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
EXCITE@HOME 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
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