SMC CAPITAL INC
13F-HR, 2001-01-19
Previous: MUNICIPAL INVESTMENT TR FD MULTISTATE SER 403 DEF ASSET FDS, 497, 2001-01-19
Next: VARIFLEX SIGNATURE, 497, 2001-01-19


       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, 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   January 19, 2001

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:    145
Form 13F Information Table Value Total:   $98,799

<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      381    35000 SH       SOLE                    35000
AETHER SYSTEMS INC             COM              00808v105     2739    70000 SH       SOLE                    70000
ALZA CORP                      COM              022615108      850    20000 SH       SOLE                    20000
AMERICAN EXPRESS CO            COM              025816109      476     8659 SH       SOLE                     8659
AMGEN INC                      COM              031162100      472     7386 SH       SOLE                     7386
APPLIED MATERIALS INC          COM              038222105      573    15000 SH       SOLE                    15000
ARRAY BIOPHARMA INC            COM              04269x105      715    80000 SH       SOLE                    80000
BIOGEN INC                     COM              090597105      285     4745 SH       SOLE                     4745
BIRCH POINT MEDICAL INC.-RVT.P COM                             110    40000 SH       SOLE                    40000
BROADCOM CORPORATION           COM              111320107     1260    15000 SH       SOLE                    15000
C MORE MEDICAL SOLUTIONS       COM              125921908      206   118000 SH       SOLE                   118000
CABLEVISION SYSTEMS CORP       COM              12686c109      595     7000 SH       SOLE                     7000
CELL PATHWAYS INC              COM              15114r101      950   200000 SH       SOLE                   200000
CHASE MANHATTAN NEW            COM              16161A108      408     8971 SH       SOLE                     8971
CHECKFREE HOLDINGS INC.        COM              162813109      977    23000 SH       SOLE                    23000
CHURCHILL DOWNS INC            COM              171484108      313    10500 SH       SOLE                    10500
CISCO SYS INC                  COM              17275R102     2118    55360 SH       SOLE                    55360
CITIZENS FINL CORP KY CL A     COM              174613109     4766   367710 SH       SOLE                   367710
CLARK DICK PRODUCTION INC.     COM              181512104      169    13497 SH       SOLE                    13497
CLEAR CHANNEL COMMUN           COM              184502102      475     9802 SH       SOLE                     9802
COCA COLA CO                   COM              191216100      455     7464 SH       SOLE                     7464
COHERENT INC.                  COM              192479103      325    10000 SH       SOLE                    10000
COMCAST CORP CL A SPECIAL      COM              200300200      384     9197 SH       SOLE                     9197
COMCAST CORP CLASS A           COM              200300101      380     9197 SH       SOLE                     9197
COMMERCE BANCORP               COM              200519106     1026    15000 SH       SOLE                    15000
COMMONWEALTH BANCSHARES INC    COM                            1615      359 SH       SOLE                      359
COMMONWEALTH FINANCIAL CORP    COM                             365       58 SH       SOLE                       58
COMMUNICATION INTELLIGENCE     COM              20338k106       26    25000 SH       SOLE                    25000
COPPER MOUNTAIN NETWORKS INC   COM              217510106      738   125000 SH       SOLE                   125000
CORE LABS                      COM              n22717107      273    10000 SH       SOLE                    10000
CORNING INC.                   COM              219350105     1570    29735 SH       SOLE                    29735
CORVIS CORP                    COM              221009103     1072    45000 SH       SOLE                    45000
COSTCO WHOLESALE CORPORATION   COM              22160k105      799    20000 SH       SOLE                    20000
DELL COMPUTER                  COM              247025109      349    20000 SH       SOLE                    20000
DOUBLECLICK INC                COM              258609304      330    30000 SH       SOLE                    30000
ECHOSTAR COMMUNICATIONS CORP C COM              278762109     1128    49572 SH       SOLE                    49572
ELCOR CORP                     COM              284443108      744    44100 SH       SOLE                    44100
FEDERAL TRUST                  COM              314012105      120    53200 SH       SOLE                    53200
FIRST FEDERAL BANKSHARES       COM                             289    30000 SH       SOLE                    30000
FIRST INDIANA CORP.            COM              32054r108      283    12043 SH       SOLE                    12043
FRISCHS RESTAURANTS INC        COM              358748101      160    10700 SH       SOLE                    10700
GEMSTAR TV GUIDE INTERNATIONAL COM              36866w106     1153    25000 SH       SOLE                    25000
GENERAL MOTORS CLASS H         COM              370442832      291    12663 SH       SOLE                    12663
GENUITY INC                    COM              37248e103       76    15000 SH       SOLE                    15000
GREY GLOBAL GROUP INC.         COM              39787m108      478      735 SH       SOLE                      735
GUIDANT CORP                   COM              401698105      539    10000 SH       SOLE                    10000
HEARTPORT INC.                 COM              421969106      234   150000 SH       SOLE                   150000
HIGH SPEED ACCESS CORP         COM              42979u102       96    90000 SH       SOLE                    90000
HOLLINGER INTL. INC. CL. A     COM              435569108      175    11000 SH       SOLE                    11000
HUMANA INC                     COM              444859102     1906   125000 SH       SOLE                   125000
INTEL CORP                     COM              458140100     1763    58629 SH       SOLE                    58629
JACKSONVILLE BANCORP           COM                              86    10000 SH       SOLE                    10000
JDS UNIPHASE CORP              COM              46612j101      417    10000 SH       SOLE                    10000
JOHNSON & JOHNSON              COM              478160104      613     5835 SH       SOLE                     5835
KIDBOARD INC.                  COM              49375a903      127    33750 SH       SOLE                    33750
KING PHARMACEUTICALS INC       COM              495582108     2067    40000 SH       SOLE                    40000
LABONE INC.                    COM              50540l105       92    15950 SH       SOLE                    15950
LAMAR ADVERTISING CO.          COM              512815101      386    10000 SH       SOLE                    10000
LEAP WIRELESS INT'L INC        COM              521863100      575    23000 SH       SOLE                    23000
LEXMARK HOLDING INC.           COM              529771107      421     9508 SH       SOLE                     9508
LILLY ELI & CO                 COM              532457108     1405    15099 SH       SOLE                    15099
LIZ CLAIBORNE                  COM              539320101      267     6407 SH       SOLE                     6407
MAXIM INTEGRATED PRODUCTS      COM              57772k101      239     5000 SH       SOLE                     5000
MCDATA CORP                    COM              580031102      547    10000 SH       SOLE                    10000
MEDTRONIC INC                  COM              585055106      892    14781 SH       SOLE                    14781
MERCK & CO INC                 COM              589331107      936    10000 SH       SOLE                    10000
MERCURY INTERACTIVE            COM              589405109     2256    25000 SH       SOLE                    25000
MERRILL LYNCH SEMICONDUCTOR HL COM              816636203     2450    50000 SH       SOLE                    50000
MICROSOFT CORP                 COM              594918104      964    22232 SH       SOLE                    22232
MOTIENT CORP.                  COM              619908106       44    10900 SH       SOLE                    10900
MOTOROLA INC                   COM              620076109      324    16000 SH       SOLE                    16000
NASDAQ 100 TRUST               COM              631100104     4378    75000 SH       SOLE                    75000
NATIONAL BEVERAGE CORP         COM              635017106      104    11526 SH       SOLE                    11526
NBC INTERNET                   COM              62873d105       98    28000 SH       SOLE                    28000
NEORX CORP                     COM              640520300      131    25000 SH       SOLE                    25000
NETWORK APPLIANCE CORP         COM              64120l104     3209    50000 SH       SOLE                    50000
NOKIA CORPORATION              COM              654902204     1977    45437 SH       SOLE                    45437
OMNISKY CORP                   COM              68213l103     1239   149100 SH       SOLE                   149100
PFIZER INC.                    COM              717081103     2528    54965 SH       SOLE                    54965
PHARMACOPEIA INC.              COM              71713b104      654    30000 SH       SOLE                    30000
PMC-SIERRA INC                 COM              69344f106      786    10000 SH       SOLE                    10000
POINTE FINANCIAL               COM              73084p100      611    71900 SH       SOLE                    71900
QUIXOTE CORP                   COM              749056107      241    12951 SH       SOLE                    12951
RAMBUS INC DEL                 COM              750917106      632    17500 SH       SOLE                    17500
RAMTRON INTL.                  COM              751907304      131    30000 SH       SOLE                    30000
SAFEGUARD SCIENTIFICS INC      COM              786449108      828   125000 SH       SOLE                   125000
SAGENT TECHNOLOGY              COM              786693101       69    50000 SH       SOLE                    50000
SANDISK CORPORATION            COM              80004c101     2242    80800 SH       SOLE                    80800
SEI INVESTMENTS CO.            COM              784117103      448     4000 SH       SOLE                     4000
SEPRACOR INC.                  COM              817315104      475     5927 SH       SOLE                     5927
SIRIUS SATELLITE RADIO         COM              82966U103      599    20000 SH       SOLE                    20000
SONY CORP ADR NEW              COM              835699307      551     7933 SH       SOLE                     7933
SOUTHMARK CORP.                COM              844544809        0    21918 SH       SOLE                    21918
STAPLES INC                    COM              855030102      355    30052 SH       SOLE                    30052
STORAGE COMPUTER CORP          COM              86211a101      607    77700 SH       SOLE                    77700
SUN MICROSYSTEMS INC           COM              866810104      382    13702 SH       SOLE                    13702
SUNRISE TECHNOLOGY INTL INC    COM              86769L103       29    16300 SH       SOLE                    16300
TARGET CORPORATION             COM              87612e106      745    23086 SH       SOLE                    23086
TEKELEC                        COM              879101103     2085    69500 SH       SOLE                    69500
TELEPHONE & DATA SYSTEMS       COM              879433100      270     3000 SH       SOLE                     3000
TEXAS INSTRS INC               COM              882508104      705    14885 SH       SOLE                    14885
US ONCOLOGY INC                COM              90338w103       69    11000 SH       SOLE                    11000
VENCOR INC                     COM              92260R102        8   150300 SH       SOLE                   150300
VERITAS SOFTWARE CORP          COM              923436109     1750    20000 SH       SOLE                    20000
VERIZON COMMUNICATIONS         COM              92343v104     1002    20000 SH       SOLE                    20000
VIACOM                         COM              925524100      477    10144 SH       SOLE                    10144
WACKENHUT CORP CLASS B         COM              929794303      118    13675 SH       SOLE                    13675
WALGREEN CO                    COM              931422109     1210    28939 SH       SOLE                    28939
XILINX                         COM              983919101     2731    59212 SH       SOLE                    59212
YOUNG BROADCASTING             COM              987434107     1005    30000 SH       SOLE                    30000
BRCM, JAN. 120 PUTS            STK OPT                         559      150 SH       SOLE                      150
CKFR, JAN. 60 PUTS             STK OPT                         391      230 SH       SOLE                      230
CSCO, JAN. 70 PUTS             STK OPT                        1250      400 SH       SOLE                      400
MERQ, JAN. 100 CALLS           STK OPT                         227      350 SH       SOLE                      350
SNDK, JAN. 30 PUTS             STK OPT                         261      498 SH       SOLE                      498
XLNX, JAN. 60 PUTS             STK OPT                         287      200 SH       SOLE                      200
ADELPHI CONV. PFD. CLASS B     PFD              006848402      229     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
DARWIN NETWORKS, INC. B CONV.P PFD                             227   114000 SH       SOLE                   114000
EMMS CONV. PFD. 6.25%          PFD              291525202      421    10000 SH       SOLE                    10000
FELCOR SUITE HOTELS 7.80% CONV PFD              314305202      187    10000 SH       SOLE                    10000
GLOBAL CROSSING 7% CONV. PFD.- PFD              37932j301      245     2000 SH       SOLE                     2000
GLOBALSTAR 8% CONV. PFD. 144A  PFD              379364508       29    10000 SH       SOLE                    10000
MLCO 7.12% PFD.                PFD              59021g204      237    10000 SH       SOLE                    10000
NOVA CHEMICAL CORP PFD. 9.50%  PFD              66977t205      204    10000 SH       SOLE                    10000
SINCLAIR BROADCASTING CONV. PF PFD              829226505      847    30000 SH       SOLE                    30000
AMKOR TECHNOLOGY INC 144A CONV CONV BD          031652AF7      371   550000 PRN      SOLE                   550000
AOL CONV. BONDS 0%, 12-06-2019 CONV BD          02364JAC8      353   750000 PRN      SOLE                   750000
CLEAR CHANNEL CONV BOND (CCU)  CONV BD          184502AE2       90   100000 PRN      SOLE                   100000
DISH CONV. BONDS 4 7/8%, 1/1/0 CONV BD          278762ad1      229   300000 PRN      SOLE                   300000
DOUBLECLICK 4.75% 3-15-2006 14 CONV BD          258609aa4      291   500000 PRN      SOLE                   500000
[email protected] 144A CONV BONDS 0. CONV BD          045919aa5      301  1000000 PRN      SOLE                  1000000
GILAT SATELLITE NETWORKS LTD 1 CONV BD          375255AC0      441   700000 PRN      SOLE                   700000
HEARTPORT INC 7.25% 5-01-04    CONV BD          421969AC0      147   500000 PRN      SOLE                   500000
INTERLIANT CONV. BOND 144A, 7% CONV BD          458742aa1      125   400000 PRN      SOLE                   400000
JNPR CONV. BONDS 4 3/4%, 3/15/ CONV BD          48203RAA2      508   500000 PRN      SOLE                   500000
KELLSTROM CONV. BONDS 5.50%, 6 CONV BD          488035ae6      200   500000 PRN      SOLE                   500000
LAMR CONV. BONDS 5.25%, 9-15-2 CONV BD          512815af8      102   100000 PRN      SOLE                   100000
PCOM CONV. NOTES 4.25% DUE 11- CONV BD          693262ac1      137   250000 PRN      SOLE                   250000
PCOM CONV. NOTES 4.25% DUE 11- CONV BD          693262aa5      137   250000 PRN      SOLE                   250000
PINNACLE HLDGS INC 144A 5.50%  CONV BD          72346NAC5      240   500000 PRN      SOLE                   500000
QUADRAMED 144A 5.25% 5-1-2005  CONV BD          74730waa9       41   115000 PRN      SOLE                   115000
SPEEDWAY MOTORSPORTS INC 144A  CONV BD          847788AA4      496   500000 PRN      SOLE                   500000
ROBERTSON STEPHENS CONTRARIAN  MUT FD           770648301      120 10882.321SH       SOLE                10882.321
</TABLE>


Jan | Feb | Mar | Apr | May | Jun | Jul | Aug | Sept | Oct | Nov | Dec

© 2019 IncJournal is not affiliated with or endorsed by the U.S. Securities and Exchange Commission