<PAGE>
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, 1999
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 Street - P.O. Box 179
Hamilton, NY 13346
Form 13F File Number: 28-6302
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:
Lee Woltman Hamilton New York 13346
- ------------------------------- ----------------- -------------
[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.)
<PAGE>
/ / 13F NOTICE. (Check here if no holdings reported are in this report,
and all holdings are reported by other reporting manager(s).)
/ / 13F COMBINATION REPORT. (Check here if 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
28-6302 Lee Woltman
[Repeat as necessary.]
<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
28-6302 Lee Woltman
[Repeat as necessary.]
<PAGE>
FORM 13F
<TABLE>
<CAPTION>
PAGE 1 OF 4 NAME OF REPORTING MANAGER
-- --
- ------------------------------------------------------------------------------------------------------
Item 1: Item 2: Item 3: Item 4: Item 5:
- ------------------------------------------------------------------------------------------------------
Name of Issuer Title of Class CUSIP Number Fair Market Value Shares of
Principal
Amount
- ------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C>
3Com Com 885535104 2,530,000.00 88,000
- ------------------------------------------------------------------------------------------------------
Adobe Systems Com 00724F101 104,749,150.00 922,900
- ------------------------------------------------------------------------------------------------------
America Online Com 02364J104 260,000.00 2,500
- ------------------------------------------------------------------------------------------------------
Amkor Technology Com 031652100 20,401,350.00 1,265,200
- ------------------------------------------------------------------------------------------------------
Apple Computer Com 037833100 316,562.50 5,000
- ------------------------------------------------------------------------------------------------------
Aztec Technology Com 05480L101 252,218.66 146,745
- ------------------------------------------------------------------------------------------------------
B P Amoco Com 055622104 3,989,250.00 36,000
- ------------------------------------------------------------------------------------------------------
CareMatrix Com 141706101 1,803,175.00 347,600
- ------------------------------------------------------------------------------------------------------
Carreker-Antinori Com 144433109 11,075,718.75 1,720,500
- ------------------------------------------------------------------------------------------------------
Ciena Com 171779101 3,321,500.00 91,000
- ------------------------------------------------------------------------------------------------------
Convergent Communications Com 211914403 220,987.50 21,300
- ------------------------------------------------------------------------------------------------------
Corsair Com 220406102 353,125.00 50,000
- ------------------------------------------------------------------------------------------------------
Creative Technology Com Y1775U107 4,524,125.00 425,800
- ------------------------------------------------------------------------------------------------------
DSET Com 262504103 370,312.50 25,000
- ------------------------------------------------------------------------------------------------------
COLUMN TOTALS 154,167,474.91
- ------------------------------------------------------------------------------------------------------
<CAPTION>
(SEC USE ONLY)
PAUL J. SCHUPF
- ------------------------------------------------------------------------------------------------------------------
Item 1: Item 6: Investment Discretion Item 7: Item 8: Voting Authority (Shares)
- ------------------------------------------------------------------------------------------------------------------
Name of Issuer (a) Sole (b) Shared As (c) Shared- Managers (a) Sole (b) (c) None
Defined in Other See Instr. V Shared
Instr. V
- ------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C>
3Com X X
- -----------------------------------------------------------------------------------------------------------------
Adobe Systems X X
- -----------------------------------------------------------------------------------------------------------------
America Online X X
- -----------------------------------------------------------------------------------------------------------------
Amkor Technology X X
- -----------------------------------------------------------------------------------------------------------------
Apple Computer X X
- -----------------------------------------------------------------------------------------------------------------
Aztec Technology X X
- -----------------------------------------------------------------------------------------------------------------
B P Amoco X X
- -----------------------------------------------------------------------------------------------------------------
CareMatrix X X
- -----------------------------------------------------------------------------------------------------------------
Carreker-Antinori X X
- -----------------------------------------------------------------------------------------------------------------
Ciena X X
- -----------------------------------------------------------------------------------------------------------------
Convergent Communications X X
- -----------------------------------------------------------------------------------------------------------------
Corsair X X
- -----------------------------------------------------------------------------------------------------------------
Creative Technology X X
- -----------------------------------------------------------------------------------------------------------------
DSET X X
- -----------------------------------------------------------------------------------------------------------------
COLUMN TOTALS
- -----------------------------------------------------------------------------------------------------------------
</TABLE>
<PAGE>
FORM 13F
<TABLE>
<CAPTION>
PAGE 2 OF 4 NAME OF REPORTING MANAGER
- --
- ----------------------------------------------------------------------------------------------------------
Item 1: Item 2: Item 3: Item 4: Item 5:
- ----------------------------------------------------------------------------------------------------------
Name of Issuer Title of Class CUSIP Number Fair Market Value Shares of
Principal
Amount
- ----------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C>
Diedrich Coffee Com 253675102 2,921,875.00 687,500
- ----------------------------------------------------------------------------------------------------------
Eastman Kodak Com 277461109 754,375.00 10,000
- ----------------------------------------------------------------------------------------------------------
Ecsoft Group Com 279240105 15,670,875.00 1,139,700
- ----------------------------------------------------------------------------------------------------------
Erricsson LM Tele Com 294821400 481,250.00 15,400
- ----------------------------------------------------------------------------------------------------------
Fairchild Semiconductor Int'l Com 303726103 2,185,000.00 92,000
- ----------------------------------------------------------------------------------------------------------
HMT Technology Com 403917107 124,250.00 35,500
- ----------------------------------------------------------------------------------------------------------
Horizon Health Corp. Com 44041Y104 2,413,450.00 410,800
- ----------------------------------------------------------------------------------------------------------
Inacom Corp. Com 45323G109 1,955,467.50 212,840
- ----------------------------------------------------------------------------------------------------------
Intel Corp. Com 458140100 1,857,812.50 25,000
- ----------------------------------------------------------------------------------------------------------
InVision Tech. Com 461851107 163,518.75 45,900
- ----------------------------------------------------------------------------------------------------------
Knight/Trimark Group Com 499067106 242,925.00 8,200
- ----------------------------------------------------------------------------------------------------------
MGIC Investment Com 552848103 716,250.00 15,000
- ----------------------------------------------------------------------------------------------------------
Merrill Lynch Com 590188108 1,340,000.00 20,000
- ----------------------------------------------------------------------------------------------------------
Micron Technology Com 595112103 134,882,312.50 2,024,500
- ----------------------------------------------------------------------------------------------------------
Monsanto Com 611662107 446,093.75 12,500
- ----------------------------------------------------------------------------------------------------------
Navigant Int'l Com 63935R108 503,847.45 69,496
- ----------------------------------------------------------------------------------------------------------
COLUMN TOTALS 166,659,302.45
- ----------------------------------------------------------------------------------------------------------
<CAPTION>
(SEC USE ONLY)
PAUL J. SCHUPF
- ---------------------------------------------------------------------------------------------------------------------------
Item 1: Item 6: Investment Discretion Item 7: Item 8: Voting Authority (Shares)
- ---------------------------------------------------------------------------------------------------------------------------
Name of Issuer (a) Sole (b) Shared As (c) Shared- Managers (a) Sole (b) (c) None
Defined in Other See Instr. V Shared
Instr. V
- ---------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C>
Diedrich Coffee X X
- ---------------------------------------------------------------------------------------------------------------------------
Eastman Kodak X X
- ---------------------------------------------------------------------------------------------------------------------------
Ecsoft Group X X
- ---------------------------------------------------------------------------------------------------------------------------
Erricsson LM Tele X X
- ---------------------------------------------------------------------------------------------------------------------------
Fairchild Semiconductor Int'l X X
- ---------------------------------------------------------------------------------------------------------------------------
HMT Technology X X
- ---------------------------------------------------------------------------------------------------------------------------
Horizon Health Corp. X X
- ---------------------------------------------------------------------------------------------------------------------------
Inacom Corp. X X
- ---------------------------------------------------------------------------------------------------------------------------
Intel Corp. X X
- ---------------------------------------------------------------------------------------------------------------------------
InVision Tech. X X
- ---------------------------------------------------------------------------------------------------------------------------
Knight/Trimark Group X X
- ---------------------------------------------------------------------------------------------------------------------------
MGIC Investment X X
- ---------------------------------------------------------------------------------------------------------------------------
Merrill Lynch X X
- ---------------------------------------------------------------------------------------------------------------------------
Micron Technology X X
- ---------------------------------------------------------------------------------------------------------------------------
Monsanto X X
- ---------------------------------------------------------------------------------------------------------------------------
Navigant Int'l X X
- ---------------------------------------------------------------------------------------------------------------------------
COLUMN TOTALS
- ---------------------------------------------------------------------------------------------------------------------------
</TABLE>
<PAGE>
FORM 13F
<TABLE>
<CAPTION>
PAGE 3 OF 4 NAME OF REPORTING MANAGER
- --
- -----------------------------------------------------------------------------------------------
Item 1: Item 2: Item 3: Item 4: Item 5:
- -----------------------------------------------------------------------------------------------
Name of Issuer Title of Class CUSIP Number Fair Market Value Shares of
Principal
Amount
- -----------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C>
Net Perceptions Com 64107U101 171,250.00 10,000
- -----------------------------------------------------------------------------------------------
Netia Holdings Com 64114B104 875,000.00 50,000
- -----------------------------------------------------------------------------------------------
Newbridge Network Com 650901101 1,251,000.00 48,000
- -----------------------------------------------------------------------------------------------
Novell Com 670006105 88,794,887.50 4,292,200
- -----------------------------------------------------------------------------------------------
Novelus Systems Com 670008101 505,781.25 7,500
- -----------------------------------------------------------------------------------------------
OSI Pharmaceuticals Com 671040103 176,312.50 31,000
- -----------------------------------------------------------------------------------------------
Parametric Tech. Com 699173100 8,811,450.00 652,700
- -----------------------------------------------------------------------------------------------
Pervasive Software Com 715710109 41,451,750.00 1,201,500
- -----------------------------------------------------------------------------------------------
Priceline.com Com 741503106 322,500.00 5,000
- -----------------------------------------------------------------------------------------------
Reynolds Metals Co. Com 761763101 8,198,925.00 135,800
- -----------------------------------------------------------------------------------------------
Robotic Vision Com 771074101 244,762.50 64,200
- -----------------------------------------------------------------------------------------------
Saga Systems Inc. Com 786610105 9,831,937.50 681,000
- -----------------------------------------------------------------------------------------------
Seagate Technology Com 811804103 605,000.00 20,000
- -----------------------------------------------------------------------------------------------
Summit Design Com 86605U101 1,972,096.87 779,100
- -----------------------------------------------------------------------------------------------
Systems Software Com 871839106 91,021.87 38,325
- -----------------------------------------------------------------------------------------------
Tellabs Inc. Com 879664100 1,543,006.25 27,100
- -----------------------------------------------------------------------------------------------
COLUMN TOTALS 164,846,681.24
- -----------------------------------------------------------------------------------------------
<CAPTION>
(SEC USE ONLY)
PAUL J. SCHUPF
- -------------------------------------------------------------------------------------------------------------------------
Item 1: Item 6: Investment Discretion Item 7: Item 8: Voting Authority (Shares)
- -------------------------------------------------------------------------------------------------------------------------
Name of Issuer (a) Sole (b) Shared As (c) Shared- Managers (a) Sole (b) (c) None
Defined in Other See Instr. V Shared
Instr. V
- -------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C>
Net Perceptions X X
- -------------------------------------------------------------------------------------------------------------------------
Netia Holdings X X
- -------------------------------------------------------------------------------------------------------------------------
Newbridge Network X X
- -------------------------------------------------------------------------------------------------------------------------
Novell X X
- -------------------------------------------------------------------------------------------------------------------------
Novelus Systems X X
- -------------------------------------------------------------------------------------------------------------------------
OSI Pharmaceuticals X X
- -------------------------------------------------------------------------------------------------------------------------
Parametric Tech. X X
- -------------------------------------------------------------------------------------------------------------------------
Pervasive Software X X
- -------------------------------------------------------------------------------------------------------------------------
Priceline.com X X
- -------------------------------------------------------------------------------------------------------------------------
Reynolds Metals Co. X X
- -------------------------------------------------------------------------------------------------------------------------
Robotic Vision X X
- -------------------------------------------------------------------------------------------------------------------------
Saga Systems Inc. X X
- -------------------------------------------------------------------------------------------------------------------------
Seagate Technology X X
- -------------------------------------------------------------------------------------------------------------------------
Summit Design X X
- -------------------------------------------------------------------------------------------------------------------------
Systems Software X X
- -------------------------------------------------------------------------------------------------------------------------
Tellabs Inc. X X
- -------------------------------------------------------------------------------------------------------------------------
COLUMN TOTALS
- -------------------------------------------------------------------------------------------------------------------------
</TABLE>
<PAGE>
FORM 13F
<TABLE>
<CAPTION>
PAGE 4 OF 4 NAME OF REPORTING MANAGER
- --
- -------------------------------------------------------------------------------------------------------
Item 1: Item 2: Item 3: Item 4: Item 5:
- -------------------------------------------------------------------------------------------------------
Name of Issuer Title of Class CUSIP Number Fair Market Value Shares of
Principal
Amount
- -------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C>
3DFX Interactive Com 88553X103 129,525.00 15,700
- -------------------------------------------------------------------------------------------------------
U.S. Office Products Com 912325305 1,631,463.75 466,132
- -------------------------------------------------------------------------------------------------------
Ubet Com 987413101 2,997,000.00 399,600
- -------------------------------------------------------------------------------------------------------
Unitrode Com 913283107 1,323,000.00 31,500
- -------------------------------------------------------------------------------------------------------
Value America Com 92038N102 7,862,925.00 616,700
- -------------------------------------------------------------------------------------------------------
RLM Nov 45 Calls Calls 761763901 523,875.00 330
- -------------------------------------------------------------------------------------------------------
Micron Oct 70 Call Calls 595112903 680,000.00 1,700
- -------------------------------------------------------------------------------------------------------
Micron Oct 75 Call Calls 595112903 183,750.00 700
- -------------------------------------------------------------------------------------------------------
Superior Tr. I Pfd Conv. 8.50% Pref. 86836P202 3,158,712.37 92,563
- -------------------------------------------------------------------------------------------------------
- -------------------------------------------------------------------------------------------------------
- -------------------------------------------------------------------------------------------------------
- -------------------------------------------------------------------------------------------------------
- -------------------------------------------------------------------------------------------------------
- -------------------------------------------------------------------------------------------------------
- -------------------------------------------------------------------------------------------------------
- -------------------------------------------------------------------------------------------------------
COLUMN TOTALS 18,490,251.12
- -------------------------------------------------------------------------------------------------------
<CAPTION>
(SEC USE ONLY)
PAUL J. SCHUPF
- ---------------------------------------------------------------------------------------------------------------------------------
Item 1: Item 6: Investment Discretion Item 7: Item 8: Voting Authority (Shares)
- ---------------------------------------------------------------------------------------------------------------------------------
Name of Issuer (a) Sole (b) Shared As (c) Shared- Managers (a) Sole (b) (c) None
Defined in Other See Instr. V Shared
Instr. V
- ----------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C>
3DFX Interactive X X
- ----------------------------------------------------------------------------------------------------------------------------------
U.S. Office Products X X
- ----------------------------------------------------------------------------------------------------------------------------------
Ubet X X
- ----------------------------------------------------------------------------------------------------------------------------------
Unitrode X X
- ----------------------------------------------------------------------------------------------------------------------------------
Value America X X
- ----------------------------------------------------------------------------------------------------------------------------------
RLM Nov 45 Calls X X
- ----------------------------------------------------------------------------------------------------------------------------------
Micron Oct 70 Call X X
- ----------------------------------------------------------------------------------------------------------------------------------
Micron Oct 75 Call X X
- ----------------------------------------------------------------------------------------------------------------------------------
Superior Tr. I Pfd Conv. 8.50% X X
- ----------------------------------------------------------------------------------------------------------------------------------
- ----------------------------------------------------------------------------------------------------------------------------------
- ----------------------------------------------------------------------------------------------------------------------------------
- ----------------------------------------------------------------------------------------------------------------------------------
- ----------------------------------------------------------------------------------------------------------------------------------
- ----------------------------------------------------------------------------------------------------------------------------------
- ----------------------------------------------------------------------------------------------------------------------------------
- ----------------------------------------------------------------------------------------------------------------------------------
COLUMN TOTALS
- ----------------------------------------------------------------------------------------------------------------------------------
</TABLE>
