-----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, PMuA1gGjdiT3nE1H0hNiiOdG2cD55lMqEOOiwduNWX8MbXhf+qM6fNqyqzOlB5QI Ppvh0J11AgnUREfXILlz+Q== /in/edgar/work/0000927016-00-003996/0000927016-00-003996.txt : 20001115 0000927016-00-003996.hdr.sgml : 20001115 ACCESSION NUMBER: 0000927016-00-003996 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000930 FILED AS OF DATE: 20001114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ESSEX INVESTMENT MANAGEMENT CO INC CENTRAL INDEX KEY: 0000201772 STANDARD INDUSTRIAL CLASSIFICATION: [ ] IRS NUMBER: 004260191 STATE OF INCORPORATION: MA FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: SEC FILE NUMBER: 028-00878 FILM NUMBER: 764758 BUSINESS ADDRESS: STREET 1: 125 HIGH STREET CITY: SOUTH BOSTON STATE: MA ZIP: 02110 BUSINESS PHONE: 6174824870 13F-HR 1 0001.txt FORM 13-F UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 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 September 30, 2000 - -------------------------------------------------------------------------------- (Please read instructions before preparing form.) - -------------------------------------------------------------------------------- If amended report check here: [ ] - -------------------------------------------------------------------------------- Name of Institutional Investment Manager 125 High Street, 29th Floor Boston Ma 02110 - -------------------------------------------------------------------------------- Business Address (Street) (City) (State) (Zip) C. H. RITT III VICE PRESIDENT 617-342-3220 - -------------------------------------------------------------------------------- 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 isunderstood 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 Massachusetts on the 10th day of November, 2000. ESSEX INVESTMENT MANAGEMENT COMPANY, LLC --------------------------------------------------- (Name of Institutional Investment Manager) /s/ Charles H. Ritt III --------------------------------------------------- (Manual Signature of Person Duly Authorized to Submit This Report) Name and 13F file numbers of ALL Institutional Investment Managers with respect to which this schedule is filed (othere 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 GROUP, INC. PENDING 6. - ----------------------- ------------ -------------------------- ------------- 2. 7. - ----------------------- ------------ -------------------------- ------------- 3. 8. - ----------------------- ------------ -------------------------- ------------- 4. 9. - ----------------------- ------------ -------------------------- ------------- 5. 10. - ----------------------- ------------ -------------------------- ------------- SEC 1685 (5/91) Copyright (c) 1992, NRS Systems, Inc. (Portions of Software Only)
NAME OF ISSUER TITLE OF CLASS CUSIP VALUE(K) SH/P AMT S/P P/C INV DSC MANAGERS SOLE SHARED NONE AFLAC INC COMMON 001055102 237 3700 SH SOLE 2400 0 1300 AT&T CORP COMMON 001957109 351 11957 SH SOLE 0 0 11957 AT&T CORP COM LIB GRP A 001957208 4925 273600 SH SOLE 236100 0 37500 AT&T WIRELESS GROUP COM WIRLES GRP 001957406 2152 103100 SH SOLE 60200 0 42900 ATS MEDICAL PIPE COMMON 002083103 7168 475855 SH SOLE 413455 0 62400 ABBOTT LABS COMMON 002824100 2168 45590 SH SOLE 18665 0 26925 ABGENIX INC COMMON 00339B107 7471 92450 SH SOLE 80600 0 11850 ACCREDO HEALTH INC COMMON 00437V104 1349 27600 SH SOLE 27600 0 0 ACLARA BIOSCIENCES INC COMMON 00461P106 7473 246010 SH SOLE 197800 0 48210 ACTIVE POWER INC COMMON 00504W100 26217 422860 SH SOLE 336740 0 86120 ADAC LABS COM NEW 005313200 568 27300 SH SOLE 27300 0 0 ADVANCE PARADIGM INC COMMON 007491103 1377 32650 SH SOLE 32650 0 0 ADVANCED MARKETING SVCS COMMON 00753T105 2225 126225 SH SOLE 126225 0 0 ADVANTAGE LEARNING SYSTE COMMON 00757K100 11804 336650 SH SOLE 315800 0 20850 AETHER SYS INC COMMON 00808V105 185735 1760520 SH SOLE 1408905 0 351615 AETNA INC COMMON 008117103 213 3671 SH SOLE 0 0 3671 AFFILIATED MANAGERS GROU COMMON 008252108 47439 833176 SH SOLE 0 0 833176 AGILENT TECHNOLGIES COMMON 00846U101 334 6822 SH SOLE 3422 0 3400 AGILE SOFTWARE CORP DEL COMMON 00846X105 16350 181790 SH SOLE 108150 0 73640 ALBANY MOLECULAR RESH IN COMMON 012423109 1619 28820 SH SOLE 6500 0 22320 ALBERTA ENERGY LTD COMMON 012873105 416 10000 SH SOLE 0 0 10000 ALCATEL DEPOSITORY RECEI 013904305 249 3955 SH SOLE 205 0 3750 CAMBRIDGE ANTIBODY TECH BRITISH PD DENOM 0166225 937 15750 SH SOLE 15750 0 0 ALLAIRE CORP COMMON 016714107 142 16750 SH SOLE 9400 0 7350 ALLEGIANCE TELECOM INC COMMON 01747T102 1314 35275 SH SOLE 35275 0 0 ALLERGAN INC COMMON 018490102 12864 152350 SH SOLE 124150 0 28200 ALLIED RISER COMMUNICATI COMMON 019496108 12570 1897405 SH SOLE 1176815 0 720590 ALLIED RISER CONV. 019496AA6 4710 8000000 PRN SOLE 7600000 0 400000 ALLTEL CORP COMMON 020039103 591 11320 SH SOLE 8000 0 3320 ALPHA 1 BIOMEDICALS INC COMMON 020910105 8 115500 SH SOLE 0 0 115500 ALTEON WEBSYSTEMS INC COMMON 02145A109 42451 391650 SH SOLE 308635 0 83015 ALZA CORP DEL COMMON 022615108 16627 192225 SH SOLE 168020 0 24205 AMAZON COM INC COMMON 023135106 67599 1758680 SH SOLE 1090420 0 668260 AMERADA HESS CORP COMMON 023551104 669 10000 SH SOLE 0 0 10000 AMERICA ONLINE INC DEL COMMON 02364J104 34405 640091 SH SOLE 480620 0 159471 AMERICAN EXPRESS CO COMMON 025816109 30843 507700 SH SOLE 383805 0 123895 AMERICAN GENERAL CORP COMMON 026351106 784 10050 SH SOLE 50 0 10000 AMERICAN HOME PRODS CORP COMMON 026609107 493 8723 SH SOLE 443 0 8280 AMERICAN INTL GROUP INC COMMON 026874107 17633 184276 SH SOLE 143404 0 40872 AMERICAN MED SYS HLDGS I COMMON 02744M108 9359 598950 SH SOLE 519600 0 79350 AMERICAN SUPERCONDUCTOR COMMON 030111108 6395 130100 SH SOLE 116000 0 14100 AMGEN INC COMMON 031162100 19481 278980 SH SOLE 153165 0 125815 ANADARKO PETE CORP COMMON 032511107 178670 2688390 SH SOLE 2176200 0 512190 ANALOG DEVICES INC COMMON 032654105 284 3440 SH SOLE 40 0 3400 ANDREW CORP COMMON 034425108 21686 828095 SH SOLE 672190 0 155905 ANHEUSER BUSCH COS INC COMMON 035229103 3965 93710 SH SOLE 60850 0 32860 AON CORP COMMON 037389103 9648 245800 SH SOLE 209800 0 36000 APACHE CORP COMMON 037411105 75697 1280285 SH SOLE 1085350 0 194935 APOLLO GROUP INC CL A 037604105 359 9000 SH SOLE 0 0 9000 APPLE COMPUTER INC COMMON 037833100 254 9850 SH SOLE 300 0 9550 APPLIED MICRO CIRCUITS C COMMON 03822W109 184491 891108 SH SOLE 778130 0 112978 ARGONAUT TECHNOLOGIES IN COMMON 040175101 25014 1347540 SH SOLE 1181335 0 166205 ARIBA INC COMMON 04033V104 214630 1498125 SH SOLE 1032885 0 465240 ARMOR HOLDINGS INC COMMON 042260109 351 23400 SH SOLE 23400 0 0 ART TECHNOLOGY GROUP INC COMMON 04289L107 109029 1150705 SH SOLE 901630 0 249075 ARTHROCARE CORP COMMON 043136100 3877 199445 SH SOLE 152160 0 47285 ASPECT MED SYS INC COMMON 045235108 534 43150 SH SOLE 43150 0 0 ASTROPOWER INC COMMON 04644A101 5797 146300 SH SOLE 127350 0 18950 ATMEL CORP COMMON 049513104 152 10000 SH SOLE 10000 0 0 AURORA BIOSCIENCES CORP COMMON 051920106 43646 641855 SH SOLE 504370 0 137485 AUTOMATIC DATA PROCESSIN COMMON 053015103 558 8339 SH SOLE 610 0 7729 AVANEX CORP RULE 144 COMMON 05348W109 7569 70291 SH SOLE 25 0 70266
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