UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: 1Q99
Check here if Amendment |_|; Amendment Number: _____
This Amendment (Check only one.): |_| is a restatement.
|_| adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: PAUL J. SCHUPF - PAUL J. SCHUPF Associates
Address: 27 PAYNE ST PO BOX 179
HAMILTON NY 13346
13F File Number: * Paul J. Schupf Associates has submitted ADV-W to
withdraw its application from registration as an investment
advisor. Previous Form 13Fs have been paper filed. No Form
13F File Number has been used in the past.
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: Lee Woltman
Title: Administrator
Phone: 315-824-1666
Signature, Place, and Date of Signing:
/s/ Lee Woltman HAMILTON NY 13346 4/27/99
------------------- ---------------------- -----------
(Signature) (City, State) (Date)
Report Type (Check only one.):
|X| 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager
are reported in this report.)
|_| 13F NOTICE. (Check here if no holdings reported are this report, and all
holdings are reported by other manager(s).)
|_| 13F COMBINATION REPORT. (Check here is a portion of the holdings for this
reporting manager are reported in this report and a portion are reported
by other reporting manager(s).)
List of Other Managers Reporting for this Manager:
[If there are no entries in this list, omit this section.]
Form 13F File Number Name
28-_________________ _______________________________________________
<PAGE>
FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: ___________________
Form 13F Information Table Entry Total: ___________________
Form 13F Information Table Value Total: $___________________
(thousands)
List of Other Included Managers:
Provide a numbered list of the name(s) and Form 13F file number(s) of all
institutional investment managers with respect to which this report is filed,
other than the manager filing this report.
[If there are no entries in this list, state "NONE" and omit the column headings
and list entries.]
No. Form 13F File Number Name
_____ 28-_________________ __________________________
[Repeat as necessary.]
<PAGE>
8. Section 249.326 including Form 13F-E is removed.
By the Commission.
Secretary
Dated:
<PAGE>
FORM 13F
Page 1 of 5 Name of Reporting Manager Paul J. Schupf
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------------------------------------------
Item 6:
Investment Discretion
Item 5: ----------------------------------
Item 3: Item 4: Shares of (b) Shared-
Item 1: Item 2: CUSIP Fair Market Principal As Defined (c) Shared-
Name of Issuer Title of Class Number Value Amount (a) Sole in Instr. V Other
- --------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C>
3 Com Com 885537042 1,631,875. 70,000 X
- --------------------------------------------------------------------------------------------------------------------------
Adaptec Inc. Com 00651F108 1,140,625 50,000 X
- --------------------------------------------------------------------------------------------------------------------------
Adobe Systems Com 00724F101 50,621,000. 892,000 X
- --------------------------------------------------------------------------------------------------------------------------
Alliance Semi Corp. Com 01877H100 165,000. 66,000 X
- --------------------------------------------------------------------------------------------------------------------------
Amazon Comm. Com 023135106 5,630,531. 32,700 X
- --------------------------------------------------------------------------------------------------------------------------
Amkoz Technology Com 031652100 9,563,400. 1,214,400 X
- --------------------------------------------------------------------------------------------------------------------------
Apple Computer Com 637883100 14,396,562. 400,600 X
- --------------------------------------------------------------------------------------------------------------------------
Aztec Technology Com 05480L101 243,047. 146,745 X
- --------------------------------------------------------------------------------------------------------------------------
Bea Systems Com 073325102 164,062. 10,500 X
- --------------------------------------------------------------------------------------------------------------------------
Core Matrix Com 141706101 6,604,400. 347,600 X
- --------------------------------------------------------------------------------------------------------------------------
Carreker - Antino Bi Com 144433109 13,800,081. 2,025,700 X
- --------------------------------------------------------------------------------------------------------------------------
Ciena Com 171779101 135,000. 6,000 X
- --------------------------------------------------------------------------------------------------------------------------
Compaq Computer Com 204493100 5,492,750. 173,000 X
- --------------------------------------------------------------------------------------------------------------------------
Cor.Sair Com 220406102 256,250. 50,000 X
- --------------------------------------------------------------------------------------------------------------------------
COLUMN TOTALS 109,844,583. 5,485,245
- --------------------------------------------------------------------------------------------------------------------------
<CAPTION>
- --------------------------------------------------------------------------------
Item 8
Item 7: Voting Authority (Shares)
Item 1: Managers -------------------------------
Name of Issuer See Instr. V (a) Sole (b) Shared (c) None
- --------------------------------------------------------------------------------
<S> <C> <C> <C> <C>
3 Com X
- --------------------------------------------------------------------------------
Adaptec Inc. X
- --------------------------------------------------------------------------------
Adobe Systems X
- --------------------------------------------------------------------------------
Alliance Semi Corp. X
- --------------------------------------------------------------------------------
Amazon Comm. X
- --------------------------------------------------------------------------------
Amkoz Technology X
- --------------------------------------------------------------------------------
Apple Computer X
- --------------------------------------------------------------------------------
Aztec Technology X
- --------------------------------------------------------------------------------
Bea Systems X
- --------------------------------------------------------------------------------
Core Matrix X
- --------------------------------------------------------------------------------
Carreker - Antino Bi X
- --------------------------------------------------------------------------------
Ciena X
- --------------------------------------------------------------------------------
Compaq Computer X
- --------------------------------------------------------------------------------
Cor.Sair X
- --------------------------------------------------------------------------------
COLUMN TOTALS
- --------------------------------------------------------------------------------
</TABLE>
SEC 1685 (5)
<PAGE>
FORM 13F
Page 2 of 5 Name of Reporting Manager Paul J. Schupf
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------------------------------------------
Item 6:
Investment Discretion
Item 5: ----------------------------------
Item 3: Item 4: Shares of (b) Shared-
Item 1: Item 2: CUSIP Fair Market Principal As Defined (c) Shared-
Name of Issuer Title of Class Number Value Amount (a) Sole in Instr. V Other
- --------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C>
Creative Technology Com Y17750107 4,571,568. 399,750 X
- --------------------------------------------------------------------------------------------------------------------------
DSET Com 262504103 290,625. 25,000 X
- --------------------------------------------------------------------------------------------------------------------------
EMC Corp. Com 268648102 2,363,375. 18,500 X
- --------------------------------------------------------------------------------------------------------------------------
Ec Soft Group Com 279240105 35,531,062. 1,114,700 X
- --------------------------------------------------------------------------------------------------------------------------
Eastman Kodak Com 27746109 638,750. 10,000 X
- --------------------------------------------------------------------------------------------------------------------------
Essex International Com 297025108 3,435,010. 144,632 X
- --------------------------------------------------------------------------------------------------------------------------
ETrade Com 269246101 28,077,468. 481,500 X
- --------------------------------------------------------------------------------------------------------------------------
FundTech Ltd. Com M47095100 683,837. 22,700 X
- --------------------------------------------------------------------------------------------------------------------------
Genesys Tele. Com 371931106 376,562. 25,000 X
- --------------------------------------------------------------------------------------------------------------------------
HMT Techonolgy Com 403917107 124,250. 35,500 X
- --------------------------------------------------------------------------------------------------------------------------
Horizon Health Corp. Com 44041Y104 2,721,550. 410,800 X
- --------------------------------------------------------------------------------------------------------------------------
Intel Corp. Com 458140100 619,450. 5,200 X
- --------------------------------------------------------------------------------------------------------------------------
Internet America Com 46058Y109 355,500. 12,000 X
- --------------------------------------------------------------------------------------------------------------------------
In Vision Tech. Com 461851107 240,257. 45,900 X
- --------------------------------------------------------------------------------------------------------------------------
COLUMN TOTALS 80,029,264. 2,751,132
- --------------------------------------------------------------------------------------------------------------------------
<CAPTION>
- --------------------------------------------------------------------------------
Item 8
Item 7: Voting Authority (Shares)
Item 1: Managers -------------------------------
Name of Issuer See Instr. V (a) Sole (b) Shared (c) None
- --------------------------------------------------------------------------------
<S> <C> <C> <C> <C>
Creative Technology X
- --------------------------------------------------------------------------------
DSET X
- --------------------------------------------------------------------------------
EMC Corp. X
- --------------------------------------------------------------------------------
Ec Soft Group X
- --------------------------------------------------------------------------------
Eastman Kodak X
- --------------------------------------------------------------------------------
Essex International X
- --------------------------------------------------------------------------------
ETrade X
- --------------------------------------------------------------------------------
FundTech Ltd. X
- --------------------------------------------------------------------------------
Genesys Tele. X
- --------------------------------------------------------------------------------
HMT Techonolgy X
- --------------------------------------------------------------------------------
Horizon Health Corp. X
- --------------------------------------------------------------------------------
Intel Corp. X
- --------------------------------------------------------------------------------
Internet America X
- --------------------------------------------------------------------------------
In Vision Tech. X
- --------------------------------------------------------------------------------
COLUMN TOTALS
- --------------------------------------------------------------------------------
</TABLE>
SEC 1685 (5)
<PAGE>
FORM 13F
Page 3 of 5 Name of Reporting Manager Paul J. Schupf
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------------------------------------------
Item 6:
Investment Discretion
Item 5: ----------------------------------
Item 3: Item 4: Shares of (b) Shared-
Item 1: Item 2: CUSIP Fair Market Principal As Defined (c) Shared-
Name of Issuer Title of Class Number Value Amount (a) Sole in Instr. V Other
- --------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C>
InaCom Corp. Com 453236109 1,649,510. 212,840 X
- --------------------------------------------------------------------------------------------------------------------------
Jones Medical Com 480212104 2,769,575. 79,700 X
- --------------------------------------------------------------------------------------------------------------------------
Justsystem Com Japanese J00873 2,451,452. 177,500 X
- --------------------------------------------------------------------------------------------------------------------------
MGIC Investment Com 552848103 525,937. 15,000 X
- --------------------------------------------------------------------------------------------------------------------------
MK Gold Co. Com 55305P100 44,406. 101,500 X
- --------------------------------------------------------------------------------------------------------------------------
Micron Technology Com 595112103 83,945,350. 1,739,800 X
- --------------------------------------------------------------------------------------------------------------------------
Monsanto Com 611662107 574,218. 12,500 X
- --------------------------------------------------------------------------------------------------------------------------
Navigant Int'l Com 63935R108 373,542. 69,496 X
- --------------------------------------------------------------------------------------------------------------------------
NetGravity Com 641114103 6,206,250. 150,000 X
- --------------------------------------------------------------------------------------------------------------------------
Nokia Com 654902204 21,368,900. 137,200 X
- --------------------------------------------------------------------------------------------------------------------------
Novell Com 67006105 79,705,843. 3,164,500 X
- --------------------------------------------------------------------------------------------------------------------------
Novelus Systems Com 67008101 1,791,562. 32,500 X
- --------------------------------------------------------------------------------------------------------------------------
Orthodontic Centers Com 68750P103 236,250. 15,000 X
- --------------------------------------------------------------------------------------------------------------------------
OSI Pharmaceuticals Com 671040103 415,000. 83,000 X
- --------------------------------------------------------------------------------------------------------------------------
COLUMN TOTALS 202,057,795. 5,990,536
- --------------------------------------------------------------------------------------------------------------------------
<CAPTION>
- --------------------------------------------------------------------------------
Item 8
Item 7: Voting Authority (Shares)
Item 1: Managers -------------------------------
Name of Issuer See Instr. V (a) Sole (b) Shared (c) None
- --------------------------------------------------------------------------------
<S> <C> <C> <C> <C>
InaCom Corp. X
- --------------------------------------------------------------------------------
Jones Medical X
- --------------------------------------------------------------------------------
Justsystem X
- --------------------------------------------------------------------------------
MGIC Investment X
- --------------------------------------------------------------------------------
MK Gold Co. X
- --------------------------------------------------------------------------------
Micron Technology X
- --------------------------------------------------------------------------------
Monsanto X
- --------------------------------------------------------------------------------
Navigant Int'l X
- --------------------------------------------------------------------------------
NetGravity X
- --------------------------------------------------------------------------------
Nokia X
- --------------------------------------------------------------------------------
Novell X
- --------------------------------------------------------------------------------
Novelus Systems X
- --------------------------------------------------------------------------------
Orthodontic Centers X
- --------------------------------------------------------------------------------
OSI Pharmaceuticals X
- --------------------------------------------------------------------------------
COLUMN TOTALS
- --------------------------------------------------------------------------------
</TABLE>
SEC 1685 (5)
<PAGE>
FORM 13F
Page 4 of 5 Name of Reporting Manager Paul J. Schupf
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------------------------------------------
Item 6:
Investment Discretion
Item 5: ----------------------------------
Item 3: Item 4: Shares of (b) Shared-
Item 1: Item 2: CUSIP Fair Market Principal As Defined (c) Shared-
Name of Issuer Title of Class Number Value Amount (a) Sole in Instr. V Other
- --------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C>
Oracle Systems Com 6839X105 788,612. 29,900 X
- --------------------------------------------------------------------------------------------------------------------------
Parametric Tech. Com 699173100 12,239,075. 619,700 X
- --------------------------------------------------------------------------------------------------------------------------
Pervasive Software Com 715710109 27,473,400. 1,526,300 X
- --------------------------------------------------------------------------------------------------------------------------
Priceline.Com Com 741503106 306,637. 3,700 X
- --------------------------------------------------------------------------------------------------------------------------
Robotic Vision Com 771074101 148,462. 64,200 X
- --------------------------------------------------------------------------------------------------------------------------
Rambus Inc. Com 750917106 15,141,000. 235,200 X
- --------------------------------------------------------------------------------------------------------------------------
Software AG Systems Com 834025108 6,107,906. 723,900 X
- --------------------------------------------------------------------------------------------------------------------------
Summit Designs Com 86605U101 2,678,156. 779,100 X
- --------------------------------------------------------------------------------------------------------------------------
Systems Software Com 871839106 344,925. 153,300 X
- --------------------------------------------------------------------------------------------------------------------------
Tetra Tech Com 88162F105 4,759,062. 225,000 X
- --------------------------------------------------------------------------------------------------------------------------
Three DFX Interactive Com 8855X103 196,250. 15,700 X
- --------------------------------------------------------------------------------------------------------------------------
US Office Products Com 912325107 1,756,530. 439,132 X
- --------------------------------------------------------------------------------------------------------------------------
Unitrode Com 913283107 8,255,800. 589,700 X
- --------------------------------------------------------------------------------------------------------------------------
Work Flow Com 98137N109 625,465. 92,662 X
- --------------------------------------------------------------------------------------------------------------------------
COLUMN TOTALS 80,801,280. 5,497,494
- --------------------------------------------------------------------------------------------------------------------------
<CAPTION>
- --------------------------------------------------------------------------------
Item 8
Item 7: Voting Authority (Shares)
Item 1: Managers -------------------------------
Name of Issuer See Instr. V (a) Sole (b) Shared (c) None
- --------------------------------------------------------------------------------
<S> <C> <C> <C> <C>
Oracle Systems X
- --------------------------------------------------------------------------------
Parametric Tech. X
- --------------------------------------------------------------------------------
Pervasive Software X
- --------------------------------------------------------------------------------
Priceline.Com X
- --------------------------------------------------------------------------------
Robotic Vision X
- --------------------------------------------------------------------------------
Rambus Inc. X
- --------------------------------------------------------------------------------
Software AG Systems X
- --------------------------------------------------------------------------------
Summit Designs X
- --------------------------------------------------------------------------------
Systems Software X
- --------------------------------------------------------------------------------
Tetra Tech X
- --------------------------------------------------------------------------------
Three DFX Interactive X
- --------------------------------------------------------------------------------
US Office Products X
- --------------------------------------------------------------------------------
Unitrode X
- --------------------------------------------------------------------------------
Work Flow X
- --------------------------------------------------------------------------------
COLUMN TOTALS
- --------------------------------------------------------------------------------
</TABLE>
SEC 1685 (5)
<PAGE>
FORM 13F
Page 5 of 5 Name of Reporting Manager Paul J. Schupf
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------------------------------------------
Item 6:
Investment Discretion
Item 5: ----------------------------------
Item 3: Item 4: Shares of (b) Shared-
Item 1: Item 2: CUSIP Fair Market Principal As Defined (c) Shared-
Name of Issuer Title of Class Number Value Amount (a) Sole in Instr. V Other
- --------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C>
Inacom Conv. Pr. 6.75% Pref. 922080208 1,805,000. 95,000 X
- --------------------------------------------------------------------------------------------------------------------------
MUL May 47.5 Calts Call 5951129EW 1,036,937. 1,765 X
- --------------------------------------------------------------------------------------------------------------------------
Sportsline Conv. 5% Due Bond 848934105 5,505,000. 6,000,000 X
- --------------------------------------------------------------------------------------------------------------------------
4/1/06
- --------------------------------------------------------------------------------------------------------------------------
Accrued Interest.
- --------------------------------------------------------------------------------------------------------------------------
COLUMN TOTALS 8,346,937. 6,096,765
- --------------------------------------------------------------------------------------------------------------------------
<CAPTION>
- --------------------------------------------------------------------------------
Item 8
Item 7: Voting Authority (Shares)
Item 1: Managers -------------------------------
Name of Issuer See Instr. V (a) Sole (b) Shared (c) None
- --------------------------------------------------------------------------------
<S> <C> <C> <C> <C>
Inacom Conv. Pr. 6.75% X
- --------------------------------------------------------------------------------
MUL May 47.5 Calts X
- --------------------------------------------------------------------------------
Sportsline Conv. 5% Due X
- --------------------------------------------------------------------------------
4/1/06
- --------------------------------------------------------------------------------
Accrued Interest.
- --------------------------------------------------------------------------------
COLUMN TOTALS
- --------------------------------------------------------------------------------
</TABLE>
SEC 1685 (5)
