-----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, Uc59Y7o9FFLEikwZEDORmLEuHN7NkxASS37QCxzBKHtp/P+jPT4VDDJevO/1Ub2f 6VKyqWGpjWouOv2JyExp6g== 0000875626-01-501564.txt : 20020412 0000875626-01-501564.hdr.sgml : 20020412 ACCESSION NUMBER: 0000875626-01-501564 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010930 FILED AS OF DATE: 20011127 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FIRST TRUST ADVISORS LP CENTRAL INDEX KEY: 0001125816 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 363768815 STATE OF INCORPORATION: IL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-06487 FILM NUMBER: 1799772 BUSINESS ADDRESS: STREET 1: 1001 WARRENVILLE RD STREET 2: SUITE 300 CITY: LISLE STATE: IL ZIP: 60532 13F-HR/A 1 q301_13-fhra.txt AMENDED 3RD QUARTER FILING, FIRST TRUST ADVISORS
Sum Of Investment Other Voting Name of Issuer Title of Class CUSIP Value X 1000 Shares Discretion Managers Authority Aflac Common Stock 001055102 $460 17,046 Sole None Sole AES Corp Common Stock 00130H105 $75 5,856 Sole None Sole AOL Time Warner Common Stock 00184A105 $740 22,344 Sole None Sole AT&T Corp Common Stock 001957109 $233 12,072 Sole None Sole AT&T Wireless Common Stock 00209A106 $60 4,049 Sole None Sole Abbott Labs Common Stock 002824100 $1,035 19,954 Sole None Sole Adobe Sys Common Stock 00724F101 $418 17,415 Sole None Sole ADVANCED DIGITAL INFO CORP COM Common Stock 007525108 $7 700 Sole None Sole AGILENT TECHNOLOGIES INC COM Common Stock 00846U101 $4 200 Sole None Sole Alcoa Common Stock 013817101 $1,052 33,916 Sole None Sole Allstate Corp Common Stock 020002101 $561 15,007 Sole None Sole ALYN CORP Common Stock 022611107 $- 10 Sole None Sole American Exp Common Stock 025816109 $311 10,700 Sole None Sole Amer Home Prod Common Stock 026609107 $111 1,913 Sole None Sole American Intl Common Stock 026874107 $488 6,260 Sole None Sole AmeriCredit Common Stock 03060R101 $243 7,677 Sole None Sole Amgen Common Stock 031162100 $2,203 37,490 Sole None Sole Anadarko Common Stock 032511107 $227 4,722 Sole None Sole Andrx Group Common Stock 034553107 $1,007 15,519 Sole None Sole Anheuser Busch Common Stock 035229103 $262 6,261 Sole None Sole Apache Corp Common Stock 037411105 $192 4,475 Sole None Sole Applera Common Stock 038020202 $2 101 Sole None Sole Applied Mat Common Stock 038222105 $612 21,526 Sole None Sole Aremissoft Common Stock 040026106 $7 10,701 Sole None Sole ARIEL CORP COM Common Stock 04033M104 $0 59 Sole None Sole ASHLAND INC COM Common Stock 044204105 $251 6,512 Sole None Sole Astrazeneca Common Stock 046353108 $104 2,223 Sole None Sole Avon Products Common Stock 054303102 $267 5,779 Sole None Sole BJ Services Common Stock 055482103 $166 9,329 Sole None Sole Baker Hughes Common Stock 057224107 $220 7,594 Sole None Sole BankAmerica Common Stock 060505104 $693 11,858 Sole None Sole Barr Labs Common Stock 068306109 $144 1,825 Sole None Sole Bea Systems Common Stock 073325102 $3 302 Sole None Sole Becton, Dickin Common Stock 075887109 $954 25,779 Sole None Sole Bed Bath Common Stock 075896100 $1,304 51,202 Sole None Sole Belden Common Stock 077459105 $178 9,491 Sole None Sole Bell South Corp Common Stock 079860102 $629 15,146 Sole None Sole BINGO COM INC COM Common Stock 09051N108 $0 25 Sole None Sole Biogen, Inc. Common Stock 090597105 $11 200 Sole None Sole Biomet Common Stock 090613100 $185 6,316 Sole None Sole Biovail Corp Common Stock 09067J109 $4 92 Sole None Sole Black & Decker Common Stock 091797100 $202 6,470 Sole None Sole Boeing Common Stock 097023105 $158 4,704 Sole None Sole Bristol-Myers Common Stock 110122108 $1,016 18,281 Sole None Sole Brocade Comm Common Stock 111621108 $159 11,363 Sole None Sole Brunswick Common Stock 117043109 $226 13,726 Sole None Sole BURLINGTON NORTHN SANTA FE COM Common Stock 12189T104 $5 174 Sole None Sole CEC Entertain Common Stock 125137109 $372 10,907 Sole None Sole Cigna Common Stock 125509109 $398 4,795 Sole None Sole Cal Dive Inc Common Stock 127914109 $214 12,819 Sole None Sole Calpine Corp Common Stock 131347106 $121 5,313 Sole None Sole Capital One Common Stock 14040H105 $393 8,529 Sole None Sole Cardinal Health Common Stock 14149Y108 $3,839 51,918 Sole None Sole Carnival Corp Common Stock 143658102 $189 8,570 Sole None Sole Casey's Common Stock 147528103 $239 20,134 Sole None Sole Caterpillar Common Stock 149123101 $7,048 157,322 Sole None Sole Cell Genesys Common Stock 150921104 $226 14,126 Sole None Sole Celestica Inc Common Stock 15101Q108 $447 16,395 Sole None Sole Charter One Common Stock 160903100 $420 14,893 Sole None Sole ChevronTexaco Common Stock 166764100 $313 3,695 Sole None Sole Ciena Corp Common Stock 171779101 $250 24,308 Sole None Sole Cisco Systems Common Stock 17275R102 $1,437 117,975 Sole None Sole Cintas Common Stock 172908105 $157 3,900 Sole None Sole Citigroup Common Stock 172967101 $421 10,400 Sole None Sole CITRIX SYS INC COM Common Stock 177376100 $3 150 Sole None Sole Coca-Cola Common Stock 191216100 $209 4,458 Sole None Sole Kenneth Cole Common Stock 193294105 $60 4,731 Sole None Sole Colgate Palmol Common Stock 194162103 $260 4,468 Sole None Sole Comcast Corp Common Stock 200300200 $1,741 48,524 Sole None Sole Comerica Common Stock 200340107 $502 9,061 Sole None Sole Community First Common Stock 203902101 $418 17,417 Sole None Sole COMPUWARE CORP COM Common Stock 205638109 $3 305 Sole None Sole Comverse Tech Common Stock 205862402 $209 10,186 Sole None Sole Conagra Common Stock 205887102 $247 11,023 Sole None Sole Concord Camera Common Stock 206156101 $41 9,281 Sole None Sole Concord Common Stock 206197105 $2,108 44,466 Sole None Sole Conoco Common Stock 208251306 $271 10,638 Sole None Sole Cooper Co Common Stock 216648402 $268 5,722 Sole None Sole Cooper Indust. Common Stock 216669101 $210 5,069 Sole None Sole Corning Common Stock 219350105 $273 30,956 Sole None Sole Costco Wholesale Corp-New Common Stock 22160K105 $20 575 Sole None Sole Cummins Inc Common Stock 231021106 $202 6,126 Sole None Sole Cytyc Common Stock 232946103 $5 170 Sole None Sole Dell Computer Common Stock 247025109 $919 49,606 Sole None Sole Devon Energy Common Stock 25179M103 $179 5,204 Sole None Sole Disney Common Stock 254687106 $152 8,185 Sole None Sole Donnelley R.R. Common Stock 257867101 $236 8,705 Sole None Sole Du Pont (E.I.) Common Stock 263534109 $4,574 121,920 Sole None Sole Dynegy Common Stock 26816Q101 $1,888 54,500 Sole None Sole EMC Corp Common Stock 268648102 $168 14,321 Sole None Sole ENSCO Intl Common Stock 26874Q100 $139 9,539 Sole None Sole ENI SPA Common Stock 26874R108 $288 4,720 Sole None Sole EOG Resources Common Stock 26875P101 $182 6,300 Sole None Sole Eastman Chem Common Stock 277432100 $165 4,557 Sole None Sole Eastman Kodak Common Stock 277461109 $6,258 192,389 Sole None Sole Eaton Vance Common Stock 278265103 $604 19,277 Sole None Sole El Paso Corp Common Stock 28336L109 $1,740 41,888 Sole None Sole Elan Corp Common Stock 284131208 $1,002 20,681 Sole None Sole Enron Corp Common Stock 293561106 $979 35,942 Sole None Sole Enzon Common Stock 293904108 $3 64 Sole None Sole Express Scripts Common Stock 302182100 $1,073 19,399 Sole None Sole Exxon Mobil Common Stock 30231G102 $4,498 114,162 Sole None Sole Freddie Mac Common Stock 313400301 $577 8,878 Sole None Sole Fannie Mae Common Stock 313586109 $559 6,982 Sole None Sole Fleet Boston Common Stock 339030108 $494 13,449 Sole None Sole Flowers Foods Common Stock 343498101 $409 11,272 Sole None Sole Footstar Common Stock 344912100 $274 7,906 Sole None Sole Ford Motor Common Stock 345370860 $170 9,823 Sole None Sole Forest Oil Common Stock 346091705 $132 5,339 Sole None Sole Fortune Brands Common Stock 349631101 $255 7,603 Sole None Sole Forward Air Common Stock 349853101 $188 7,977 Sole None Sole Gemstar Common Stock 36866W106 $409 20,756 Sole None Sole Genentech Common Stock 368710406 $885 20,116 Sole None Sole General Motors Common Stock 370442105 $4,366 101,760 Sole None Sole Genzyme Common Stock 372917104 $1,280 28,184 Sole None Sole Georgia-Pac Tim Common Stock 373298702 $277 7,641 Sole None Sole Gillette Common Stock 375766102 $228 7,647 Sole None Sole GlaxoSmithKline Common Stock 37733W105 $991 17,656 Sole None Sole Global Marine Common Stock 379352404 $165 11,773 Sole None Sole Goldman Sachs Common Stock 38141G104 $365 5,110 Sole None Sole Goodrich Common Stock 382388106 $125 6,394 Sole None Sole Guidant Common Stock 401698105 $655 17,000 Sole None Sole John Hancock Common Stock 41014S106 $638 15,966 Sole None Sole Harley Davidson Common Stock 412822108 $1,383 34,142 Sole None Sole Health Mgmt Common Stock 421933102 $941 45,350 Sole None Sole HJ Heinz Common Stock 423074103 $244 5,800 Sole None Sole Helmerich Common Stock 423452101 $200 7,654 Sole None Sole Hershey Foods Common Stock 427866108 $291 4,454 Sole None Sole Hewlett Packard Common Stock 428236103 $263 16,391 Sole None Sole Hollinger Intl Common Stock 435569108 $151 14,398 Sole None Sole Home Depot Inc Common Stock 437076102 $109 2,847 Sole None Sole Honeywell Intl Common Stock 438516106 $76 2,895 Sole None Sole Hot Topic Common Stock 441339108 $194 7,725 Sole None Sole Household Intl Common Stock 441815107 $566 10,043 Sole None Sole Human Genome Common Stock 444903108 $2 55 Sole None Sole IDEC Pharm Common Stock 449370105 $147 2,966 Sole None Sole ITT Educational Common Stock 45068B109 $305 9,541 Sole None Sole IDEXX Labs Common Stock 45168D104 $312 13,345 Sole None Sole Immunex Common Stock 452528102 $2 89 Sole None Sole Independence Co Common Stock 453414104 $535 24,621 Sole None Sole Insituform Tech Common Stock 457667103 $166 9,756 Sole None Sole Intel Corp Common Stock 458140100 $600 29,344 Sole None Sole IBM Common Stock 459200101 $498 5,432 Sole None Sole Intl Paper Common Stock 460146103 $6,324 181,527 Sole None Sole Investment Tech Common Stock 46145F105 $720 12,978 Sole None Sole JDS Uniphase Common Stock 46612J101 $231 36,540 Sole None Sole JP Morgan Chase Common Stock 46625H100 $1,269 37,161 Sole None Sole Johnson & John Common Stock 478160104 $1,331 24,019 Sole None Sole Jones Apparel Common Stock 480074103 $189 7,400 Sole None Sole Juniper Net Common Stock 48203R104 $137 14,114 Sole None Sole KLA-TENCOR CORP COM Common Stock 482480100 $11 345 Sole None Sole Kimberly-Clark Common Stock 494368103 $243 3,913 Sole None Sole King Pharm Common Stock 495582108 $1,045 24,915 Sole None Sole Landstar Common Stock 515098101 $213 3,322 Sole None Sole LEAP WIRELESS INTL INC COM Common Stock 521863100 $0 16 Sole None Sole Learning Tree Common Stock 522015106 $175 8,619 Sole None Sole Lehman Bros Common Stock 524908100 $1,987 34,948 Sole None Sole Liberty Media Common Stock 530718105 $1,036 81,566 Sole None Sole Lilly (Eli) Common Stock 532457108 $919 11,385 Sole None Sole Linear Tech Common Stock 535678106 $820 24,985 Sole None Sole Littelfuse Common Stock 537008104 $213 9,603 Sole None Sole LOCKHEED MARTIN CORP COM Common Stock 539830109 $32 730 Sole None Sole LOEWS CORP Common Stock 540424108 $35 765 Sole None Sole LOWES COS INC COM Common Stock 548661107 $17 550 Sole None Sole LUCENT TECHNOLOGIES INC COM Common Stock 549463107 $0 2 Sole None Sole MBNA Corp Common Stock 55262L100 $449 14,830 Sole None Sole M D C HLDGS INC COM Common Stock 552676108 $5 190 Sole None Sole MGIC Invest Common Stock 552848103 $607 9,288 Sole None Sole MPTV INC COM Common Stock 553424102 $- 200,000 Sole None Sole Maxim Integrat Common Stock 57772K101 $622 17,803 Sole None Sole MCDATA CORP CL A Common Stock 580031201 $0 7 Sole None Sole McDonald's Common Stock 580135101 $247 9,051 Sole None Sole MCKESSON HBOC INC COM Common Stock 58155Q103 $20 530 Sole None Sole Medimmune Common Stock 584699102 $741 20,802 Sole None Sole Medtronic Common Stock 585055106 $661 15,193 Sole None Sole Merck Common Stock 589331107 $1,292 19,396 Sole None Sole Mercury Comp Common Stock 589378108 $336 8,938 Sole None Sole Merrill Lynch Common Stock 590188108 $312 7,696 Sole None Sole Microsoft Common Stock 594918104 $1,028 20,083 Sole None Sole Microchip Technology Inc Common Stock 595017104 $10 385 Sole None Sole Mid Cap SPDR Trust Common Stock 595635103 $11 140 Sole None Sole Millennium Chem Common Stock 599903101 $137 13,102 Sole None Sole MN Mining Common Stock 604059105 $4,492 45,655 Sole None Sole Mirant Corp Common Stock 604675108 $1,111 50,751 Sole None Sole Robert Mondavi Common Stock 609200100 $120 3,372 Sole None Sole Morgan Stanley Common Stock 617446448 $302 6,511 Sole None Sole NTT DoCoMo Common Stock 62942M201 $463 6,852 Sole None Sole Nabors Indus Common Stock 629568106 $115 5,491 Sole None Sole Nasdaq 100 Shares Common Stock 631100104 $6 221 Sole None Sole Nationwide Fncl Common Stock 638612101 $478 12,849 Sole None Sole Nautica Common Stock 639089101 $150 12,686 Sole None Sole New York Comm Common Stock 649445103 $401 17,284 Sole None Sole Nokia Common Stock 654902204 $569 36,331 Sole None Sole Noble Drilling Common Stock 655042109 $185 7,716 Sole None Sole Novartis AG Common Stock 66987V109 $827 21,258 Sole None Sole Novellus Sys Common Stock 670008101 $680 23,800 Sole None Sole NVIDIA CORP COM Common Stock 67066G104 $4 130 Sole None Sole Openwave System Common Stock 683718100 $6 504 Sole None Sole Oracle Corp Common Stock 68389X105 $1,033 82,138 Sole None Sole Oshkosh Truck Common Stock 688239201 $242 6,669 Sole None Sole Outback Steak Common Stock 689899102 $226 8,811 Sole None Sole PPG Industries Common Stock 693506107 $223 4,871 Sole None Sole Paccar Common Stock 693718108 $82 1,666 Sole None Sole Pall Corp Common Stock 696429307 $209 10,746 Sole None Sole Park Electro Common Stock 700416209 $130 5,986 Sole None Sole Paychex Common Stock 704326107 $247 7,854 Sole None Sole Pentair Common Stock 709631105 $321 10,435 Sole None Sole PeopleSoft Common Stock 712713106 $79 4,374 Sole None Sole Pepsico Common Stock 713448108 $275 5,680 Sole None Sole Pfizer Common Stock 717081103 $1,114 27,778 Sole None Sole Philip Morris Common Stock 718154107 $8,404 174,040 Sole None Sole PHOENIX COS INC NEW COM Common Stock 71902E109 $2 118 Sole None Sole Pier 1 Common Stock 720279108 $321 38,633 Sole None Sole Pitney Bowes Common Stock 724479100 $266 6,967 Sole None Sole Polymedica Common Stock 731738100 $81 5,318 Sole None Sole Procter & Gambl Common Stock 742718109 $4,752 65,278 Sole None Sole PROGRESSIVE CORP OHIO COM Common Stock 743315103 $20 150 Sole None Sole Protein Design Common Stock 74369L103 $3 54 Sole None Sole Providian Fincl Common Stock 74406A102 $205 10,162 Sole None Sole Public Service Common Stock 744499104 $400 15,886 Sole None Sole QUALCOMM Common Stock 747525103 $1,432 30,130 Sole None Sole Qwest Comm Common Stock 749121109 $255 15,254 Sole None Sole Rainbow Tech Common Stock 750862104 $35 10,119 Sole None Sole Rare Hospital Common Stock 753820109 $108 6,922 Sole None Sole Rayonier Common Stock 754907103 $230 5,684 Sole None Sole Reliant Common Stock 75952J108 $1,647 62,559 Sole None Sole Rent-A-Center Common Stock 76009N100 $225 9,671 Sole None Sole Resmed Inc Common Stock 761152107 $4 83 Sole None Sole Roche Holdings Common Stock 771195104 $113 1,575 Sole None Sole Royal Dutch Common Stock 780257804 $245 4,867 Sole None Sole SBC Comm Common Stock 78387G103 $7,705 163,517 Sole None Sole SBS Tech Common Stock 78387P103 $57 5,151 Sole None Sole S&P 500 SPDR Common Stock 78462F103 $479 4,590 Sole None Sole Sabre Holdings Common Stock 785905100 $11 406 Sole None Sole St. Paul Co Common Stock 792860108 $2,039 49,462 Sole None Sole SANMINA CORP COM Common Stock 800907107 $0 20 Sole None Sole Schering-Plough Common Stock 806605101 $664 17,894 Sole None Sole Schwab S&P 500 Inv Shs Common Stock 808509608 $8 472 Sole None Sole Scientific-Atl Common Stock 808655104 $717 40,964 Sole None Sole Scudder International St Common Stock 811165109 $4 116 Sole None Sole Siebel Systems Common Stock 826170102 $199 15,305 Sole None Sole SMURFIT-STONE CONTAINER CORPCOM Common Stock 832727101 $9 700 Sole None Sole Snap-On Inc Common Stock 833034101 $185 8,302 Sole None Sole Sonoco Products Common Stock 835495102 $241 10,244 Sole None Sole Spectralink Common Stock 847580107 $113 7,252 Sole None Sole Sprint Fon Common Stock 852061100 $595 24,781 Sole None Sole Sprint Corp Common Stock 852061506 $708 26,943 Sole None Sole STARBUCKS CORP COM Common Stock 855244109 $8 530 Sole None Sole STMicroelectron Common Stock 861012102 $466 21,670 Sole None Sole Stryker Corp Common Stock 863667101 $939 17,758 Sole None Sole Suiza Foods Common Stock 865077101 $360 5,703 Sole None Sole Sun Microsys Common Stock 866810104 $277 33,520 Sole None Sole SunGard Data Common Stock 867363103 $412 17,609 Sole None Sole Sunoco Inc Common Stock 86764P109 $246 6,904 Sole None Sole Suntrust Banks Common Stock 867914103 $582 8,743 Sole None Sole Superior Energy Common Stock 868157108 $163 27,664 Sole None Sole Symantec Corp Common Stock 871503108 $886 25,554 Sole None Sole TJX Companies Inc Common Stock 872540109 $20 605 Sole None Sole TMP Worldwide Common Stock 872941109 $10 355 Sole None Sole Techne Common Stock 878377100 $4 124 Sole None Sole Telefonica S.A. Common Stock 879382208 $402 11,841 Sole None Sole Telefonas Mex Common Stock 879403780 $688 21,312 Sole None Sole Tellabs Common Stock 879664100 $269 27,236 Sole None Sole Tenet Health Common Stock 88033G100 $3,595 60,267 Sole None Sole Tidewater Common Stock 886423102 $192 7,185 Sole None Sole Total SA Common Stock 89151E109 $277 4,095 Sole None Sole II-VI Common Stock 902104108 $70 5,393 Sole None Sole TYCO INTL LTD NEW COM Common Stock 902124106 $84 1,850 Sole None Sole USX-Marathon Common Stock 902905827 $502 18,753 Sole None Sole US Oncology Common Stock 90338W103 $280 37,609 Sole None Sole United Tech Common Stock 913017109 $283 6,082 Sole None Sole United Health Common Stock 91324P102 $2,910 43,755 Sole None Sole Universal Corp Common Stock 913456109 $217 6,504 Sole None Sole Valero Energy Common Stock 91913Y100 $320 9,109 Sole None Sole Varian Common Stock 922206107 $291 11,417 Sole None Sole Vanguard Index Trust 500 Common Stock 922908108 $3 34 Sole None Sole Veritas Softwr Common Stock 923436109 $208 11,296 Sole None Sole VeriSign Common Stock 92343E102 $10 236 Sole None Sole Verizon Comm Common Stock 92343V104 $639 11,809 Sole None Sole Vintage Petro Common Stock 927460105 $225 14,212 Sole None Sole Vodafone Common Stock 92857W100 $395 17,986 Sole None Sole WMS Industries Common Stock 929297109 $219 12,523 Sole None Sole Wallace Comp Common Stock 932270101 $196 12,349 Sole None Sole Washington Mut Common Stock 939322103 $4,919 127,826 Sole None Sole Waste Mngmt Common Stock 94106L109 $1,192 44,589 Sole None Sole Watson Pharm Common Stock 942683103 $881 16,109 Sole None Sole Weatherford Common Stock 947074100 $175 6,872 Sole None Sole Wellpoint Common Stock 94973H108 $882 8,081 Sole None Sole Westvaco Common Stock 961548104 $200 7,789 Sole None Sole Weyerhaeuser Common Stock 962166104 $216 4,442 Sole None Sole Williams Co Common Stock 969457100 $224 8,197 Sole None Sole WorldCom Common Stock 98157D106 $537 35,736 Sole None Sole Yahoo Common Stock 984332106 $5 574 Sole None Sole Zimmer Holdings Common Stock 98956P102 $54 1,949 Sole None Sole G S T Telecomm Inc Common Stock 999999902 $0 300 Sole None Sole Amdocs Common Stock G02602103 $184 6,920 Sole None Sole Global Crossing Common Stock G3921A100 $63 34,798 Sole None Sole GlobalSantaFe Common Stock G3930E101 $211 9,919 Sole None Sole OPENTV CORP CL A Common Stock G67543101 $0 5 Sole None Sole Check Point Common Stock M22465104 $359 16,286 Sole None Sole Value $182,949 X 1000
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