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 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 October 26, 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: 167
Form 13F Information Table Value Total: $173,165
<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 304 10000 SH SOLE 10000
ADAPTIVE BROADBAND COM 00650m104 784 40200 SH SOLE 40200
ADC TELECOMMUNICATIONS INC COM 000886101 1613 60000 SH SOLE 60000
AETHER SYSTEMS INC COM 00808v105 1266 12000 SH SOLE 12000
AKSYS LTD COM 010196103 275 20000 SH SOLE 20000
AMERICAN EXPRESS CO COM 025816109 535 8801 SH SOLE 8801
AMERICAN TOWERS CORPORATION COM 029912201 1131 30000 SH SOLE 30000
AMGEN INC COM 031162100 523 7483 SH SOLE 7483
AMKOR TECHNOLOGY COM 031652100 522 20000 SH SOLE 20000
AT&T WIRELESS GROUP COM 001957406 3549 170000 SH SOLE 170000
ATMEL CORP. COM 049513104 1747 115000 SH SOLE 115000
BIOGEN INC COM 090597105 295 4837 SH SOLE 4837
BIRCH POINT MEDICAL INC.-RVT.P COM 110 40000 SH SOLE 40000
BROADBASE INFORMATION SYTEMS COM 11130r100 1356 100000 SH SOLE 100000
BROADCOM CORPORATION COM 111320107 3656 15000 SH SOLE 15000
C MORE MEDICAL SOLUTIONS COM 125921908 206 118000 SH SOLE 118000
CABLEVISION SYSTEMS CORP COM 12686c109 464 7000 SH SOLE 7000
CELERA GENOMICS CORP COM 69332S201 1992 20000 SH SOLE 20000
CELL PATHWAYS INC COM 15114r101 1219 150000 SH SOLE 150000
CHASE MANHATTAN NEW COM 16161A108 421 9113 SH SOLE 9113
CHECKFREE HOLDINGS INC. COM 162813109 2430 58000 SH SOLE 58000
CHURCHILL DOWNS INC COM 171484108 401 15500 SH SOLE 15500
CISCO SYS INC COM 17275R102 3069 55555 SH SOLE 55555
CITIZENS FINL CORP KY CL A COM 174613109 5653 366110 SH SOLE 366110
CLARK DICK PRODUCTION INC. COM 181512104 119 13247 SH SOLE 13247
CLEAR CHANNEL COMMUN COM 184502102 562 9954 SH SOLE 9954
COCA COLA CO COM 191216100 417 7561 SH SOLE 7561
COHERENT INC. COM 192479103 2244 33000 SH SOLE 33000
COMCAST CORP CL A SPECIAL COM 200300200 382 9339 SH SOLE 9339
COMCAST CORP CLASS A COM 200300101 380 9339 SH SOLE 9339
COMMERCE BANCORP COM 200519106 1355 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 247 110000 SH SOLE 110000
CORE LABS COM n22717107 246 10000 SH SOLE 10000
CORNING INC. COM 219350105 973 3277 SH SOLE 3277
CORPORATE EXECUTIVE BOARD COM 21988R102 604 15000 SH SOLE 15000
CORVIS CORP COM 221009103 1221 20000 SH SOLE 20000
COSTCO WHOLESALE CORPORATION COM 22160k105 699 20000 SH SOLE 20000
COX RADIO INC. COM 224051102 2354 135000 SH SOLE 135000
CYPRESS SEMICONDUCTOR CORP COM 232806109 831 20000 SH SOLE 20000
DOUBLECLICK INC COM 258609304 640 20000 SH SOLE 20000
ECHOSTAR COMMUNICATIONS CORP C COM 278762109 2623 49717 SH SOLE 49717
ELCOR CORP COM 284443108 1450 100000 SH SOLE 100000
ELECTRONIC ARTS INC COM 285512109 494 10000 SH SOLE 10000
EMULEX CORP COM 292475209 1225 10000 SH SOLE 10000
EXCHANGE APPS COM 300867108 181 40000 SH SOLE 40000
EXTENSITY INC. COM 302255104 208 9900 SH SOLE 9900
FEDERAL TRUST COM 314012105 171 70000 SH SOLE 70000
FIRST FEDERAL BANKSHARES COM 261 30000 SH SOLE 30000
FOUNDRY NETWORKS INC. COM 35063r100 335 5000 SH SOLE 5000
GEMSTAR TV GUIDE INTERNATIONAL COM 36866w106 4359 50000 SH SOLE 50000
GENERAL ELEC CO COM 369604103 843 14620 SH SOLE 14620
GENERAL MOTORS CLASS H COM 370442832 481 12937 SH SOLE 12937
GREY GLOBAL GROUP INC. COM 39787m108 518 835 SH SOLE 835
GUIDANT CORP COM 401698105 707 10000 SH SOLE 10000
HEARTPORT INC. COM 421969106 681 217800 SH SOLE 217800
HIGH SPEED ACCESS CORP COM 42979u102 543 149800 SH SOLE 149800
HOLLINGER INTL. INC. CL. A COM 435569108 193 11500 SH SOLE 11500
HUMAN GENOME SCIENCES INC COM 444903108 866 5000 SH SOLE 5000
IMPSAT FIBER NETWORKS INC. COM 45321t103 198 18000 SH SOLE 18000
INCYTE PHARMA INC COM 45337c102 822 20000 SH SOLE 20000
INTEL CORP COM 458140100 2449 58914 SH SOLE 58914
JACKSONVILLE BANCORP COM 97 10000 SH SOLE 10000
JOHNSON & JOHNSON COM 478160104 557 5929 SH SOLE 5929
KIDBOARD INC. COM 49375a903 127 33750 SH SOLE 33750
LABONE INC. COM 50540l105 150 15950 SH SOLE 15950
LAMAR ADVERTISING CO. COM 512815101 379 10000 SH SOLE 10000
LEAP WIRELESS INT'L INC COM 521863100 719 11500 SH SOLE 11500
LEXMARK HOLDING INC. COM 529771107 7483 199537 SH SOLE 199537
LIZ CLAIBORNE COM 539320101 250 6502 SH SOLE 6502
MAXIM INTEGRATED PRODUCTS COM 57772k101 3217 40000 SH SOLE 40000
MEDTRONIC INC COM 585055106 776 14974 SH SOLE 14974
MERCURY INTERACTIVE COM 589405109 5486 35000 SH SOLE 35000
MICROCELL TELECOMMUNICATIONS I COM 59501t304 1453 50000 SH SOLE 50000
MICROMUSE INC COM 595094103 502 2500 SH SOLE 2500
MICROSOFT CORP COM 594918104 1950 32329 SH SOLE 32329
MOTIENT CORP. COM 619908106 478 33826 SH SOLE 33826
MOTOROLA INC COM 620076109 459 16237 SH SOLE 16237
NATIONAL BEVERAGE CORP COM 635017106 84 11526 SH SOLE 11526
NBC INTERNET COM 62873d105 525 80000 SH SOLE 80000
NEORX CORP COM 640520300 612 25000 SH SOLE 25000
NETOBJECTS INC COM 64114L102 53 16900 SH SOLE 16900
NETWORK APPLIANCE CORP COM 64120l104 7642 60000 SH SOLE 60000
NEXTEL COMMUNICATIONS CL A COM 65332V103 1870 40000 SH SOLE 40000
NOKIA CORPORATION COM 654902204 514 12909 SH SOLE 12909
NORTHPOINT TELECOMMUNICATIONS COM 666610100 294 33100 SH SOLE 33100
P-COM INC COM 693262107 795 120000 SH SOLE 120000
PE BIOSYSTEMS GROUP COM 69332s102 3495 30000 SH SOLE 30000
PEREGRINE SYSTEMS INC. COM 71366Q101 379 20000 SH SOLE 20000
PETSMART, INC. COM 716768106 94 20000 SH SOLE 20000
PFIZER INC. COM 717081103 1139 25355 SH SOLE 25355
PHARMACOPEIA INC. COM 71713b104 765 30000 SH SOLE 30000
POINTE FINANCIAL COM 73084p100 798 86900 SH SOLE 86900
QUALCOMM COM 747525103 1559 21880 SH SOLE 21880
QUIXOTE CORP COM 749056107 217 12951 SH SOLE 12951
RAMBUS INC DEL COM 750917106 4618 58500 SH SOLE 58500
RAMTRON INTL. COM 751907304 352 30000 SH SOLE 30000
RESEARCH IN MOTION LIMITED COM 760975102 1971 20000 SH SOLE 20000
RUSEELL 2000 ISHARES COM 464287655 1036 10000 SH SOLE 10000
SAGENT TECHNOLOGY COM 786693101 378 50000 SH SOLE 50000
SANDISK CORPORATION COM 80004c101 9665 144800 SH SOLE 144800
SEPRACOR INC. COM 817315104 739 6022 SH SOLE 6022
SI CORP. COM 78463b101 239 20000 SH SOLE 20000
SIRIUS SATELLITE RADIO COM 82966U103 1057 20000 SH SOLE 20000
SOMERSET GROUP INC. COM 834706103 288 10206 SH SOLE 10206
SONY CORP ADR NEW COM 835699307 811 8032 SH SOLE 8032
SOUTHMARK CORP. COM 844544809 0 21918 SH SOLE 21918
SPEECHWORKS INT'L INC COM 84764m101 620 10000 SH SOLE 10000
ST JUDE MEDICAL INC COM 790849103 1020 20000 SH SOLE 20000
STAPLES INC COM 855030102 432 30439 SH SOLE 30439
STRATEGIA CORP COM 86268Q108 109 83300 SH SOLE 83300
SUN MICROSYSTEMS INC COM 866810104 809 6929 SH SOLE 6929
SUNRISE TECHNOLOGY INTL INC COM 86769L103 98 13700 SH SOLE 13700
TARGET CORPORATION COM 87612e106 599 23374 SH SOLE 23374
TEKELEC COM 879101103 6904 210000 SH SOLE 210000
TELEFONOS DE MEXICO SA SP ADR COM 879403780 1064 20000 SH SOLE 20000
TELEPHONE & DATA SYSTEMS COM 879433100 332 3000 SH SOLE 3000
TEXAS INSTRS INC COM 882508104 714 15134 SH SOLE 15134
TITAN CORP COM 888266103 825 50000 SH SOLE 50000
TITAN PHARMACEUTICALS INC COM 888314101 325 5000 SH SOLE 5000
VENCOR INC COM 92260R102 28 352300 SH SOLE 352300
VIACOM COM 925524100 605 10335 SH SOLE 10335
VISX INC DEL COM 92844S105 412 15300 SH SOLE 15300
WACKENHUT CORP CLASS B COM 929794303 191 23175 SH SOLE 23175
WALGREEN CO COM 931422109 1113 29325 SH SOLE 29325
WEBEX COMMUNICATIONS INC. COM 94767l109 737 20000 SH SOLE 20000
XILINX COM 983919101 5070 59212 SH SOLE 59212
YOUNG BROADCASTING COM 987434107 943 30000 SH SOLE 30000
BRCM, NOV. 160 CALLS STK OPT 854 100 SH SOLE 100
CSCO, JAN. 70 PUTS STK OPT 635 400 SH SOLE 400
CARIBOU COFFEE CO.SERIES A PRE PFD 97 15000 SH SOLE 15000
CARIBOU COFFEE CO.SERIES B PRE PFD 196 28000 SH SOLE 28000
FELCOR SUITE HOTELS 7.80% CONV PFD 314305202 190 10000 SH SOLE 10000
GLOBAL CROSSING 7% CONV. PFD.- PFD 37932j301 397 2000 SH SOLE 2000
GLOBALSTAR 8% CONV. PFD. 144A PFD 379364508 222 10000 SH SOLE 10000
KMART FING I PFD TRCV 7.75% PFD 498778208 233 7500 SH SOLE 7500
MLCO 7.12% PFD. PFD 59021g204 217 10000 SH SOLE 10000
NOVA CHEMICAL CORP PFD. 9.50% PFD 66977t205 241 10000 SH SOLE 10000
PSINET INC 6.75% (PSIX) PFD. PFD 74437C309 303 12500 SH SOLE 12500
SINCLAIR BROADCASTING CONV. PF PFD 829226505 932 30000 SH SOLE 30000
WILLIAMS COMM GRP 6.75% 10/15/ PFD 969455203 212 5000 SH SOLE 5000
AMERICAN TOWER CORP 144A BONDS CONV BD 029912aa0 504 300000 PRN SOLE 300000
AMERICAN TOWER CORP 6.25% 10/1 CONV BD 029912AA8 841 500000 PRN SOLE 500000
AMKOR TECHNOLOGY INC 144A CONV CONV BD 031652AF7 437 550000 PRN SOLE 550000
AOL CONV. BONDS 0%, 12-06-2019 CONV BD 02364JAC8 385 750000 PRN SOLE 750000
CLEAR CHANNEL CONV BOND (CCU) CONV BD 184502AE2 92 100000 PRN SOLE 100000
COX COMMUNICATIONS CONV. BONDS CONV BD 224044AX5 207 500000 PRN SOLE 500000
DISH (ECHOSTAR COMM) 144A 4.87 CONV BD 278762AB5 660 500000 PRN SOLE 500000
DOUBLECLICK 4.75% 3-15-2006 14 CONV BD 258609aa4 482 500000 PRN SOLE 500000
EXCITE@HOME 144A CONV BONDS 0. CONV BD 045919aa5 643 1500000 PRN SOLE 1500000
GILAT SATELLITE NETWORKS LTD 1 CONV BD 375255AC0 524 700000 PRN SOLE 700000
HEARTPORT INC. CONV BD 421969AC0 172 500000 PRN SOLE 500000
INCYTE GENOMICS (INCY) 144A CO CONV BD 45337caa0 1053 1300000 PRN SOLE 1300000
INTERLIANT CONV. BOND 144A, 7% CONV BD 458742aa1 163 400000 PRN SOLE 400000
INTERNATIONAL RECTIFIER 144A 4 CONV BD 460254AD7 229 250000 PRN SOLE 250000
KELLSTROM CONV. BONDS 5.50%, 6 CONV BD 488035ae6 226 500000 PRN SOLE 500000
LAMR CONV. BONDS 5.25%, 9-15-2 CONV BD 512815af8 100 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 171 250000 PRN SOLE 250000
PCOM CONV. NOTES 4.25% DUE 11- CONV BD 693262aa5 171 250000 PRN SOLE 250000
PINNACLE HLDGS INC 144A 5.50% CONV BD 72346NAC5 329 500000 PRN SOLE 500000
QUADRAMED 144A 5.25% 5-1-2005 CONV BD 74730waa9 38 115000 PRN SOLE 115000
SPEEDWAY MOTORSPORTS INC 144A CONV BD 847788AA4 438 500000 PRN SOLE 500000
TKLC 144A 3.25% 11-2-2004 CONV CONV BD 879101aa1 2319 1200000 PRN SOLE 1200000
WHOLE FOODS 144A 0% 3-2-2018 C CONV BD 966837aa4 315 800000 PRN SOLE 800000
ROBERTSON STEPHENS CONTRARIAN MUT FD 770648301 124 10882.321SH SOLE 10882.321
</TABLE>
