UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: December 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 February 14, 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: 187
Form 13F Information Table Value Total: $191,889
<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>
ACKERLEY GROUP COM 004527107 196 10800.00 SH SOLE 10800.00
ADOBE SYS INC COM 00724F101 2017 30000.00 SH SOLE 30000.00
AKSYS LTD COM 010196103 97 20000.00 SH SOLE 20000.00
ALTERA CORP COM 021441100 421 8500.00 SH SOLE 8500.00
AMERICAN EXPRESS CO COM 025816109 538 3237.00 SH SOLE 3237.00
AMERICAN RADIO SYS CL A COM 001693100 1667 21300.00 SH SOLE 21300.00
AMERICAN TOWERS CORPORATION COM 029912201 2139 70000.00 SH SOLE 70000.00
AMGEN INC COM 031162100 258 4300.00 SH SOLE 4300.00
AMKOR TECHNOLOGY COM 031652100 282 10000.00 SH SOLE 10000.00
ARIBA, INC. COM 04033v104 2661 15000.00 SH SOLE 15000.00
AT HOME CORP COM 045919107 429 10000.00 SH SOLE 10000.00
AUTOMATIC DATA PROCESS COM 053015103 269 4986.00 SH SOLE 4986.00
BANKAMERICA CORP COM 060505104 456 9080.00 SH SOLE 9080.00
BIOCRYST PHARMACEUTICALS INC COM 09058V103 723 24500.00 SH SOLE 24500.00
BOTTOMLINE TECHNOLOGIES INC. COM 101388106 630 17500.00 SH SOLE 17500.00
BROADCOM CORPORATION COM 111320107 5447 20000.00 SH SOLE 20000.00
BUSINESS OBJECTS COM 12328x107 334 2500.00 SH SOLE 2500.00
C MORE MEDICAL SOLUTIONS COM 125921908 101 58000.00 SH SOLE 58000.00
CABLEVISION SYSTEMS CORP COM 12686c109 2114 28000.00 SH SOLE 28000.00
CARNIVAL CORP CL A COM 143658102 311 6515.00 SH SOLE 6515.00
CHASE MANHATTAN NEW COM 16161A108 1297 16695.00 SH SOLE 16695.00
CHECKFREE HOLDINGS INC. COM 162816102 7315 70000.00 SH SOLE 70000.00
CHURCHILL DOWNS INC COM 171484108 332 14700.00 SH SOLE 14700.00
CISCO SYS INC COM 17275R102 3053 28498.00 SH SOLE 28498.00
CITIZENS FINL CORP KY CL A COM 174613109 5563 360310.00SH SOLE 360310.00
CLEAR CHANNEL COMMUN COM 184502102 5040 56475.00 SH SOLE 56475.00
CMORE MEDICAL SOLUTIONS COM 100 40000.00 SH SOLE 40000.00
COBALT NETWORKS INC COM 19074r101 217 2000.00 SH SOLE 2000.00
COCA COLA CO COM 191216100 482 8271.00 SH SOLE 8271.00
COMCAST CORP CL A SPECIAL COM 200300200 1915 37878.00 SH SOLE 37878.00
COMCAST CORP CLASS A COM 200300101 1813 37878.00 SH SOLE 37878.00
COMMERCE BANCORP COM 200519106 1169 28900.00 SH SOLE 28900.00
COMMONWEALTH BANCSHARES INC COM 1615 359.00 SH SOLE 359.00
COMMONWEALTH FINANCIAL CORP COM 365 58.00 SH SOLE 58.00
CORNING INC. COM 219350105 5110 39631.00 SH SOLE 39631.00
COSTCO WHOLESALE CORPORATION COM 22160k105 2646 29000.00 SH SOLE 29000.00
DE BEERS CORP COM 240253302 260 9000.00 SH SOLE 9000.00
DIGITAL MICROWAVE CORP COM 253859102 1992 85000.00 SH SOLE 85000.00
DITECH COMMUNICATIONS CORP COM 25500m103 505 5400.00 SH SOLE 5400.00
ECHOSTAR COMMUNICATIONS CORP C COM 278762109 2925 30000.00 SH SOLE 30000.00
EMMIS COMMUNICATIONS CORP COM 291525103 499 4000.00 SH SOLE 4000.00
EXTREME NETWORKS COM 30226d106 1670 20000.00 SH SOLE 20000.00
FAXSAV/NET MOVES INC. COM 64116a104 105 15000.00 SH SOLE 15000.00
FEDERAL TRUST COM 314012105 175 70000.00 SH SOLE 70000.00
FINISAR CORPORATION COM 31787a101 989 11000.00 SH SOLE 11000.00
FIRST FEDERAL BANKSHARES COM 259 30000.00 SH SOLE 30000.00
FOODARAMA SUPERMARKETS INC COM 344820105 254 12800.00 SH SOLE 12800.00
FRANKLIN RES INC COM 354613101 265 8264.00 SH SOLE 8264.00
GEMSTAR INTERNATIONAL GRP COM g3788v106 855 12000.00 SH SOLE 12000.00
GENERAL ELEC CO COM 369604103 825 5334.00 SH SOLE 5334.00
GENERAL MOTORS CLASS H COM 370442832 1176 12250.00 SH SOLE 12250.00
GILEAD SCIENCE INC COM 375558103 758 14000.00 SH SOLE 14000.00
GOOD GUYS, INC. COM 382091106 611 65600.00 SH SOLE 65600.00
GREY ADVERTISING INC. COM 397838103 914 2285.00 SH SOLE 2285.00
GUIDANT CORP COM 401698105 2027 43131.00 SH SOLE 43131.00
HAEMONETICS COM 405024100 238 10000.00 SH SOLE 10000.00
HIGH SPEED ACCESS CORP COM 42979u102 846 48000.00 SH SOLE 48000.00
HISPANIC BROADCASTING CORP. COM 43357b104 738 8000.00 SH SOLE 8000.00
HOLLINGER INTL. INC. CL. A COM 435569108 150 11600.00 SH SOLE 11600.00
HOME DEPOT INC. COM 437076102 516 7500.00 SH SOLE 7500.00
ILLINOIS TOOL WORKS INC COM 452308109 492 7288.00 SH SOLE 7288.00
INFINITY BROADCASTING CORP COM 45662s102 2725 75300.00 SH SOLE 75300.00
INFORMATION RESOURCE ENG(RESTR COM 45675f303 205 10000.00 SH SOLE 10000.00
INGRAM MICRO COM 457153104 471 35900.00 SH SOLE 35900.00
INKTOMI CORPORATION COM 457277101 2396 27000.00 SH SOLE 27000.00
INTEL CORP COM 458140100 1433 17405.00 SH SOLE 17405.00
JACKSONVILLE BANCORP COM 86 10000.00 SH SOLE 10000.00
JOHNSON & JOHNSON COM 478160104 610 6540.00 SH SOLE 6540.00
KROGER CO COM 501044101 871 46137.00 SH SOLE 46137.00
LABONE INC. COM 50540l105 113 16500.00 SH SOLE 16500.00
LAMAR ADVERTISING CO. COM 512815101 1211 20000.00 SH SOLE 20000.00
LANCER INC. COM 514614106 51 11100.00 SH SOLE 11100.00
LCC INTERNATIONAL COM 501810105 598 30000.00 SH SOLE 30000.00
LEXMARK HOLDING INC. COM 529771107 2262 25000.00 SH SOLE 25000.00
LG&E ENERGY CORP COM 501917108 699 40080.00 SH SOLE 40080.00
LIZ CLAIBORNE COM 539320101 269 7146.00 SH SOLE 7146.00
LUCENT TECHNOLOGIES COM 549463107 3000 40000.00 SH SOLE 40000.00
MARIMBA INC. COM 56781q109 461 10000.00 SH SOLE 10000.00
MARKETING SPECIALISTS CORP. COM 57060r107 187 50000.00 SH SOLE 50000.00
MAXTOR CORP COM 577729205 257 35500.00 SH SOLE 35500.00
MCI WORLDCOM COM 55268b106 1990 37500.00 SH SOLE 37500.00
MEDTRONIC INC COM 585055106 597 16375.00 SH SOLE 16375.00
MERCURY INTERACTIVE COM 589405109 1619 15000.00 SH SOLE 15000.00
MICROCELL TELECOMMUNICATIONS I COM 59501t304 822 25000.00 SH SOLE 25000.00
MICROSOFT CORP COM 594918104 4557 39029.00 SH SOLE 39029.00
MOTOROLA INC COM 620076109 3821 25949.00 SH SOLE 25949.00
NATIONAL BEVERAGE CORP COM 635017106 93 11300.00 SH SOLE 11300.00
NATIONAL SEMICONDUCTOR COM 637640103 428 10000.00 SH SOLE 10000.00
NEORX CORP COM 640520300 203 50000.00 SH SOLE 50000.00
NETOBJECTS INC COM 64114L102 503 30500.00 SH SOLE 30500.00
NEXTEL COMMUNICATIONS CL A COM 65332V103 3661 35500.00 SH SOLE 35500.00
NOKIA CORPORATION COM 654902204 678 3550.00 SH SOLE 3550.00
ONEMAIN.COM INC COM 68267p109 300 20000.00 SH SOLE 20000.00
P-COM INC COM 693262107 1327 150000.00SH SOLE 150000.00
PEPSI BOTTLING GROUP INC COM 713409100 2932 177000.00SH SOLE 177000.00
PEPSICO INC COM 713448108 571 16187.00 SH SOLE 16187.00
PER-SE TECHNOLOGIES, INC. COM 584028104 246 33332.33 SH SOLE 33332.33
PEREGRINE SYSTEMS INC. COM 71366Q101 2989 35500.00 SH SOLE 35500.00
PETSMART, INC. COM 716768106 115 20000.00 SH SOLE 20000.00
PF CHANG'S CHINA BISTRO INC. COM 69333y108 580 23300.00 SH SOLE 23300.00
PHARMACOPEIA INC. COM 71713b104 679 30000.00 SH SOLE 30000.00
PHARMAPRINT INC COM 716950100 154 120000.00SH SOLE 120000.00
PINNACLE HOLDINGS COM 72346n101 424 10000.00 SH SOLE 10000.00
PIXAR COM 725811103 707 20000.00 SH SOLE 20000.00
POINTE FINANCIAL COM 73084p100 445 54000.00 SH SOLE 54000.00
PSI NET74437C301 COM 74437C101 333 5400.00 SH SOLE 5400.00
QUALCOMM COM 747525103 6693 38000.00 SH SOLE 38000.00
QUIXOTE CORP COM 749056107 206 13500.00 SH SOLE 13500.00
QWEST COMMUNICATIONS INTL INC COM 749121109 860 20000.00 SH SOLE 20000.00
RES-CARE INC. COM 760943100 182 14300.00 SH SOLE 14300.00
SAGENT TECHNOLOGY COM 786693101 374 12500.00 SH SOLE 12500.00
SANDISK CORPORATION COM 80004c101 6516 67700.00 SH SOLE 67700.00
SEPRACOR INC. COM 817315104 329 3318.00 SH SOLE 3318.00
SOMERSET GROUP INC. COM 834706103 205 10806.00 SH SOLE 10806.00
SONY CORP ADR NEW COM 835699307 1249 4385.00 SH SOLE 4385.00
SOUTHMARK CORP. COM 844544809 0 21918.00 SH SOLE 21918.00
SPEEDWAY MOTORSPORTS INC COM 847788106 556 20000.00 SH SOLE 20000.00
STAPLES INC COM 855030102 1111 53557.00 SH SOLE 53557.00
STRATEGIA CORP COM 86268Q108 40 40000.00 SH SOLE 40000.00
SUIZA FOODS CORP COM 865077101 487 12300.00 SH SOLE 12300.00
SUN MICROSYSTEMS INC COM 866810104 589 7600.00 SH SOLE 7600.00
TARGET CORPORATION COM 87612e106 932 12689.00 SH SOLE 12689.00
TECHNOLOGY SOLUTIONS CO. COM 87872t108 655 20000.00 SH SOLE 20000.00
TEKELEC COM 879101103 4444 197500.00SH SOLE 197500.00
TELEGLOBE INC. COM 87941v100 454 20000.00 SH SOLE 20000.00
TELLABS INC COM 879664100 642 10000.00 SH SOLE 10000.00
TERAYON COMMUNICATIONS COM 880775101 697 11100.00 SH SOLE 11100.00
TERRA NETWORKS COM 88100w103 438 8000.00 SH SOLE 8000.00
TEXAS INSTRS INC COM 882508104 1325 13711.00 SH SOLE 13711.00
TOWNE SERVICES INC. COM 892148107 760 190000.00SH SOLE 190000.00
VALUE VISION INTL. COM 92047k107 573 10000.00 SH SOLE 10000.00
VENCOR INC COM 92260R102 32 352300.00SH SOLE 352300.00
VIACOM INC. CLASS B COM 925524308 1209 20000.00 SH SOLE 20000.00
VISX INC DEL COM 92844S105 207 4000.00 SH SOLE 4000.00
WACKENHUT CORP CLASS B COM 929794303 246 23875.00 SH SOLE 23875.00
WALGREEN CO COM 931422109 939 32096.00 SH SOLE 32096.00
WARNER LAMBERT CO COM 934488107 1651 20150.00 SH SOLE 20150.00
WESTWOOD ONE, INC. COM 961815107 1520 20000.00 SH SOLE 20000.00
XEROX CORP COM 984121103 632 27843.00 SH SOLE 27843.00
XILINX COM 983919101 3147 69212.00 SH SOLE 69212.00
YOUNG BROADCASTING COM 987434107 1530 30000.00 SH SOLE 30000.00
DISH, JAN. 65 CALLS STK OPT 640 200 SH SOLE 200
GLW, JAN. 90 CALLS STK OPT 391 100 SH SOLE 100
HD JAN.53.375 CALLS STK OPT 769 500 SH SOLE 500
INKT JAN.50 CALLS STK OPT 757 200 SH SOLE 200
NTAP JAN 75 CALLS STK OPT 205 200 SH SOLE 200
PRGN, JAN. 70 CALLS STK OPT 461 300 SH SOLE 300
SNDK, JAN. 50 CALLS STK OPT 910 200 SH SOLE 200
SNDK, JAN. 60 CALLS STK OPT 356 100 SH SOLE 100
AES CONV. PFD. PFD 00808n202 308 5000 SH SOLE 5000
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 397 5000 SH SOLE 5000
FELCOR SUITE HOTELS CONV.PFD. PFD 314305202 155 10000 SH SOLE 10000
GLOBAL CROSSING 7% CONV. PFD. PFD 37932j301 563 2000 SH SOLE 2000
GLOBALSTAR 8% CONV. PFD. 144A PFD 379364508 1519 15000 SH SOLE 15000
HYUNDAI ELECTRONICS TRUST DECS PFD 243664208 94 12000 SH SOLE 12000
KMART FING I PFD TRCV 7.75% PFD 498778208 328 7500 SH SOLE 7500
MLCO 7.12% PFD. PFD 59021g204 199 10000 SH SOLE 10000
NOVA CORP PFD. 9.50% PFD 66977t205 208 10000 SH SOLE 10000
PSIX PFD. PFD 74437C309 1459 25000 SH SOLE 25000
QWEST TRENDS TRUST 5.75% 144A PFD 74912L105 1056 15000 SH SOLE 15000
SINCLAIR BROADCASTING CONV. PF PFD 829226505 701 20000 SH SOLE 20000
SUIZA FOODS 5 1/2% CONV.PFD. 2 PFD 86507g408 1205 35175 SH SOLE 35175
VERIO PFD. PFD 923433304 281 5000 SH SOLE 5000
AMERICAN TOWER CORP 6.25% 10/1 CONV BD 029912AA8 699 500000 PRN SOLE 500000
AMT BONDS 6.25%, 10-15-09 CONV BD 029912aa0 420 300000 PRN SOLE 300000
AOL CONV. BONDS 0%, 11-30-2019 CONV BD 02364JAC8 424 750000 PRN SOLE 750000
ATHM CONV. BONDS 4%, 12-28-201 CONV BD 045919aa5 971 1500000 PRN SOLE 1500000
CCU CONV. BONDS, 1.50%, 12-01- CONV BD 184502AE2 102 100000 PRN SOLE 100000
DISH CONV. BONDS 4.875%, 01-01 CONV BD 278762AB5 613 500000 PRN SOLE 500000
EXDS CONV. BONDS 4.75%, 07-15- CONV BD 302088AG4 691 500000 PRN SOLE 500000
HEARTPORT INC. CONV BD 421969ac0 234 500000 PRN SOLE 500000
JACOR COMMUNICATIONS INC. 0%,2 CONV BD 469858AB0 185 300000 PRN SOLE 300000
KELLSTROM CONV. BONDS 5.50%, 6 CONV BD 488035ae6 324 500000 PRN SOLE 500000
LAMR CONV. BONDS 5.25%, 9-15-2 CONV BD 512815af8 146 100000 PRN SOLE 100000
LIBERTY MEDIA CONV.BONDS 4%, 1 CONV BD 530715AF8 627 500000 PRN SOLE 500000
NEORX CORP CONV BD 640520AA0 76 200000 PRN SOLE 200000
PCOM CONV. NOTES 4.25% DUE 11- CONV BD 693262ab3 170 250000 PRN SOLE 250000
PCOM CONV. NOTES 4.25% DUE 11- CONV BD 693262aa5 170 250000 PRN SOLE 250000
QUADRAMED CONV. BONDS, 5.25% 5 CONV BD 74730waa9 55 115000 PRN SOLE 115000
SPEEDWAY MOTORSPORTS INC CONV BD 847788AA4 517 500000 PRN SOLE 500000
TELEFONOS DE MEXICO 4.25% 6/15 CONV BD 879403ad5 325 250000 PRN SOLE 250000
TKLC CONV. BONDS 3.25%, 11-02- CONV BD 879101aa1 2044 1500000 PRN SOLE 1500000
VENTRITEX INC CONV BD 922814AA6 153 150000 PRN SOLE 150000
WHOLE FOODS CONV. BONDS 0%, 3- CONV BD 966837aa4 298 800000 PRN SOLE 800000
ROBERTSON STEPHENS CONTRARIAN MUT FD 770648301 109 10882.321SH SOLE 10882.321
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