Form 13D Identifies Stocks Requiring 13D Reporting

Transcription

1 700 Form 13D Identifies Stocks Requiring 13D Reporting This report shows stocks that require 13D reporting. The SEC requires 13D reporting when one person or firm controls more than five percent of a company s voting shares. STOCKS REQUIRING "13D" REPORTING December 31, 1999 Percentage: 5.00% Shares Reporting Quantity Stocks Outstanding* Level* Managing* Brown Forman 39,522 1,976 5,055 Brown Group 18, ,478 Eaton Corp. 72,200 3,610 8,356 Fritz Companies 36,435 1,822 4,289 General Dynamics 199,152 9,958 10,790 Oshkosh B Gosh 14, ,352 McGraw Hill 196,800 9,840 15,740 Novellus Systems 38,940 1,947 6,679 * Quantities are expressed in units of thousands. 120

2 Securities Trade Analysis Shows Portfolio Activity and Realized Gain 701 This report lists all transactions for one or more portfolios over a given period. It includes purchase date and realized gain/loss columns. You can limit the report to transactions involving a particular security. This option is useful if you want to see all the activity in a single security across all portfolios over a given period. SECURITIES TRADE ANALYSIS From To Trade Settle Tran Interest/ Purchase Realized Security Date Date Code Quantity Dividend Expense Total Cost Proceeds Date Gain/Loss *** Account centro Centro Manufacturing Group csusmer dv 2, csusebay by 1, , csusslb dv 1, csusadm by 9, , csusdell by 2,000 76, csusdis by 3, , csusko by 6, , ,800 3, ,273, *** Account edashwd Elinor Dashwood csusgps dv csusebay by , csusjnj by 1, , csusdnb dv csusamh dv csusadm by 4,000 87, csusdell by , csustwx sl 2, , , csustwx sl 1,400 96, , csusdis by 1, , csusko by 1,300 86, , , , , *** Account mdashwd Marianne Dashwood csushlt dv csusebay by 1, , csusabf dv 8.00 csusec dv csusjnj by 4, , csusx dv csusadm by 1,900 41, csusko by , csusdell by 3, , , , ,200 4, ,567, , ,

3 702 Maturity Schedule Amount to Mature Each Month Over a Period of One or More Years This report displays the amount due to mature each month over a period of one or more years in one or more portfolios. All dollar figures are stated in thousands. MATURITY SCHEDULE Wellington Income Fund January 31, 2000 Year Jan Feb Mar Apr May June July Aug Sep Oct Nov Dec Total , , , , , , , , , , , , , , Beyond 1,756 21,439 Maturity / Expiration Values are stated in thousands. 122

4 Maturity Schedule With Maturities Within 12 Months 704 This report lists, for one or more portfolios, the securities that will mature within a given period of time up to 12 months. It lists the securities by maturity date. This report also includes the security symbol. 123

5 705 Form 13F With Stock Requiring 13F Reports If the total holdings in your equities asset class have an aggregate fair market value on the last trading day in any of the preceding twelve months of at least $100,000,000, the SEC requires that you file this report. You must complete the 13F report and file it electronically with the SEC within 45 calendar days after quarter end. This report lists equities whose fair market value is $200,000 or higher, or greater than 10,000 in quantity. FORM 13F December 31, 1999 Voting Authority Value Shares/ Sh/ Put/ Invstmt Other Name of Issuer Title of class CUSIP (x$1000) Prn Amt Prn Call Dscretn Managers Sole Shared None Advent Software COM SH Sole Albertsons COM SH Sole American Express COM SH Sole 7500 Bell Atlantic COM SH Sole 4000 Bethlehem Steel COM SH Sole Brown Forman COM SH Sole Brown Group COM SH Sole Browning Ferris COM SH Sole Carnival Corp. COM SH Sole Centocor Inc. COM SH Sole Cisco Systems COM 17275R SH Sole 4500 Coca Cola COM SH Sole 9000 Dell Computer COM SH Sole 5400 Eaton Corp. COM SH Sole First Data COM SH Sole Fritz Companies COM SH Sole General Dynamics COM SH Sole Helmerich & Payne COM SH Sole Hewlett Packard COM SH Sole Hilton Hotels COM SH Sole Illinois Tool Works COM SH Sole In Focus Systems COM SH Sole J.P. Morgan COM SH Sole Johnson & Johnson COM SH Sole 9400 Marriot International COM SH Sole McGraw Hill COM SH Sole Micron Technology COM SH Sole Microsoft COM SH Sole Northern Telecom COM SH Sole 5500 Novellus Systems COM SH Sole Oshkosh B Gosh COM SH Sole Peoplesoft COM SH Sole Southwestern Bell COM 78387G SH Sole 4000 The Gap COM SH Sole 9000 Time Warner COM SH Sole 4000 Walt Disney COM SH Sole REPORT SUMMARY 36 DATA RECORDS OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED Do not save this screen as a text file. This report automatically creates the text file 13ftable.txt, which meets all SEC filing requirements. For details on the location of this text file, see your 705 Report documentation. 124

6 Historical Prices With Highs, Lows and Percent Change 706 This report lists historical prices in daily, weekly and monthly periods for up to thirteen securities. It also identifies highs, lows, and percent changes over the specified period. HISTORICAL PRICES Prices From to Dates dell advs dis axp usw ko * * * * * * % Change to 17.5% 114.9% -10.8% 33.9% -7.7% -17.2% High * Low 125