|
|
|
|
|
|
|
|
|
|
|
|
|
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: March 31, 1999
Check here if Amendent []; Amendment Number:
This Amendment (Check only one.): [] is a restatement.
[] adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: SMC Capital, Inc.
Address: 4350 Brownsboro Road, Suite 310
Louisville, Kentucky 40207
13F File Number: 801-44124
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: Frank Kiley
Title: C.P.A.
Phone: 502-893-4200
Signature, Place, and Date of Signing:
Frank Kiley Louisville, Kentucky May 10, 1999
Report Type (Check only one.):
[x] 13F HOLDINGS REPORT
[ ] 13F NOTICE.
[ ] 13F COMBINATION REPORT.
List of Other Managers Reporting for this Manager:
I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934.
<PAGE>
FORM 13F SUMMARY PAGE
Report Summary:
Number of other Included Managers: 0
Form 13F Information Table Entry Total: 189
Form 13F Information Table Value Total: $135,952
<TABLE>
FORM 13F INFORMATION TABLE
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE
- ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- --------
ABERCROMBIE & FITCH CO. COM 002896207 1384 15000 SH SOLE 15000
ABM INDUSTRIES COM 000957100 575 18850 SH SOLE 18850
ACKERLEY GROUP COM 004527107 169 10000 SH SOLE 10000
ACXIOM CORP. COM 005125109 530 20000 SH SOLE 20000
ADELPHIA COMMUNICATIONS CORP COM 006848105 630 10000 SH SOLE 10000
AFLAC INC. COM 001055102 558 10245 SH SOLE 10245
AKSYS LTD COM 010196103 180 30000 SH SOLE 30000
AMERICAN EXPRESS CO COM 025816109 363 3085 SH SOLE 3085
AMERICAN HOME PRODUCTS COM 026609107 229 3506 SH SOLE 3506
AMERICAN TELECASTING COM 030151104 628 314250 SH SOLE 314250
AMERICAN TOWERS CORPORATION COM 029912201 2767 112941 SH SOLE 112941
AT HOME CORP COM 045919107 4457 28300 SH SOLE 28300
AUTOMATIC DATA PROCESS COM 053015103 203 4904 SH SOLE 4904
BANKAMERICA CORP COM 060505104 624 8835 SH SOLE 8835
C MORE MEDICAL SOLUTIONS COM 125921908 101 58000 SH SOLE 58000
CABLEVISION SYSTEMS CORP COM 12686c109 1557 21000 SH SOLE 21000
CARNIVAL CORP CL A COM 143658102 306 6300 SH SOLE 6300
CBS COM 12490k107 408 10000 SH SOLE 10000
CENDANT CORP GROWTH PRIDES COM 151313400 229 10000 SH SOLE 10000
CERNER CORP COM 156782104 1124 70000 SH SOLE 70000
CHANCELLOR MEDIA CORP. COM 158915108 1414 30000 SH SOLE 30000
CHASE MANHATTAN NEW COM 16161A108 1351 16597 SH SOLE 16597
CHECKFREE HOLDINGS INC. COM 162816102 4639 109000 SH SOLE 109000
CHICAGO TITLE CORP COM 168228104 835 22950 SH SOLE 22950
CIENA CORP COM 171779101 675 30000 SH SOLE 30000
CINTAS CORP COM 172908105 307 4700 SH SOLE 4700
CISCO SYS INC COM 17275R102 1557 14215 SH SOLE 14215
CITIGROUP INC. COM 172967101 1158 18130 SH SOLE 18130
CITIZENS FINL CORP KY CL A COM 174613109 3836 325610 SH SOLE 325610
CLEAR CHANNEL COMMUN COM 184502102 4414 65825 SH SOLE 65825
CLEVELAND INDIANS BASEBALL COM 186202107 92 10800 SH SOLE 10800
CNET INC COM 125945105 2395 26000 SH SOLE 26000
COCA COLA CO COM 191216100 1179 19211 SH SOLE 19211
COMCAST CORP CLASS A COM 200300101 2312 37600 SH SOLE 37600
COMMERCE BANCORP COM 200519106 866 21000 SH SOLE 21000
COMMONWEALTH BANCSHARES INC COM 1383 359 SH SOLE 359
COMMONWEALTH FINANCIAL CORP COM 260 58 SH SOLE 58
COMPUTER HORIZONS COM 205908106 875 80000 SH SOLE 80000
CONSOLIDATED STORES CORP COM 210149100 2477 81700 SH SOLE 81700
COSTCO COMPANIES COM 22160q102 1373 15000 SH SOLE 15000
COVAD COMMUNICATIONS GROUP COM 222814204 1446 22000 SH SOLE 22000
DAIMLER CHRYSLER AG COM D1668R123 376 4383 SH SOLE 4383
DAYTON HUDSON COM 239753106 778 11671 SH SOLE 11671
DE BEERS CORP COM 240253302 199 10500 SH SOLE 10500
DIONEX CORP COM 254546104 1887 50000 SH SOLE 50000
DU PONT E I DE NEMOURS COM 263534109 338 5828 SH SOLE 5828
FEDERAL TRUST COM 314012105 188 70000 SH SOLE 70000
FIRST FEDERAL BANKSHARES COM 300 30000 SH SOLE 30000
FISERV INC COM. COM 337738108 870 16215 SH SOLE 16215
FOOD LION INC. COM 344775200 204 22150 SH SOLE 22150
FOODARAMA SUPERMARKETS INC COM 344820105 462 16200 SH SOLE 16200
FOWARD AIR CORP COM 349853101 262 20000 SH SOLE 20000
FRANKLIN RES INC COM 354613101 228 8113 SH SOLE 8113
GALILEO TECH LTD. COM m47298100 585 20000 SH SOLE 20000
GENERAL ELEC CO COM 369604103 571 5162 SH SOLE 5162
GREAT PLAINS SOFTWARE INC. COM 39119e105 851 22000 SH SOLE 22000
GREY ADVERTISING INC. COM 397838103 798 2300 SH SOLE 2300
GUIDANT CORP COM 401698105 2577 42594 SH SOLE 42594
GULFSTREAM AEROSPACE CORP. COM 402734107 434 10000 SH SOLE 10000
HAEMONETICS COM 405024100 314 20000 SH SOLE 20000
HEALTHSOUTH COM 421924101 207 20000 SH SOLE 20000
HERMAN MILLER INC COM 600544100 182 10000 SH SOLE 10000
HILB ROGAL AND HAMILTON COMPAN COM 431294107 437 25800 SH SOLE 25800
HOLLINGER INTL. INC. CL. A COM 435569108 152 11200 SH SOLE 11200
ILLINOIS TOOL WORKS INC COM 452308109 447 7226 SH SOLE 7226
INFINITY BROADCASTING CORP COM 45662s102 973 37800 SH SOLE 37800
INGRAM MICRO COM 457153104 912 40000 SH SOLE 40000
INTEL CORP COM 458140100 3582 30129 SH SOLE 30129
INTERACTIVE ENTERTAINMENT LTD COM g4802p109 2 16500 SH SOLE 16500
JACKSONVILLE BANCORP COM 100 10000 SH SOLE 10000
JOHNSON & JOHNSON COM 478160104 599 6409 SH SOLE 6409
K MART COM 482584109 168 10000 SH SOLE 10000
LAB HOLDINGS INC. COM 505353102 180 10800 SH SOLE 10800
LAMAR ADVERTISING CO. COM 512815101 1018 30000 SH SOLE 30000
LANCER INC. COM 514614106 91 10300 SH SOLE 10300
LAZARE KAPLAN INTL INC COM 521078105 69 10000 SH SOLE 10000
LIZ CLAIBORNE COM 539320101 233 7136 SH SOLE 7136
LUCENT TECHNOLOGIES COM 549463107 2169 20080 SH SOLE 20080
MARSHALL & ILSLEY CORP COM 571834100 340 6125 SH SOLE 6125
MCI WORLDCOM COM 55268b106 2657 30000 SH SOLE 30000
MEDAPHIS CORP COM 584028104 244 100000 SH SOLE 100000
MEDTRONIC INC COM 585055106 2837 39478 SH SOLE 39478
MERKERT AMERICAN CORP COM 590080107 272 25000 SH SOLE 25000
MICROSOFT CORP COM 594918104 4558 50860 SH SOLE 50860
MORGAN STANLEY DEAN WITTER COM 617446448 999 10000 SH SOLE 10000
MOTOROLA INC COM 620076109 399 5452 SH SOLE 5452
NATIONAL BEVERAGE CORP COM 635017106 79 10700 SH SOLE 10700
NBTY INC. COM 628782104 97 20000 SH SOLE 20000
NCR CORP COM 62886E108 272 5450 SH SOLE 5450
NETWORK SOLUTIONS, INC. COM 64121Q102 423 4000 SH SOLE 4000
NOBLE DRILLING CORP COM 655042109 347 20000 SH SOLE 20000
ONEMAIN.COM INC COM 68267p109 906 25000 SH SOLE 25000
OPTICAL SENSORS INC COM 68384P107 123 93700 SH SOLE 93700
OUTDOOR SYSTEMS COM 690057104 1200 40000 SH SOLE 40000
PAYCHEX INC COM 704326107 237 5000 SH SOLE 5000
PEPSI BOTTLING GROUP INC COM 713409100 2169 100000 SH SOLE 100000
PEPSICO INC COM 713448108 619 15788 SH SOLE 15788
PETSMART, INC. COM 716768106 321 40000 SH SOLE 40000
PF CHANG'S CHINA BISTRO INC. COM 69333y108 1708 56000 SH SOLE 56000
PHARMAPRINT INC COM 716950100 360 40000 SH SOLE 40000
PHARMERICA INC. COM 717135107 250 50000 SH SOLE 50000
PHYSICIANS SALES & SVC. INC. COM 69366a100 264 30000 SH SOLE 30000
PINNACLE BANC GRP INC COM 723449104 219 7500 SH SOLE 7500
PINNACLE HOLDINGS COM 72346n101 983 65000 SH SOLE 65000
POINTE FINANCIAL COM 73084p100 540 54000 SH SOLE 54000
POLO RALPH LAUREN COM 731572103 795 40000 SH SOLE 40000
QUALCOMM COM 747525103 622 5000 SH SOLE 5000
QUIXOTE CORP COM 749056107 162 14200 SH SOLE 14200
QWEST COMMUNICATIONS INTL INC COM 749121109 721 10000 SH SOLE 10000
RADIANT SYSTEMS INC. COM 75025n102 380 40000 SH SOLE 40000
S&P DEPOSITORY RECEIPT COM 78462F103 1563 12175 SH SOLE 12175
S&P MIDCAP 400 DEP RCPT COM 595635103 689 10000 SH SOLE 10000
SCHLUMBERGER LTD COM 806857108 226 3753 SH SOLE 3753
SECURITY DYNAMICS TECH COM 814208104 186 10000 SH SOLE 10000
SEPRACOR INC. COM 817315104 2070 18443 SH SOLE 18443
SINCLAIR BROADCASTING GROUP COM 829226109 473 32500 SH SOLE 32500
SOMERSET GROUP INC. COM 834706103 167 10606 SH SOLE 10606
SONY CORP ADR NEW COM 835699307 360 3940 SH SOLE 3940
SOUTHMARK CORP. COM 844544809 0 21918 SH SOLE 21918
SPEEDWAY MOTORSPORTS INC COM 847788106 825 20000 SH SOLE 20000
STAPLES INC COM 855030102 2120 64492 SH SOLE 64492
STRATEGIA CORP COM 86268Q108 6 10000 SH SOLE 10000
SYLVAN LEARNING SYS COM 871399101 274 10000 SH SOLE 10000
TANDY CORP COM 875382103 359 5625 SH SOLE 5625
TARRANT APPAREL GROUP COM 876289109 210 5000 SH SOLE 5000
TEKELEC COM 879101103 439 60000 SH SOLE 60000
TELEPHONE & DATA SYSTEMS COM 879433100 1127 20000 SH SOLE 20000
TEXAS INSTRS INC COM 882508104 665 6704 SH SOLE 6704
TOWNE SERVICES INC. COM 892148107 1374 140000 SH SOLE 140000
TWINLAB CORPORATION COM 901774109 476 50800 SH SOLE 50800
VENCOR INC COM 92260r102 175 133300 SH SOLE 133300
VIACOM INC. CLASS B COM 925524308 839 10000 SH SOLE 10000
WACKENHUT CORP CLASS B COM 929794303 749 44075 SH SOLE 44075
WALGREEN CO COM 931422109 896 31716 SH SOLE 31716
WARNER LAMBERT CO COM 934488107 1355 20457 SH SOLE 20457
WAVE SYSTEMS INVESTORS COM 687 25000 SH SOLE 25000
XEROX CORP COM 984121103 354 6800 SH SOLE 6800
XILINX COM 983919101 1607 39606 SH SOLE 39606
YAHOO! CORP COM 984332106 842 5000 SH SOLE 5000
YOUNG BROADCASTING COM 987434107 1369 30000 SH SOLE 30000
CHANCELLOR MEDIA CORP. COM 158915108 -942 -20000 SH SOLE -20000
CNET INC COM 125945105 -2672 -29000 SH SOLE -29000
INTEL CORP COM 458140100 -1189 -10000 SH SOLE -10000
MICROSOFT CORP COM 594918104 -1075 -12000 SH SOLE -12000
PAYCHEX INC COM 704326107 -237 -5000 SH SOLE -5000
WARNER LAMBERT CO COM 934488107 -662 -10000 SH SOLE -10000
YAHOO! CORP COM 984332106 -842 -5000 SH SOLE -5000
BKX, APRIL 850 CALLS IDX OPT 345 200 SH SOLE 200
OEX, APRIL 620 CALLS IDX OPT 726 240 SH SOLE 240
SPX, APRIL 1250 CALLS IDX OPT 445 100 SH SOLE 100
INTC, APRIL 90 CALLS STK OPT -297 -100 SH SOLE -100
MOT JULY 80 PUT STK OPT -202 -200 SH SOLE -200
ADVANTA CONV.PFD. PFD 007942303 254 23600 SH SOLE 23600
CARIBOU COFFEE CO.SERIES A PRE PFD 97 15000 SH SOLE 15000
CARIBOU COFFEE CO.SERIES B PRE PFD 196 28000 SH SOLE 28000
CHANCELLOR MEDIA PFD 6% 144A - PFD 300248408 476 5000 SH SOLE 5000
CNB CAPITAL TRUST 6%, 6/30/202 PFD 12613g207 257 10000 SH SOLE 10000
CSC HOLDINGS INC. PFD 8.5% PFD 126304203 557 5000 SH SOLE 5000
FELCOR SUITE HOTELS CONV.PFD. PFD 314305202 211 10000 SH SOLE 10000
GLOBALSTAR 8% CONV. PFD. 144A PFD 379364508 589 15000 SH SOLE 15000
HYUNDAI ELECTRONICS TRUST DECS PFD 243664208 120 15000 SH SOLE 15000
KMART FING I PFD TRCV 7.75% PFD 498778208 907 15000 SH SOLE 15000
MLCO 7.12% PFD. PFD 59021g204 250 10000 SH SOLE 10000
NEXTEL STRYPES TR STRYPES NXTL PFD 65332Y107 875 28000 SH SOLE 28000
NOVA CORP PFD. 9.50% PFD 66977t205 254 10000 SH SOLE 10000
QUALCOMM FINL TR I TR PFD SC 1 PFD 74752R204 897 10000 SH SOLE 10000
QWEST TRENDS TRUST 5.75% 144A PFD 74912L105 1302 20000 SH SOLE 20000
SINCLAIR BROADCASTING CONV. PF PFD 829226505 2371 58000 SH SOLE 58000
SUIZA FOODS 5 1/2% CONV.PFD. 2 PFD 86507g408 1017 30175 SH SOLE 30175
SUIZA FOODS 5 1/2% PFD. 2.75 d PFD 86507g200 674 20000 SH SOLE 20000
AES CORP CONV BONDS 4.5%, 8-15 CONV BD 00130HAN5 94 100000 PRN SOLE 100000
ATHM CONV. BONDS 4%, 12-28-201 CONV BD 045919aa5 1586 1500000 PRN SOLE 1500000
CORPORATE EXPRESS INC CONV BD 219888AC8 450 500000 PRN SOLE 500000
FUISZ TECHNOLOGY CONV. BONDS CONV BD 359536aa7 342 500000 PRN SOLE 500000
HEALTHSOUTH 3.24% 04/01/03 CONV BD 421924af8 406 500000 PRN SOLE 500000
HEALTHSOUTH CONV. BONDS 3.25%, CONV BD 421924ad3 406 500000 PRN SOLE 500000
HEARTPORT INC. CONV BD 421969ac0 295 500000 PRN SOLE 500000
JACOR COMMUNICATIONS INC. 0%,2 CONV BD 469858AB0 157 300000 PRN SOLE 300000
KELLSTROM CONV. BONDS 5.50%, 6 CONV BD 488035ae6 385 500000 PRN SOLE 500000
NEORX CORP CONV BD 640520AA0 91 200000 PRN SOLE 200000
PCOM CONV. NOTES 4.25% DUE 11- CONV BD 693262aa5 347 500000 PRN SOLE 500000
PHYCOR INC CONV BD 71940FAB6 114 200000 PRN SOLE 200000
QUADRAMED CONV. BONDS, 5.25% 5 CONV BD 74730waa9 76 100000 PRN SOLE 100000
SEPR CONV. BONDS 6.25%, 2-15-2 CONV BD 817315ae4 245 100000 PRN SOLE 100000
SEPRACOR INC - 144A CONV NOTES CONV BD 817315af1 1161 1000000 PRN SOLE 1000000
SPEEDWAY MOTORSPORTS INC CONV BD 847788AA4 717 500000 PRN SOLE 500000
VENTRITEX INC CONV BD 922814AA6 147 150000 PRN SOLE 150000
WHOLE FOODS CONV. BONDS 0%, 3- CONV BD 966837aa4 262 800000 PRN SOLE 800000
ROBERTSON STEPHENS CONTRARIAN MUT FD 770648301 77 10068.655SH SOLE 10068.655
</TABLE>
|
|