13F-HR 1 grun13f.txt FORM 13-F UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: December 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: Donald N. Cohen Title: Senior Vice President Phone: (212) 351-2826 Signature, Place, and Date of Signing: /s/ DONALD N. COHEN New York, NY 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 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: 897 Form 13F Information Table Value Total: 21916448 2 FORM 13F INFORMATION TABLE

18 VOTING AUTHORITY NAME OF ISSUER SOLE SHARED NONE -------------- ---- ------ ---- 3COM CORP 100 3COM CORP 347,085 3COM CORP 8,900 A D C TELECOMMUNICATIONS 18,000 A D C TELECOMMUNICATIONS 20,550 ABBOTT LABS 2,435 ABBOTT LABS 103 ABBOTT LABS 20,825 ACCELERATED NETWORKS INC 76,000 ACE LTD 16,891 ADOBE SYS INC 2,900 ADOBE SYS INC 22,330 ADVANCEPCS 12,925 AFFILIATED COMPUTER SERVICES 4,495 AIR PRODS & CHEMS INC 1,139 AIR PRODS & CHEMS INC 100 AIR PRODS & CHEMS INC 2,310 AIR PRODS & CHEMS INC 39,200 AIRBORNE INC 1,560 AIRBORNE INC 190 AIRBORNE INC 1,250 AIRBORNE INC 23,855 AKAMAI TECHNOLOGIES INC 11,100 ALBERTA ENERGY LTD 4,500 ALBERTA ENERGY LTD 164,233 ALCOA INC 2,121 ALCOA INC 8,450 ALLIED RISER COMMUNICATIONS CP 24,000 ALLSTATE CORP 10,997 ALLSTATE CORP 12,110 ALLSTATE CORP 1,650 ALLTEL CORP 1,288 ALLTEL CORP 7,449 ALLTEL CORP 600 AMERADA HESS CORP 40,065 AMERICAN EXPRESS CO 10,700 AMERICAN EXPRESS CO 2,100 AMERICAN EXPRESS CO 200 AMERICAN EXPRESS CO 34,202 AMERICAN EXPRESS CO 5,891 AMERICAN GREETINGS CORP 400 AMERICAN GREETINGS CORP 6,935 AMERICAN GREETINGS CORP 229,000 AMERICAN HOME PRODS CORP 13,763 AMERICAN HOME PRODS CORP 9,100 AMERICAN HOME PRODS CORP 51,706 AMERICAN HOME PRODS CORP 329 AMERICAN INTL GROUP INC 31,192 AMERICAN INTL GROUP INC 300 AMERICAN INTL GROUP INC 100 AMERICAN INTL GROUP INC 57,619 19 VOTING AUTHORITY NAME OF ISSUER SOLE SHARED NONE -------------- ---- ------ ---- AMERICAN INTL GROUP INC 200 AMERISOURCEBERGEN CORP 6,766 AMGEN INC 2,516 AMGEN INC 200 AMGEN INC 10,856 ANADARKO PETE CORP 1,507 ANADARKO PETE CORP 3,532 ANADARKO PETE CORP 136 ANDRX GROUP 3,000 ANDRX GROUP 80 ANHEUSER BUSCH COS INC 1,200 ANHEUSER BUSCH COS INC 11,565 ANHEUSER BUSCH COS INC 300 ANNALY MTG MGMT INC 300,506 AOL TIME WARNER INC 17,798 AOL TIME WARNER INC 2,379 AOL TIME WARNER INC 48,069 AOL TIME WARNER INC 5,239 APACHE CORP 1,270 APACHE CORP 15,020 APOGENT TECHNOLOGIES INC 293,189 APOGENT TECHNOLOGIES INC 500 APPLE COMPUTER INC 2,002 APPLE COMPUTER INC 260 APPLE COMPUTER INC 3,800 APPLE COMPUTER INC 114,110 APPLERA CORP 11,865 APPLERA CORP 3,350 APPLIED MATLS INC 6,419 APPLIED MATLS INC 200 APPLIED MATLS INC 41,030 APPLIED MATLS INC 50 APPLIED MICRO CIRCUITS CORP 22,085 APPLIED MICRO CIRCUITS CORP 12,000 APPLIED MICRO CIRCUITS CORP 6,176 APPLIED MICRO CIRCUITS CORP 6,790 ARMSTRONG HLDGS INC 10,500 ASCENTIAL SOFTWARE CORP 8,650 ASCENTIAL SOFTWARE CORP 2,430 ASCENTIAL SOFTWARE CORP 9,700 ASHANTI GOLDFIELDS LTD 26,950 AT&T CORP 22,101 AT&T CORP 2,877 AT&T CORP 13,452 AT&T CORP 63,885 AT&T WIRELESS SVCS INC 15,719 AT&T WIRELESS SVCS INC 1,124 AT&T WIRELESS SVCS INC 10,162 AT&T WIRELESS SVCS INC 17,193 AT&T WIRELESS SVCS INC (100) ATMEL CORP 2,500 ATMEL CORP 17,800 AUTOMATIC DATA PROCESSING INC 635 AUTOMATIC DATA PROCESSING INC 207 AUTOMATIC DATA PROCESSING INC 5,065 AUTOMATIC DATA PROCESSING INC 67 AVATAR HLDGS INC 50,000 20 VOTING AUTHORITY NAME OF ISSUER SOLE SHARED NONE -------------- ---- ------ ---- AVERY DENNISON CORP 1,425 AVERY DENNISON CORP 26,220 AVON PRODS INC 6,425 AVON PRODS INC 7,890 AVX CORP NEW 1,400 AVX CORP NEW 8,811 BANK NEW YORK INC 2,036 BANK NEW YORK INC 200 BANK NEW YORK INC 6,355 BANK NEW YORK INC 2,126 BANK OF AMERICA CORPORATION 5,515 BANK OF AMERICA CORPORATION 175 BANK OF AMERICA CORPORATION 19,191 BANK OF AMERICA CORPORATION 1,618 BANK ONE CORP 1,710 BANK ONE CORP 250 BANK ONE CORP 200 BANK ONE CORP 8,275 BANK ONE CORP 95 BARR LABS INC 51,006 BARR LABS INC 1,745 BARRICK GOLD CORP 4,445 BARRICK GOLD CORP 3,000 BARRICK GOLD CORP 7,012 BAXTER INTL INC 780 BAXTER INTL INC 200 BAXTER INTL INC 4,043 BEAR STEARNS COS INC 1,405 BEAR STEARNS COS INC 16,811 BECTON DICKINSON & CO 1,000 BECTON DICKINSON & CO 17,210 BED BATH & BEYOND INC 1,948 BED BATH & BEYOND INC 11,885 BELLSOUTH CORP 27,208 BELLSOUTH CORP 1,816 BELLSOUTH CORP 14,931 BELLSOUTH CORP 150 BENTON OIL & GAS CO 10,000 BEST BUY INC 5,050 BLACKROCK N Y MUN INCOME TR 1,015 BLACKROCK N Y MUN INCOME TR 9,800 BLOCK H & R INC 7,200 BLOCK H & R INC 13,850 BOEING CO 10,020 BOEING CO 566 BOEING CO 14,085 BOEING CO 4,100 BOSTON SCIENTIFIC CORP 2,640 BOSTON SCIENTIFIC CORP 197,010 BOSTON SCIENTIFIC CORP 1,065 BOSTON SCIENTIFIC CORP 200 BP PLC 6,348 BP PLC 246 BP PLC 6,895 BP PLC 924 BRINKER INTL INC 644 BRINKER INTL INC 15,380 21 VOTING AUTHORITY NAME OF ISSUER SOLE SHARED NONE -------------- ---- ------ ---- BRISTOL MYERS SQUIBB CO 35,317 BRISTOL MYERS SQUIBB CO 900 BRISTOL MYERS SQUIBB CO 60,571 BRISTOL MYERS SQUIBB CO 1,850 BROADCOM CORP 3,153 BROADCOM CORP 2,294 BROADCOM CORP 500 BROWN FORMAN CORP 7,749 BROWN FORMAN CORP 200 BURLINGTON RES INC 4,044 BURLINGTON RES INC 23,120 BURLINGTON RES INC 1,200 CADENCE DESIGN SYSTEM INC 11,365 CARDINAL HEALTH INC 1,855 CARDINAL HEALTH INC 21,559 CAREMARK RX INC 14,575 CENDANT CORP 15,430 CENDANT CORP 500 CENDANT CORP 4,305 CENDANT CORP 235 CENTRAL GARDEN & PET CO 362,844 CENTRAL GARDEN & PET CO 4,700 CHESAPEAKE ENERGY CORP 1,200 CHESAPEAKE ENERGY CORP 1,926,785 CHESAPEAKE ENERGY CORP 2,300 CHESAPEAKE ENERGY CORP 132,650 CHEVRONTEXACO CORP 10,468 CHEVRONTEXACO CORP 354 CHEVRONTEXACO CORP 20,296 CHEVRONTEXACO CORP 1,154 CHOICEPOINT INC 60 CHOICEPOINT INC 198 CHOICEPOINT INC 4,482 CHUBB CORP 766 CHUBB CORP 10,085 CINTAS CORP 6,970 CISCO SYS INC 43,302 CISCO SYS INC 1,248 CISCO SYS INC 58,906 CISCO SYS INC 987 CITIGROUP INC 28,093 CITIGROUP INC 1,200 CITIGROUP INC 5,715 CITIGROUP INC 115,362 CITIGROUP INC 4,108 CITIZENS COMMUNICATIONS CO 10,680 CITIZENS COMMUNICATIONS CO 247,078 CITIZENS COMMUNICATIONS CO 8,280 CLEAR CHANNEL COMMUNICATIONS 956 CLEAR CHANNEL COMMUNICATIONS 100 CLEAR CHANNEL COMMUNICATIONS 10,188 CLEAR CHANNEL COMMUNICATIONS (400) COCA COLA CO 652 COCA COLA CO 102 COCA COLA CO 5,408 COCA COLA CO 601 COEUR D ALENE MINES CORP IDAHO 270,000 22 VOTING AUTHORITY NAME OF ISSUER SOLE SHARED NONE -------------- ---- ------ ---- COLGATE PALMOLIVE CO 1,069 COLGATE PALMOLIVE CO 17,843 COLGATE PALMOLIVE CO 4,300 COMCAST CORP 4,338 COMCAST CORP 6,807 COMMERCIAL NET LEASE RLTY INC 25,590 COMPANHIA ENERGETICA DE MINAS 34,624 COMPAQ COMPUTER CORP 4,230 COMPAQ COMPUTER CORP 4,801 COMPAQ COMPUTER CORP 7,520 COMPUTER ASSOC INTL INC 1,343 COMPUTER ASSOC INTL INC 150 COMPUTER ASSOC INTL INC 5,805 COMPUTER SCIENCES CORP 991 COMPUTER SCIENCES CORP 11,565 CONCORD EFS INC 17,595 CONEXANT SYSTEMS INC 70,000 CONEXANT SYSTEMS INC 4,210,000 CONOCO INC 2,423 CONOCO INC 23,360 CONOCO INC 1,800 CONSOLIDATED EDISON INC 2,102 CONSOLIDATED EDISON INC 3,637 CORNING INC 7,885 CORNING INC 1,120 CORNING INC 400 CORNING INC 10,710 CORNING INC 500 CORPORATE HIGH YIELD FD III 19,642 CORPORATE HIGH YIELD FD III 3,200 CORPORATE HIGH YIELD FD III 1,000 CORPORATE HIGH YIELD FD III 5,580 CORVIS CORP 100 CORVIS CORP 500 CORVIS CORP 19,225 COSINE COMMUNICATIONS INC 51,000 COSTCO WHSL CORP NEW 9,335 COSTCO WHSL CORP NEW 50 COSTCO WHSL CORP NEW 46,064 COSTCO WHSL CORP NEW 800 COX COMMUNICATIONS INC NEW 800 COX COMMUNICATIONS INC NEW 5,040 COX COMMUNICATIONS INC NEW 65 CREDIT SUISSE HIGH YLD BND FD 18,584 CREDIT SUISSE HIGH YLD BND FD 6,873 CREDIT SUISSE HIGH YLD BND FD 3,000 CREE INC 15,000 CREW DEVELOPMENT CORP 10,000 CVS CORP 1,563 CVS CORP 8,153 CYTYC CORP 9,565 DELL COMPUTER CORP 3,451 DELL COMPUTER CORP 250 DELL COMPUTER CORP 12,770 DELPHI AUTOMOTIVE SYS CORP 215 DELPHI AUTOMOTIVE SYS CORP 209 DELPHI AUTOMOTIVE SYS CORP 6,648 23 VOTING AUTHORITY NAME OF ISSUER SOLE SHARED NONE -------------- ---- ------ ---- DELPHI AUTOMOTIVE SYS CORP 5,790 DISNEY WALT CO 8,674 DISNEY WALT CO 468 DISNEY WALT CO 11,068 DISNEY WALT CO 66,100 DOWNEY FINL CORP 27,909 DRAXIS HEALTH INC 33,450 DRAXIS HEALTH INC 23,125 DU PONT E I DE NEMOURS & CO 3,055 DU PONT E I DE NEMOURS & CO 100 DU PONT E I DE NEMOURS & CO 17,720 DU PONT E I DE NEMOURS & CO 194 DUKE ENERGY CORP 7,620 DUKE ENERGY CORP 8,448 E M C CORP MASS 17,825 E M C CORP MASS 1,700 E M C CORP MASS 660 E M C CORP MASS 92,418 E M C CORP MASS 11,000 EARTHLINK INC 5,200 EARTHLINK INC 199,994 EBAY INC 840 EBAY INC 60 EBAY INC 5,295 ECOLAB INC 1,616 ECOLAB INC 20,670 EL PASO CORP 1,888 EL PASO CORP 14,968 ELAN PLC 2,664 ELAN PLC 203,735 ELAN PLC 329 ELECTRONIC ARTS INC 5,455 ELECTRONIC DATA SYS NEW 5,580 ELECTRONIC DATA SYS NEW 18,707 EMERGING MKTS INCM FD II 2,500 EMERGING MKTS INCM FD II 47,900 EMERGING MKTS TELECOMNC FD NEW 33,843 EMERSON ELEC CO 1,900 EMERSON ELEC CO 928 EMERSON ELEC CO 10,169 EMERSON ELEC CO 140 ENRON CORP 2,082 ENRON CORP 19,820 ENZON INC 2,000 ENZON INC 4,530 EOG RES INC 1,430 EOG RES INC 4,300 EQUITY OFFICE PROPERTIES TRUST 7,745 ERICSSON L M TEL CO 16,500 ERICSSON L M TEL CO 37,400 EXXON MOBIL CORP 33,453 EXXON MOBIL CORP 5,642 EXXON MOBIL CORP 48,775 EXXON MOBIL CORP 6,624 FAMILY DLR STORES INC 250 FAMILY DLR STORES INC 18,565 FEDERAL HOME LN MTG CORP 1,882 24 VOTING AUTHORITY NAME OF ISSUER SOLE SHARED NONE -------------- ---- ------ ---- FEDERAL HOME LN MTG CORP 179 FEDERAL HOME LN MTG CORP 7,885 FEDERAL HOME LN MTG CORP 45 FEDERAL NATL MTG ASSN 10,668 FEDERAL NATL MTG ASSN 100 FEDERAL NATL MTG ASSN 23,556 FEDERAL NATL MTG ASSN 2,200 FEDERAL SIGNAL CORP 11,653 FEDERAL SIGNAL CORP 1,000 FEDEX CORP 960 FEDEX CORP 1,213 FEDEX CORP 2,120 FELCOR LODGING TR INC 11,500 FIDELITY NATL FINL INC 2,805 FIDELITY NATL FINL INC 81,358 FIFTH THIRD BANCORP 3,610 FIRST DATA CORP 1,474 FIRST DATA CORP 19,115 FIRSTFED FINL CORP 40,200 FLEETBOSTON FINL CORP 1,882 FLEETBOSTON FINL CORP 504 FLEETBOSTON FINL CORP 60,000 FLEETBOSTON FINL CORP 248 FLEXTRONICS INTL LTD 67 FLEXTRONICS INTL LTD 8,012 FLEXTRONICS INTL LTD 600 FLORIDA ROCK INDS INC 7,100 FOREST LABS INC 130 FOREST LABS INC 4,075 GANNETT INC 3,310 GANNETT INC 200 GEMSTAR-TV GUIDE INTL INC 590 GEMSTAR-TV GUIDE INTL INC 15,495 GENENTECH INC 4,210 GENENTECH INC 2,050 GENENTECH INC 2,163 GENERAL DYNAMICS CORP 4,580 GENERAL DYNAMICS CORP 12,785 GENERAL DYNAMICS CORP 500 GENERAL ELEC CO 66,023 GENERAL ELEC CO 1,000 GENERAL ELEC CO 82,934 GENERAL ELEC CO 8,910 GENERAL MLS INC 1,095 GENERAL MLS INC 230 GENERAL MLS INC 13,150 GENERAL MLS INC 200 GENERAL MTRS CORP 7,812 GENERAL MTRS CORP 4,350 GENERAL MTRS CORP 342 GENERAL MTRS CORP 5,940 GENERAL MTRS CORP 2,550 GENERAL MTRS CORP 426 GENERAL MTRS CORP 3,459 GENERAL MTRS CORP 40,742 GENOMIC SOLUTIONS INC 52,800 GENOMIC SOLUTIONS INC 5,855 25 VOTING AUTHORITY NAME OF ISSUER SOLE SHARED NONE -------------- ---- ------ ---- GENZYME CORP 14,944 GENZYME CORP 230 GENZYME CORP 204,965 GENZYME CORP 7,125 GENZYME CORP 18,821 GILLETTE CO 6,970 GILLETTE CO 180 GILLETTE CO 6,829 GILLETTE CO 1,565 GLAXOSMITHKLINE PLC 2,625 GLAXOSMITHKLINE PLC 600 GLAXOSMITHKLINE PLC 3,876 GLAXOSMITHKLINE PLC 2,543 GLOBAL CROSSING LTD 2,925 GLOBAL CROSSING LTD 1,000 GLOBAL CROSSING LTD 900 GLOBAL CROSSING LTD 17,750 GOLDMAN SACHS GROUP INC 4,211 GOLDMAN SACHS GROUP INC 4,092 GRANITE BROADCASTING CORP 117,195 GRANT PRIDECO INC 1,800 GRANT PRIDECO INC 34,846 GUIDANT CORP 245 GUIDANT CORP 300 GUIDANT CORP 3,500 GULFMARK OFFSHORE INC 17,570 HARKEN ENERGY CORP 100 HARKEN ENERGY CORP 383,747 HCA INC 5,460 HCA INC 9,540 HEWLETT PACKARD CO 8,897 HEWLETT PACKARD CO 19,700 HEWLETT PACKARD CO 50 HIGH INCOME OPPORTUNITY FD INC 500 HIGH INCOME OPPORTUNITY FD INC 36,850 HOLLINGER INTL INC 322,244 HOME DEPOT INC 11,412 HOME DEPOT INC 334 HOME DEPOT INC 33,981 HOME DEPOT INC 28,775 HONEYWELL INTL INC 9,913 HONEYWELL INTL INC 2,951 HONEYWELL INTL INC 1,260 HONEYWELL INTL INC 34,177 HONEYWELL INTL INC 300 IDEC PHARMACEUTICALS CORP 255 IDEC PHARMACEUTICALS CORP 2,050 IDEC PHARMACEUTICALS CORP 2,740 IGEN INC 12,800 ILLINOIS TOOL WKS INC 6,062 ILLINOIS TOOL WKS INC 8,071 ILLINOIS TOOL WKS INC 40 INKINE PHARMACEUTICALS INC 10,000 INTEGRATED ELECTRICAL SVC 10,000 INTEL CORP 79,457 INTEL CORP 2,900 INTEL CORP 1,350 26 VOTING AUTHORITY NAME OF ISSUER SOLE SHARED NONE -------------- ---- ------ ---- INTEL CORP 130,712 INTEL CORP 13,245 INTEL CORP (1,000) INTERNATIONAL BUSINESS MACHS 7,860 INTERNATIONAL BUSINESS MACHS 6,226 INTERNATIONAL BUSINESS MACHS 10,957 INTERNATIONAL BUSINESS MACHS 1,200 INTL PAPER CO 1,615 INTL PAPER CO 4,078 INTL PAPER CO 3,546 INTL PAPER CO 200 INTUIT 1,690 INTUIT 6,022 ISHARES TR 20,550 ISHARES TR 2,000 ISHARES TR 20,230 ISHARES TR 29,100 ISHARES TR 27,880 ISHARES TR 42,050 IVAX CORP 20,431 IVAX CORP 8,040 IVAX CORP 410 IVAX CORP 427 J P MORGAN CHASE & CO 7,637 J P MORGAN CHASE & CO 877 J P MORGAN CHASE & CO 400 J P MORGAN CHASE & CO 23,214 J P MORGAN CHASE & CO 52,036 JDS UNIPHASE CORP 21,108 JDS UNIPHASE CORP 100 JDS UNIPHASE CORP 75 JDS UNIPHASE CORP 28,581 JDS UNIPHASE CORP 4,200 JOHN HANCOCK BK &THRIFT OPP FD 13,155 JOHN HANCOCK BK &THRIFT OPP FD 100 JOHNSON & JOHNSON 42,569 JOHNSON & JOHNSON 1,689 JOHNSON & JOHNSON 70,869 JOHNSON & JOHNSON 3,550 JUNIPER NETWORKS INC 600 JUNIPER NETWORKS INC 4,022 JUNIPER NETWORKS INC 6,940 KCS ENERGY INC 3,000 KCS ENERGY INC 10,000 KEY TECHNOLOGY INC 22,000 KEY TECHNOLOGY INC 11,000 KIMBERLY CLARK CORP 3,036 KIMBERLY CLARK CORP 5,109 KING PHARMACEUTICALS INC 5,584 KONINKLIJKE PHILIPS ELECTRS NV 4,227 KONINKLIJKE PHILIPS ELECTRS NV 1,162 KONINKLIJKE PHILIPS ELECTRS NV 2,454 KROGER CO 3,621 KROGER CO 6,390 KROGER CO 160 L-3 COMMUNICATIONS HLDGS INC 90 L-3 COMMUNICATIONS HLDGS INC 3,760 27 VOTING AUTHORITY NAME OF ISSUER SOLE SHARED NONE -------------- ---- ------ ---- LANDSTAR SYS INC 8,090 LIBERTY MEDIA CORP NEW 8,721 LIBERTY MEDIA CORP NEW 448 LIBERTY MEDIA CORP NEW 21,010 LIFESTREAM TECHNOLOGIES INC 50,000 LILLY ELI & CO 1,776 LILLY ELI & CO 11,055 LILLY ELI & CO 3,165 LINEAR TECHNOLOGY CORP 5,765 LOCKHEED MARTIN CORP 1,410 LOCKHEED MARTIN CORP 300 LOCKHEED MARTIN CORP 5,050 LOCKHEED MARTIN CORP 1,200 LOEWS CORP 5,790 LOEWS CORP 130 LORAL SPACE & COMMUNICATIONS 10,000 LORAL SPACE & COMMUNICATIONS 975 LOWES COS INC 4,274 LOWES COS INC 20,904 LSI LOGIC CORP 6,875 LSI LOGIC CORP 6,240 LUCENT TECHNOLOGIES INC 29,437 LUCENT TECHNOLOGIES INC 4,056 LUCENT TECHNOLOGIES INC 3,878 LUCENT TECHNOLOGIES INC 20,510 LUCENT TECHNOLOGIES INC 7,000 MARSH & MCLENNAN COS INC 5,224 MARSH & MCLENNAN COS INC 17,619 MAXIM INTEGRATED PRODS INC 22 MAXIM INTEGRATED PRODS INC 6,555 MAY DEPT STORES CO 5,070 MAY DEPT STORES CO 670 MBIA INC 72,113 MBNA CORP 9,485 MBNA CORP 23,268 MCDONALDS CORP 3,512 MCDONALDS CORP 25,465 MCDONALDS CORP 250 MCKESSON CORP 5,565 MCKESSON CORP 192 MEDTRONIC INC 3,837 MEDTRONIC INC 16,178 MELLON FINL CORP 505 MELLON FINL CORP 108,533 MELLON FINL CORP 4,045 MELLON FINL CORP 2,802 MERCK & CO INC 13,805 MERCK & CO INC 1,262 MERCK & CO INC 32,650 MERCK & CO INC 25,787 MERRILL LYNCH & CO INC 330 MERRILL LYNCH & CO INC 4,394 METLIFE INC 500 METLIFE INC 11,505 MFS INTER INCOME TR 10,845 MFS MULTIMARKET INCOME TR 3,478 MFS MULTIMARKET INCOME TR 10,000 28 VOTING AUTHORITY NAME OF ISSUER SOLE SHARED NONE -------------- ---- ------ ---- MICROCHIP TECHNOLOGY INC 3,180 MICROCHIP TECHNOLOGY INC 3,745 MICROSOFT CORP 20,986 MICROSOFT CORP 6,010 MICROSOFT CORP 58,881 MICROSOFT CORP 3,180 MINNESOTA MNG & MFG CO 1,399 MINNESOTA MNG & MFG CO 8,386 MIRAVANT MED TECHNOLOGIES 12,400 MORGAN STANLEY DEAN WITTER 60,825 MORGAN STANLEY DEAN WITTER 1,000 MORGAN STANLEY DEAN WITTER 50,000 MORGAN STANLEY DEAN WITTER 78,200 MORGAN STANLEY DEAN WITTER&CO 2,262 MORGAN STANLEY DEAN WITTER&CO 19 MORGAN STANLEY DEAN WITTER&CO 15,580 MORTON INDUSTRIAL GROUP 10,000 MOTOROLA INC 16,467 MOTOROLA INC 7,154 MOTOROLA INC 3,125 MOTOROLA INC 4,375 MOTOROLA INC 19,500 MUNIHOLDINGS N Y INSD FD INC 51,579 MUNIHOLDINGS N Y INSD FD INC (15,700) MUNIYIELD INSD FD INC 2,200 MUNIYIELD INSD FD INC 28,540 MUNIYIELD N Y INSD FD INC 218,561 MUNIYIELD N Y INSD FD INC (7,500) MUNIYIELD QUALITY FD INC 99,500 MUNIYIELD QUALITY FD INC 16,800 NABORS INDS INC 7,945 NASDAQ 100 TR 2,629 NASDAQ 100 TR 200 NASDAQ 100 TR 6,650 NASDAQ 100 TR 600 NATIONAL-OILWELL INC 150 NATIONAL-OILWELL INC 1,680 NATIONAL-OILWELL INC 37,953 NBTY INC 12,000 NCR CORP NEW 1,032 NCR CORP NEW 63 NCR CORP NEW 3,396 NCR CORP NEW 49,292 NEW AMER HIGH INCOME FD INC 58,454 NEW VY CORP 10,425 NEWS CORP LTD 561 NEWS CORP LTD 9,095 NEWS CORP LTD 37,998 NOKIA CORP 7,084 NOKIA CORP 952 NOKIA CORP 100 NOKIA CORP 96,587 NORTEL NETWORKS CORP NEW 12,518 NORTEL NETWORKS CORP NEW 500 NORTEL NETWORKS CORP NEW 10,375 NORTEL NETWORKS CORP NEW 245 NORTH FORK BANCORPORATION NY 2,050 29 VOTING AUTHORITY NAME OF ISSUER SOLE SHARED NONE -------------- ---- ------ ---- NORTH FORK BANCORPORATION NY 450 NORTH FORK BANCORPORATION NY 31,750 NORTHROP GRUMMAN CORP 283 NORTHROP GRUMMAN CORP 1,770 NORTHROP GRUMMAN CORP 1,000 NOVARTIS A G 1,000 NOVARTIS A G 6,600 NOVARTIS A G 276 NOVELLUS SYS INC 3,670 NOVELLUS SYS INC 4,391 NOVO-NORDISK A S 12,567 NUVEEN DIV ADV MUNI FD 3 18,000 NUVEEN MUN VALUE FD INC 5,799 NUVEEN MUN VALUE FD INC 1,904 NUVEEN MUN VALUE FD INC 74,992 NUVEEN NY DIV ADVANTG MUN FD 2 16,330 OMNICOM GROUP INC 1,660 OMNICOM GROUP INC 4,965 ORACLE CORP 26,417 ORACLE CORP 195 ORACLE CORP 830 ORACLE CORP 43,229 ORACLE CORP 11,390 OXFORD HEALTH PLANS INC 1,150 OXFORD HEALTH PLANS INC 350 OXFORD HEALTH PLANS INC 13,815 PAC-WEST TELECOM INC 12,575 PALL CORP 2,950 PALL CORP 332,707 PALL CORP 3,265 PEOPLESOFT INC 1,930 PEOPLESOFT INC 3,480 PEPSICO INC 38,542 PEPSICO INC 2,592 PEPSICO INC 51,275 PEREGRINE SYSTEMS INC 11,730 PEREGRINE SYSTEMS INC 725 PFF BANCORP INC 200,986 PFIZER INC 45,293 PFIZER INC 5,140 PFIZER INC 106,587 PFIZER INC 23,250 PHARMACIA CORP 6,007 PHARMACIA CORP 100 PHARMACIA CORP 13,118 PHARMACIA CORP 523 PHILIP MORRIS COS INC 13,689 PHILIP MORRIS COS INC 9,590 PHILIP MORRIS COS INC 300 PHILLIPS PETE CO 4,285 PHILLIPS PETE CO 32,695 PILGRIM PRIME RATE TR NEW 16,049 PILGRIM PRIME RATE TR NEW 2,500 PILGRIM PRIME RATE TR NEW 29,406 PNC FINL SVCS GROUP INC 1,160 PNC FINL SVCS GROUP INC 13,509 POLYCOM INC 7,690 30 VOTING AUTHORITY NAME OF ISSUER SOLE SHARED NONE -------------- ---- ------ ---- POWER-ONE INC 3,775 POWER-ONE INC 6,350 PRAXAIR INC 117 PRAXAIR INC 100 PRAXAIR INC 4,715 PROCTER & GAMBLE CO 555 PROCTER & GAMBLE CO 150 PROCTER & GAMBLE CO 6,340 PROCTER & GAMBLE CO 1,600 PROSPECT STR HIGH INCOME PTFLO 9,085 PROSPECT STR HIGH INCOME PTFLO 1,500 PUMATECH INC 19,200 PUTNAM PREMIER INCOME TR 8,578 PUTNAM PREMIER INCOME TR 9,000 QUALCOMM INC 3,249 QUALCOMM INC 400 QUALCOMM INC 50 QUALCOMM INC 5,000 QUALCOMM INC 60,311 QWEST COMMUNICATIONS INTL INC 6,973 QWEST COMMUNICATIONS INTL INC 375 QWEST COMMUNICATIONS INTL INC 3,961 QWEST COMMUNICATIONS INTL INC 2,500 RAYTHEON CO 5,831 RAYTHEON CO 9,760 RAYTHEON CO 950 RENAISSANCE RE HLDGS LTD 5,002 REYNOLDS & REYNOLDS CO 5,800 REYNOLDS & REYNOLDS CO 4,260 ROWAN COS INC 5,447 ROWAN COS INC 93,866 ROYAL DUTCH PETE CO 250 ROYAL DUTCH PETE CO 872 ROYAL DUTCH PETE CO 21,710 SABRE HLDGS CORP 76,572 SABRE HLDGS CORP 1,150 SABRE HLDGS CORP 41,739 SAFEWAY INC 3,675 SAFEWAY INC 200 SAFEWAY INC 3,690 SARA LEE CORP 481 SARA LEE CORP 1,343 SARA LEE CORP 61,597 SBC COMMUNICATIONS INC 35,635 SBC COMMUNICATIONS INC 3,441 SBC COMMUNICATIONS INC 18,222 SBC COMMUNICATIONS INC 1,400 SCHERING PLOUGH CORP 18,825 SCHERING PLOUGH CORP 3,300 SCHERING PLOUGH CORP 45,856 SCHERING PLOUGH CORP 63,066 SCHLUMBERGER LTD 2,172 SCHLUMBERGER LTD 1,100 SCHLUMBERGER LTD 16,450 SCHLUMBERGER LTD 4,108 SCHWAB CHARLES CORP NEW 10,581 SCHWAB CHARLES CORP NEW 5,504 31 VOTING AUTHORITY NAME OF ISSUER SOLE SHARED NONE -------------- ---- ------ ---- SCIENTIFIC ATLANTA INC 400 SCIENTIFIC ATLANTA INC 9,200 SECTOR SPDR TR 123,100 SECTOR SPDR TR 74,780 SECTOR SPDR TR 92,730 SERVICE CORP INTL 4,470 SERVICE CORP INTL 1,550 SERVICE CORP INTL 3,610 SERVICE CORP INTL 32,970 SHAW COMMUNICATIONS INC 14,000 SIEBEL SYS INC 6,112 SIEBEL SYS INC 15,482 SONUS NETWORKS INC 15,300 SOUTHWEST AIRLS CO 4,912 SOUTHWEST AIRLS CO 1,150 SOUTHWEST AIRLS CO 11,143 SOVEREIGN BANCORP INC 1,001 SOVEREIGN BANCORP INC 11,185 SOVEREIGN BANCORP INC 500 SPDR TR 25 SPDR TR 1,830 SPDR TR 1,050 SPRINT CORP 9,194 SPRINT CORP 250 SPRINT CORP 12,651 SPRINT CORP 107,650 SPRINT CORP 7,637 SPRINT CORP 28,991 SPRINT CORP 8,550 STATE STR CORP 4,453 STATE STR CORP 6,012 STEWART INFORMATION SVCS CORP 500 STEWART INFORMATION SVCS CORP 59,770 STREETTRACKS SER TR 19,720 SUN MICROSYSTEMS INC 33,297 SUN MICROSYSTEMS INC 120 SUN MICROSYSTEMS INC 700 SUN MICROSYSTEMS INC 119,856 SUN MICROSYSTEMS INC 695 SYCAMORE NETWORKS INC 230 SYCAMORE NETWORKS INC 12,300 SYMBOL TECHNOLOGIES INC 2,530 SYMBOL TECHNOLOGIES INC 500 SYMBOL TECHNOLOGIES INC 366,412 TAIWAN SEMICONDUCTOR MFG LTD 45 TAIWAN SEMICONDUCTOR MFG LTD 33,500 TAIWAN SEMICONDUCTOR MFG LTD 1,960 TARGET CORP 2,004 TARGET CORP 1,400 TARGET CORP 4,836 TELEFONICA S A 3,659 TELEFONICA S A 12,806 TELLABS INC 3,500 TELLABS INC 8,503 TELLABS INC 200 TEMPLETON EMERG MKTS INCOME FD 1,200 TEMPLETON EMERG MKTS INCOME FD 20,750 32 VOTING AUTHORITY NAME OF ISSUER SOLE SHARED NONE -------------- ---- ------ ---- TENET HEALTHCARE CORP 1,056 TENET HEALTHCARE CORP 7,055 TENET HEALTHCARE CORP 65 TEXAS INSTRS INC 22,680 TEXAS INSTRS INC 2,360 TEXAS INSTRS INC 3,300 TEXAS INSTRS INC 56,854 TEXAS INSTRS INC 3,300 TIFFANY & CO NEW 1,000 TIFFANY & CO NEW 8,085 TIFFANY & CO NEW 4,600 TYCO INTL LTD NEW 11,293 TYCO INTL LTD NEW 53,686 TYCO INTL LTD NEW 44,396 TYCO INTL LTD NEW 6,526 U S B HLDG INC 11,552 UNILEVER N V 470 UNILEVER N V 7,760 UNION PAC CORP 4,933 UNION PAC CORP 75 UNION PAC CORP 9,280 UNION PAC CORP 29,000 UNION PLANTERS CORP 3,000 UNION PLANTERS CORP 1,460 UNITED PARCEL SERVICE INC 2,823 UNITED PARCEL SERVICE INC 200 UNITED PARCEL SERVICE INC 3,482 UNITED TECHNOLOGIES CORP 3,815 UNITED TECHNOLOGIES CORP 20,030 UNITED TECHNOLOGIES CORP 207 UNOCAL CORP 5,258 UNOCAL CORP 5,674 US BANCORP DEL 3,335 US BANCORP DEL 25,382 US BANCORP DEL 145 USEC INC 11,300 USINTERNETWORKING INC 24,250 USINTERNETWORKING INC 3,275 VAN KAMPEN SENIOR INCOME TR 3,000 VAN KAMPEN SENIOR INCOME TR 7,850 VERITAS SOFTWARE CO 3,148 VERITAS SOFTWARE CO 8,450 VERIZON COMMUNICATIONS 37,393 VERIZON COMMUNICATIONS 3,098 VERIZON COMMUNICATIONS 49,157 VERIZON COMMUNICATIONS 1,025 VIACOM INC 18,918 VIACOM INC 36,038 VIACOM INC 34,727 VIACOM INC 1,085 VIRBAC CORP 13,500 VISIBLE GENETICS INC 20,000 VODAFONE GROUP PLC NEW 8,941 VODAFONE GROUP PLC NEW 700 VODAFONE GROUP PLC NEW 12,200 VORNADO RLTY TR 7,500 VORNADO RLTY TR 250 33 VOTING AUTHORITY NAME OF ISSUER SOLE SHARED NONE -------------- ---- ------ ---- WAL MART STORES INC 6,290 WAL MART STORES INC 1,196 WAL MART STORES INC 18,159 WAL MART STORES INC 3,459 WALGREEN CO 137 WALGREEN CO 7,814 WASHINGTON MUT INC 3,300 WASHINGTON MUT INC 200 WASHINGTON MUT INC 216,018 WASHINGTON MUT INC 7,812 WASHINGTON MUT INC 57,889 WASTE MGMT INC DEL 635 WASTE MGMT INC DEL 2,480 WASTE MGMT INC DEL 47,600 WEATHERFORD INTL INC 370 WEATHERFORD INTL INC 19,771 WELLPOINT HEALTH NETWORK NEW 3,495 WELLS FARGO & CO NEW 6,504 WELLS FARGO & CO NEW 800 WELLS FARGO & CO NEW 16,459 WELLS FARGO & CO NEW 294 WILLAMETTE INDS INC 4,020 WILLIAMS COS INC DEL 2,210 WILLIAMS COS INC DEL 18,105 WORLDCOM INC GA NEW 14,605 WORLDCOM INC GA NEW 2,550 WORLDCOM INC GA NEW 3,750 WORLDCOM INC GA NEW 39,076 WORLDCOM INC GA NEW 10,190 XCEL ENERGY INC 8,766 XCEL ENERGY INC 950 XEROX CORP 1,295 XEROX CORP 1,850 XEROX CORP 12,900 XL CAP LTD 500 XL CAP LTD 3,303 YOUBET COM INC 23,000 ZALE CORP NEW 82,330 34

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