-----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, UXrE9HJ4gTt4kdLIw7o/tL+xo9OCARiOSzOW9LKwjDp2qOUVK4/wK6RXTcMvsP9+ 66uaN+cVSt3pncjw7PCh4Q== /in/edgar/work/0000938582-00-000042/0000938582-00-000042.txt : 20001116 0000938582-00-000042.hdr.sgml : 20001116 ACCESSION NUMBER: 0000938582-00-000042 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000930 FILED AS OF DATE: 20001115 FILER: COMPANY DATA: COMPANY CONFORMED NAME: YALE UNIVERSITY CENTRAL INDEX KEY: 0000938582 STANDARD INDUSTRIAL CLASSIFICATION: [ ] IRS NUMBER: 06646973 STATE OF INCORPORATION: CT FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: SEC FILE NUMBER: 028-04780 FILM NUMBER: 769682 BUSINESS ADDRESS: STREET 1: 230 PROSPECT STREET CITY: NEW HAVEN STATE: CT ZIP: 06511-2107 BUSINESS PHONE: 2034325761 MAIL ADDRESS: STREET 1: YALE UNIVERSITY INVESTMENT OFFICE STREET 2: 230 PROSPECT STREET CITY: NEW HAVEN STATE: CT ZIP: 06511-2107 13F-HR/A 1 0001.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year of Quarter Ended: September 30, 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: Yale University Address: 230 Prospect Street New Haven, CT 06511-2107 13F File Number: 28-4780 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person filing the report is authoritzed 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 table are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Person: Name: David F. Swensen Title: Chief Investment Officer Phone: (203) 432-0119 Signature, Place and Date of Signing: David F. Swensen New Haven, CT November 15, 2000 Report Type [check only one.]: [X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. List of Other Manager Reporting for this Manager: I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANG ACT OF 1934. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 76 Form 13F Information Table Value Total: $670,194 (X$1,000) List of Other Included Managers: None FORM 13F INFORMATION TABLE
ITEM 1: ITEM 2: ITEM 3: ITEM 4 ITEM 5: ITEM 6: ITEM 7: ITEM 8: NAME OF CLASS CUSIP VALUE SHARES/ PUT/ INVEST OTHER VOTING ISSUER TITLE NUMBER (X$1,000) PRN AMT CALL DSCRET'N MANAG'S AUTHORITY ACADIA REALTY TRUST SHBENINT 004239-10-0 36,447 6,138,492.00 SOLE SOLE AFFYMETRIX, INC. COM 00826T-10-8 249 5,000.00 SOLE SOLE AGILE SOFTWARE CORP. COM 00846X-10-5 10,649 118,405.00 SOLE SOLE ALLOS THERAPEUTICS INC. COM 019777-10-1 468 51,641.00 SOLE SOLE AMERICAN HOME PROD. CORP. COM 026609-10-7 1,141 20,176.00 SOLE SOLE AMERICAN INT'L GROUP COM 026874-10-7 6,030 63,022.00 SOLE SOLE AMERICAN SELECT PORT. INC COM 029570-10-8 16,973 1,492,111.00 SOLE SOLE AMERICAN STRATEGIC INC PORT. COM 030098-10-7 12,118 1,089,245.00 SOLE SOLE AMERICAN STRAT INCM PORT II COM 030099-10-5 28,605 2,487,365.00 SOLE SOLE AMERICAN STRAT PORT INC III COM 03009T-10-1 16,226 1,483,488.00 SOLE SOLE ARIBA INC. COM 04033V-10-4 3,147 21,966.00 SOLE SOLE ASK JEEVES INC. COM 045174-10-9 1,962 102,235.00 SOLE SOLE ASPECT MEDICAL SYSTEMS INC. COM 045235-10-8 207 16,704.00 SOLE SOLE AVANEX CORP. COM 05348W-10-9 28,999 269,292.00 SOLE SOLE BKF CAP GROUP COM 05548G-10-2 10,584 535,036.00 SOLE SOLE BP AMOCO PLC (f/k/a AMOCO) SPONSADR 055622-10-4 554 10,457.00 SOLE SOLE BOSTON PROPERTIES COM 101121-10-1 5,367 125,000.00 SOLE SOLE BROADCOM CORP. CL. A 111320-10-7 1,386 5,686.00 SOLE SOLE CALICO COMM.INC. COM 129897-10-4 1,073 175,250.00 SOLE SOLE CATALINA MARKETING CORP. COM 148867-10-4 293 7,800.00 SOLE SOLE CATELLUS DEVELOPMENT COM 149111-10-6 9,097 519,800.00 SOLE SOLE CISCO SYSTEMS INC. COM 17275R-10-2 1,633 29,564.00 SOEL SOLE COBALT NETWORKS INC. COM 19074R-10-1 967 16,711.00 SOLE SOLE CONCUR TECHNOLOGIES INC. COM 206708-10-9 248 104,454.00 SOLE SOLE CONSOLIDATED TOMOKA LP CO. COM 210226-10-6 3,319 279,494.21 SOLE SOLE CROWN CASTLE INT'L CORP. COM 228227-10-4 10,374 333,977.00 SOLE SOLE CURIS INC. COM 231269-10-1 1,176 59,000.00 SOLE SOLE DIGITAL ISLAND INC. COM 25385N-10-1 1,186 63,236.00 SOLE SOLE DOW JONES & CO. COM 260561-10-5 434 7,178.00 SOLE SOLE DSL NET COM 262506-10-8 167 54,383.00 SOLE SOLE E PIPHANY COM 26881V-10-0 1,713 22,231.00 SOLE SOLE EFFICIENT NETWORKS, INC. COM 282056-10-0 1,725 46,228.00 SOLE SOLE EXXON MOBIL CORP. COM 30231G-10-2 707 7,936.00 SOLE SOLE FANSTEEL INC. DEL COM 307260-10-9 128 36,432.00 SOLE SOLE FOREST CITY ENTERPRISES INC. CL A 345550-10-7 11,700 325,000.00 SOLE SOLE FOUNDRY NETWORKS COM 35063R-10-0 6,492 96,982.00 SOLE SOLE FRANKLIN RESOURCES INC. COM 354613-10-1 755 17,000.00 SOLE SOLE GOLDMAN SACHS COM 38141G-10-4 2,160 18,961.00 SOLE SOLE H & Q HEALTHCARE FD SHBENINT 404052-10-2 12,574 347,480.00 SOLE SOLE H & Q LIFE SCIENCES INV. SHBENINT 404053-10-0 407 12,994.00 SOLE SOLE HILTON HOTELS CORP. COM 432848-10-9 10,233 885,000.00 SOLE SOLE HOMESTORE COM 437852-10-6 1,169 25,000.00 SOLE SOLE HOST MARRIOTT (NEW) COM 44107P-10-4 9,750 866,700.00 SOLE SOLE IHOP CORP. COM 449623-10-7 9,180 480,000.00 SOLE SOLE INNOVEDA INC. COM 45769F-10-2 135 37,249.00 SOLE SOLE INTERWOVEN INC. COM 46114T-10-2 1,022 9,041.00 SOLE SOLE KEMPER INTER GOV'T TRUST GOVINCTR 488413-10-5 26,626 4,096,300.00 SOLE SOLE LATIN AMERICAN DISCOVERY FD COM 51828C-10-6 592 56,400.00 SOLE SOLE LYCOS INC. COM 550818-10-8 1,281 18,624.00 SOLE SOLE MARSH & MCLENNAN COMP. INC. COM 571748-10-2 266 2,000.00 SOLE SOLE MAXIM PHARMACEUTICALS INC. COM 57772M-10-7 265 4,360.00 SOLE SOLE MCK COMMUNICATIONS INC. COM 581243-10-2 694 30,669.00 SOLE SOLE MERCK & CO. INC. COM 589331-10-7 522 7,010.00 SOLE SOLE MORGAN STAN D WTTR EMG MKT COM 61744G-10-7 16,936 1,341,500.00 SOLE SOLE MORGAN STAN D WITTR ASIA PAC COM 61744U-10-6 58,258 6,173.000.00 SOLE SOLE MORGAN STANLEY D. W. GOV'T GOVINCTR 61745P-10-6 61,805 7,491,500.00 SOLE SOLE NANOGEN INC. COM 630075-10-9 482 24,854.00 SOLE SOLE NATIONAL INFO CONSORTIUM INC COM 636491-10-2 272 68,484.00 SOLE SOLE NIKU CORP. COM 654113-10-9 3,969 162,827.00 SOLE SOLE NOVAMED EYECARE INC. COM 66986W-10-8 126 47,002.00 SOLE SOLE ORIGINAL 16 TO ONE MINE COM 686203-10-0 20 22,500.00 SOLE SOLE PMC-SIERRA COM 69344F-10-6 695 3,230.00 SOLE SOLE PHILIP MORRIS COS. INC. COM 718154-10-7 1,899 64,512.00 SOLE SOLE PIVOTAL CORPORATION COM 72581R-10-6 2,418 46,063.00 SOLE SOLE PRIME GROUP REALTY TRUST SHBENINT 74158J-10-3 9,214 585,000.00 SOLE SOLE QUICKLOGIC CORP. COM 74837P-10-8 577 34,995.00 SOLE SOLE RAYONIER COM 754907-10-3 7,450 207,300.00 SOLE SOLE ROYCE FOCUS TRUST COM 78080N-10-8 14,279 2,483,359.00 SOLE SOLE ROYCE VALUE TRUST INC. COM 780910-10-5 121,042 8,383,837.00 SOLE SOLE ROYCE MICRO-CAP. TR INC. COM 780915-10-4 35,430 3,257,886.00 SOLE SOLE SELECTICA INC. COM 816288-10-4 2,875 72,108.00 SOLE SOLE SYMPHONIX DEVICES COM 871951-10-9 491 112,236.00 SOLE SOLE TRIZECHAHN CORP. COM 896938-10-7 9,331 555,000.00 SOLE SOLE TURNSTONE SYS. INC. COM 900423-10-4 4,020 86,692.00 SOLE SOLE VITESSE SEMICONDUCTOR CORP. COME 928427-10-6 7,302 82,104.00 SOLE SOLE WOLVERINE WORLD WIDE INC. COM 978097-10-3 128 13,743.00 SOLE SOLE TOTAL COLUMNS 670,195 54,455,497.71
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