UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: June 30, 2000
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 July 27, 2000
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: 176
Form 13F Information Table Value Total: $198,119
<TABLE>
FORM 13F INFORMATION TABLE
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
------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- --------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
ACLARA BIOSCIENCES COM 00461p106 509 10000 SH SOLE 10000
ADAPTIVE BROADBAND COM 00650m104 1477 40200 SH SOLE 40200
AETHER SYSTEMS INC COM 00808v105 2050 10000 SH SOLE 10000
AKSYS LTD COM 010196103 171 20000 SH SOLE 20000
ALTERA CORP COM 021441100 4077 40000 SH SOLE 40000
AMERICAN EXPRESS CO COM 025816109 463 8886 SH SOLE 8886
AMERICAN TOWERS CORPORATION COM 029912201 1251 30000 SH SOLE 30000
AMGEN INC COM 031162100 529 7533 SH SOLE 7533
AMKOR TECHNOLOGY COM 031652100 706 20000 SH SOLE 20000
AT&T CORP WIRELESS GROUP COM 001957406 3902 140000 SH SOLE 140000
ATMEL CORP. COM 049513104 2544 69000 SH SOLE 69000
BIOGEN INC COM 090597105 316 4897 SH SOLE 4897
BIRCH POINT MEDICAL INC.-RVT.P COM 110 40000 SH SOLE 40000
BROADCOM CORPORATION COM 111320107 4379 20000 SH SOLE 20000
BROADVISION INC COM 111412102 1524 30000 SH SOLE 30000
BROCADE COMMUNICATIONS SYSTEMS COM 111621108 3706 20200 SH SOLE 20200
BUSINESS OBJECTS COM 12328x107 1322 15000 SH SOLE 15000
C CUBE MICROSYSTEMS INC COM 12501N108 1668 85000 SH SOLE 85000
C MORE MEDICAL SOLUTIONS COM 125921908 206 118000 SH SOLE 118000
CABLEVISION SYSTEMS CORP COM 12686c109 475 7000 SH SOLE 7000
CELERA GENOMICS CORP COM 69332S201 1932 21000 SH SOLE 21000
CELL PATHWAYS INC COM 15114r101 470 20000 SH SOLE 20000
CHASE MANHATTAN NEW COM 16161A108 422 9168 SH SOLE 9168
CHECKFREE HOLDINGS INC. COM 162816102 3506 68000 SH SOLE 68000
CHURCHILL DOWNS INC COM 171484108 355 15200 SH SOLE 15200
CISCO SYS INC COM 17275R102 3544 55750 SH SOLE 55750
CITIZENS FINL CORP KY CL A COM 174613109 5653 366110 SH SOLE 366110
CLEAR CHANNEL COMMUN COM 184502102 4126 55019 SH SOLE 55019
COCA COLA CO COM 191216100 437 7606 SH SOLE 7606
COCA COLA ENTERPRISE INC COM 191219104 1338 82000 SH SOLE 82000
COHERENT INC. COM 192479103 1510 18000 SH SOLE 18000
COMCAST CORP CL A SPECIAL COM 200300200 381 9404 SH SOLE 9404
COMCAST CORP CLASS A COM 200300101 366 9404 SH SOLE 9404
COMMERCE BANCORP COM 200519106 1072 23295 SH SOLE 23295
COMMONWEALTH BANCSHARES INC COM 1615 359 SH SOLE 359
COMMONWEALTH FINANCIAL CORP COM 365 58 SH SOLE 58
COMMUNICATION INTELLIGENCE COM 20338k106 493 110000 SH SOLE 110000
CORE LABS COM n22717107 580 20000 SH SOLE 20000
CORNING INC. COM 219350105 2379 8817 SH SOLE 8817
COSTCO WHOLESALE CORPORATION COM 22160k105 660 20000 SH SOLE 20000
COX RADIO INC. COM 224051102 1400 50000 SH SOLE 50000
CYPRESS SEMICONDUCTOR CORP COM 232806109 1267 30000 SH SOLE 30000
DOUBLECLICK INC COM 258609304 1906 50000 SH SOLE 50000
ECHOSTAR COMMUNICATIONS CORP C COM 278762109 1681 50782 SH SOLE 50782
EXCHANGE APPS COM 300867108 1065 40000 SH SOLE 40000
EXODUS COMMUNICATIONS INC. COM 302088109 461 10000 SH SOLE 10000
EXTENSITY INC. COM 302255104 339 9900 SH SOLE 9900
FEDERAL TRUST COM 314012105 175 70000 SH SOLE 70000
FIRST FEDERAL BANKSHARES COM 236 30000 SH SOLE 30000
FOUNDRY NETWORKS INC. COM 35063r100 2365 21500 SH SOLE 21500
GENERAL ELEC CO COM 369604103 779 14705 SH SOLE 14705
GENERAL MOTORS CLASS H COM 370442832 385 4389 SH SOLE 4389
GILEAD SCIENCE INC COM 375558103 356 5000 SH SOLE 5000
GOOD GUYS, INC. COM 382091106 238 65600 SH SOLE 65600
GREY ADVERTISING INC. COM 397838103 651 1251 SH SOLE 1251
GUIDANT CORP COM 401698105 990 20000 SH SOLE 20000
HEARTPORT INC. COM 421969106 339 117800 SH SOLE 117800
HIGH SPEED ACCESS CORP COM 42979u102 984 150000 SH SOLE 150000
HOLLINGER INTL. INC. CL. A COM 435569108 163 12000 SH SOLE 12000
HUMAN GENOME SCIENCES INC COM 444903108 667 5000 SH SOLE 5000
IDT CORP COM 448947101 211 6226 SH SOLE 6226
IMPSAT FIBER NETWORKS INC. COM 45321t103 301 18000 SH SOLE 18000
INKTOMI CORPORATION COM 457277101 591 5000 SH SOLE 5000
INTEL CORP COM 458140100 2610 19522 SH SOLE 19522
INTUIT INC. COM 461202103 207 5000 SH SOLE 5000
JACKSONVILLE BANCORP COM 97 10000 SH SOLE 10000
JOHNSON & JOHNSON COM 478160104 612 6004 SH SOLE 6004
KIDBOARD INC. COM 49375a903 127 33750 SH SOLE 33750
LABONE INC. COM 50540l105 82 14514 SH SOLE 14514
LAMAR ADVERTISING CO. COM 512815101 433 10000 SH SOLE 10000
LEXMARK HOLDING INC. COM 529771107 4748 70602 SH SOLE 70602
LIZ CLAIBORNE COM 539320101 231 6547 SH SOLE 6547
MAXIM INTEGRATED PRODUCTS COM 57772k101 4416 65000 SH SOLE 65000
MEDTRONIC INC COM 585055106 750 15059 SH SOLE 15059
MERCURY INTERACTIVE COM 589405109 3918 40500 SH SOLE 40500
MICROSOFT CORP COM 594918104 3552 44399 SH SOLE 44399
MOTIENT CORP. COM 619908106 929 59226 SH SOLE 59226
MOTOROLA INC COM 620076109 475 16347 SH SOLE 16347
NATIONAL BEVERAGE CORP COM 635017106 94 11526 SH SOLE 11526
NATIONAL SEMICONDUCTOR COM 637640103 889 15664 SH SOLE 15664
NATURAL MICROSYSTEMS CORP COM 638882100 202 1800 SH SOLE 1800
NBC INTERNET COM 62873d105 1086 86900 SH SOLE 86900
NEORX CORP COM 640520300 472 25000 SH SOLE 25000
NETOBJECTS INC COM 64114L102 154 16900 SH SOLE 16900
NETWORK APPLIANCE CORP COM 64120l104 4991 62000 SH SOLE 62000
NEXTEL COMMUNICATIONS CL A COM 65332V103 2447 40000 SH SOLE 40000
NOKIA CORPORATION COM 654902204 649 12994 SH SOLE 12994
NORTHPOINT TELECOMMUNICATIONS COM 666610100 370 33100 SH SOLE 33100
ONEMAIN.COM INC COM 68267p109 450 40000 SH SOLE 40000
P-COM INC COM 693262107 839 150000 SH SOLE 150000
PE BIOSYSTEMS GROUP COM 69332s102 1976 30000 SH SOLE 30000
PER-SE TECHNOLOGIES, INC. COM 584028104 312 33332 SH SOLE 33332
PEREGRINE SYSTEMS INC. COM 71366Q101 694 20000 SH SOLE 20000
PETSMART, INC. COM 716768106 67 20000 SH SOLE 20000
PFIZER INC. COM 717081103 1226 25535 SH SOLE 25535
PHARMACOPEIA INC. COM 71713b104 1391 30000 SH SOLE 30000
PMC-SIERRA INC COM 69344f106 1066 6000 SH SOLE 6000
POINTE FINANCIAL COM 73084p100 782 86900 SH SOLE 86900
QUALCOMM COM 747525103 1916 31940 SH SOLE 31940
QUIXOTE CORP COM 749056107 194 12951 SH SOLE 12951
RAMBUS INC DEL COM 750917106 7879 76500 SH SOLE 76500
RES-CARE INC. COM 760943100 72 13343 SH SOLE 13343
RUSEELL 2000 ISHARES COM 464287655 1034 10000 SH SOLE 10000
SAGENT TECHNOLOGY COM 786693101 712 50000 SH SOLE 50000
SANDISK CORPORATION COM 80004c101 10059 164400 SH SOLE 164400
SEPRACOR INC. COM 817315104 731 6062 SH SOLE 6062
SI CORP. COM 78463b101 466 20000 SH SOLE 20000
SIRIUS SATELLITE RADIO COM 82966U103 886 20000 SH SOLE 20000
SOMERSET GROUP INC. COM 834706103 226 10349 SH SOLE 10349
SONY CORP ADR NEW COM 835699307 762 8082 SH SOLE 8082
SOUTHMARK CORP. COM 844544809 0 21918 SH SOLE 21918
ST JUDE MEDICAL INC COM 790849103 2752 60000 SH SOLE 60000
STANFORD MICRODEVICES INC COM 854399102 434 10000 SH SOLE 10000
STAPLES INC COM 855030102 471 30614 SH SOLE 30614
STRATEGIA CORP COM 86268Q108 109 83300 SH SOLE 83300
SUN MICROSYSTEMS INC COM 866810104 637 7004 SH SOLE 7004
SUNRISE TECHNOLOGY INTL INC COM 86769L103 134 13414 SH SOLE 13414
TARGET CORPORATION COM 87612e106 684 11792 SH SOLE 11792
TEKELEC COM 879101103 10119 210000 SH SOLE 210000
TELEPHONE & DATA SYSTEMS COM 879433100 301 3000 SH SOLE 3000
TEXAS INSTRS INC COM 882508104 1047 15244 SH SOLE 15244
TITAN CORP COM 888266103 1342 30000 SH SOLE 30000
TRIMERIS INC COM 896263100 1049 15000 SH SOLE 15000
U.S. INTERACTIVE INC. COM 90334m109 129 10000 SH SOLE 10000
VENCOR INC COM 92260R102 39 352300 SH SOLE 352300
VERISIGN COM 92343e102 2206 12500 SH SOLE 12500
VIACOM COM 925524100 715 10450 SH SOLE 10450
VISX INC DEL COM 92844S105 1010 36000 SH SOLE 36000
WACKENHUT CORP CLASS B COM 929794303 220 23418 SH SOLE 23418
WALGREEN CO COM 931422109 950 29501 SH SOLE 29501
XILINX COM 983919101 4946 59912 SH SOLE 59912
YOUNG BROADCASTING COM 987434107 771 30000 SH SOLE 30000
BRCM, NOV. 160 CALLS STK OPT 739 100 SH SOLE 100
MERQ, OCT. 100 CALLS STK OPT 416 250 SH SOLE 250
MSFT, OCT. 65 CALLS STK OPT 345 200 SH SOLE 200
NXTL AUG 60 CALLS STK OPT 285 400 SH SOLE 400
RMBS, AUG. 80 CALL STK OPT 424 150 SH SOLE 150
TKLC AUG 40 CALLS STK OPT 410 400 SH SOLE 400
ADELPHI CONV. PFD. CLASS B PFD 246 1700 SH SOLE 1700
CARIBOU COFFEE CO.SERIES A PRE PFD 97 15000 SH SOLE 15000
CARIBOU COFFEE CO.SERIES B PRE PFD 196 28000 SH SOLE 28000
EMMS CONV. PFD. 6.25% PFD 291525202 290 5000 SH SOLE 5000
FELCOR SUITE HOTELS CONV.PFD. PFD 314305202 170 10000 SH SOLE 10000
GLOBAL CROSSING 7% CONV. PFD. PFD g3921a142 207 1000 SH SOLE 1000
GLOBAL CROSSING 7% CONV. PFD.- PFD 37932j301 363 2000 SH SOLE 2000
GLOBALSTAR 8% CONV. PFD. 144A PFD 379364508 230 10000 SH SOLE 10000
KMART FING I PFD TRCV 7.75% PFD 498778208 273 7500 SH SOLE 7500
MLCO 7.12% PFD. PFD 59021g204 213 10000 SH SOLE 10000
NOVA CORP PFD. 9.50% PFD 66977t205 207 10000 SH SOLE 10000
PSIX PFD. PFD 74437C309 611 12500 SH SOLE 12500
SINCLAIR BROADCASTING CONV. PF PFD 829226505 930 30000 SH SOLE 30000
AMERICAN TOWER CORP 6.25% 10/1 CONV BD 029912AA8 921 500000 PRN SOLE 500000
AMKR CONV. BONDS, 5%, 3-15-200 CONV BD 031652AF7 498 550000 PRN SOLE 550000
AMT BONDS 6.25%, 10-15-09 CONV BD 029912aa0 552 300000 PRN SOLE 300000
AOL CONV. BONDS 0%, 11-30-2019 CONV BD 02364JAC8 376 750000 PRN SOLE 750000
ATHM CONV. BONDS 4%, 12-28-201 CONV BD 045919aa5 607 1500000 PRN SOLE 1500000
BIGT CONV. BONDS, 5 1/2%, 9-15 CONV BD 72346NAC5 446 500000 PRN SOLE 500000
CCU CONV. BONDS, 1.50%, 12-01- CONV BD 184502AE2 97 100000 PRN SOLE 100000
COX COMMUNICATIONS CONV. BONDS CONV BD 224044AX5 260 500000 PRN SOLE 500000
DISH CONV. BONDS 4.875%, 01-01 CONV BD 278762AB5 474 500000 PRN SOLE 500000
EXDS CONV. BONDS 4.75%, 07-15- CONV BD 302088AG4 729 500000 PRN SOLE 500000
GILTF CONV. BONDS 4.25%, 3-2-2 CONV BD 375255AC0 137 200000 PRN SOLE 200000
HEARTPORT INC. CONV BD 421969ac0 229 500000 PRN SOLE 500000
INCY CONV BONDS 5.50% 2/1/07 CONV BD 45337caa0 1085 1300000 PRN SOLE 1300000
INTERLIANT CONV. BOND 144A, 7% CONV BD 458742aa1 256 400000 PRN SOLE 400000
KELLSTROM CONV. BONDS 5.50%, 6 CONV BD 488035ae6 224 500000 PRN SOLE 500000
LAMR CONV. BONDS 5.25%, 9-15-2 CONV BD 512815af8 111 100000 PRN SOLE 100000
MACRONIX INT'L CO LTD 1% 2-1-0 CONV BD 556103AB5 402 300000 PRN SOLE 300000
PCOM CONV. NOTES 4.25% DUE 11- CONV BD 693262ab3 167 250000 PRN SOLE 250000
PCOM CONV. NOTES 4.25% DUE 11- CONV BD 693262aa5 167 250000 PRN SOLE 250000
QUADRAMED CONV. BONDS, 5.25% 5 CONV BD 74730waa9 51 115000 PRN SOLE 115000
SPEEDWAY MOTORSPORTS INC CONV BD 847788AA4 464 500000 PRN SOLE 500000
TKLC CONV. BONDS 3.25%, 11-02- CONV BD 879101aa1 4119 1500000 PRN SOLE 1500000
VENTRITEX INC CONV BD 922814AA6 201 150000 PRN SOLE 150000
WHOLE FOODS CONV. BONDS 0%, 3- CONV BD 966837aa4 278 800000 PRN SOLE 800000
ROBERTSON STEPHENS CONTRARIAN MUT FD 770648301 116 10882.321SH SOLE 10882.321
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