 GENOMIC SOLUTIONS INC 48,700 GENOMIC SOLUTIONS INC 5,355 GENZYME CORP 15,127 GENZYME CORP 221,715 GENZYME CORP 6,335 GENZYME CORP 19,066 GILLETTE CO 6,650 GILLETTE CO 180 GILLETTE CO 8,829 25 VOTING AUTHORITY NAME OF ISSUER SOLE SHARED NONE -------------- ---- ------ ---- GILLETTE CO 2,065 GLAXOSMITHKLINE PLC 2,716 GLAXOSMITHKLINE PLC 600 GLAXOSMITHKLINE PLC 4,288 GLAXOSMITHKLINE PLC 2,543 GLOBAL CROSSING LTD 2,925 GLOBAL CROSSING LTD 1,100 GLOBAL CROSSING LTD 300 GLOBAL CROSSING LTD 19,750 GOLDEN WEST FINL CORP DEL 3,048 GOLDEN WEST FINL CORP DEL 900 GOLDMAN SACHS GROUP INC 4,690 GOLDMAN SACHS GROUP INC 4,500 GRANITE BROADCASTING CORP 122,275 GRANT PRIDECO INC 1,800 GRANT PRIDECO INC 34,766 GULFMARK OFFSHORE INC 17,460 HARKEN ENERGY CORP 100 HARKEN ENERGY CORP 799,036 HCA INC 9,010 HCA INC 15,140 HEALTHSOUTH CORP 1,000 HEALTHSOUTH CORP 15,860 HEWLETT PACKARD CO 10,042 HEWLETT PACKARD CO 28,000 HEWLETT PACKARD CO 4,050 HIGH INCOME OPPORTUNITY FD INC 500 HIGH INCOME OPPORTUNITY FD INC 37,150 HOLLINGER INTL INC 366,411 HOME DEPOT INC 11,576 HOME DEPOT INC 334 HOME DEPOT INC 31,691 HOME DEPOT INC 28,175 HOMESTAKE MNG CO 6,500 HOMESTAKE MNG CO 6,100 HONEYWELL INTL INC 10,532 HONEYWELL INTL INC 2,950 HONEYWELL INTL INC 1,760 HONEYWELL INTL INC 43,837 HONEYWELL INTL INC 300 IGEN INC 13,400 ILLINOIS TOOL WKS INC 5,802 ILLINOIS TOOL WKS INC 9,011 ILLINOIS TOOL WKS INC 40 INKINE PHARMACEUTICALS INC 10,000 INTEL CORP 81,150 INTEL CORP 2,900 INTEL CORP 1,850 INTEL CORP 136,935 INTEL CORP 13,471 INTERNATIONAL BUSINESS MACHS 8,620 INTERNATIONAL BUSINESS MACHS 7,166 INTERNATIONAL BUSINESS MACHS 11,449 INTERNATIONAL BUSINESS MACHS 1,340 INTL PAPER CO 1,690 INTL PAPER CO 4,078 INTL PAPER CO 1,286 26 VOTING AUTHORITY NAME OF ISSUER SOLE SHARED NONE -------------- ---- ------ ---- INTL PAPER CO 200 ISHARES TR 32,600 ISHARES TR 20,550 ISHARES TR 25,300 ISHARES TR 34,200 ISHARES TR 42,050 IVAX CORP 13,371 IVAX CORP 4,590 IVAX CORP 410 IVAX CORP 427 J P MORGAN CHASE & CO 9,078 J P MORGAN CHASE & CO 876 J P MORGAN CHASE & CO 1,000 J P MORGAN CHASE & CO 22,606 J P MORGAN CHASE & CO 52,433 JDS UNIPHASE CORP 13,714 JDS UNIPHASE CORP 100 JDS UNIPHASE CORP 75 JDS UNIPHASE CORP 28,562 JDS UNIPHASE CORP 2,225 JOHN HANCOCK BK &THRIFT OPP FD 13,000 JOHN HANCOCK BK &THRIFT OPP FD 100 JOHNSON & JOHNSON 45,104 JOHNSON & JOHNSON 1,298 JOHNSON & JOHNSON 75,419 JOHNSON & JOHNSON 2,696 JOHNSON & JOHNSON 2,000 JUNIPER NETWORKS INC 600 JUNIPER NETWORKS INC 6,862 JUNIPER NETWORKS INC 6,590 KCS ENERGY INC 3,000 KCS ENERGY INC 10,000 KEY TECHNOLOGY INC 42,670 KEY TECHNOLOGY INC 41,416 KILROY RLTY CORP 12,098 KIMBERLY CLARK CORP 2,706 KIMBERLY CLARK CORP 7,089 KING PHARMACEUTICALS IN C 350 KING PHARMACEUTICALS INC 4,774 KROGER CO 5,027 KROGER CO 5,060 KROGER CO 160 LANDSTAR SYS INC 9,090 LIBERTY MEDIA CORP NEW 8,416 LIBERTY MEDIA CORP NEW 448 LIBERTY MEDIA CORP NEW 16,305 LIFESTREAM TECHNOLOGIES INC 50,000 LILLY ELI & CO 1,769 LILLY ELI & CO 11,940 LILLY ELI & CO 3,165 LINEAR TECHNOLOGY CORP 6,290 LOCKHEED MARTIN CORP 1,500 LOCKHEED MARTIN CORP 300 LOCKHEED MARTIN CORP 3,555 LOCKHEED MARTIN CORP 200 LOEWS CORP 5,790 LOEWS CORP 130 27 VOTING AUTHORITY NAME OF ISSUER SOLE SHARED NONE -------------- ---- ------ ---- LORAL SPACE & COMMUNICATIONS 10,000 LORAL SPACE & COMMUNICATIONS 975 LOWES COS INC 4,260 LOWES COS INC 22,389 LSI LOGIC CORP 7,950 LSI LOGIC CORP 4,740 LUCENT TECHNOLOGIES INC 38,947 LUCENT TECHNOLOGIES INC 4,694 LUCENT TECHNOLOGIES INC 6,227 LUCENT TECHNOLOGIES INC 18,610 MARSH & MCLENNAN COS INC 5,448 MARSH & MCLENNAN COS INC 18,000 MAXIM INTEGRATED PRODS INC 22 MAXIM INTEGRATED PRODS INC 6,555 MBIA INC 72,413 MBNA CORP 10,095 MBNA CORP 20,908 MCDONALDS CORP 3,999 MCDONALDS CORP 29,935 MCDONALDS CORP 200 MCKESSON CORP 5,565 MCKESSON CORP 192 MEDTRONIC INC 2,632 MEDTRONIC INC 16,613 MEDTRONIC INC 130 MELLON FINL CORP 1,805 MELLON FINL CORP 109,583 MELLON FINL CORP 4,045 MELLON FINL CORP 2,802 MERCK & CO INC 17,358 MERCK & CO INC 2,500 MERCK & CO INC 1,362 MERCK & CO INC 35,400 MERCK & CO INC 5,787 METLIFE INC 11,494 MICROCHIP TECHNOLOGY INC 3,180 MICROCHIP TECHNOLOGY INC 9,540 MICROSOFT CORP 22,528 MICROSOFT CORP 6,010 MICROSOFT CORP 55,888 MICROSOFT CORP 3,264 MINNESOTA MNG & MFG CO 1,456 MINNESOTA MNG & MFG CO 9,376 MITCHELL ENERGY & DEV CORP 5,300 MORGAN STANLEY DEAN WITTER 61,825 MORGAN STANLEY DEAN WITTER 1,000 MORGAN STANLEY DEAN WITTER 50,000 MORGAN STANLEY DEAN WITTER 81,200 MORGAN STANLEY DEAN WITTER&CO 1,570 MORGAN STANLEY DEAN WITTER&CO 6 MORGAN STANLEY DEAN WITTER&CO 15,735 MORTON INDUSTRIAL GROUP 10,000 MOTOROLA INC 19,517 MOTOROLA INC 7,154 MOTOROLA INC 3,275 MOTOROLA INC 6,025 MOTOROLA INC 20,650 28 VOTING AUTHORITY NAME OF ISSUER SOLE SHARED NONE -------------- ---- ------ ---- MUNIHOLDINGS N Y INSD FD INC 50,574 MUNIYIELD INSD FD INC 2,200 MUNIYIELD INSD FD INC 8,300 MUNIYIELD N Y INSD FD INC 217,392 MUNIYIELD QUALITY FD INC 99,500 NASDAQ 100 TR 3,229 NASDAQ 100 TR 1,500 NASDAQ 100 TR 200 NASDAQ 100 TR 1,600 NASDAQ 100 TR 600 NATIONAL COMMERCE FINL CORP 19,500 NATIONAL-OILWELL INC 1,680 NATIONAL-OILWELL INC 39,643 NBTY INC 12,000 NCR CORP NEW 1,020 NCR CORP NEW 94 NCR CORP NEW 3,646 NCR CORP NEW 51,742 NEW AMER HIGH INCOME FD INC 60,054 NEW VY CORP 10,425 NEWS CORP LTD 561 NEWS CORP LTD 1,720 NEWS CORP LTD 38,148 NOKIA CORP 5,510 NOKIA CORP 952 NOKIA CORP 100 NOKIA CORP 110,911 NORTEL NETWORKS CORP NEW 13,653 NORTEL NETWORKS CORP NEW 200 NORTEL NETWORKS CORP NEW 5,407 NORTEL NETWORKS CORP NEW 245 NORTH FORK BANCORPORATION NY 2,050 NORTH FORK BANCORPORATION NY 450 NORTH FORK BANCORPORATION NY 30,660 NOVARTIS A G 1,400 NOVARTIS A G 6,600 NOVARTIS A G 276 NOVELLUS SYS INC 3,833 NOVELLUS SYS INC 5,306 NOVO-NORDISK A S 12,591 NUVEEN INSD MUN OPPORTUNITY FD 2,316 NUVEEN INSD MUN OPPORTUNITY FD 1,000 NUVEEN INSD MUN OPPORTUNITY FD 6,700 NUVEEN MUN VALUE FD INC 5,799 NUVEEN MUN VALUE FD INC 1,904 NUVEEN MUN VALUE FD INC 28,251 NUVEEN PREM INCOME MUN FD 5,633 NUVEEN PREM INCOME MUN FD 1,282 NUVEEN PREM INCOME MUN FD 8,000 NUVEEN QUALITY INCOME MUN FD 11,500 NX NETWORKS INC 12,100 OLD REP INTL CORP 6,500 OLD REP INTL CORP 1,000 OLD REP INTL CORP 345 OMNICOM GROUP INC 1,712 OMNICOM GROUP INC 5,670 ORACLE CORP 22,969 29 VOTING AUTHORITY NAME OF ISSUER SOLE SHARED NONE -------------- ---- ------ ---- ORACLE CORP 195 ORACLE CORP 830 ORACLE CORP 49,866 ORACLE CORP 11,090 OXFORD HEALTH PLANS INC 1,150 OXFORD HEALTH PLANS INC 350 OXFORD HEALTH PLANS INC 13,560 PAC-WEST TELECOM INC 12,775 PALL CORP 4,550 PALL CORP 335,207 PALL CORP 600 PARAMETRIC TECHNOLOGY CORP 6,300 PARAMETRIC TECHNOLOGY CORP 10,910 PEPSICO INC 39,446 PEPSICO INC 2,592 PEPSICO INC 53,110 PEREGRINE SYSTEMS INC 12,595 PEREGRINE SYSTEMS INC 225 PFF BANCORP INC 201,836 PFIZER INC 49,245 PFIZER INC 1,000 PFIZER INC 4,990 PFIZER INC 111,494 PFIZER INC 21,850 PHARMACIA CORP 6,187 PHARMACIA CORP 100 PHARMACIA CORP 12,269 PHARMACIA CORP 523 PHILIP MORRIS COS INC 13,319 PHILIP MORRIS COS INC 10,030 PHILLIPS PETE CO 4,615 PHILLIPS PETE CO 34,690 PILGRIM PRIME RATE TR NEW 13,619 PILGRIM PRIME RATE TR NEW 2,500 PILGRIM PRIME RATE TR NEW 50,700 PNC FINL SVCS GROUP INC 1,060 PNC FINL SVCS GROUP INC 13,050 POWER-ONE INC 3,775 POWER-ONE INC 6,350 PRAXAIR INC 1,200 PRAXAIR INC 100 PRAXAIR INC 5,915 PROCTER & GAMBLE CO 255 PROCTER & GAMBLE CO 150 PROCTER & GAMBLE CO 7,327 PROCTER & GAMBLE CO 3,050 PUMATECH INC 20,200 PUTNAM PREMIER INCOME TR 8,562 PUTNAM PREMIER INCOME TR 9,500 PUTNAM PREMIER INCOME TR 5,000 QUALCOMM INC 3,165 QUALCOMM INC 400 QUALCOMM INC 50 QUALCOMM INC 4,754 QUALCOMM INC 62,384 QUESTCOR PHARMACEUTICALS INC 1,000 QUESTCOR PHARMACEUTICALS INC 17,089 30 VOTING AUTHORITY NAME OF ISSUER SOLE SHARED NONE -------------- ---- ------ ---- QWEST COMMUNICATIONS INTL INC 11,442 QWEST COMMUNICATIONS INTL INC 375 QWEST COMMUNICATIONS INTL INC 6,866 QWEST COMMUNICATIONS INTL INC 2,500 RAYTHEON CO 3,531 RAYTHEON CO 6,555 RAYTHEON CO 950 REDBACK NETWORKS INC 26,900 REDBACK NETWORKS INC 200 REYNOLDS & REYNOLDS CO 5,800 REYNOLDS & REYNOLDS CO 4,655 ROWAN COS INC 100 ROWAN COS INC 6,147 ROWAN COS INC 97,206 ROYAL DUTCH PETE CO 250 ROYAL DUTCH PETE CO 872 ROYAL DUTCH PETE CO 21,810 SABRE HLDGS CORP 112,022 SABRE HLDGS CORP 1,500 SABRE HLDGS CORP 46,689 SAFEWAY INC 3,658 SAFEWAY INC 200 SAFEWAY INC 3,460 SARA LEE CORP 481 SARA LEE CORP 1,791 SARA LEE CORP 72,080 SBC COMMUNICATIONS INC 34,097 SBC COMMUNICATIONS INC 4,041 SBC COMMUNICATIONS INC 21,383 SBC COMMUNICATIONS INC 1,300 SCHERING PLOUGH CORP 13,027 SCHERING PLOUGH CORP 3,200 SCHERING PLOUGH CORP 48,103 SCHERING PLOUGH CORP 64,716 SCHLUMBERGER LTD 2,100 SCHLUMBERGER LTD 1,100 SCHLUMBERGER LTD 16,400 SCHLUMBERGER LTD 4,386 SCHWAB CHARLES CORP NEW 9,775 SCHWAB CHARLES CORP NEW 7,463 SECTOR SPDR TR 123,100 SECTOR SPDR TR 74,780 SECTOR SPDR TR 565 SECTOR SPDR TR 92,730 SERVICE CORP INTL 4,470 SERVICE CORP INTL 1,200 SERVICE CORP INTL 750 SERVICE CORP INTL 3,610 SERVICE CORP INTL 33,240 SERVICEMASTER CO 10,460 SHAW COMMUNICATIONS INC 14,000 SIEBEL SYS INC 4,500 SIEBEL SYS INC 6,496 SMALLCAP FD INC 18,908 SOUTHWEST AIRLS CO 5,196 SOUTHWEST AIRLS CO 150 SOUTHWEST AIRLS CO 11,363 31 VOTING AUTHORITY NAME OF ISSUER SOLE SHARED NONE -------------- ---- ------ ---- SOVEREIGN BANCORP INC 1,000 SOVEREIGN BANCORP INC 13,985 SOVEREIGN BANCORP INC 500 SPRINT CORP 9,694 SPRINT CORP 9,886 SPRINT CORP 113,750 SPRINT CORP 7,902 SPRINT CORP 21,251 SPRINT CORP 9,950 STATE STR CORP 3,168 STATE STR CORP 4,083 STATE STR CORP 500 STEWART INFORMATION SVCS CORP 500 STEWART INFORMATION SVCS CORP 62,030 STREETTRACKS SER TR 19,720 SUN MICROSYSTEMS INC 26,283 SUN MICROSYSTEMS INC 120 SUN MICROSYSTEMS INC 850 SUN MICROSYSTEMS INC 130,849 SUN MICROSYSTEMS INC 695 SYCAMORE NETWORKS INC 230 SYCAMORE NETWORKS INC 14,950 SYMBOL TECHNOLOGIES INC 2,530 SYMBOL TECHNOLOGIES INC 500 SYMBOL TECHNOLOGIES INC 396,137 TAIWAN SEMICONDUCTOR MFG LTD 45 TAIWAN SEMICONDUCTOR MFG LTD 32,025 TAIWAN SEMICONDUCTOR MFG LTD 1,960 TARGET CORP 1,987 TARGET CORP 1,200 TARGET CORP 4,876 TELEFONICA S A 3,636 TELEFONICA S A 14,849 TELLABS INC 3,250 TELLABS INC 9,228 TENET HEALTHCARE CORP 1,445 TENET HEALTHCARE CORP 3,510 TENET HEALTHCARE CORP 65 TEXAS INSTRS INC 22,681 TEXAS INSTRS INC 2,360 TEXAS INSTRS INC 3,300 TEXAS INSTRS INC 56,669 TEXAS INSTRS INC 2,300 TIFFANY & CO NEW 1,000 TIFFANY & CO NEW 3,785 TIFFANY & CO NEW 4,650 TYCO INTL LTD NEW 10,903 TYCO INTL LTD NEW 82,928 TYCO INTL LTD NEW 45,449 TYCO INTL LTD NEW 8,806 U S B HLDG INC 11,801 UNILEVER N V 470 UNILEVER N V 9,010 UNION PAC CORP 3,400 UNION PAC CORP 9,280 UNION PAC CORP 29,482 UNITED PARCEL SERVICE INC 2,733 32 VOTING AUTHORITY NAME OF ISSUER SOLE SHARED NONE -------------- ---- ------ ---- UNITED PARCEL SERVICE INC 200 UNITED PARCEL SERVICE INC 3,510 UNITED TECHNOLOGIES CORP 2,840 UNITED TECHNOLOGIES CORP 19,520 UNITED TECHNOLOGIES CORP 347 US BANCORP DEL 3,335 US BANCORP DEL 16,052 US BANCORP DEL 145 USEC INC 11,600 USINTERNETWORKING INC 24,250 USINTERNETWORKING INC 3,275 VARIAN MED SYS INC 400 VARIAN MED SYS INC 3,215 VERIZON COMMUNICATIONS 38,228 VERIZON COMMUNICATIONS 2,822 VERIZON COMMUNICATIONS 49,174 VERIZON COMMUNICATIONS 1,025 VIACOM INC 19,695 VIACOM INC 36,338 VIACOM INC 36,288 VIACOM INC 1,085 VIRBAC CORP 13,500 VISIBLE GENETICS INC 20,000 VODAFONE GROUP PLC NEW 9,081 VODAFONE GROUP PLC NEW 700 VODAFONE GROUP PLC NEW 13,010 VORNADO RLTY TR 7,500 VORNADO RLTY TR 250 WAL MART STORES INC 6,356 WAL MART STORES INC 996 WAL MART STORES INC 16,521 WAL MART STORES INC 3,459 WALGREEN CO 9,209 WASHINGTON MUT INC 4,357 WASHINGTON MUT INC 200 WASHINGTON MUT INC 100,992 WASHINGTON MUT INC 5,886 WASHINGTON MUT INC 54,164 WASHINGTON MUT INC 52,600 WASTE MGMT INC DEL 1,635 WASTE MGMT INC DEL 2,920 WASTE MGMT INC DEL 48,100 WEATHERFORD INTL INC 200 WEATHERFORD INTL INC 19,026 WEBMD CORP 12,000 WEBMD CORP 400 WEBMD CORP 146 WELLPOINT HEALTH NETWORK NEW 3,230 WELLS FARGO & CO NEW 6,324 WELLS FARGO & CO NEW 800 WELLS FARGO & CO NEW 16,989 WELLS FARGO & CO NEW 294 WILLIAMS COS INC DEL 9,990 WILLIAMS COS INC DEL 16,520 WIND RIVER SYSTEMS INC 300 WIND RIVER SYSTEMS INC 10,200 WORLDCOM INC GA NEW 16,005 33 VOTING AUTHORITY NAME OF ISSUER SOLE SHARED NONE -------------- ---- ------ ---- WORLDCOM INC GA NEW 2,550 WORLDCOM INC GA NEW 3,650 WORLDCOM INC GA NEW WORLDCOM INC GA NEW 10,190 XEROX CORP 3,695 XEROX CORP 1,850 XEROX CORP 13,000 XL CAP LTD 315 XL CAP LTD 4,538 YOUBET COM INC 23,000 ZALE CORP NEW 111,547 34

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