UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 13F
Form 13F COVER PAGE
Report for the Calendar Year or 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: Van Wagoner Capital Management, Inc.
Address: 345 California Street
Suite 2450
San Francisco, CA 94104
Form 13F File Number: 28-6388
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: Garrett R. Van Wagoner
Title: President
Phone: (415) 835-5000
Signature, Place, and Date of Signing:
/s/Garrett R. Van Wagoner San Francisco, CA 10/25/2000
---------------------------------------------------------------------------
Garrett R. Van Wagoner 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).)
<PAGE>
<TABLE>
Page 1 of 8 FORM 13F INFORMATION TABLE
Name of Reporting Manager: Van Wagoner Capital Management, Inc.
<CAPTION>
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Column 1: Column 2: Column 3: Column 4: Column 5: Column 6: Column 7: Column 8:
Name of Issuer Title of Class CUSIP Market Value Shares or Principal Investment Discretion Other Voting Authority
Number (x $1,000) Amount Managers
-------------- -------------- --------- ------------ ------------------- ---------------------- -------- -------------------
SH/ Put/ Sole Shared- Shared- Sole Shared None
PRN Call Defined Other
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<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
ABGENIX INC COMMON 00339B107 15,977 197,700 197,700
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ACLARA BIOSC COMMON 00461P106 3,325 109,450 109,450
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ACTERNA CORP COMMON 00503U105 3,417 112,500 112,500
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ACTUATE SFT COMMON 00508B102 26,865 777,650 777,650
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ADEPT TECH COMMON 006854103 3,285 62,500 62,500
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AGILE SOFTWRE COMMON 00846X105 51,368 571,150 571,150
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ANAREN MICRO COMMON 032744104 34,333 253,150 253,150
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APPLIED MICRO COMMON 03822W109 60,938 294,300 294,300
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ARIBA INC COMMON 04033V104 290,958 2,030,900 2,030,900
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ART TECH GP COMMON 04289L107 64,927 685,250 685,250
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AVANEX CORP COMMON 05348W109 65,878 611,750 611,750
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AVANTGO INC COMMON 05349M100 900 45,000 45,000
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BINDVIEW DEV 020900 COMMON 090327107 325 42,965 42,965
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BLUE MARTINI COMMON 095698106 4,282 126,400 126,400
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BROADCOM COMMON 111320107 86,678 355,600 355,600
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BROCADE COMM COMMON 111621108 69,290 293,600 293,600
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C COR NET COMMON 125010108 827 54,000 54,000
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CACHEFLOW INC COMMON 126946102 25,118 175,650 175,650
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CALIPER TECH COMMON 130876105 17,639 304,450 304,450
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<PAGE>
Page 2 of 8
Name of Reporting Manager: Van Wagoner Capital Management, Inc.
<CAPTION>
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Column 1: Column 2: Column 3: Column 4: Column 5: Column 6: Column 7: Column 8:
Name of Issuer Title of Class CUSIP Market Value Shares or Principal Investment Discretion Other Voting Authority
Number (x $1,000) Amount Managers
-------------- -------------- --------- ------------ ------------------- --------------------- -------- -------------------
SH/ Put/ Sole Shared- Shared- Sole Shared None
PRN Call Defined Other
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<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
CARDIAC PATH COMMON 141408302 1,477 295,300 295,300
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CARDIAC PTH 072299 COMMON 141408302 5,000 1,000,000 1,000,000
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CELERITEK INC COMMON 150926103 1,131 30,000 30,000
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CENTILLIUM COMM COMMON 152319109 11,986 124,850 124,850
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CENTRA SFTWRE COMMON 15234X103 585 90,000 90,000
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CEPHALON INC COMMON 156708109 1,295 26,700 26,700
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CERTICOM COMMON 156915100 32,909 830,500 830,500
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CHECKPOINT SFT COMMON M22465104 13,356 84,800 84,800
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CIENA CORP COMMON 171779101 59,441 484,000 484,000
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CISCO SYS INC COMMON 17275R102 8,321 150,600 150,600
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COMMERCE ONE COMMON 200693109 13,659 174,000 174,000
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COMPUGEN LTD COMMON M25722105 2,885 209,800 209,800
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CORIO INC COMMON 218875102 7,918 1,034,250 1,034,250
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CORVIS CORP COMMON 221009103 18,070 296,000 296,000
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CORVIS H 121699 COMMON 221009103 55,461 1,043,088 1,043,088
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COSINE COMM COMMON 221222102 3,945 71,000 71,000
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CROSSWORLDS COMMON 22769P109 1,679 85,000 85,000
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CURAGEN CORP COMMON 23126R101 14,074 264,150 264,150
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DESCARTES SYS COMMON 249906108 3,465 70,000 70,000
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DOCENT INC COMMON 25608L106 5,970 326,000 326,000
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<PAGE>
Page 3 of 8
Name of Reporting Manager: Van Wagoner Capital Management, Inc.
<CAPTION>
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Column 1: Column 2: Column 3: Column 4: Column 5: Column 6: Column 7: Column 8:
Name of Issuer Title of Class CUSIP Market Value Shares or Principal Investment Discretion Other Voting Authority
Number (x $1,000) Amount Managers
-------------- -------------- --------- ------------ ------------------- --------------------- -------- -------------------
SH/ Put/ Sole Shared- Shared- Sole Shared None
PRN Call Defined Other
------------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
DOCENT INC E COMMON 7,793 531,915 531,915
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DOCENT INC F COMMON 19,481 1,329,788 1,329,788
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DRIL-QUIP INC COMMON 262037104 1,396 35,000 35,000
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EBENX INC COMMON 278668108 453 40,000 40,000
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ELANTEC SEMI COMMON 284155108 37,275 374,150 374,150
------------------------------------------------------------------------------------------------------------------------------------
EMBRCDRO TECH COMMON 290787100 121,355 2,362,150 2,362,150
------------------------------------------------------------------------------------------------------------------------------------
EMC CORP MASS COMMON 268648102 6,042 60,950 60,950
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EMULEX CORP COMMON 292475209 80,397 656,300 656,300
------------------------------------------------------------------------------------------------------------------------------------
ENDOCARE INC COMMON 29264P104 2,173 110,000 110,000
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EPRISE C 110499 COMMON 8,494 1,018,589 1,018,589
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EPRISE CORP COMMON 294352109 13,142 1,523,700 1,523,700
------------------------------------------------------------------------------------------------------------------------------------
EXAR CORP COMMON 300645108 57,784 477,550 477,550
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EXODUS COMM COMMON 302088109 14,442 292,500 292,500
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EXTREME NET COMMON 30226D106 52,155 455,500 455,500
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FINISAR COM COMMON 31787A101 30,210 624,500 624,500
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FLOWARE D COMMON 17,311 802,000 802,000
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FLOWARE WIRE COMMON M45919103 16,447 660,350 660,350
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GEMSTAR TV GD COMMON 36866W106 19,373 222,200 222,200
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GENENTECH INC COMMON 368710406 520 2,800 2,800
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GENOME THERAP COMMON 372430108 12,253 595,900 595,900
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<PAGE>
Page 4 of 8
Name of Reporting Manager: Van Wagoner Capital Management, Inc.
<CAPTION>
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Column 1: Column 2: Column 3: Column 4: Column 5: Column 6: Column 7: Column 8:
Name of Issuer Title of Class CUSIP Market Value Shares or Principal Investment Discretion Other Voting Authority
Number (x $1,000) Amount Managers
-------------- -------------- --------- ------------ ------------------- --------------------- -------- -------------------
SH/ Put/ Sole Shared- Shared- Sole Shared None
PRN Call Defined Other
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<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
GENOMIC SLTNS COMMON 37243R109 8,845 514,600 514,600
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GENZYME TRANS COMMON 37246E105 14,155 401,550 401,550
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GLOBESPAN SEMI COMMON 379571102 23,680 194,100 194,100
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GOLDMAN SACHS COMMON 38141G104 1,484 13,025 13,025
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GREY WOLF COMMON 397888108 1,119 194,650 194,650
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HORZN OFFSHRE COMMON 44043J105 1,019 57,800 57,800
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HYBRID NET COMMON 44860K102 2,135 115,000 115,000
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I-MANY INC COMMON 44973Q103 2,592 130,000 130,000
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12 TECH COMMON 465754109 54,865 293,300 293,300
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ILLUMINA INC COMMON 452327109 908 20,000 20,000
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INFORMATICA COMMON 45666Q102 29,406 315,350 315,350
------------------------------------------------------------------------------------------------------------------------------------
INTEL CORP COMMON 458140100 2,934 70,600 70,600
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INTERNAP NET COMMON 45885A102 19,434 601,450 601,450
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INTERWOVEN E 060399 COMMON 46114T102 106,537 942,284 942,284
------------------------------------------------------------------------------------------------------------------------------------
INTERWOVEN INC COMMON 46114T102 138,841 1,228,000 1,228,000
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INTRANET SLTNS COMMON 460939309 68,248 1,364,950 1,364,950
------------------------------------------------------------------------------------------------------------------------------------
JDS UNIPHASE COMMON 909149106 42,756 451,550 451,550
------------------------------------------------------------------------------------------------------------------------------------
JUNIPER NET COMMON 48203R104 75,468 344,700 344,700
------------------------------------------------------------------------------------------------------------------------------------
KEY ENERGY GRP COMMON 492914106 2,064 210,300 210,300
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LEXAR MEDIA COMMON 52886P104 5,404 464,900 464,900
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<PAGE>
Page 5 of 8
Name of Reporting Manager: Van Wagoner Capital Management, Inc.
<CAPTION>
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Column 1: Column 2: Column 3: Column 4: Column 5: Column 6: Column 7: Column 8:
Name of Issuer Title of Class CUSIP Market Value Shares or Principal Investment Discretion Other Voting Authority
Number (x $1,000) Amount Managers
-------------- -------------- --------- ------------ ------------------- --------------------- -------- -------------------
SH/ Put/ Sole Shared- Shared- Sole Shared None
PRN Call Defined Other
------------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
LEXAR MEDIA E COMMON 21,072 2,127,413 2,127,413
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LIFEMINDERS E 092299 COMMON 53220Q105 6,027 262,773 262,773
------------------------------------------------------------------------------------------------------------------------------------
LIFEMINDERS INC COMMON 53220Q105 7,801 340,100 340,100
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MARVELL TECH COMMON G5876H105 17,924 232,400 232,400
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MATRIXONE INC COMMON 57685P304 33,650 841,250 841,250
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MAVERICK TUBE COMMON 577914104 2,020 75,000 75,000
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MCDATA CORP COMMON 580031102 21,494 174,900 174,900
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MEDAREX INC COMMON 583916101 26,026 221,850 221,850
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MERCURY INTER COMMON 589405109 24,077 153,600 153,600
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MICREL INC COMMON 594793101 2,345 35,000 35,000
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MICROMUSE COMMON 595094103 27,167 135,200 135,200
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MICROTUNE COMMON 59514M106 2,678 50,000 50,000
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MILLENIUM PH COMMON 599902103 19,061 130,500 130,500
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MYRIAD GNTCS COMMON 62855J104 21,209 245,550 245,550
------------------------------------------------------------------------------------------------------------------------------------
NATURAL MICRO COMMON 638882100 38,583 717,200 717,200
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NAVISITE INC COMMON 63935M109 808 30,000 30,000
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NETEGRITY COMMON 64110P107 62,853 897,900 897,900
------------------------------------------------------------------------------------------------------------------------------------
NETIQ CORP COMMON 64115P102 29,848 454,400 454,400
------------------------------------------------------------------------------------------------------------------------------------
NETRO CORP COMMON 64114R109 100,068 1,688,907 1,688,907
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NETRO D 041599 COMMON 64114R109 16,802 283,572 283,572
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<PAGE>
Page 6 of 8
Name of Reporting Manager: Van Wagoner Capital Management, Inc.
<CAPTION>
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Column 1: Column 2: Column 3: Column 4: Column 5: Column 6: Column 7: Column 8:
Name of Issuer Title of Class CUSIP Market Value Shares or Principal Investment Discretion Other Voting Authority
Number (x $1,000) Amount Managers
-------------- -------------- --------- ------------ ------------------- --------------------- -------- -------------------
SH/ Put/ Sole Shared- Shared- Sole Shared None
PRN Call Defined Other
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<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
NETWRK APPL COMMON 64120L104 41,238 323,750 323,750
------------------------------------------------------------------------------------------------------------------------------------
NETWRK ENGNS COMMON 64121A107 36,154 883,150 883,150
------------------------------------------------------------------------------------------------------------------------------------
NOKIA CORP A COMMON 654902204 3,227 81,050 81,050
------------------------------------------------------------------------------------------------------------------------------------
NVIDIA CORP COMMON 67066G104 22,323 272,650 272,650
------------------------------------------------------------------------------------------------------------------------------------
02MICROINTL COMMON G6797E106 1,720 100,000 100,000
------------------------------------------------------------------------------------------------------------------------------------
OMNIVISION TECH COMMON 682128103 2,895 80,000 80,000
------------------------------------------------------------------------------------------------------------------------------------
ONI SYSTEMS COMMON 68273F103 7,535 87,300 87,300
------------------------------------------------------------------------------------------------------------------------------------
ONVIA COM COMMON 68338T106 11,931 2,688,700 2,688,700
------------------------------------------------------------------------------------------------------------------------------------
ONVIA COM C 122099 COMMON 2,445 583,412 583,412
------------------------------------------------------------------------------------------------------------------------------------
ORACLE CORP COMMON 68389X105 3,359 42,650 42,650
------------------------------------------------------------------------------------------------------------------------------------
PARADIGM GEN COMMON 69900R106 10,498 439,700 439,700
------------------------------------------------------------------------------------------------------------------------------------
PATTERSON EN COMMON 703414102 1,356 39,450 39,450
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PE CORP CELERA COMMON 69332S201 9,923 99,600 99,600
------------------------------------------------------------------------------------------------------------------------------------
PECO II INC COMMON 705221109 2,341 50,000 50,000
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PHONE COM COMMON 71920Q100 51,461 452,900 452,900
------------------------------------------------------------------------------------------------------------------------------------
PHOTON DYN COMMON 719364101 11,701 309,950 309,950
------------------------------------------------------------------------------------------------------------------------------------
PMC-SIERRA COMMON 69344F106 32,793 152,350 152,350
------------------------------------------------------------------------------------------------------------------------------------
PORTAL SFTWRE COMMON 736126103 8,812 220,300 220,300
------------------------------------------------------------------------------------------------------------------------------------
POWERWAVE COMMON 739363109 27,260 717,950 717,950
------------------------------------------------------------------------------------------------------------------------------------
PREVIEW G 070199 COMMON 741379101 6,327 668,155 668,155
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<PAGE>
Page 7 of 8
Name of Reporting Manager: Van Wagoner Capital Management, Inc.
<CAPTION>
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Column 1: Column 2: Column 3: Column 4: Column 5: Column 6: Column 7: Column 8:
Name of Issuer Title of Class CUSIP Market Value Shares or Principal Investment Discretion Other Voting Authority
Number (x $1,000) Amount Managers
-------------- -------------- --------- ------------ ------------------- --------------------- -------- -------------------
SH/ Put/ Sole Shared- Shared- Sole Shared None
PRN Call Defined Other
------------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
PREVIEW SYS COMMON 741379101 6,012 634,950 634,950
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PROTEIN DESIGN COMMON 74369L103 21,136 175,400 175,400
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PROXIM INC COMMON 744284100 1,780 40,000 40,000
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QUEST SFTWRE COMMON 74834T103 24,797 399,250 399,250
------------------------------------------------------------------------------------------------------------------------------------
RADVISION COMMON M81869105 1,621 57,500 57,500
------------------------------------------------------------------------------------------------------------------------------------
REDBACK NET COMMON 757209101 33,349 203,350 203,350
------------------------------------------------------------------------------------------------------------------------------------
REGENARTIN TCH COMMON 75886N100 578 70,000 70,000
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RF MICRDVCS COMMON 749941100 17,286 540,200 540,200
------------------------------------------------------------------------------------------------------------------------------------
SANMINA CORP COMMON 800907107 33,363 356,350 356,350
------------------------------------------------------------------------------------------------------------------------------------
SCREAM MEDIA B COMMON 9,279 1,144,937 1,144,937
------------------------------------------------------------------------------------------------------------------------------------
SCREAM MEDIA C COMMON 2,464 317,633 317,633
------------------------------------------------------------------------------------------------------------------------------------
SCREAMINGMEDIA COMMON 810883108 5,229 557,750 557,750
------------------------------------------------------------------------------------------------------------------------------------
SDL INC COMMON 784076101 47,186 152,550 152,550
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SONIC INNOV COMMON 83545M109 4,270 406,650 406,650
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SONUS NETWRKS COMMON 835916107 38,835 307,300 307,300
------------------------------------------------------------------------------------------------------------------------------------
STORAGENET B 070199 COMMON 187,094 2,032,520 2,032,520
------------------------------------------------------------------------------------------------------------------------------------
STORAGENETWRKS COMMON 86211E103 92,551 905,700 905,700
------------------------------------------------------------------------------------------------------------------------------------
SUN MICRO COMMON 866810104 11,018 94,370 94,370
------------------------------------------------------------------------------------------------------------------------------------
SUNRISE TEL COMMON 86769Y105 864 30,000 30,000
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SUPPORT COM COMMON 868587106 14,144 461,850 461,850
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<PAGE>
Page 8 of 8
Name of Reporting Manager: Van Wagoner Capital Management, Inc.
<CAPTION>
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Column 1: Column 2: Column 3: Column 4: Column 5: Column 6: Column 7: Column 8:
Name of Issuer Title of Class CUSIP Market Value Shares or Principal Investment Discretion Other Voting Authority
Number (x $1,000) Amount Managers
-------------- -------------- --------- ------------ ------------------- --------------------- -------- -------------------
SH/ Put/ Sole Shared- Shared- Sole Shared None
PRN Call Defined Other
------------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
SYCAMORE NET COMMON 871206108 40,349 373,600 373,600
------------------------------------------------------------------------------------------------------------------------------------
SYMYX TECH COMMON 87155S108 12,889 297,150 297,150
------------------------------------------------------------------------------------------------------------------------------------
SYNTELLECT COMMON 87161L105 1,121 125,000 125,000
------------------------------------------------------------------------------------------------------------------------------------
TIBCO SOFTWRE COMMON 88632Q103 19,636 232,550 232,550
------------------------------------------------------------------------------------------------------------------------------------
TRANSWITCH COMMON 894065101 47,392 743,401 743,401
------------------------------------------------------------------------------------------------------------------------------------
TRIQUINT SEMI COMMON 89674K103 38,749 1,063,450 1,063,450
------------------------------------------------------------------------------------------------------------------------------------
TVIA INC COMMON 87307P101 5,294 295,150 295,150
------------------------------------------------------------------------------------------------------------------------------------
UTI ENERGY COMMON 903387108 2,008 45,000 45,000
------------------------------------------------------------------------------------------------------------------------------------
VERITAS DGC INC COMMON 92343P107 1,730 59,800 59,800
------------------------------------------------------------------------------------------------------------------------------------
VERITAS SFT COMMON 923436109 14,500 102,111 102,111
------------------------------------------------------------------------------------------------------------------------------------
VIRAGE INC COM COMMON 92763Q106 2,953 175,000 175,000
------------------------------------------------------------------------------------------------------------------------------------
VIRATA CORP COMMON 927646109 19,414 293,600 293,600
------------------------------------------------------------------------------------------------------------------------------------
VITESSE SEMI COMMON 928497106 24,956 280,600 280,600
------------------------------------------------------------------------------------------------------------------------------------
VYYO INC COMMON 918458100 1,500 50,000 50,000
------------------------------------------------------------------------------------------------------------------------------------
WASTE CONNECT COMMON 941053100 1,538 60,000 60,000
------------------------------------------------------------------------------------------------------------------------------------
WATCHGUARD COMMON 941105108 35,625 593,750 593,750
------------------------------------------------------------------------------------------------------------------------------------
WEBTRENDS COMMON 94844D104 24,088 644,500 644,500
------------------------------------------------------------------------------------------------------------------------------------
WEBVAN GROUP COMMON 94845V103 2,145 927,628 927,628
------------------------------------------------------------------------------------------------------------------------------------
WJ COMMUNICTN COMMON 929284107 625 16,900 16,900
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TOTAL 3,835,527
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</TABLE>
<PAGE>
Form 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 0
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Form 13F Information Table Entry Total: 158
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Form 13F Information Table Value Total: $ 3,835,527
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(thousands)
List of Other Included Managers: NONE
Provide a numbered list of the name(s) and Form 13F file numbers(s) of all
institutional investment managers with respect to which this report is filed,
other than the manager filing this report.
