-----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, P5k9y1BVViSaGGs4wIqXZBjnegLzyvn+iH7hg+4lB8sBnnmyiMu+LwMSpuIqqo5d Kc6enwXBidG9lgvn6f4KzA== /in/edgar/work/20000602/0000927016-00-002061/0000927016-00-002061.txt : 20000919 0000927016-00-002061.hdr.sgml : 20000919 ACCESSION NUMBER: 0000927016-00-002061 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000331 FILED AS OF DATE: 20000602 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: 648471 BUSINESS ADDRESS: STREET 1: 125 HIGH STREET CITY: SOUTH BOSTON STATE: MA ZIP: 02110 BUSINESS PHONE: 6174824870 13F-HR 1 0001.txt FORM 13F 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: March 31, 2000 --------------------- Check here if Amendment [_]; Amendment Number: --------------------- This Amendment (Check only one.): [_] is a restatement. [_] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Essex Investment Management Co., LLC --------------------------------------------- Address: 125 High Street 29th Floor --------------------------------------------- Boston, MA 02110 --------------------------------------------- --------------------------------------------- Form 13F File Number: 28- ---------------- 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: C. H. Ritt III --------------------------------------------- Title: Vice President --------------------------------------------- Phone: 617-342-3220 --------------------------------------------- Signature, Place, and Date of Signing: /s/ C. H. Ritt Boston, MA 6/1/00 ------------------------ ----------------------------- -------------- [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).) List of Other Managers Reporting for this Manager: [If there are no entries in this list, omit this section.] Form 13F File Number Name 28- Charles H. Ritt III ------------------ ------------------------ [Repeat as necessary.]
NAME OF ISSUER TITLE OF CLASS CUSIP VALUE(K) SH/P AMT S/P P/C INV DSC MANAGERS SOLE AM COMMUNICATIONS INC COMMON 001674100 34 20000 SH SOLE 0 AT&T CORP COMMON 001957109 1604 28487 SH SOLE 24220 AT&T CORP COM LIB GRP A 001957208 1643 27700 SH SOLE 9300 ABBOTT LABS COMMON 002824100 1604 45590 SH SOLE 18665 ACCREDO HEALTH INC COMMON 00437V104 1143 34500 SH SOLE 34500 ACLARA BIOSCIENCES INC COMMON 00461P106 3540 89750 SH SOLE 74375 ACTUATE CORP COMMON 00508B102 1087 20200 SH SOLE 19500 ADVANCED MARKETING SVCS COMMON 00753T105 359 17325 SH SOLE 17325 ADVANCED FIBRE COMMUNICA COMMON 00754A105 313 5000 SH SOLE 5000 ADVANCED NEUROMODULATION COMMON 00757T101 887 46700 SH SOLE 46700 ADVANCED ENERGY INDS COMMON 007973100 816 16000 SH SOLE 16000 AETHER SYS INC COMMON 00808V105 233200 1284850 SH SOLE 982055 AETNA INC COMMON 008117103 204 3671 SH SOLE 0 AFFYMETRIX INC COMMON 00826T108 304 2050 SH SOLE 1400 AGILENT TECHNOLGIES COMMON 00846U101 32898 316325 SH SOLE 292550 AGILE SOFTWARE CORP DEL COMMON 00846X105 490 7840 SH SOLE 3500 AIRGATE PCS INC COMMON 009367103 76288 723105 SH SOLE 501445 ALBANY MOLECULAR RESH IN COMMON 012423109 6477 110955 SH SOLE 96120 ALBERTA ENERGY LTD COMMON 012873105 303 10000 SH SOLE 0 ALCOA INC COMMON 013817101 219 3120 SH SOLE 3120 ALLAIRE CORP COMMON 016714107 220990 2922185 SH SOLE 2319235 ALLEGIANCE TELECOM INC COMMON 01747T102 14514 180022 SH SOLE 142572 ALLIED CAP CORP NEW COMMON 01903Q108 392 22460 SH SOLE 22460 ALLIED RISER COMMUNICATI COMMON 019496108 84112 2420490 SH SOLE 1756630 ALLTEL CORP COMMON 020039103 1642 25960 SH SOLE 14740 ALPHA 1 BIOMEDICALS INC COMMON 020910105 17 112000 SH SOLE 0 ALZA CORP DEL COMMON 022615108 609 16200 SH SOLE 14200 AMAZON COM INC COMMON 023135106 44719 667450 SH SOLE 424190 AMERICA ONLINE INC DEL COMMON 02364J104 49968 740951 SH SOLE 554321 SSI LTD COMMON 025642695 416 30000 SH SOLE 30000 AMERICAN EXPRESS CO COMMON 025816109 25148 168850 SH SOLE 127320 AMERICAN GENERAL CORP COMMON 026351106 564 10050 SH SOLE 50 AMERICAN HOME PRODS CORP COMMON 026609107 318 5910 SH SOLE 310 AMERICAN INTL GROUP INC COMMON 026874107 9116 83248 SH SOLE 69326 AMERICAN MOBILE SATELLIT COMMON 02755R103 3773 157200 SH SOLE 101700 AMERICAN TOWER CORP CL A 029912201 1205 24405 SH SOLE 19900 AMGEN INC COMMON 031162100 36473 594270 SH SOLE 432850 ANADARKO PETE CORP COMMON 032511107 15069 389500 SH SOLE 377700 ANALOG DEVICES INC COMMON 032654105 357 4440 SH SOLE 1040 ANHEUSER BUSCH COS INC COMMON 035229103 2878 46225 SH SOLE 28720 APACHE CORP COMMON 037411105 55225 1110060 SH SOLE 951210 APPLE COMPUTER INC COMMON 037833100 13585 100025 SH SOLE 63950 APPLIED MICROSYSTEMS COR COMMON 037935103 781 50000 SH SOLE 15600 APPLIED MATLS INC COMMON 038222105 7215 76550 SH SOLE 65300 APPLIED MICRO CIRCUITS C COMMON 03822W109 111922 745836 SH SOLE 623840 ARADIGM CORP COMMON 038505103 382 18300 SH SOLE 18300 ARIBA INC COMMON 04033V104 187844 896095 SH SOLE 677220 ARM HLDGS PLC DEPOSITORY RECEI 042068106 2720 15300 SH SOLE 15000 ARMOR HOLDINGS INC COMMON 042260109 257 23400 SH SOLE 23400 ARROWPOINT COMMUNICATION COMMON 042810101 4739 40000 SH SOLE 29435 ART TECHNOLOGY GROUP INC COMMON 04289L107 84866 1291960 SH SOLE 983070 NAME OF ISSUER SHARED NONE AM COMMUNICATIONS INC 0 20000 AT&T CORP 0 4267 AT&T CORP 0 18400 ABBOTT LABS 0 26925 ACCREDO HEALTH INC 0 0 ACLARA BIOSCIENCES INC 0 15375 ACTUATE CORP 0 700 ADVANCED MARKETING SVCS 0 0 ADVANCED FIBRE COMMUNICA 0 0 ADVANCED NEUROMODULATION 0 0 ADVANCED ENERGY INDS 0 0 AETHER SYS INC 0 302795 AETNA INC 0 3671 AFFYMETRIX INC 0 650 AGILENT TECHNOLGIES 0 23775 AGILE SOFTWARE CORP DEL 0 4340 AIRGATE PCS INC 0 221660 ALBANY MOLECULAR RESH IN 0 14835 ALBERTA ENERGY LTD 0 10000 ALCOA INC 0 0 ALLAIRE CORP 0 602950 ALLEGIANCE TELECOM INC 0 37450 ALLIED CAP CORP NEW 0 0 ALLIED RISER COMMUNICATI 0 663860 ALLTEL CORP 0 11220 ALPHA 1 BIOMEDICALS INC 0 112000 ALZA CORP DEL 0 2000 AMAZON COM INC 0 243260 AMERICA ONLINE INC DEL 0 186630 SSI LTD 0 0 AMERICAN EXPRESS CO 0 41530 AMERICAN GENERAL CORP 0 10000 AMERICAN HOME PRODS CORP 0 5600 AMERICAN INTL GROUP INC 0 13922 AMERICAN MOBILE SATELLIT 0 55500 AMERICAN TOWER CORP 0 4505 AMGEN INC 0 161420 ANADARKO PETE CORP 0 11800 ANALOG DEVICES INC 0 3400 ANHEUSER BUSCH COS INC 0 17505 APACHE CORP 0 158850 APPLE COMPUTER INC 0 36075 APPLIED MICROSYSTEMS COR 0 34400 APPLIED MATLS INC 0 11250 APPLIED MICRO CIRCUITS C 0 121996 ARADIGM CORP 0 0 ARIBA INC 0 218875 ARM HLDGS PLC 0 300 ARMOR HOLDINGS INC 0 0 ARROWPOINT COMMUNICATION 0 10565 ART TECHNOLOGY GROUP INC 0 308890
ARTHROCARE CORP COMMON 043136100 221 2400 SH SOLE 2400 0 0 ARTISTDIRECT INC COMMON 04315D103 809 106100 SH SOLE 92525 0 13575 ASIAINFO HLDGS INC COMMON 04518A104 10267 169700 SH SOLE 126400 0 43300 ASPECT DEV INC COMMON 045234101 6506 101070 SH SOLE 90770 0 10300 ASPECT MED SYS INC COMMON 045235108 28927 806330 SH SOLE 629530 0 176800 AT HOME CORP COM SER A 045919107 297 9032 SH SOLE 0 0 9032 ASTRAZENECA PLC DEPOSITORY RECEI 046353108 915 22600 SH SOLE 22600 0 0 ATLANTIC RICHFIELD CO COMMON 048825103 1469 17282 SH SOLE 5550 0 11732 ATMEL CORP COMMON 049513104 18595 360200 SH SOLE 237300 0 122900 AURORA BIOSCIENCES CORP COMMON 051920106 11569 283025 SH SOLE 255950 0 27075 AUTOMATIC DATA PROCESSIN COMMON 053015103 402 8339 SH SOLE 610 0 7729 AVANEX CORP COMMON 05348W109 1762 11610 SH SOLE 7600 0 4010 AVANT IMMUNOTHERAPEUTICS COMMON 053491106 285 30000 SH SOLE 0 0 30000 AVENUE A INC COMMON 053566105 11445 375250 SH SOLE 253900 0 121350 AVID TECHNOLOGY INC COMMON 05367P100 1028 57500 SH SOLE 18000 0 39500 AXENT TECHNOLOGIES INC COMMON 05459C108 555 29478 SH SOLE 0 0 29478 BJ SVCS CO COMMON 055482103 13463 182240 SH SOLE 137895 0 44345 BP AMOCO P L C DEPOSITORY RECEI 055622104 1986 37302 SH SOLE 3656 0 33646 BAKER HUGHES INC COMMON 057224107 874 28900 SH SOLE 18050 0 10850 BARRICK GOLD CORP COMMON 067901108 405 25800 SH SOLE 25800 0 0 BARRETT RES CORP COM PAR $0.01 068480201 596 20000 SH SOLE 0 0 20000 BEA SYS INC COMMON 073325102 95484 1301315 SH SOLE 1019620 0 281695 BELL ATLANTIC CORP COMMON 077853109 512 8372 SH SOLE 320 0 8052 BENIHANA INC CL A 082047200 314 25600 SH SOLE 25600 0 0 BERKLEY PETE CORP COMMON 08449G106 279 45000 SH SOLE 0 0 45000 BERRY PETE CO CL A 085789105 172 10000 SH SOLE 10000 0 0 BEST BUY INC COMMON 086516101 9418 109510 SH SOLE 104510 0 5000 BLOCK H & R INC COMMON 093671105 703 15713 SH SOLE 14480 0 1233 BLUESTONE SOFTWARE INC SER C PFD CNV CO 095991105 7326 241173 SH SOLE 136568 0 104605 BOCA RESORTS INC CL A 09688T106 188 21900 SH SOLE 21900 0 0 BRINKER INTL INC COMMON 109641100 1642 55300 SH SOLE 55300 0 0 BRISTOL MYERS SQUIBB CO COMMON 110122108 1121 19335 SH SOLE 13435 0 5900 BROADCOM CORP CL A 111320107 387366 1594920 SH SOLE 1203450 0 391470 BROADVISION INC COMMON 111412102 417 9300 SH SOLE 9300 0 0 BROCADE COMMUNICATIONS S COMMON 111621108 306244 1707880 SH SOLE 1395620 0 312260 BROWN TOM INC COM NEW 115660201 263 14300 SH SOLE 14300 0 0 BUFFETS INC COMMON 119882108 903 100000 SH SOLE 100000 0 0 BURNHAM PAC PPTYS INC COMMON 12232C108 125 17650 SH SOLE 600 0 17050 CBS CORP COMMON 12490K107 9892 174685 SH SOLE 144970 0 29715 CMGI INC COMMON 125750109 135545 1196202 SH SOLE 895802 0 300400 C-MAC INDS INC COMMON 125920108 6819 158400 SH SOLE 110300 0 48100 CACHEFLOW INC COMMON 126946102 9914 83660 SH SOLE 65275 0 18385 C PORT SERIES C PRIVATE PLACEMEN 126993104 1000 366300 SH SOLE 0 0 366300 CADENCE DESIGN SYSTEM IN COMMON 127387108 9032 437900 SH SOLE 356500 0 81400 CALIPER TECHNOLOGIES COR COMMON 130876105 28573 353295 SH SOLE 298545 0 54750 CALPINE CORP COMMON 131347106 1391 14800 SH SOLE 4800 0 10000 CANADIAN NAT RES LTD COMMON 136385101 793 30000 SH SOLE 0 0 30000 CAREER EDUCATION CORP COMMON 141665109 277 7900 SH SOLE 400 0 7500 CELGENE CORP COMMON 151020104 26446 265620 SH SOLE 252820 0 12800 CENDANT CORP COMMON 151313103 348 18800 SH SOLE 18800 0 0 CEPHALON INC COMMON 156708109 5610 149600 SH SOLE 125600 0 24000 CERETEK LLC COMMON 156990103 800 18000 SH SOLE 18000 0 0
CHASE MANHATTAN CORP NEW COMMON 16161A108 422 4835 SH SOLE 2645 0 2190 CHECKFREE HLDGS CORP COMMON 162816102 3418 48481 SH SOLE 3415 0 45066 CHEESECAKE FACTORY INC COMMON 163072101 7399 177750 SH SOLE 149850 0 27900 CHEVRON CORPORATION COMMON 166751107 1992 21553 SH SOLE 1100 0 20453 CHOICE ONE COMMUNICATION COMMON 17038P104 91573 2579510 SH SOLE 2071115 0 508395 CHUBB CORP COMMON 171232101 331 4900 SH SOLE 2500 0 2400 CIENA CORP COMMON 171779101 124978 990908 SH SOLE 832264 0 158644 CIRCLE INTL GROUP INC COMMON 172574105 312 12000 SH SOLE 12000 0 0 CIRCUIT CITY STORE INC CIRCT CITY GRP 172737108 10986 180460 SH SOLE 157560 0 22900 CISCO SYS INC COMMON 17275R102 143269 1853112 SH SOLE 1529634 0 323478 CITIGROUP INC COMMON 172967101 10997 183674 SH SOLE 149804 0 33870 CLARUS CORP COMMON 182707109 8272 117125 SH SOLE 99260 0 17865 CLEAR CHANNEL COMMUNICAT COMMON 184502102 26822 388380 SH SOLE 329300 0 59080 COASTAL CORP COMMON 190441105 477 10380 SH SOLE 380 0 10000 COBALT NETWORKS INC COMMON 19074R101 63624 1353695 SH SOLE 1035225 0 318470 COBALT NETWORKS, INC SER C PREFERRED 190990101 8574 202702 SH SOLE 0 0 202702 COCA COLA CO COMMON 191216100 969 20646 SH SOLE 13510 0 7136 COGNEX CORP COMMON 192422103 11636 201700 SH SOLE 132500 0 69200 COLT TELECOM GROUP PLC DEPOSITORY RECEI 196877104 2335 11800 SH SOLE 10500 0 1300 COMMERCE ONE INC DEL COMMON 200693109 5591 37460 SH SOLE 450 0 37010 COMVERSE TECHNOLOGY INC COM PAR $0.10 205862402 38975 206215 SH SOLE 153805 0 52410 CONCENTRIC NETWORK CORP COMMON 20589R107 3487 63400 SH SOLE 63400 0 0 CONCORD COMMUNICATIONS I COMMON 206186108 596 16750 SH SOLE 15625 0 1125 CONEXANT SYSTEMS INC COMMON 207142100 9498 133778 SH SOLE 106970 0 26808 CONOCO INC CL A 208251306 420 17050 SH SOLE 16800 0 250 COOPER CAMERON CORP COMMON 216640102 1087 16260 SH SOLE 6260 0 10000 COPPER MTN NETWORKS INC COMMON 217510106 5281 64451 SH SOLE 0 0 64451 COREL CORPORATION COMMON 21868Q109 608 59700 SH SOLE 59700 0 0 CORNING INC COMMON 219350105 728 3755 SH SOLE 2920 0 835 CORPORATE EXECUTIVE BRD COMMON 21988R102 580 11430 SH SOLE 8010 0 3420 COSTCO WHSL CORP NEW COMMON 22160K105 8271 157350 SH SOLE 98010 0 59340 COVAD COMMUNICATIONS GRO COMMON 222814204 212039 2924671 SH SOLE 2278019 0 646652 CRAYFISH CO LTD DEPOSITORY RECEI 225226109 5488 144425 SH SOLE 116500 0 27925 CREATIVE BIOMOLECULES IN COMMON 225270107 442 44600 SH SOLE 44600 0 0 CREDENCE SYS CORP COMMON 225302108 41759 333740 SH SOLE 252990 0 80750 CREO PRODS INC COMMON 225606102 672 15400 SH SOLE 15400 0 0 CRITICAL PATH INC COMMON 22674V100 12752 150025 SH SOLE 102825 0 47200 CROSSROADS SYS INC COMMON 22765D100 47990 464795 SH SOLE 351415 0 113380 CROSSROADS SYSTEMS SER E PFD STOCK PRIV P 227990108 18585 225000 SH SOLE 0 0 225000 CURAGEN CORP COMMON 23126R101 468 10000 SH SOLE 10000 0 0 CYBERIAN OUTPOST PIPE COMMON 231914102 680 100000 SH SOLE 100000 0 0 CYPRESS SEMICONDUCTOR CO COMMON 232806109 42214 861501 SH SOLE 634816 0 226685 CYSIVE INC COMMON 23281T108 267 3900 SH SOLE 3900 0 0 CYTYC CORP COMMON 232946103 7184 148900 SH SOLE 118600 0 30300 DQE INC COMMON 23329J104 14273 313700 SH SOLE 188900 0 124800 DTE ENERGY CO COMMON 233331107 16618 569370 SH SOLE 506170 0 63200 DELL COMPUTER CORP COMMON 247025109 38705 717595 SH SOLE 544940 0 172655 DEVON ENERGY CORP NEW COMMON 25179M103 1231 25350 SH SOLE 10000 0 15350 DIAMOND OFFSHORE DRILLIN COMMON 25271C102 237 5935 SH SOLE 5785 0 150 DIAMOND TECHNOLOGY PARTN CL A 252762109 5592 85045 SH SOLE 74305 0 10740 DIGEX INC DEL CL A 253756100 77073 694740 SH SOLE 557115 0 137625 DIGITAL IS INC DEL COMMON 25385N101 49604 814010 SH SOLE 650335 0 163675
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