Yes, I noticed that too. Rocker talking out of both sides of their
mouth. Maybe their trying to hedge their short position; though there
are much better ways of doing if they were smart (which they aren't).
In the ESST filing, Rocker sold their holding in ESST. Hmmm....
The information is as of 12/31/96. ESST has collapsed since then so I
expect quite a few of the institutions sold out to cut their
losses as it plunged after earnings. The list has probably changed
quite a bit.
******
05/01 ESS TECHNOLOGY INC 4Q Inst. Equity Holders-EQ
ISSUER: ESS TECHNOLOGY INC.
SYMBOL: ESST
Issue Type of Security: EQ (Common Equity)
Number Change Latest
Institution Shs Held Shs Held Report Date
J. & W. SELIGMAN & CO., INC. 1,725,000 825,000 12/31/1996
OPPENHEIMERFUNDS INC. 725,000 725,000 12/31/1996
TRAVELERS INVESTMENT MANAGEMEN 541,010 519,305 12/31/1996
GRUBER & MCBAINE CAPITAL MANAG 501,600 111,800 12/31/1996
SCUDDER, STEVENS & CLARK INC. 457,050 457,050 12/31/1996
FRIESS ASSOCIATES, INC. 440,000 440,000 12/31/1996
BARCLAYS GLOBAL INVESTORS, N.A 413,050 15,596 12/31/1996
PEREGRINE CAPITAL MANAGEMENT, 389,400 (210,600) 12/31/1996
AMERICAN EXPRESS FINANCIAL ADV 387,000 387,000 12/31/1996
GARDNER LEWIS ASSET MANAGEMENT 384,800 384,800 12/31/1996
FIDELITY MANAGEMENT & RESEARCH 360,000 (68,500) 12/31/1996
DRIEHAUS CAPITAL MANAGEMENT, I 344,102 296,102 12/31/1996
LUTHERAN BROTHERHOOD 307,800 307,800 12/31/1996
DAVIS HAMILTON, INC. 307,500 307,500 12/31/1996
BESSEMER TRUST COMPANY, N.A. ( 300,433 300,433 12/31/1996
EMERGING GROWTH MANAGEMENT COM 273,200 273,200 12/31/1996
AIM CAPITAL MANAGEMENT INC. 262,500 262,500 12/31/1996
BERGER ASSOCIATES, INC. 252,605 252,605 12/31/1996
AXE-HOUGHTON ASSOCIATES, INC. 233,430 233,430 12/31/1996
BEAR, STEARNS ASSET MANAGEMENT 233,400 (39,460) 12/31/1996
PILGRIM BAXTER & ASSOCIATES LT 227,700 227,700 12/31/1996
ZURICH KEMPER INVESTMENTS, INC 225,000 225,000 12/31/1996
DELAWARE INVESTMENT ADVISERS ( 217,200 217,200 12/31/1996
GRANAHAN INVESTMENT MANAGEMENT 208,500 208,500 12/31/1996
HUSIC CAPITAL MANAGEMENT 201,500 201,500 12/31/1996
TIAA-CREF INVESTMENT MANAGEMEN 196,400 72,300 12/31/1996
PHOENIX INVESTMENT COUNSEL, IN 189,000 189,000 12/31/1996
LOOMIS, SAYLES & COMPANY, L.P. 183,000 183,000 12/31/1996
STACEY BRAUN ASSOCIATES, INC. 179,500 (53,000) 12/31/1996
JOHN GOVETT & CO. LTD. 176,500 126,500 12/31/1996
THE DREYFUS CORPORATION 175,000 175,000 12/31/1996
SIRACH CAPITAL MANAGEMENT, INC 170,100 170,100 12/31/1996
FIRST INVESTORS MANAGEMENT CO. 161,500 500 12/31/1996
MORGAN GUARANTY TRUST COMPANY 148,000 148,000 12/31/1996
MELLON BANK, N.A. 142,500 19,200 12/31/1996
FRANK RUSSELL COMPANY 139,600 11,100 12/31/1996
TUDOR INVESTMENT CORPORATION 135,800 135,800 12/31/1996
MORGAN STANLEY & CO., INC. 129,733 (257,393) 12/31/1996
BERKELEY CAPITAL MANAGEMENT 127,300 73,100 12/31/1996
GENERAL MOTORS INVT. MGMT. COR 124,100 124,100 12/31/1996
OBERWEIS ASSET MANAGEMENT, INC 108,600 (500) 12/31/1996
MILLER, ANDERSON & SHERRERD, L 102,500 102,500 12/31/1996
S SQUARED TECHNOLOGY CORP. 100,100 (9,900) 12/31/1996
WATER STREET CAPITAL, INC. 100,000 100,000 12/31/1996
STRONG CAPITAL MANAGEMENT, INC 95,600 22,000 12/31/1996
STATE STREET BANK AND TR. CO. 95,400 76,000 12/31/1996
FORTALEZA ASSET MANAGEMENT, IN 90,000 90,000 12/31/1996
INSIGHT CAPITAL RESEARCH & MGM 83,230 83,230 12/31/1996
UNIVERSITY OF TEXAS INVESTMENT 82,900 82,900 12/31/1996
J. P. MORGAN INVESTMENT MGMT. 75,100 75,100 12/31/1996
APODACA INVESTMENT GROUP, INC. 69,800 69,800 12/31/1996
NUMERIC INVESTORS, L.P. 68,400 (215,301) 12/31/1996
CALIFORNIA STATE TEACHERS RETI 55,200 0 12/31/1996
SUNAMERICA ASSET MANAGEMENT CO 50,000 0 12/31/1996
USAA INVESTMENT MANAGEMENT COM 47,000 0 12/31/1996
VINIK ASSET MANAGEMENT 45,000 45,000 12/31/1996
WELLS FARGO BANK, N.A. 45,000 20,000 12/31/1996
FRANKLIN STREET ADVISORS, INC. 40,000 10,000 12/31/1996
FEDERATED INVESTMENT COUNSELIN 35,500 (1,700) 12/31/1996
TURNER INVESTMENT PARTNERS, IN 32,500 32,500 12/31/1996
UNITED SERVICES GLOBAL INVESTO 30,000 30,000 12/31/1996
VAN KAMPEN AMERICAN CAPITAL 30,000 30,000 12/31/1996
DEAN WITTER REYNOLDS INTERCAPI 30,000 30,000 12/31/1996
MORGENS, WATERFALL, VINTIADIS 30,000 (30,000) 12/31/1996
ANB INVESTMENT MANAGEMENT & TR 28,600 26,200 12/31/1996
DAVID L. BABSON & COMPANY, INC 26,691 26,691 12/31/1996
MCKINLEY CAPITAL MANAGEMENT, I 25,300 25,300 12/31/1996
THE MANUFACTURERS LIFE INSURAN 25,000 25,000 12/31/1996
JURIKA & VOYLES, INC. 25,000 25,000 12/31/1996
THE GREAT-WEST LIFE ASSUR. CO. 21,100 21,100 12/31/1996
NORWEST BANK TEXAS, SOUTH, N.A 18,300 18,300 12/31/1996
AID ASSOCIATION FOR LUTHERANS 15,100 2,700 12/31/1996
PANAGORA ASSET MANAGEMENT INC. 13,000 13,000 12/31/1996
WENTWORTH, HAUSER & VIOLICH, I 12,100 12,100 12/31/1996
THE NORTHERN TRUST COMPANY 11,300 500 12/31/1996
GEEWAX, TERKER & COMPANY 11,000 11,000 12/31/1996
MITCHELL HUTCHINS ASSET MGMT., 10,954 10,954 12/31/1996
ALLIANCE CAPITAL MANAGEMENT L. 7,900 7,900 12/31/1996
UNITED STATES TRUST CO. OF NEW 7,000 6,000 12/31/1996
WORLD ASSET MANAGEMENT 7,000 7,000 12/31/1996
VARIABLE ANNUITY LIFE INSURANC 5,800 2,800 12/31/1996
UNITED STATES TRUST CO. OF BOS 3,100 3,100 12/31/1996
AIG GLOBAL INVESTORS (US), INC 2,300 2,300 12/31/1996
RCB TRUST COMPANY 2,000 2,000 12/31/1996
TEACHERS INSURANCE & ANNUITY A 1,900 0 12/31/1996
MORGAN STANLEY ASSET MANAGEMEN 1,900 1,900 12/31/1996
WESTPORT RESOURCES MANAGEMENT, 600 600 12/31/1996
MASSACHUSETTS FINANCIAL SERVIC 0 (77,700) 12/31/1996
GOLDMAN SACHS ASSET MANAGEMENT 0 (30,000) 12/31/1996
TCW GROUP 0 (103,800) 12/31/1996
GIBRALTAR ADVISORS 0 (28,300) 12/31/1996
COLUMBIA PARTNERS, L.L.C. INVE 0 (1,695) 12/31/1996
ALLIEDSIGNAL INC. (PENSION FUN 0 (7,000) 12/31/1996
WALL STREET ASSOCIATES 0 (10,000) 12/31/1996
ROCKER PARTNERS 0 (27,500) 12/31/1996
STATISTICAL ADVISERS, INC. 0 (79,510) 12/31/1996
BODRI CAPITAL MANAGEMENT, INC. 0 (115,000) 12/31/1996
GARTMORE INVESTMENT MANAGEMENT 0 (11,210) 12/31/1996
Source: Technimetrics Inc. |
