-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, TceSXXWPb4o8CumkVCNBK3V8FQZQtokakgiMDg0mEMdm+Zv82NaEqkpg475WpoHm PeRJqWrUybvAI+vwIBCykQ== 0001193125-03-070647.txt : 20031031 0001193125-03-070647.hdr.sgml : 20031031 20031031113348 ACCESSION NUMBER: 0001193125-03-070647 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030930 FILED AS OF DATE: 20031031 EFFECTIVENESS DATE: 20031031 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ESSEX INVESTMENT MANAGEMENT CO LLC CENTRAL INDEX KEY: 0000201772 IRS NUMBER: 004260191 STATE OF INCORPORATION: MA FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-00878 FILM NUMBER: 03968717 BUSINESS ADDRESS: STREET 1: 125 HIGH STREET CITY: SOUTH BOSTON STATE: MA ZIP: 02110 BUSINESS PHONE: 6174824870 FORMER COMPANY: FORMER CONFORMED NAME: ESSEX INVESTMENT MANAGEMENT CO INC DATE OF NAME CHANGE: 19920929 13F-HR 1 d13fhr.txt FORM 13F --------------------------- OMB APPROVAL --------------------------- OMB Number: 3235-0006 Expires: FEBRUARY 28, 1994 Estimated average burden hours per response... 24.60 --------------------------- --------------------------- SEC USE ONLY --------------------------- --------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F INFORMATION REQUIRED OF INSTITUTIONAL INVESTMENT MANAGERS PURSUANT TO SECTION 13(f) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULES THEREUNDER Report for the Calendar Year or Quarter Ended 9/30/03 - -------------------------------------------------------------------------------- (Please read instructions before preparing form.) - -------------------------------------------------------------------------------- If amended report check here: [_] Essex Investment Management Co., LLC - -------------------------------------------------------------------------------- Name of Institutional Investment Manager 125 HIGH STREET, 29TH FLOOR BOSTON, MA 02110 - -------------------------------------------------------------------------------- Business Address (Street) (City) (State) (Zip) Michael S. McCarthy Vice President (617) 342-3245 - -------------------------------------------------------------------------------- Name, Phone No., and Title of Person Duly Authorized to submit this Report. - ----------------------------------- ATTENTION ---------------------------------- INTENTIONAL MISSTATEMENT OR OMISSIONS OF FACTS CONSTITUTE FEDERAL CRIMINAL VIOLATIONS. SEE 18 U.S.C. 101 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 BOSTON and State of MA on the 30th day of October 2003. ESSEX INVESTMENT MANAGEMENT COMPANY, LLC ------------------------------------------- (Name of Institutional Investment Manager) /s/ Michael S. McCarthy ------------------------------------------- (Manual Signature of Person Duly Authorized to Submit This Report) Name and 13F file numbers of ALL Investment Managers with respect to which this schedule is filled (other than the one filing this report): (List in alphabetical order). 13F File Number will be assigned to Institutional Investment Managers after they file their first report. Name: 13F File No: Name: 13F File No: - ---------------------- ------------ -------------------- ------------- 1. AFFILIATED MANAGERS PENDING 6. GROUP, INC. - ---------------------- ------------ -------------------- ------------- 2. 7. - ---------------------- ------------ -------------------- ------------- 3. 8. - ---------------------- ------------ -------------------- ------------- 4. 9. - ---------------------- ------------ -------------------- ------------- 5. 10. - ---------------------- ------------ -------------------- ------------- SEC 1685 (5/91)
FORM 13F 9/30/03 REPORTING MANAGER; ESSEX INVESTMENT MGMT CO PAGE 1 - ------------------------------------------------------------------------------------------------------------------------------------ ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 INVESTMENT DISCRETION VOTING AUTHORITY TITLE FAIR SHARES OR SHARED MANA- OF CUSIP MARKET PRINCIPAL SOLE SHARED OTHER GERS SOLE SHARED NONE NAME OF ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C) (A) (B) (C) - ------------------------------------------------------------------------------------------------------------------------------------ A C MOORE ARTS & CRAFTS COMMON 00086T103 167507 7525 7525 7525 AOL TIME WARNER INC COMMON 00184A105 59382 3930 3930 3280 650 ATI TECHNOLOGIES INC COMMON 001941103 9975518 671300 671300 566100 105200 AT&T CORP COMMON 001957505 1726155 80100 80100 80100 ASA LTD (GOLD) COMMON 002050102 3943605 92900 92900 86450 6450 ATMI INC COMMON 00207R101 8690614 342825 342825 337725 5100 AT&T WIRELESS GROUP COMMON 00209A106 24540 3000 3000 3000 AU OPTRONICS CORP COMMON 002255107 17103045 1340364 1340364 1147766 192598 ABBOTT LABS COMMON 002824100 2492366 58575 58575 58575 ACCREDO HEALTH INC COMMON 00437V104 23092 825 825 375 450 ADOLOR CORP COMMON 00724X102 5309573 289350 289350 279750 9600 ADVANCED FIBRE COMMUNICA COMMON 00754A105 465090 22200 22200 22200 ADVANCED NEUROMODULATION COMMON 00757T101 330173 8275 8275 8275 ADVANCED MEDICAL OPTICS COMMON 00763M108 5981 333 333 333 AFFILIATED MANAGERS GROU COMMON 008252108 6307255 100434 100434 100434 AGERE SYS INC COMMON 00845V100 7950226 2589650 2589650 2566650 23000 AGNICO EAGLE MINES LTD COMMON 008474108 27192 2200 2200 2200 AIRTRAN HLDGS INC COMMON 00949P108 30243633 1805590 1805590 1722550 83040 ALLERGAN INC COMMON 018490102 11810445 150012 150012 124562 25450 ---------- --------- --------- ------ ------- --------- --------- -------- COLUMN TOTALS 106655389 7569388 7569388 7117517 451871
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FORM 13F 9/30/03 REPORTING MANAGER; ESSEX INVESTMENT MGMT CO PAGE 2 - ------------------------------------------------------------------------------------------------------------------------------------ ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 INVESTMENT DISCRETION VOTING AUTHORITY TITLE FAIR SHARES OR SHARED MANA- OF CUSIP MARKET PRINCIPAL SOLE SHARED OTHER GERS SOLE SHARED NONE NAME OF ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C) (A) (B) (C) - ------------------------------------------------------------------------------------------------------------------------------------ ALLIANCE DATA SYSTEMS CO COMMON 018581108 5824500 220625 220625 216925 3700 ALLIANT TECHSYSTEMS INC COMMON 018804104 11990205 249536 249536 231688 17848 ALTERA CORP COMMON 021441100 567900 30000 30000 30000 ALTRIA GROUP INC COMMON 02209S103 39420 900 900 900 AMAZON COM INC COMMON 023135106 18888 390 390 390 AMERICAN ELEC PWR INC COMMON 025537101 156000 5200 5200 5200 AMERICAN EXPRESS CO COMMON 025816109 65337 1450 1450 1450 AMERICAN INTL GROUP INC COMMON 026874107 23736107 411371 411371 337633 73738 AMERICAN PWR CONVERSION COMMON 029066107 6049205 349665 349665 331145 18520 AMGEN INC COMMON 031162100 56309056 872738 872738 770520 102218 AMIS HLDGS INC COMMON 031538101 867551 46920 46920 44600 2320 AMPHENOL CORP NEW COMMON 032095101 3397564 65275 65275 63975 1300 AMSURG CORP COMMON 03232P405 1485615 45005 45005 42750 2255 AMYLIN PHARMACEUTICALS I COMMON 032346108 2225636 78700 78700 78700 ANADARKO PETE CORP COMMON 032511107 3460735 82872 82872 57462 25410 ANALOG DEVICES INC COMMON 032654105 4207293 110660 110660 95360 15300 ANAREN INC COMMON 032744104 2077360 162675 162675 160975 1700 ANDREW CORP COMMON 034425108 1426044 118050 118050 115550 2500 ANDRX CORP DEL COMMON 034553107 9589281 513895 513895 509310 4585 ---------- --------- --------- ------ ------- --------- --------- -------- COLUMN TOTALS 133493694 3365927 3365927 3093633 272294
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FORM 13F 9/30/03 REPORTING MANAGER; ESSEX INVESTMENT MGMT CO PAGE 3 - ------------------------------------------------------------------------------------------------------------------------------------ ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 INVESTMENT DISCRETION VOTING AUTHORITY TITLE FAIR SHARES OR SHARED MANA- OF CUSIP MARKET PRINCIPAL SOLE SHARED OTHER GERS SOLE SHARED NONE NAME OF ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C) (A) (B) (C) - ------------------------------------------------------------------------------------------------------------------------------------ ANGIOTECH PHARMACEUTICAL COMMON 034918102 7861802 180110 180110 177310 2800 ANGLOGOLD LTD COMMON 035128206 1144195 30350 30350 28850 1500 ANHEUSER BUSCH COS INC COMMON 035229103 473664 9600 9600 8200 1400 ANTHEM INC COMMON 03674B104 3755525 52650 52650 51650 1000 ANTEON INTL CORP COMMON 03674E108 4396302 143670 143670 141370 2300 APACHE CORP COMMON 037411105 68207400 983666 983666 886979 96687 APOLLO GROUP INC COMMON 037604105 18980918 287459 287459 262984 24475 UNV PHOENIX ONLINE COMMON 037604204 23723853 355840 355840 347596 8244 APPLIED MATLS INC COMMON 038222105 1002045 55270 55270 55270 AQUANTIVE INC COMMON 03839G105 3746168 406750 406750 400150 6600 ARAMARK CORP COMMON 038521100 5006 200 200 200 ARIBA INC COMMON 04033V104 2196628 722575 722575 694525 28050 ASCENTIAL SOFTWARE CORP COMMON 04362P207 8042891 434047 434047 427147 6900 ASK JEEVES INC COMMON 045174109 955581 54950 54950 53450 1500 AT RD INC COMMON 04648K105 10890596 815775 815775 695150 120625 ASYST TECHNOLOGY CORP COMMON 04648X107 17440446 1240430 1240430 1213875 26555 ATHEROGENICS INC COMMON 047439104 5865379 352275 352275 350675 1600 ATMEL CORP COMMON 049513104 1254810 312375 312375 153800 158575 AUTODESK INC COMMON 052769106 6187961 363570 363570 309670 53900 ---------- --------- --------- ------ ------ --------- ------ ------- COLUMN TOTALS 186131169 6801562 6801562 6258851 542711
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FORM 13F 9/30/03 REPORTING MANAGER; ESSEX INVESTMENT MGMT CO PAGE 4 - ------------------------------------------------------------------------------------------------------------------------------------ ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 INVESTMENT DISCRETION VOTING AUTHORITY TITLE FAIR SHARES OR SHARED MANA- OF CUSIP MARKET PRINCIPAL SOLE SHARED OTHER GERS SOLE SHARED NONE NAME OF ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C) (A) (B) (C) - ------------------------------------------------------------------------------------------------------------------------------------ AUTOMATIC DATA PROCESSIN COMMON 053015103 75285 2100 2100 300 1800 AVID TECHNOLOGY INC COMMON 05367P100 12608170 237890 237890 236940 950 AVENTAIL SER E COMMON 053990107 2750000 2750000 2750000 2750000 AVON PRODS INC COMMON 054303102 6456 100 100 100 BJ SVCS CO COMMON 055482103 22018123 644370 644370 602685 41685 BP PLC COMMON 055622104 225993 5368 5368 352 5016 BOWSTREET SER D COMMON 056990104 189584 208334 208334 208334 BAKER HUGHES INC COMMON 057224107 19818080 669756 669756 627486 42270 BALLY TOTAL FITNESS HLDG COMMON 05873K108 21625 2500 2500 2500 BANK OF AMERICA CORP COMMON 060505104 58530 750 750 750 BANK ONE CORP COMMON 06423A103 19789 512 512 512 BARRICK GOLD CORP COMMON 067901108 95092 5050 5050 1300 3750 BARR LABS INC COMMON 068306109 19710848 288973 288973 286073 2900 BED BATH & BEYOND INC COMMON 075896100 17286023 451686 451686 433111 18575 BELLSOUTH CORP COMMON 079860102 31542 1332 1332 1042 290 BIOMET INC COMMON 090613100 609700 18200 18200 16700 1500 BIOMARIN PHARMACEUTICAL COMMON 09061G101 2230592 291200 291200 291200 BIOVAIL CORP COMMON 09067J109 13100948 352650 352650 348865 3785 BLACK BOX CORP DEL COMMON 091826107 274689 6900 6900 6900 ---------- --------- --------- ------ ------- --------- --------- -------- COLUMN TOTALS 111131068 5937671 5937671 2856716 3080955
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FORM 13F 9/30/03 REPORTING MANAGER; ESSEX INVESTMENT MGMT CO PAGE 5 - ------------------------------------------------------------------------------------------------------------------------------------ ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 INVESTMENT DISCRETION VOTING AUTHORITY TITLE FAIR SHARES OR SHARED MANA- OF CUSIP MARKET PRINCIPAL SOLE SHARED OTHER GERS SOLE SHARED NONE NAME OF ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C) (A) (B) (C) - ------------------------------------------------------------------------------------------------------------------------------------ BOCA RESORTS INC COMMON 09688T106 207360 16000 16000 16000 BOSTON COMMUNICATIONS GR COMMON 100582105 6953450 695345 695345 686420 8925 BOSTON PRIVATE FINL HLDG COMMON 101119105 4024519 170820 170820 168120 2700 BOSTON SCIENTIFIC CORP COMMON 101137107 15950064 250001 250001 235856 14145 BRIGHTPOINT INC COMMON 109473405 2342951 71475 71475 69575 1900 BROADCOM CORP COMMON 111320107 74789671 2805314 2805314 2461049 344265 BROOKLINE BANCORP INC DE COMMON 11373M107 119061 8061 8061 8061 BROWN TOM INC COMMON 115660201 1081970 42100 42100 36500 5600 BURLINGTON RES INC COMMON 122014103 103630 2150 2150 2150 C H ROBINSON WORLDWIDE I COMMON 12541W100 11125644 298675 298675 287975 10700 CMGI INC COMMON 125750109 542419 350400 350400 350400 CNET NETWORKS INC COMMON 12613R104 21472 3050 3050 3050 CABOT CORP COMMON 127055101 28510000 1000000 1000000 1000000 CABOT MICROELECTRONICS C COMMON 12709P103 8900800 160000 160000 160000 CACHE INC COMMON 127150308 7669890 375975 375975 356945 19030 CACI INTL INC COMMON 127190304 64275 1500 1500 1500 CAMDEN NATL CORP COMMON 133034108 8853 300 300 300 CANADIAN GOLD MAPLE LEAF COMMON 135994101 66852 181 181 181 CANDELA CORP COMMON 136907102 627989 49100 49100 49100 ---------- --------- --------- ------ ------- --------- --------- -------- COLUMN TOTALS 163110870 6300447 6300447 5893182 407265
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FORM 13F 9/30/03 REPORTING MANAGER; ESSEX INVESTMENT MGMT CO PAGE 6 - ------------------------------------------------------------------------------------------------------------------------------------ ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 INVESTMENT DISCRETION VOTING AUTHORITY TITLE FAIR SHARES OR SHARED MANA- OF CUSIP MARKET PRINCIPAL SOLE SHARED OTHER GERS SOLE SHARED NONE NAME OF ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C) (A) (B) (C) - ------------------------------------------------------------------------------------------------------------------------------------ CARDIAC SCIENCE INC COMMON 141410209 372981 89875 89875 89875 CAREER EDUCATION CORP COMMON 141665109 15840149 349595 349595 342865 6730 CAREMARK RX INC COMMON 141705103 2605441 115285 115285 115285 CARMAX INC COMMON 143130102 36960114 1131663 1131663 1009303 122360 CATERPILLAR INC DEL COMMON 149123101 128731 1870 1870 1320 550 CELGENE CORP COMMON 151020104 1366115 31550 31550 30350 1200 CENDANT CORP COMMON 151313103 222411 11900 11900 11900 CERTEGY INC COMMON 156880106 1986004 61850 61850 61850 CHECKFREE CORP NEW COMMON 162813109 536937 26700 26700 26700 CHESAPEAKE ENERGY CORP COMMON 165167107 9153298 849100 849100 843150 5950 CHEVRONTEXACO CORP COMMON 166764100 1714657 23998 23998 17366 6632 CHICAGO MERCANTILE HLDGS COMMON 167760107 2652626 38550 38550 37100 1450 CHICOS FAS INC COMMON 168615102 1573364 51350 51350 51350 CHINA TELECOM CORP LTD COMMON 169426103 41536989 1628263 1628263 1405290 222973 CHIPPAC INC COMMON 169657103 7804 1325 1325 1325 CHIRON CORP COMMON 170040109 1075265 20750 20750 20750 CHROMAGEN SER F COMMON 170990105 1999999 470588 470588 470588 CHUBB CORP COMMON 171232101 142736 2200 2200 2200 CHUNGHWA TELECOM CO LTD COMMON 17133Q205 143560 10247 10247 10247 ---------- --------- --------- ------ ------- --------- --------- -------- COLUMN TOTALS 120019181 4916659 4916659 4076026 840633
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FORM 13F 9/30/03 REPORTING MANAGER; ESSEX INVESTMENT MGMT CO PAGE 7 - ------------------------------------------------------------------------------------------------------------------------------------ ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 INVESTMENT DISCRETION VOTING AUTHORITY TITLE FAIR SHARES OR SHARED MANA- OF CUSIP MARKET PRINCIPAL SOLE SHARED OTHER GERS SOLE SHARED NONE NAME OF ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C) (A) (B) (C) - ------------------------------------------------------------------------------------------------------------------------------------ CINERGY CORP COMMON 172474108 190840 5200 5200 5200 CIRRUS LOGIC INC COMMON 172755100 8635488 1564400 1564400 1425450 138950 CISCO SYS INC COMMON 17275R102 33710609 1720807 1720807 1550740 170067 CITADEL BROADCASTING COR COMMON 17285T106 197600 10000 10000 7920 2080 CITIGROUP INC COMMON 172967101 29538311 649051 649051 628336 20715 CITY NATL CORP COMMON 178566105 1305850 25625 25625 25625 CITY TELECOM H K LTD COMMON 178677209 489300 70000 70000 70000 CLEAR CHANNEL COMMUNICAT COMMON 184502102 787793 20569 20569 20569 COACH INC COMMON 189754104 245700 4500 4500 4500 COCA COLA CO COMMON 191216100 65729 1530 1530 1200 330 COGNOS INC COMMON 19244C109 2886411 93050 93050 57800 35250 COLONIAL BANCGROUP INC COMMON 195493309 515710 35714 35714 35714 COMCAST CORP - CL A COMMON 20030N101 1765986 57300 57300 57300 COMCAST CORP - SP A COMMON 20030N200 45159563 1523602 1523602 1355367 168235 COMMERCE BANCSHARES INC COMMON 200525103 5965750 136360 136360 136360 COMPONENTS, LTD COMMON 204991103 130000 130000 130000 130000 COMVERSE TECHNOLOGY INC COMMON 205862402 3186739 212875 212875 203705 9170 CONCEPTUS INC COMMON 206016107 1889413 144230 144230 142830 1400 CONCUR TECHNOLOGIES INC COMMON 206708109 10324978 879470 879470 760060 119410 ---------- --------- --------- ------ ------- --------- --------- -------- COLUMN TOTALS 146991770 7284283 7284283 6618676 665607
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FORM 13F 9/30/03 REPORTING MANAGER; ESSEX INVESTMENT MGMT CO PAGE 8 - ------------------------------------------------------------------------------------------------------------------------------------ ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 INVESTMENT DISCRETION VOTING AUTHORITY TITLE FAIR SHARES OR SHARED MANA- OF CUSIP MARKET PRINCIPAL SOLE SHARED OTHER GERS SOLE SHARED NONE NAME OF ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C) (A) (B) (C) - ------------------------------------------------------------------------------------------------------------------------------------ CONOCOPHILLIPS COMMON 20825C104 3285 60 60 60 COORS ADOLPH CO COMMON 217016104 47846 890 890 890 COPART INC COMMON 217204106 2883059 265475 265475 262875 2600 CORNING INC COMMON 219350105 13188 1400 1400 1400 CORPORATE EXECUTIVE BRD COMMON 21988R102 3655386 77675 77675 76575 1100 COST PLUS INC CALIF COMMON 221485105 8271905 223565 223565 218830 4735 COSTCO WHSL CORP NEW COMMON 22160K105 2678495 85987 85987 50191 35796 COSTAR GROUP INC COMMON 22160N109 10663601 407630 407630 386505 21125 COTT CORP QUE COMMON 22163N106 257510 11000 11000 11000 COVAD COMMUNICATIONS GRO COMMON 222814204 762587 137900 137900 112900 25000 COX COMMUNICATIONS INC N COMMON 224044107 20585 651 651 651 CRESCENT REAL ESTATE EQU COMMON 225756105 52200 3600 3600 3600 CRESCENT OPER INC COMMON 22575M100 34 180 180 180 CTI MOLECULAR IMAGING IN COMMON 22943D105 3842194 260135 260135 256255 3880 CUBIST PHARMACEUTICALS I COMMON 229678107 1668730 153800 153800 152200 1600 CUMULUS MEDIA INC COMMON 231082108 10280856 598420 598420 584965 13455 CYBERONICS INC COMMON 23251P102 10058334 326040 326040 301925 24115 CYPRESS SEMICONDUCTOR CO COMMON 232806109 708968 40100 40100 40100 CYTYC CORP COMMON 232946103 8524930 567950 567950 559350 8600 ---------- --------- --------- ------ ------- --------- --------- -------- COLUMN TOTALS 64393691 3162458 3162458 3016672 145786
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FORM 13F 9/30/03 REPORTING MANAGER; ESSEX INVESTMENT MGMT CO PAGE 9 - ------------------------------------------------------------------------------------------------------------------------------------ ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 INVESTMENT DISCRETION VOTING AUTHORITY TITLE FAIR SHARES OR SHARED MANA- OF CUSIP MARKET PRINCIPAL SOLE SHARED OTHER GERS SOLE SHARED NONE NAME OF ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C) (A) (B) (C) - ------------------------------------------------------------------------------------------------------------------------------------ ITF OPTICAL TECH COMMON 232991109 970870 425820 425820 425820 D R HORTON INC COMMON 23331A109 492953 15075 15075 15075 DTE ENERGY CO COMMON 233331107 27668 750 750 750 DEERE & CO COMMON 244199105 2807998 52673 52673 37073 15600 DEL MONTE FOODS CO COMMON 24522P103 3493 401 401 401 DELL INC COMMON 24702R101 54671143 1635881 1635881 1473267 162614 DIEBOLD INC COMMON 253651103 23754850 469000 469000 443075 25925 DIGITAL RIV INC COMMON 25388B104 1977483 72250 72250 67250 5000 DIGITAL THEATER SYS INC COMMON 25389G102 7459886 261925 261925 236945 24980 DISCOVERY LABORATORIES I COMMON 254668106 6912324 960045 960045 955745 4300 DISNEY WALT CO COMMON 254687106 2353335 116675 116675 101375 15300 DOCUMENTUM INC COMMON 256159104 7916597 376376 376376 286900 89476 DOLLAR TREE STORES INC COMMON 256747106 1098763 32750 32750 32750 DOT HILL SYS CORP COMMON 25848T109 23882963 1734420 1734420 1533665 200755 DOUBLECLICK INC COMMON 258609304 8712935 808250 808250 805450 2800 DU PONT E I DE NEMOURS & COMMON 263534109 108027 2700 2700 300 2400 DUKE ENERGY CORP COMMON 264399106 146024 8199 8199 4950 3249 DUKE REALTY CORP COMMON 264411505 68503 2346 2346 2346 DURECT CORP COMMON 266605104 4871978 1517750 1517750 1510950 6800 ---------- --------- --------- ------ ------- --------- --------- -------- COLUMN TOTALS 148237790 8493286 8493286 7505520 987766
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FORM 13F 9/30/03 REPORTING MANAGER; ESSEX INVESTMENT MGMT CO PAGE 10 - ------------------------------------------------------------------------------------------------------------------------------------ ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 INVESTMENT DISCRETION VOTING AUTHORITY TITLE FAIR SHARES OR SHARED MANA- OF CUSIP MARKET PRINCIPAL SOLE SHARED OTHER GERS SOLE SHARED NONE NAME OF ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C) (A) (B) (C) - ------------------------------------------------------------------------------------------------------------------------------------ DYAX CORP COMMON 26746E103 4274668 696200 696200 670600 25600 EGL INC COMMON 268484102 6883369 378415 378415 369215 9200 E M C CORP MASS COMMON 268648102 47357600 3749612 3749612 3388487 361125 ENSCO INTL INC COMMON 26874Q100 11580071 431770 431770 403570 28200 EOG RES INC COMMON 26875P101 2575358 61700 61700 61700 EPIX MEDICAL INC COMMON 26881Q101 1590164 92775 92775 91775 1000 EPIQ SY INC COMMON 26882D109 4644217 273350 273350 268850 4500 EBAY RESTRICTED RULE 145 COMMON 278642103 40186820 749195 749195 630799 118396 EBOOKERS PLC COMMON 278725106 4576409 251175 251175 246675 4500 ECHOSTAR COMMUNICATIONS COMMON 278762109 3929457 102570 102570 100970 1600 EDO CORP COMMON 281347104 89100 4400 4400 4400 EDUCATION MGMT CORP COMMON 28139T101 2871919 49670 49670 47050 2620 EL PASO CORP COMMON 28336L109 730 100 100 100 ELAN PLC COMMON 284131208 52900 10000 10000 10000 ELECTRONIC ARTS INC COMMON 285512109 9950370 107945 107945 106325 1620 EMERSON ELEC CO COMMON 291011104 35065 666 666 666 EMULEX CORP COMMON 292475209 1731960 68000 68000 15000 53000 ENERGY CONVERSION DEVICE COMMON 292659109 415670 39400 39400 39400 ENDOLOGIX INC COMMON 29266S106 82456 20875 20875 20875 ---------- --------- --------- ------ ------- --------- --------- -------- COLUMN TOTALS 142828301 7087818 7087818 6475691 612127
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FORM 13F 9/30/03 REPORTING MANAGER; ESSEX INVESTMENT MGMT CO PAGE 11 - ------------------------------------------------------------------------------------------------------------------------------------ ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 INVESTMENT DISCRETION VOTING AUTHORITY TITLE FAIR SHARES OR SHARED MANA- OF CUSIP MARKET PRINCIPAL SOLE SHARED OTHER GERS SOLE SHARED NONE NAME OF ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C) (A) (B) (C) - ------------------------------------------------------------------------------------------------------------------------------------ ENTERCOM COMMUNICATIONS COMMON 293639100 81797 1825 1825 1825 ENTRAVISION COMMUNICATIO COMMON 29382R107 489250 51500 51500 51500 EQUIFAX INC COMMON 294429105 5012643 225085 225085 220275 4810 EQUINIX INC COMMON 29444U502 1777324 95350 95350 92850 2500 EQUITY OFFICE PROPERTIES COMMON 294741103 52252 1898 1898 598 1300 ESPEED INC COMMON 296643109 16958 750 750 750 ESPERION THERAPEUTICS IN COMMON 29664R106 8393835 430895 430895 426995 3900 MICROBIA SER C COMMON 297991101 450004 109490 109490 109490 EXACT SCIENCES CORP COMMON 30063P105 5920493 438555 438555 374330 64225 EXAR CORP COMMON 300645108 3789747 269925 269925 267125 2800 EXCEL TECHNOLOGY INC COMMON 30067T103 2186250 87450 87450 86550 900 EXELON CORP COMMON 30161N101 63500 1000 1000 1000 EXPEDITORS INTL WASH INC COMMON 302130109 1898364 55185 55185 51450 3735 EXXON MOBIL CORP COMMON 30231G102 1238105 33828 33828 17768 16060 FPL GROUP INC COMMON 302571104 399740 6325 6325 4125 2200 FTI CONSULTING INC COMMON 302941109 9611327 553967 553967 546017 7950 FAIR ISAAC CORP COMMON 303250104 782694 13275 13275 13275 FAIRCHILD SEMICONDUCTOR COMMON 303726103 7672727 462770 462770 451300 11470 FAMILY DLR STORES INC COMMON 307000109 701067 17575 17575 17575 ---------- --------- --------- ------ ------- --------- --------- -------- COLUMN TOTALS 50538074 2856648 2856648 2624308 232340
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FORM 13F 9/30/03 REPORTING MANAGER; ESSEX INVESTMENT MGMT CO PAGE 12 - ------------------------------------------------------------------------------------------------------------------------------------ ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 INVESTMENT DISCRETION VOTING AUTHORITY TITLE FAIR SHARES OR SHARED MANA- OF CUSIP MARKET PRINCIPAL SOLE SHARED OTHER GERS SOLE SHARED NONE NAME OF ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C) (A) (B) (C) - ------------------------------------------------------------------------------------------------------------------------------------ FEDERAL NATL MTG ASSN COMMON 313586109 245138 3492 3492 3292 200 FEDEX CORP COMMON 31428X106 52111499 808808 808808 746823 61985 FELCOR LODGING TR INC COMMON 31430F101 30044 2900 2900 2900 FIRST DATA CORP COMMON 319963104 8055137 201580 201580 192205 9375 ONIX MICROSYSTEMS SER C COMMON 335990107 0 647409 647409 647409 FISERV INC COMMON 337738108 75483 2080 2080 2080 FLAMEL TECHNOLOGIES SA COMMON 338488109 63206 1875 1875 1875 FLEETBOSTON FINL CORP COMMON 339030108 45225 1500 1500 1500 FORD MTR CO DEL COMMON 345370860 4459 414 414 414 FOREST LABS INC COMMON 345838106 89770526 1744811 1744811 1600806 144005 FORMFACTOR INC COMMON 346375108 3470269 160735 160735 155965 4770 FOX ENTMT GROUP INC COMMON 35138T107 8523655 304525 304525 304525 FREEPORT-MCMORAN COPPER COMMON 35671D857 2440298 73725 73725 70225 3500 PHOTONEX SER C COMMON 359992104 934800 2049012 2049012 2049012 GABLES RESIDENTIAL TR COMMON 362418105 16160 500 500 500 GEN-PROBE INC NEW COMMON 36866T103 2537865 46850 46850 46850 GEMSTAR-TV GUIDE INTL IN COMMON 36866W106 23650 5000 5000 5000 GENENTECH INC COMMON 368710406 20465592 255373 255373 248873 6500 GENERAL ELEC CO COMMON 369604103 17406476 583914 583914 555062 28852 ---------- --------- --------- ------ ------- --------- --------- -------- COLUMN TOTALS 206219482 6894503 6894503 3935995 2958508
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FORM 13F 9/30/03 REPORTING MANAGER; ESSEX INVESTMENT MGMT CO PAGE 13 - ------------------------------------------------------------------------------------------------------------------------------------ ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 INVESTMENT DISCRETION VOTING AUTHORITY TITLE FAIR SHARES OR SHARED MANA- OF CUSIP MARKET PRINCIPAL SOLE SHARED OTHER GERS SOLE SHARED NONE NAME OF ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C) (A) (B) (C) - ------------------------------------------------------------------------------------------------------------------------------------ GENERAL MLS INC COMMON 370334104 40951 870 870 870 GENZYME CORP GENL DIV COMMON 372917104 26924402 581395 581395 545695 35700 GETTY IMAGES INC COMMON 374276103 5961202 169545 169545 142505 27040 GILEAD SCIENCES INC COMMON 375558103 65229383 1163979 1163979 1063943 100036 GILLETTE CO COMMON 375766102 61913 1936 1936 375 1561 GLAMIS GOLD LTD COMMON 376775102 1264560 95800 95800 91400 4400 GLOBAL PMTS INC COMMON 37940X102 8365680 232380 232380 219610 12770 GLOBESPANVIRATA INC COMMON 37957V106 28928937 4006778 4006778 3562028 444750 GOLDCORP INC NEW COMMON 380956409 1282924 91900 91900 87700 4200 GOLDEN TELECOM INC COMMON 38122G107 1543616 56460 56460 22425 34035 GOLDMAN SACHS GROUP INC COMMON 38141G104 34609086 412504 412504 371274 41230 GRAND CENTRAL SER A 3 COMMON 384990107 24821 50910 50910 50910 GRAND CENTRAL SER B 3 COMMON 384991105 85380 105071 105071 105071 GRANT PRIDECO INC COMMON 38821G101 3685723 361700 361700 357900 3800 GREY WOLF INC COMMON 397888108 404028 116100 116100 110600 5500 GUITAR CTR MGMT INC COMMON 402040109 38616 1200 1200 1200 GULFTERRA ENERGY PARTNER COMMON 40274U108 392980 9800 9800 9800 GYMBOREE CORP COMMON 403777105 1164609 82655 82655 59405 23250 HCC INS HLDGS INC COMMON 404132102 14703284 505615 505615 494830 10785 ---------- --------- --------- ------ ------- --------- --------- -------- COLUMN TOTALS 194712096 8046598 8046598 7140360 906238
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FORM 13F 9/30/03 REPORTING MANAGER; ESSEX INVESTMENT MGMT CO PAGE 14 - ------------------------------------------------------------------------------------------------------------------------------------ ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 INVESTMENT DISCRETION VOTING AUTHORITY TITLE FAIR SHARES OR SHARED MANA- OF CUSIP MARKET PRINCIPAL SOLE SHARED OTHER GERS SOLE SHARED NONE NAME OF ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C) (A) (B) (C) - ------------------------------------------------------------------------------------------------------------------------------------ HAIN CELESTIAL GROUP INC COMMON 405217100 19943 1100 1100 1100 HALLIBURTON CO COMMON 406216101 1213 50 50 50 HARMONY GOLD MNG LTD COMMON 413216300 1203395 83050 83050 79250 3800 HARRIS & HARRIS GROUP IN COMMON 413833104 182856 24000 24000 21050 2950 HARVEST NATURAL RESOURCE COMMON 41754V103 102090 16600 16600 16600 CONTINENTAL POTASH CO COMMON 421730094 1 1204 1204 1204 HEADWATERS INC COMMON 42210P102 1938188 120235 120235 119035 1200 HECLA MNG CO COMMON 422704106 984072 187800 187800 179200 8600 HEINZ H J CO COMMON 423074103 30852 900 900 900 HELIX TECHNOLOGY CORP COMMON 423319102 512068 31300 31300 31300 HEWLETT PACKARD CO COMMON 428236103 172304 8900 8900 8900 HOLLYWOOD ENTMT CORP COMMON 436141105 20292220 1193660 1193660 1152435 41225 HOT TOPIC INC COMMON 441339108 7546347 334798 334798 327173 7625 HUB INTERNATIONAL LTD COMMON 44332P101 89380 5450 5450 5450 HUDSON HIGHLAND GROUP IN COMMON 443792106 5329 277 277 217 60 HUNT J B TRANS SVCS INC COMMON 445658107 28300652 1080590 1080590 1060420 20170 HYPERION SOLUTIONS CORP COMMON 44914M104 24184332 833655 833655 682575 151080 ICOS CORP COMMON 449295104 622229 16225 16225 13175 3050 IDEC PHARMACEUTICALS COR COMMON 449370105 22113448 664267 664267 613805 50462 ---------- --------- --------- ------ ------- --------- --------- -------- COLUMN TOTALS 108300919 4604061 4604061 4312939 291122
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FORM 13F 9/30/03 REPORTING MANAGER; ESSEX INVESTMENT MGMT CO PAGE 15 - ------------------------------------------------------------------------------------------------------------------------------------ ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 INVESTMENT DISCRETION VOTING AUTHORITY TITLE FAIR SHARES OR SHARED MANA- OF CUSIP MARKET PRINCIPAL SOLE SHARED OTHER GERS SOLE SHARED NONE NAME OF ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C) (A) (B) (C) - ------------------------------------------------------------------------------------------------------------------------------------ IRT CORP COMMON 450052303 3973 15893 15893 15893 ITT EDUCATIONAL SERVICES COMMON 45068B109 4792000 100000 100000 100000 ICON PUB LTD CO COMMON 45103T107 82918 2200 2200 2200 IDEXX LABS INC COMMON 45168D104 3510375 82500 82500 81100 1400 IMAGISTICS INTERNATIONAL COMMON 45247T104 2782 96 96 96 IMMUCOR INC COMMON 452526106 157658 5850 5850 5850 IMPCO RESTRICTED PIPE COMMON 45255W106 143400 20000 20000 20000 INAMED CORP COMMON 453235103 194722 2650 2650 2650 INFINITY PPTY & CAS CORP COMMON 45665Q103 5893402 209655 209655 206255 3400 INFORMATICA CORP COMMON 45666Q102 2295984 308600 308600 308600 INSIGHT ENTERPRISES INC COMMON 45765U103 4785549 314425 314425 309225 5200 INSIGNIA SYS INC COMMON 45765Y105 63175 13300 13300 13300 INNKEEPERS USA TR COMMON 4576J0104 34800 4000 4000 4000 INSPIRE PHARMACEUTICALS COMMON 457733103 2577939 149100 149100 147800 1300 INTEGRATED SILICON SOLUT COMMON 45812P107 1203950 121000 121000 119000 2000 INTEL CORP COMMON 458140100 49811503 1810011 1810011 1636064 173947 INTERACTIVECORP COMMON 45840Q101 28752195 866552 866552 707843 158709 INTERMAGNETICS GEN CORP COMMON 458771102 89440 4000 4000 4000 INTERACTIVE VIDEO TECH COMMON 458990108 3239 6478 6478 6478 ---------- --------- --------- ------ ------- --------- --------- -------- COLUMN TOTALS 104399003 4036310 4036310 3679876 356434
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FORM 13F 9/30/03 REPORTING MANAGER; ESSEX INVESTMENT MGMT CO PAGE 16 - ------------------------------------------------------------------------------------------------------------------------------------ ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 INVESTMENT DISCRETION VOTING AUTHORITY TITLE FAIR SHARES OR SHARED MANA- OF CUSIP MARKET PRINCIPAL SOLE SHARED OTHER GERS SOLE SHARED NONE NAME OF ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C) (A) (B) (C) - ------------------------------------------------------------------------------------------------------------------------------------ INTERNATIONAL BUSINESS M COMMON 459200101 1541623 17453 17453 16783 670 INTERNATIONAL SPEEDWAY C COMMON 460335201 4565 104 104 104 INTERPORE INTL COMMON 46062W107 4317158 281065 281065 278065 3000 INTERPUBLIC GROUP COS IN COMMON 460690100 8472 600 600 600 INTERSIL CORP COMMON 46069S109 5152105 216475 216475 216475 INTEROIL CORP PIPE COMMON 460951106 1217163 50000 50000 50000 INTERVIDEO INC COMMON 46114Y101 3079898 143585 143585 139405 4180 INTRADO INC COMMON 46117A100 18266599 801870 801870 775215 26655 INTUIT COMMON 461202103 57888 1200 1200 1200 INVERNESS MED INNOVATION COMMON 46126P106 606552 23880 23880 23880 INVITROGEN CORP COMMON 46185R100 767705 13250 13250 12550 700 INVESTORS FINL SERVICES COMMON 461915100 5156002 163475 163475 160975 2500 IONICS INC COMMON 462218108 727074 29725 29725 29725 IPASS INC COMMON 46261V108 258265 10990 10990 9270 1720 IRON MTN INC PA COMMON 462846106 161550 4500 4500 4500 ITRON INC COMMON 465741106 7929317 395280 395280 385730 9550 J P MORGAN CHASE & CO COMMON 46625H100 38106 1110 1110 1110 JAMESON INNS INC COMMON 470457102 19821 7900 7900 7900 JEFFERIES GROUP INC NEW COMMON 472319102 1425138 49570 49570 49570 ---------- --------- --------- ------ ------- --------- --------- -------- COLUMN TOTALS 50735000 2212032 2212032 2154047 57985
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FORM 13F 9/30/03 REPORTING MANAGER; ESSEX INVESTMENT MGMT CO PAGE 17 - ------------------------------------------------------------------------------------------------------------------------------------ ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 INVESTMENT DISCRETION VOTING AUTHORITY TITLE FAIR SHARES OR SHARED MANA- OF CUSIP MARKET PRINCIPAL SOLE SHARED OTHER GERS SOLE SHARED NONE NAME OF ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C) (A) (B) (C) - ------------------------------------------------------------------------------------------------------------------------------------ JETBLUE AWYS CORP COMMON 477143101 44579624 732254 732254 635560 96694 JOHNSON & JOHNSON COMMON 478160104 15123507 305402 305402 244215 61187 JOS A BANK CLOTHIERS INC COMMON 480838101 12852452 292900 292900 292900 JUNIPER NETWORKS INC COMMON 48203R104 387000 25800 25800 25800 JUPITER MEDIA METRIX INC COMMON 48206U104 1778 8082 8082 8082 KLA-TENCOR CORP COMMON 482480100 4644000 90000 90000 62800 27200 KVH INDS INC COMMON 482738101 7658832 303080 303080 290380 12700 KANSAS CITY SOUTHERN COMMON 485170302 6642 600 600 600 KEY ENERGY SVCS INC COMMON 492914106 13380931 1386625 1386625 1360750 25875 KEYSPAN CORP COMMON 49337W100 8419 240 240 240 KFORCE INC COMMON 493732101 3203832 411275 411275 407175 4100 KILROY RLTY CORP COMMON 49427F108 14275 500 500 500 KIMCO REALTY CORP COMMON 49446R109 84070 2052 2052 2052 KOHLS CORP COMMON 500255104 49488 925 925 750 175 KRONOS INC COMMON 501052104 1838623 34750 34750 33750 1000 L-3 COMMUNICATIONS HLDGS COMMON 502424104 700650 16200 16200 16200 LABOR READY INC COMMON 505401208 102510 10200 10200 10200 LAM RESEARCH CORP COMMON 512807108 971451 43700 43700 43700 LAMAR ADVERTISING CO COMMON 512815101 3653187 124005 124005 109205 14800 ---------- --------- --------- ------ ------- --------- --------- -------- COLUMN TOTALS 109261271 3788590 3788590 3544359 244231
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FORM 13F 9/30/03 REPORTING MANAGER; ESSEX INVESTMENT MGMT CO PAGE 18 - ------------------------------------------------------------------------------------------------------------------------------------ ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 INVESTMENT DISCRETION VOTING AUTHORITY TITLE FAIR SHARES OR SHARED MANA- OF CUSIP MARKET PRINCIPAL SOLE SHARED OTHER GERS SOLE SHARED NONE NAME OF ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C) (A) (B) (C) - ------------------------------------------------------------------------------------------------------------------------------------ LEAPFROG ENTERPRISES INC COMMON 52186N106 6034590 158805 158805 150855 7950 LEHMAN BROS HLDGS INC COMMON 524908100 89804 1300 1300 1300 LEVEL 3 COMMUNICATIONS I COMMON 52729N100 586254 108165 108165 105375 2790 LEXICON GENETICS INC COMMON 528872104 3841491 744475 744475 739375 5100 LIBERTY PPTY TR COMMON 531172104 232974 6300 6300 900 5400 LILLY ELI & CO COMMON 532457108 1720521 28965 28965 28765 200 LIN TV CORP COMMON 532774106 267026 12560 12560 10560 2000 LINEAR TECHNOLOGY CORP COMMON 535678106 13809157 384335 384335 332185 52150 LINENS N THINGS INC COMMON 535679104 5423861 228085 228085 224285 3800 LIONBRIDGE TECHNOLOGIES COMMON 536252109 831390 111000 111000 107800 3200 LOCKHEED MARTIN CORP COMMON 539830109 2312207 50102 50102 37062 13040 LOWES COS INC COMMON 548661107 62280 1200 1200 1200 LUCENT TECH 145 COMMON 549463107 6162 2853 2853 2853 INCIPIENT SER B COMMON 549990109 500006 117455 117455 117455 LUMINEX CORP DEL COMMON 55027E102 1938636 290650 290650 283150 7500 M D C HLDGS INC COMMON 552676108 2629800 48700 48700 48200 500 MPSI SYSTEMS (UNRESTR) COMMON 553412206 2665 20500 20500 20500 MSC INDL DIRECT INC COMMON 553530106 7995245 383465 383465 381465 2000 MACROVISION CORP COMMON 555904101 3585300 193800 193800 193800 ---------- --------- --------- ------ ------- --------- --------- -------- COLUMN TOTALS 51869369 2892715 2892715 2669630 223085
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FORM 13F 9/30/03 REPORTING MANAGER; ESSEX INVESTMENT MGMT CO PAGE 19 - ------------------------------------------------------------------------------------------------------------------------------------ ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 INVESTMENT DISCRETION VOTING AUTHORITY TITLE FAIR SHARES OR SHARED MANA- OF CUSIP MARKET PRINCIPAL SOLE SHARED OTHER GERS SOLE SHARED NONE NAME OF ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C) (A) (B) (C) - ------------------------------------------------------------------------------------------------------------------------------------ MACROMEDIA INC COMMON 556100105 4974751 203300 203300 203300 MAGMA DESIGN AUTOMATION COMMON 559181102 18317082 934545 934545 873245 61300 MANAGEMENT NETWORK GROUP COMMON 561693102 70750 28300 28300 28300 MANHATTAN ASSOCS INC COMMON 562750109 6473036 249635 249635 245635 4000 MANPOWER INC COMMON 56418H100 936775 25250 25250 25250 MARINE PRODS CORP COMMON 568427108 381248 25900 25900 25700 200 MARSH & MCLENNAN COS INC COMMON 571748102 4761 100 100 100 MARTEK BIOSCIENCES CORP COMMON 572901106 114535932 2176248 2176248 1998058 178190 MARTEN TRANS LTD COMMON 573075108 17087188 656190 656190 595260 60930 MAXIM INTEGRATED PRODS I COMMON 57772K101 35634242 904652 904652 840702 63950 MAVERICK TUBE CORP COMMON 577914104 4167353 268515 268515 264015 4500 MCDATA CORP COMMON 580031201 97031748 8133424 8133424 7322944 810480 MCGRAW HILL COS INC COMMON 580645109 23822444 383429 383429 370865 12564 MCKESSON CORP COMMON 58155Q103 1808479 54325 54325 54325 MEDCO HEALTH SOLUTIONS I COMMON 58405U102 830 32 32 32 MEDICINES CO COMMON 584688105 6138473 236550 236550 233350 3200 MEDICIS PHARMACEUTICAL C COMMON 584690309 320835 5475 5475 5475 MEDIMMUNE INC COMMON 584699102 13149144 398097 398097 393057 5040 MEDTRONIC INC COMMON 585055106 52081435 1110005 1110005 1006724 103281 ---------- --------- --------- ------ ------- --------- --------- -------- COLUMN TOTALS 396936505 15793972 15793972 14486205 1307767
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FORM 13F 9/30/03 REPORTING MANAGER; ESSEX INVESTMENT MGMT CO PAGE 20 - ------------------------------------------------------------------------------------------------------------------------------------ ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 INVESTMENT DISCRETION VOTING AUTHORITY TITLE FAIR SHARES OR SHARED MANA- OF CUSIP MARKET PRINCIPAL SOLE SHARED OTHER GERS SOLE SHARED NONE NAME OF ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C) (A) (B) (C) - ------------------------------------------------------------------------------------------------------------------------------------ MENTOR GRAPHICS CORP COMMON 587200106 20276433 1152725 1152725 1074825 77900 MERCK & CO INC COMMON 589331107 268539 5305 5305 1250 4055 MERCURY INTERACTIVE CORP COMMON 589405109 5774100 126625 126625 77675 48950 MERGE TECHNOLOGIES INC COMMON 589981109 3552824 210725 210725 207625 3100 MERIX CORP COMMON 590049102 13274615 805010 805010 758675 46335 MERRILL LYNCH & CO INC COMMON 590188108 15354545 286840 286840 283340 3500 METROLOGIC INSTRS INC COMMON 591676101 90000 2500 2500 2500 MICHAELS STORES INC COMMON 594087108 135731 3330 3330 3330 MICROSOFT CORP COMMON 594918104 83815332 3014940 3014940 2718824 296116 MICROSTRATEGY INC COMMON 594972408 27333927 594345 594345 552915 41430 MICROMUSE INC COMMON 595094103 30484447 3726705 3726705 3313855 412850 MICRON TECHNOLOGY INC COMMON 595112103 3595554 267925 267925 169200 98725 MICROSEMI CORP COMMON 595137100 11160830 737175 737175 724825 12350 MID ATLANTIC MED SVCS IN COMMON 59523C107 1598187 31075 31075 30375 700 MILLENNIUM PHARMACEUTICA COMMON 599902103 192770 12477 12477 6164 6313 MILLIPORE CORP COMMON 601073109 299390 6500 6500 6500 MOBILE TELESYSTEMS OJSC COMMON 607409109 2412440 32800 32800 31900 900 MONSANTO CO NEW COMMON 61166W101 2035 85 85 85 MONSTER WORLDWIDE INC COMMON 611742107 93314 3700 3700 2900 800 ---------- --------- --------- ------ ------- --------- --------- -------- COLUMN TOTALS 219715011 11020787 11020787 9964263 1056524
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FORM 13F 9/30/03 REPORTING MANAGER; ESSEX INVESTMENT MGMT CO PAGE 21 - ------------------------------------------------------------------------------------------------------------------------------------ ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 INVESTMENT DISCRETION VOTING AUTHORITY TITLE FAIR SHARES OR SHARED MANA- OF CUSIP MARKET PRINCIPAL SOLE SHARED OTHER GERS SOLE SHARED NONE NAME OF ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C) (A) (B) (C) - ------------------------------------------------------------------------------------------------------------------------------------ MOTOROLA INC COMMON 620076109 53417 4470 4470 4470 MOTOROLA INC/CV/LYON BND CV 620076AE9 190000 250000 250000 250000 MOVIE GALLERY INC COMMON 624581104 165163 8350 8350 8350 MYLAN LABS INC COMMON 628530107 1882255 48700 48700 48700 NBTY INC COMMON 628782104 37172033 1591950 1591950 1435170 156780 NCO GROUP INC BND CV 628858AC6 423870 426000 426000 387000 39000 NEC CORP COMMON 629050204 2531246 337050 337050 327850 9200 NIC INC COMMON 62914B100 657496 139300 139300 133200 6100 NATIONAL FINL PARTNERS C COMMON 63607P208 568080 21040 21040 20260 780 NATIONAL SEMICONDUCTOR C COMMON 637640103 908964 28150 28150 9500 18650 NEOFORMA COM INC COMMON 640475505 111009 7901 7901 7901 NETFLIX COM INC COMMON 64110L106 39486864 1176605 1176605 1119620 56985 NETEASE COM INC COMMON 64110W102 2750546 49240 49240 47200 2040 NETGEAR INC COMMON 64111Q104 15248480 916375 916375 807525 108850 NETSCREEN TECHNOLOGIES I COMMON 64117V107 30708967 1381420 1381420 1219355 162065 NETWORK ENGINES INC COMMON 64121A107 8510717 1327725 1327725 1289825 37900 NEUROCRINE BIOSCIENCES I COMMON 64125C109 554288 11200 11200 11200 NEUROCHEM INC COMMON 64125K101 60350 5000 5000 5000 NEWCASTLE INVT CORP COMMON 65105M108 603488 26250 26250 18300 7950 ---------- --------- --------- ------ ------- --------- --------- -------- COLUMN TOTALS 142587231 7756726 7756726 7150426 606300
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FORM 13F 9/30/03 REPORTING MANAGER; ESSEX INVESTMENT MGMT CO PAGE 22 - ------------------------------------------------------------------------------------------------------------------------------------ ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 INVESTMENT DISCRETION VOTING AUTHORITY TITLE FAIR SHARES OR SHARED MANA- OF CUSIP MARKET PRINCIPAL SOLE SHARED OTHER GERS SOLE SHARED NONE NAME OF ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C) (A) (B) (C) - ------------------------------------------------------------------------------------------------------------------------------------ NEWFIELD EXPL CO COMMON 651290108 96425 2500 2500 2500 NEWMONT MINING CORP HLDG COMMON 651639106 4343876 111125 111125 100475 10650 NEXTEL COMMUNICATIONS IN COMMON 65332V103 4208085 213500 213500 181500 32000 NIKU CORP COMMON 654113703 16418 2246 2246 2246 99 CENTS ONLY STORES COMMON 65440K106 11655498 360405 360405 354835 5570 NOKIA CORP COMMON 654902204 45571531 2921252 2921252 2535342 385910 NOBLE ENERGY INC COMMON 655044105 268100 7000 7000 6700 300 NORTHROP GRUMMAN CORP COMMON 666807102 2216802 25711 25711 19961 5750 NOVELLUS SYS INC COMMON 670008101 1254960 37350 37350 22000 15350 NUVEEN INVTS INC COMMON 67090F106 5922785 215374 215374 214324 1050 ODYSSEY HEALTHCARE INC COMMON 67611V101 28619447 959740 959740 944160 15580 OFFSHORE LOGISTICS INC COMMON 676255102 896550 44165 44165 32065 12100 OLD DOMINION FGHT LINES COMMON 679580100 11627231 395888 395888 388448 7440 OMNIVISION TECHNOLOGIES COMMON 682128103 31658 750 750 750 ONLINE RES CORP COMMON 68273G101 3039713 431165 431165 399865 31300 OPEN JT STK CO-VIMPEL CO COMMON 68370R109 5481965 90075 90075 39725 50350 OPENWAVE SYS INC COMMON 683718100 1596571 379233 379233 368706 10527 ORACLE CORP COMMON 68389X105 2813 250 250 250 ORTHOLOGIC CORP COMMON 68750J107 12478 2298 2298 2298 ---------- --------- --------- ------ ------- --------- --------- -------- COLUMN TOTALS 126862905 6200027 6200027 5615900 584127
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FORM 13F 9/30/03 REPORTING MANAGER; ESSEX INVESTMENT MGMT CO PAGE 23 - ------------------------------------------------------------------------------------------------------------------------------------ ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 INVESTMENT DISCRETION VOTING AUTHORITY TITLE FAIR SHARES OR SHARED MANA- OF CUSIP MARKET PRINCIPAL SOLE SHARED OTHER GERS SOLE SHARED NONE NAME OF ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C) (A) (B) (C) - ------------------------------------------------------------------------------------------------------------------------------------ OSTEOTECH INC COMMON 688582105 4950206 600025 600025 590325 9700 OXYGEN SER A 3 COMMON 692990104 15447 41191 41191 41191 P A M TRANSN SVCS INC COMMON 693149106 114912 5600 5600 5600 PC-TEL INC COMMON 69325Q105 2085619 195100 195100 193000 2100 P F CHANGS CHINA BISTRO COMMON 69333Y108 117910 2600 2600 1100 1500 PATTERSON UTI ENERGY INC COMMON 703481101 4115181 152020 152020 146775 5245 PEABODY ENERGY CORP COMMON 704549104 184142 5870 5870 3970 1900 PEAPACK-GLADSTONE FINL C COMMON 704699107 136708 4400 4400 4400 PENWEST PHARMACEUTICALS COMMON 709754105 3236474 148735 148735 146235 2500 PEPSICO INC COMMON 713448108 155135 3385 3385 1910 1475 PERKINELMER INC COMMON 714046109 324955 21225 21225 21225 PETCO ANIMAL SUPPLIES COMMON 716016209 3745200 120000 120000 120000 PFIZER INC COMMON 717081103 3474986 114384 114384 112459 1925 PHARMACEUTICAL RES INC COMMON 717125108 1630458 23900 23900 23900 PHOTON DYNAMICS INC COMMON 719364101 636633 21900 21900 5000 16900 PHOTRONICS INC COMMON 719405102 5619776 262975 262975 230500 32475 PITNEY BOWES INC COMMON 724479100 45984 1200 1200 1200 PLACER DOME INC COMMON 725906101 21313 1550 1550 1550 PLANTRONICS INC NEW COMMON 727493108 4552606 190725 190725 188025 2700 ---------- --------- --------- ------ ------- --------- --------- -------- COLUMN TOTALS 35163643 1916785 1916785 1791224 125561
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FORM 13F 9/30/03 REPORTING MANAGER; ESSEX INVESTMENT MGMT CO PAGE 24 - ------------------------------------------------------------------------------------------------------------------------------------ ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 INVESTMENT DISCRETION VOTING AUTHORITY TITLE FAIR SHARES OR SHARED MANA- OF CUSIP MARKET PRINCIPAL SOLE SHARED OTHER GERS SOLE SHARED NONE NAME OF ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C) (A) (B) (C) - ------------------------------------------------------------------------------------------------------------------------------------ PLUG POWER INC COMMON 72919P103 474525 92500 92500 92500 POGO PRODUCING CO COMMON 730448107 9061886 200130 200130 193825 6305 PORTAL SOFTWARE INC COMMON 736126301 3717853 254822 254822 244000 10822 POWERWAVE TECHNOLOGIES I COMMON 739363109 140436 21150 21150 21150 POZEN INC COMMON 73941U102 273948 15425 15425 15425 PRAXAIR INC COMMON 74005P104 1311482 21170 21170 19030 2140 PRENTISS PPTYS TR COMMON 740706106 280550 9050 9050 3050 6000 PRICELINE COM INC COMMON 741503403 7260 250 250 250 PRIDE INTL INC DEL COMMON 74153Q102 7472831 440875 440875 436675 4200 PROCTER & GAMBLE CO COMMON 742718109 513759 5535 5535 1905 3630 PROGENICS PHARMACEUTICAL COMMON 743187106 97641 5700 5700 5700 PROMEGA CORP PRIVATE CO COMMON 74342N101 4423 882 882 882 PROTEIN DESIGN LABS INC COMMON 74369L103 16857120 1199795 1199795 1081720 118075 PROVINCE HEALTHCARE CO COMMON 743977100 9335655 720900 720900 709400 11500 PSYCHIATRIC SOLUTIONS IN COMMON 74439H108 851928 61600 61600 59500 2100 PUBLIC SVC ENTERPRISE GR COMMON 744573106 218400 5200 5200 5200 PUMATECH INC COMMON 745887109 2512090 527750 527750 501750 26000 QLOGIC CORP COMMON 747277101 36802672 782869 782869 747489 35380 QUALCOMM INC COMMON 747525103 1093838 26250 26250 5100 21150 ---------- --------- --------- ------ ------- --------- --------- -------- COLUMN TOTALS 91028296 4391853 4391853 4144551 247302
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FORM 13F 9/30/03 REPORTING MANAGER; ESSEX INVESTMENT MGMT CO PAGE 25 - ------------------------------------------------------------------------------------------------------------------------------------ ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 INVESTMENT DISCRETION VOTING AUTHORITY TITLE FAIR SHARES OR SHARED MANA- OF CUSIP MARKET PRINCIPAL SOLE SHARED OTHER GERS SOLE SHARED NONE NAME OF ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C) (A) (B) (C) - ------------------------------------------------------------------------------------------------------------------------------------ QUANTA SVCS INC COMMON 74762E102 456504 55200 55200 55200 QUANTUM FUEL SYS TECH WO COMMON 74765E109 161831 23975 23975 23975 QUEST SOFTWARE INC COMMON 74834T103 68495322 5632839 5632839 4940854 691985 RF MICRODEVICES INC COMMON 749941100 1373526 148650 148650 144650 4000 RAMBUS INC DEL COMMON 750917106 1232688 73200 73200 73200 RANDGOLD RES LTD COMMON 752344309 1437500 62500 62500 51300 11200 RANDGOLD & EXPL LTD COMMON 753009307 1429201 108850 108850 94200 14650 RARE HOSPITALITY INTL IN COMMON 753820109 12681681 509100 509100 509100 UTD SPORTS SURF OF AMER COMMON 755990108 230000 1150000 1150000 1150000 REALNETWORKS INC COMMON 75605L104 6679778 1030830 1030830 914750 116080 RED ROBIN GOURMET BURGER COMMON 75689M101 1433398 56300 56300 41050 15250 REGENERX BIOPHARMACEUTIC COMMON 75886X108 1047907 1037532 1037532 1037532 RESEARCH IN MOTION LTD COMMON 760975102 953663 24965 24965 24325 640 RESMED INC COMMON 761152107 350741 7975 7975 7975 RESPIRONICS INC COMMON 761230101 30220334 722456 722456 634006 88450 ROCHE HLDG LTD COMMON 771195104 8292 100 100 100 ROCKWELL AUTOMATION INC COMMON 773903109 5452125 207700 207700 207700 ROHM & HAAS CO COMMON 775371107 46830 1400 1400 1400 ROPER INDS INC NEW COMMON 776696106 17878364 410525 410525 406225 4300 ---------- --------- --------- ------ ------- --------- --------- -------- COLUMN TOTALS 151569685 11264097 11264097 10293567 970530
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FORM 13F 9/30/03 REPORTING MANAGER; ESSEX INVESTMENT MGMT CO PAGE 26 - ------------------------------------------------------------------------------------------------------------------------------------ ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 INVESTMENT DISCRETION VOTING AUTHORITY TITLE FAIR SHARES OR SHARED MANA- OF CUSIP MARKET PRINCIPAL SOLE SHARED OTHER GERS SOLE SHARED NONE NAME OF ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C) (A) (B) (C) - ------------------------------------------------------------------------------------------------------------------------------------ ROWAN COS INC COMMON 779382100 1421953 57850 57850 56750 1100 ROYAL DUTCH PETE CO COMMON 780257804 520853 11784 11784 300 11484 ROYAL GOLD INC COMMON 780287108 1323662 72450 72450 60850 11600 RUBY TUESDAY INC COMMON 781182100 7125952 295560 295560 283660 11900 RUDOLPH TECHNOLOGIES INC COMMON 781270103 9000353 465375 465375 456675 8700 RYANAIR HLDGS PLC COMMON 783513104 8018201 198225 198225 156600 41625 RYLAND GROUP INC COMMON 783764103 1199004 16400 16400 15900 500 SBC COMMUNICATIONS INC COMMON 78387G103 12238 550 550 150 400 SAFEGUARD SCIENTIFICS IN COMMON 786449108 299540 88100 88100 88100 SAFENET INC COMMON 78645R107 32632544 903198 903198 777983 125215 SAFETY INS GROUP INC COMMON 78648T100 776000 50000 50000 50000 SAFEWAY INC COMMON 786514208 2294 100 100 100 ST JUDE MED INC COMMON 790849103 664328 12355 12355 12355 ST MARY LD & EXPL CO COMMON 792228108 975326 38520 38520 36700 1820 STAGECAST SER B COMMON 80589M102 281339 295033 295033 295033 SBS BROADCASTING SA BND CV 805906AB0 393900 390000 390000 390000 SCHEIN HENRY INC COMMON 806407102 15234291 268635 268635 255635 13000 SCHLUMBERGER LTD COMMON 806857108 52396727 1082577 1082577 976767 105810 SECURE COMPUTING CORP COMMON 813705100 4601336 393950 393950 375350 18600 ---------- --------- --------- ------ ------- --------- --------- -------- COLUMN TOTALS 136879839 4640662 4640662 3993775 646887
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FORM 13F 9/30/03 REPORTING MANAGER; ESSEX INVESTMENT MGMT CO PAGE 27 - ------------------------------------------------------------------------------------------------------------------------------------ ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 INVESTMENT DISCRETION VOTING AUTHORITY TITLE FAIR SHARES OR SHARED MANA- OF CUSIP MARKET PRINCIPAL SOLE SHARED OTHER GERS SOLE SHARED NONE NAME OF ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C) (A) (B) (C) - ------------------------------------------------------------------------------------------------------------------------------------ SELECTICA INC COMMON 816288104 831 175 175 175 SICOR INC COMMON 825846108 1217013 63025 63025 63025 SIGMATEL INC COMMON 82661W107 12241000 593935 593935 555810 38125 SILICON IMAGE INC COMMON 82705T102 7996838 1777075 1777075 1637925 139150 SIRENZA MICRODEVICES INC COMMON 82966T106 2708261 672025 672025 664825 7200 SIRIUS SATELLITE RADIO I COMMON 82966U103 2448992 1345600 1345600 1316400 29200 SITARA NETWORKS CNV COM COMMON 829991108 24886 20482 20482 20482 SMITH INTL INC COMMON 832110100 20764238 577105 577105 543150 33955 SMITHFIELD FOODS INC COMMON 832248108 2471520 128725 128725 126025 2700 SOFTECH INC COMMON 834021107 6820 31000 31000 31000 SOHU COM INC COMMON 83408W103 2533219 81245 81245 78450 2795 SOLID (EURO DENOM) RSTR COMMON 834993107 2638529 1387285 1387285 1387285 SONUS NETWORKS INC COMMON 835916107 9417758 1359180 1359180 1331975 27205 SOUTHERN CO COMMON 842587107 347798 11850 11850 7900 3950 SPANISH BROADCASTING SYS COMMON 846425882 6227627 733525 733525 733525 SPINNAKER EXPL CO COMMON 84855W109 43200 1800 1800 1100 700 STANDARD MTR PRODS INC COMMON 853666105 3825880 378800 378800 372500 6300 STAPLES INC COMMON 855030102 9298 390 390 390 STARBUCKS CORP COMMON 855244109 719424 24980 24980 22680 2300 ---------- --------- --------- ------ ------- --------- --------- -------- COLUMN TOTALS 75643131 9188202 9188202 7486855 1701347
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FORM 13F 9/30/03 REPORTING MANAGER; ESSEX INVESTMENT MGMT CO PAGE 28 - ------------------------------------------------------------------------------------------------------------------------------------ ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 INVESTMENT DISCRETION VOTING AUTHORITY TITLE FAIR SHARES OR SHARED MANA- OF CUSIP MARKET PRINCIPAL SOLE SHARED OTHER GERS SOLE SHARED NONE NAME OF ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C) (A) (B) (C) - ------------------------------------------------------------------------------------------------------------------------------------ STATE STR CORP COMMON 857477103 66375 1475 1475 1275 200 STERICYCLE INC COMMON 858912108 22366969 473375 473375 452330 21045 STORAGE TECHNOLOGY CORP COMMON 862111200 21354485 884610 884610 795660 88950 STRYKER CORP COMMON 863667101 5435951 72181 72181 70870 1311 SUNOCO INC COMMON 86764P109 86151 2142 2142 2142 SUPPORTSOFT INC COMMON 868587106 7453827 666115 666115 630265 35850 SYMANTEC CORP COMMON 871503108 22867513 361885 361885 334635 27250 SYNOPSYS INC COMMON 871607107 39178425 1267500 1267500 1130520 136980 TECO ENERGY INC COMMON 872375100 142692 10325 10325 6375 3950 TJX COS INC NEW COMMON 872540109 3938376 202800 202800 202800 TXU CORP COMMON 873168108 53010 2250 2250 2250 TAIWAN SEMICONDUCTOR MFG COMMON 874039100 3087611 285098 285098 225396 59702 TAKE-TWO INTERACTIVE SOF COMMON 874054109 4631242 135575 135575 133375 2200 TECH DATA CORP COMMON 878237106 1183869 38375 38375 38375 TELIK INC COMMON 87959M109 9057792 451310 451310 389055 62255 TERADYNE INC COMMON 880770102 19530 1050 1050 1050 TEVA PHARMACEUTICAL INDS COMMON 881624209 73476546 1284555 1284555 1138938 145617 TEXAS INSTRS INC COMMON 882508104 955548 41910 41910 37700 4210 THERMO ELECTRON CORP COMMON 883556102 579390 26700 26700 26700 ---------- --------- --------- ------ ------- --------- --------- -------- COLUMN TOTALS 215935302 6209231 6209231 5614269 594962
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FORM 13F 9/30/03 REPORTING MANAGER; ESSEX INVESTMENT MGMT CO PAGE 29 - ------------------------------------------------------------------------------------------------------------------------------------ ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 INVESTMENT DISCRETION VOTING AUTHORITY TITLE FAIR SHARES OR SHARED MANA- OF CUSIP MARKET PRINCIPAL SOLE SHARED OTHER GERS SOLE SHARED NONE NAME OF ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C) (A) (B) (C) - ------------------------------------------------------------------------------------------------------------------------------------ THORATEC CORP COMMON 885175307 610366 35925 35925 35925 3COM CORP COMMON 885535104 10393031 1758550 1758550 1457845 300705 3M CO COMMON 88579Y101 18333941 265440 265440 256480 8960 TRANSMETA CORP DEL COMMON 89376R109 667849 232700 232700 226600 6100 TRAVELERS PPTY CLASS A COMMON 89420G109 318950 20085 20085 19375 710 TRAVELERS PPTY CLASS B COMMON 89420G406 318 20 20 20 TRIBUNE CO NEW COMMON 896047107 296698 6464 6464 6464 TWEETER HOME ENTMT GROUP COMMON 901167106 5767949 751035 751035 745610 5425 TYCO INTL LTD NEW COMMON 902124106 2554 125 125 125 URS CORP NEW COMMON 903236107 3660295 188675 188675 185475 3200 ULTRA PETROLEUM CORP COMMON 903914109 297833 21350 21350 20350 1000 NOVERA OPTICS, INC SER C COMMON 903990109 3000000 1234568 1234568 1234568 UNION PAC CORP COMMON 907818108 2956432 50824 50824 30730 20094 UNITED MICROELECTRONICS COMMON 910873207 1679786 372458 372458 372458 UNITED ONLINE INC COMMON 911268100 5632849 161910 161910 158310 3600 UNITED PARCEL SERVICE IN COMMON 911312106 24091965 377617 377617 337100 40517 UNITED TECHNOLOGIES CORP COMMON 913017109 168470 2180 2180 1630 550 UNITEDHEALTH GROUP INC COMMON 91324P102 2870555 57046 57046 33300 23746 URBAN OUTFITTERS INC COMMON 917047102 24197231 928520 928520 912920 15600 ---------- --------- --------- ------ ------- --------- --------- -------- COLUMN TOTALS 104947069 6465492 6465492 4800572 1664920
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FORM 13F 9/30/03 REPORTING MANAGER; ESSEX INVESTMENT MGMT CO PAGE 30 - ------------------------------------------------------------------------------------------------------------------------------------ ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 INVESTMENT DISCRETION VOTING AUTHORITY TITLE FAIR SHARES OR SHARED MANA- OF CUSIP MARKET PRINCIPAL SOLE SHARED OTHER GERS SOLE SHARED NONE NAME OF ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C) (A) (B) (C) - ------------------------------------------------------------------------------------------------------------------------------------ UTSTARCOM INC COMMON 918076100 1294260 40700 40700 40700 VCA ANTECH INC COMMON 918194101 534585 22700 22700 21300 1400 VALENCE TECHNOLOGY INC COMMON 918914102 262536 76990 76990 63190 13800 VARCO INTL INC DEL COMMON 922122106 3027566 179040 179040 173350 5690 VARIAN MED SYS INC COMMON 92220P105 3430406 59680 59680 57265 2415 VELOCITY EXPRESS SERIS H COMMON 92257T202 17716 24618 24618 24618 VERITAS SOFTWARE CO COMMON 923436109 52323 1660 1660 1660 VERISIGN INC COMMON 92343E102 4282972 318200 318200 245180 73020 VERIZON COMMUNICATIONS COMMON 92343V104 107084 3301 3301 2691 610 VIACOM INC/CL B COMMON 925524308 62069210 1620606 1620606 1442381 178225 VIGNETTE CORP COMMON 926734104 57500 25000 25000 25000 VISTACARE INC COMMON 92839Y109 5198608 164565 164565 152220 12345 VISUAL NTWKS 144K COMMON 928444108 10862 5431 5431 5431 VISX INC DEL COMMON 92844S105 751523 39450 39450 39450 VITESSE SEMICONDUCTOR CO COMMON 928497106 60318 9410 9410 9410 WAL MART STORES INC COMMON 931142103 53421251 956513 956513 871823 84690 WALGREEN CO COMMON 931422109 6894 225 225 225 WASTE CONNECTIONS INC COMMON 941053100 20665729 588935 588935 562455 26480 WEBEX COMMUNICATIONS INC COMMON 94767L109 940224 49800 49800 48500 1300 ---------- --------- --------- ------ ------- --------- --------- -------- COLUMN TOTALS 156191568 4186824 4186824 3720924 465900
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FORM 13F 9/30/03 REPORTING MANAGER; ESSEX INVESTMENT MGMT CO PAGE 31 - ------------------------------------------------------------------------------------------------------------------------------------ ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 INVESTMENT DISCRETION VOTING AUTHORITY TITLE FAIR SHARES OR SHARED MANA- OF CUSIP MARKET PRINCIPAL SOLE SHARED OTHER GERS SOLE SHARED NONE NAME OF ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C) (A) (B) (C) - ------------------------------------------------------------------------------------------------------------------------------------ WEBMETHODS INC COMMON 94768C108 1684 210 210 210 WEBMD CORP COMMON 94769M105 8623594 963530 963530 951730 11800 WEIGHT WATCHERS INTL INC COMMON 948626106 37440 900 900 900 WELLPOINT HEALTH NETWORK COMMON 94973H108 52414 680 680 680 WELLS FARGO & CO NEW COMMON 949746101 13421570 260613 260613 257213 3400 WESTELL TECHNOLOGIES INC COMMON 957541105 10305004 1375835 1375835 1354600 21235 WESTERN WIRELESS CORP COMMON 95988E204 1461861 78300 78300 78300 WEYERHAEUSER CO COMMON 962166104 70140 1200 1200 1200 WINTRUST FINANCIAL CORP COMMON 97650W108 139860 3700 3700 3700 WIRELESS FACILITIES INC COMMON 97653A103 17670923 1482460 1482460 1407540 74920 WISCONSIN ENERGY CORP COMMON 976657106 97824 3200 3200 1000 2200 WYETH COMMON 983024100 2450814 53163 53163 52933 230 XM SATELLITE RADIO HLDGS COMMON 983759101 14076480 908160 908160 843270 64890 XTO ENERGY INC COMMON 98385X106 6720809 320191 320191 306897 13294 XCEL ENERGY INC COMMON 98389B100 80444 5200 5200 5200 XILINX INC COMMON 983919101 65958 2320 2320 2320 XEROX CORP COMMON 984121103 8044 784 784 784 YAHOO INC COMMON 984332106 25575645 722680 722680 639290 83390 YUM BRANDS INC COMMON 988498101 4739 160 160 160 ---------- --------- --------- ------ ------- --------- --------- -------- COLUMN TOTALS 100865247 6183286 6183286 5905783 277503
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FORM 13F 9/30/03 REPORTING MANAGER; ESSEX INVESTMENT MGMT CO PAGE 32 - ------------------------------------------------------------------------------------------------------------------------------------ ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 INVESTMENT DISCRETION VOTING AUTHORITY TITLE FAIR SHARES OR SHARED MANA- OF CUSIP MARKET PRINCIPAL SOLE SHARED OTHER GERS SOLE SHARED NONE NAME OF ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C) (A) (B) (C) - ------------------------------------------------------------------------------------------------------------------------------------ ZARLINK SEMICONDUCTOR IN COMMON 989139100 152490 39000 39000 36900 2100 ZIMMER HLDGS INC COMMON 98956P102 9913702 179922 179922 178172 1750 ANDA NETWORKS SER D COMMON 9A999J3E8 2499990 182215 182215 182215 AXSUN SER B COMMON 9B999N612 1000002 333334 333334 333334 HIRE.COM SER D COMMON 9B999Z482 214500 967961 967961 967961 VISTO SER E COMMON 9C999M851 6470 6470 6470 6470 SOLUS SER C COMMON 9C999M885 0 342466 342466 342466 LIGHTWAVE MICROSYS SER G COMMON 9C999R777 0 500000 500000 500000 IDEALAB SER D COMMON 9J999F125 250000 25000 25000 25000 OBJECT FX SER E COMMON 9J999F224 500000 5000 5000 5000 TENOR NETWORKS SER C COMMON 9K999A354 709819 438160 438160 438160 PHOTONEX SER B COMMON 9M999C232 0 1392919 1392919 1392919 CONTROL DELIVERY SER A COMMON 9M999C588 3000036 55825 55825 55825 GENEVA PROTEOMICS SER A COMMON 9M999C703 3300000 600000 600000 600000 MICROBIA SER B COMMON 9M999C844 1500003 483872 483872 483872 DIADEXUS SER C COMMON 9M999C877 4999998 645161 645161 645161 OPTICAL CROSSLINKS SER A COMMON 9M999C901 500000 60024 60024 60024 TELL ME SER D COMMON 9M999M149 4000011 273001 273001 273001 METRO OPTIX SER B COMMON 9R999M007 0 1333334 1333334 1333334 ---------- --------- --------- ------ ------- --------- --------- -------- COLUMN TOTALS 32547020 7863664 7863664 215072 7648592
Page 32
FORM 13F 9/30/03 REPORTING MANAGER; ESSEX INVESTMENT MGMT CO PAGE 33 - ------------------------------------------------------------------------------------------------------------------------------------ ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 INVESTMENT DISCRETION VOTING AUTHORITY TITLE FAIR SHARES OR SHARED MANA- OF CUSIP MARKET PRINCIPAL SOLE SHARED OTHER GERS SOLE SHARED NONE NAME OF ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C) (A) (B) (C) - ------------------------------------------------------------------------------------------------------------------------------------ CERETEK LLC COMMON 9S999F000 0 22700 22700 22700 FUSIONONE SER D COMMON 9T999C245 7000003 1289135 1289135 1289135 APPIAN SER D COMMON 9V999M578 799259 370714 370714 370714 DAIMLERCHRYSLER AG COMMON D1668R123 12797 365 365 365 ACE LTD COMMON G0070K103 13123431 396718 396718 368473 28245 AMDOCS LTD COMMON G02602103 1660698 88335 88335 78775 9560 APEX SILVER MINES LTD COMMON G04074103 89110 6650 6650 6650 AXIS CAPITAL HOLDINGS COMMON G0692U109 24520935 982803 982803 896633 86170 ACCENTURE LTD BERMUDA COMMON G1150G111 580840 26000 26000 26000 BUNGE LIMITED COMMON G16962105 144375 5250 5250 5250 EVEREST RE GROUP LTD COMMON G3223R108 127772 1700 1700 1700 MARVELL TECHNOLOGY GROUP COMMON G5876H105 27459260 726820 726820 652325 74495 NABORS INDUSTRIES LTD COMMON G6359F103 36735864 985933 985933 943903 42030 NOBLE CORPORATION COMMON G65422100 104179 3065 3065 3065 O2MICRO INTERNATIONAL LI COMMON G6797E106 2242196 155600 155600 155600 SINA CORP COMMON G81477104 752588 21075 21075 19825 1250 TRANSOCEAN INC COMMON G90078109 4682700 234135 234135 231705 2430 WEATHERFORD INTERNATIONA COMMON G95089101 27716768 733636 733636 659717 73919 WILLIS GROUP HOLDINGS LT COMMON G96655108 46450335 1510580 1510580 1364775 145805 ---------- --------- --------- ------ ------- --------- --------- -------- COLUMN TOTALS 194203110 7561214 7561214 5437461 2123753
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FORM 13F 9/30/03 REPORTING MANAGER; ESSEX INVESTMENT MGMT CO PAGE 34 - ------------------------------------------------------------------------------------------------------------------------------------ ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 INVESTMENT DISCRETION VOTING AUTHORITY TITLE FAIR SHARES OR SHARED MANA- OF CUSIP MARKET PRINCIPAL SOLE SHARED OTHER GERS SOLE SHARED NONE NAME OF ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C) (A) (B) (C) - ------------------------------------------------------------------------------------------------------------------------------------ XL CAP LTD COMMON G98255105 45595510 588785 588785 543915 44870 ALCON INC COMMON H01301102 1155286 20575 20575 20400 175 TARO PHARMACEUTICAL INDS COMMON M8737E108 314272 5600 5600 5600 ASM INTL N V COMMON N07045102 3558400 241575 241575 224650 16925 ASML HLDG NV COMMON N07059111 3977984 303200 303200 303200 ROYAL CARIBBEAN CRUISES COMMON V7780T103 11638524 414035 414035 408950 5085 ---------- --------- --------- ------ ------- --------- --------- -------- COLUMN TOTALS 66239976 1573770 1573770 1506715 67055 ---------- --------- --------- ------ ------- --------- --------- -------- REPORT TOTALS 4446343675 208467548 208467548 175101560 33365988 ========== ========= ========= ====== ======= ========= ========= ========
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