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 September 30, 1999
(Please read instructions before preparing form.)
If amended report check here: |_|
Stanley Knowlton
Name of Institutional Investment Manager
Knowlton Brothers, Inc. 530 Fifth Avenue New York NY 10036
Business Address (Street) (City) (State) (Zip)
Stanley Knowlton 212-764-3602
Name, Phone No., and Title of Person Duly Authorized to Submit This Report
ATTENTION
Intentional misstatements or omissions of facts constitute Federal
Criminal Violations. See 18 U.S.C. 1001 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 is understood
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 New York and State of New York on the 3rd day of November
1999.
Stanley Knowlton
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(Name of Institutional Investment Manager)
/s/ Stanley Knowlton
------------------------------------------
(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 (other than the one filing this report): (List
in alphabetical order).
13F File Numbers will be assigned to Institutional Investment Managers after
they file their first report.
Name: 13F File No.: Name: 13F File No.:
----- ------------- ----- -------------
1. Knowlton Brothers, Inc. 28-5340
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2. Knowlton, Christopher 28-5342
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3. Knowlton, Winthrop 28-5344
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4. Lee, Dwight 28-2649
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5.
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<PAGE>
<TABLE>
<CAPTION>
Investment Discretion Voting Authority
--------------------- ----------------
====================================================================================================================================
Shared
Issuer Class CUSIP Value Position Sole Instr.V Shared Managers Sole Shared
- ------------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C>
Adept Technology Inc. COM 6854103 1,516,555.00 209,180 X 1, 2, 3 X
AES Corp. COM 00130H105 5,224,450.00 88,550 X 1, 2, 3 X
AES Corp. COM 00130H105 1,675,600.00 28,400 X 1, 2, 3, 4 X
Altera Corp. COM 21441100 1,127,750.00 26,000 X 1, 2, 3, 4 X
AT&T Liberty Media COM 1957208 701,475.00 18,800 X 1, 2, 3, 4 X
Banco Latinoamerican COM P16994132 1,201,623.75 52,530 X 1, 2, 3 X
Banco Latinoamerican COM P16994132 741,150.00 32,400 X 1, 2, 3, 4 X
Biosite Diagnostic COM 90945106 1,057,603.13 116,300 X 1, 2, 3, 4 X
Cognex Corp. COM 192422103 5,702,418.75 188,900 X 1, 2, 3 X
Cognex Corp. COM 192422103 1,590,881.25 52,700 X 1, 2, 3, 4 X
Costco COM 22160Q102 784,800.00 10,900 X 1, 2, 3, 4 X
Dell Computer COM 247025109 367,950.00 8,800 X 1, 2, 3, 4 X
EPL Technologies Inc. COM 268920105 17,600.00 17,600 X 1, 2, 3 X
EMC COM 268648102 1,306,162.50 18,300 X 1, 2, 3, 4 X
Eclipsys COM 278856109 7,693,068.75 535,170 X 1, 2, 3 X
Eclipsys COM 278856109 376,625.00 26,200 X 1, 2, 3, 4 X
Gensyme Corp Gen Div COM 372917104 547,509.38 12,150 X 1, 2, 3 X
Gensyme Corp Gen Div COM 372917104 1,135,575.00 25,200 X 1, 2, 3, 4 X
Globalstar Telecommuni-
cation COM G3930H104 310,500.00 13,500 X 1, 2, 3, 4 X
HNC Software COM 40425P107 6,689,328.13 168,550 X 1, 2, 3 X
HNC Software COM 40425P107 571,500.00 14,400 X 1, 2, 3, 4 X
Idexx Laboratories Corp. COM 45168D104 1,002,131.25 58,200 X 1, 2, 3 X
Index Laboratories Corp. COM 45168D104 699,081.25 40,600 X 1, 2, 3, 4 X
Impath COM 45255G101 4,542,335.00 155,960 X 1, 2, 3 X
Integrated Systems Inc. COM 45812M104 3,472,001.88 340,810 X 1, 2, 3 X
Integrated Systems Inc. COM 45812M104 858,296.88 84,250 X 1, 2, 3, 4 X
Intelliquest Information COM 45816H101 1,629,075.00 149,800 X 1, 2, 3 X
ISG International Software COM M5733B104 543,106.25 76,900 X 1, 2, 3, 4 X
Jabil Circuit COM 466313103 697,950.00 14,100 X 1, 2, 3 X
</TABLE>
<PAGE>
<TABLE>
<CAPTION>
Investment Discretion Voting Authority
--------------------- ----------------
====================================================================================================================================
Shared
Issuer Class CUSIP Value Position Sole Instr.V Shared Managers Sole Shared
- ------------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C>
Jabil Circuit COM 466313103 1,786,950.00 36,100 X 1, 2, 3, 4 X
NTL Incorporated Comm COM 629407107 2,046,796.88 21,300 X 1, 2, 3, 4 X
Network Associates COM 640938106 2,887,970.63 151,005 X 1, 2, 3 X
Network Associates COM 640938106 901,743.75 47,150 X 1, 2, 3, 4 X
Manpower COM 56418H100 812,587.50 27,900 X 1, 2, 3 X
Media 100 COM 58440W105 1,526,912.50 216,200 X 1, 2, 3 X
Mercury Interactive Corp. COM 589405109 8,901,554.69 137,875 X 1, 2, 3 X
Mercury Interactive Corp. COM 589405109 2,272,600.00 35,200 X 1, 2, 3, 4 X
Maxim Pharmaceutical COM 57772M107 282,562.50 33,000 X 1, 2, 3, 4 X
Maxwell Shoe COM 577766108 308,437.50 35,000 X 1, 2, 3 X
MRV Communications Inc. COM 553477100 2,574,831.25 108,700 X 1, 2, 3, 4 X
Napro Biotherapeutics Inc. COM 630795102 445,034.38 134,350 X 1, 2, 3 X
Network Solutions COM 64121Q102 1,194,375.00 13,000 X 1, 2, 3, 4 X
Oak Technology COM 671802106 1,108,250.00 248,000 X 1, 2, 3 X
Oracle Corp. COM 68389X106 395,850.00 8,700 X 1, 2, 3 X
Parametric Technology Corp. COM 699173100 6,554,533.50 485,521 X 1, 2, 3 X
Parametric Technology Corp. COM 699173100 1,350,000.00 100,000 X 1, 2, 3, 4 X
Pinnacle Systems Inc. COM 7234811070 18,973,491.00 447,752 X 1, 2, 3 X
Physicians Specialty COM 718934102 1,056,562.50 105,000 X 1, 2, 3 X
QRS COM 74726X106 1,962,225.00 30,600 X 1, 2, 3 X
Remedy COM 759548100 2,999,237.50 105,700 X 1, 2, 3 X
RSA Security COM 74971900 656,093.75 24,700 X 1, 2, 3 X
RSA Security COM 74971900 398,437.50 15,000 X 1, 2, 3, 4 X
Shared Medical COM 819486101 2,519,825.00 53,900 X 1, 2, 3 X
Starbucks COM 855244109 1,187,021.88 47,900 X 1, 2, 3 X
Starbucks COM 855244109 857,431.25 34,600 X 1, 2, 3, 4 X
Synopsis Inc. COM 871607107 8,181,965.63 145,700 X 1, 2, 3 X
Synopsis Inc. COM 871607107 2,139,553.13 38,100 X 1, 2, 3, 4 X
</TABLE>
2
<PAGE>
<TABLE>
<CAPTION>
Investment Discretion Voting Authority
--------------------- ----------------
====================================================================================================================================
Shared
Issuer Class CUSIP Value Position Sole Instr.V Shared Managers Sole Shared
- ------------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C>
Thermo Cardiosystems Inc. COM 88355K200 3,876,327.75 544,046 X 1, 2, 3 X
Valley Forge Scientific
Corp. COM 919656108 288,624.75 87,132 X 1, 2, 3 X
Winstar Communications COM 975515107 1,152,343.75 29,500 X 1, 2, 3, 4 X
Wiley John & Sons COM 968223206 1,115,381.25 71,100 X 1, 2, 3 X
Xilinx Inc. COM 983919101 1,225,434.38 18,700 X 1, 2, 3, 4 X
Xionics Document Tech COM 98412X103 205,625.00 35,000 X 1, 2, 3 X
====================================================================================================================================
Total 137,930,674.19
====================================================================================================================================
</TABLE>
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