SECURITIES AND EXCHANGE COMMISSION
FORM 13F-HR
NAME OF REPORTING MANAGER:
SENECA CAPITAL ADVISORS LLC
Report for the Calendar Year or Quarter Ended: 9/30/99
Institutional Investment Manager: SENECA CAPITAL ADVISORS LLC
I REPRESENT THAT I AM AUTHORIZED TO SUBMIT THIS FORM AND THAT ALL INFORMATION IN
THIS FORM AND THE ATTACHMENTS TO IT ARE TRUE, CORRECT AND COMPLETE, AND I
UNDERSTAND THAT ALL REQUIRED ITEMS, STATEMENTS AND SCHEDULES ARE INTEGRAL PARTS
OF THIS FORM AND THAT THE SUBMISSION OF ANY AMENDMENT REPRESENTS THAT ALL
UNAMENDED ITEMS, STATEMENTS AND SCHEDULES REMAIN TRUE, CORRECT AND COMPLETE AS
PREVIOUSLY SUBMITTED.
I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934.
Name, Title and Telephone Number of Person Submitting Report:
Greg Grimmelbein
(212) 371-1300
Signature, Place and Date of Signing:
/s/Greg Grimmelbein
830 Third Avenue, 14th Floor
New York, New York 10022
10/29/99
REPORT SUMMARY:
Number of Other Included Managers: One (1)
---------------
List of Other Included Managers:
Seneca Capital Investments, LLC
-------------------------------
Form 13F Information Table Entry Total: 127
-----
Form 13F Information Table Value Total: $366,422,000
--------------
<PAGE>
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 13F-E
NAME OF REPORTING MANAGER: SENECA CAPITAL ADVISORS LLC
<TABLE> <S> <C>
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
- ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- --------
AFC Cable Systems Inc. COM 000950105 1269 29900 SH 29900 29900
AFC Cable Systems Inc. COM 000950105 2033 47900 SH 47900 1 47900
AT&T Canada Inc. COM 00207Q202 9453 150500 SH 150500 150500
AT&T Canada Inc. COM 00207Q202 16595 264200 SH 264200 1 264200
AT&T Corp. COM 001957109 3693 84900 SH 84900 84900
Aegon N.V.American COM 007924103 912 12495 SH 12495 12495
Anchor Glass PFD 330383308 228 2680 SH 2680 2680
Anchor Glass PFD 330383308 4762 56020 SH 56020 1 56020
Asarco Inc. COM 043413103 1107 41300 SH 41300 41300
Asarco Inc. COM 043413103 1995 74400 SH 74400 1 74400
At Home Corp. COM 045919907 3953 95400 SH 95400 95400
Atlantic Richfield Co. CALL 048825903 6310 71200 SH 71200 71200
Atlantic Richfield CALL 048825903 10670 120400 SH 120400 1 120400
BP Amoco PLC COM 110889409 10836 97793 SH 97793 97793
Bank Plus Corporation COM 064446107 409 99200 SH 99200 99200
Bank Plus Corporation COM 064446107 714 173100 SH 173100 1 173100
Brooktrout Inc. COM 114580103 506 36500 SH 36500 36500
Brooktrout Inc. COM 114580103 852 61400 SH 61400 1 61400
Cadence Design Sys. Inc. COM 127387108 999 75382 SH 75382 75382
Case Corporation CALL 14743R903 1798 36100 SH 36100 36100
Case Corporation CALL 14743R903 2969 59600 SH 59600 1 59600
Champps Entertainment Inc. COM 158787101 468 189500 SH 189500 189500
Champps Entertainment Inc. COM 158787101 1255 508400 SH 508400 1 508400
Clorox Company COM 189054109 2173 56816 SH 56816 56816
Columbus McKinnon COM 199333105 2608 152300 SH 152300 152300
Columbus McKinnon COM 199333105 4394 256600 SH 256600 1 256600
Comcast Corp COM 200300101 272 9248 SH 9248 9248
Comcast Corp COM 200300101 490 16691 SH 16691 1 16691
Comdisco Inc. COM 200336105 1226 63500 SH 63500 63500
Comdisco Inc. COM 200336105 2005 103800 SH 103800 1 103800
Comdisco, Inc. CALL 200336905 672 34800 SH 34800 34800
Comdisco, Inc. CALL 200336905 118 61100 SH 61100 1 61100
Data General Corp. COM 237688106 1081 51300 SH 51300 51300
Data General Corp. COM 237688106 1948 92500 SH 92500 1 92500
Delta & Pine Land Co. COM 247357106 528 20400 SH 20400 20400
Delta & Pine Land Co. COM 247357106 957 37000 SH 37000 1 37000
Delta & Pine Land Co. CALL 247357906 797 30800 SH 30800 30800
Delta & Pine Land Co. CALL 247357906 1439 55600 SH 55600 1 55600
EMC CALL 268648102 1192 16700 SH 16700 16700
EMC CALL 268648102 2156 30200 SH 30200 1 30200
Genesys Telecomm Labs Inc. COM 371931106 2336 51200 SH 51200 51200
Genesys Telecomm Labs Inc. COM 371931106 4220 92500 SH 92500 1 92500
Global Crossing Ltd. PUT G3921A950 1375 51900 SH 51900 51900
Global Crossing Ltd. PUT G3921A950 2438 92000 SH 92000 1 92000
Global Crossing Ltd. COM G3921A100 5035 190445 SH 190445 190445
Global Crossing Ltd. COM G3921A100 9089 343785 SH 343785 1 343785
Global Industrial Tech Inc. COM 379335102 4751 389800 SH 389800 389800
Global Industrial Tech Inc. COM 379335102 8346 684800 SH 684800 1 684800
Global Light Telecom Inc. COM 379345100 3040 298400 SH 298400 298400
Global Light Telecom Inc. COM 379345100 5336 523800 SH 523800 1 523800
Goodrich (B.F.) Co. COM 382388106 2514 86700 SH 86700 86700
Grand Union Co. COM 386532402 993 73200 SH 73200 73200
Grand Union Co. COM 386532402 1604 118300 SH 118300 1 118300
Highpoint Telecommunications COM 430904102 77 14100 SH 14100 14100
Highpoint Telecommunications COM 430904102 131 24000 SH 24000 1 24000
Home Holdings PFD 436934AE3 629 5986 SH 5986 5986
Home Holdings PFD 436934AE3 1202 11444 SH 11444 1 11444
Imasco Ltd. COM 452451701 1116 42700 SH 42700 42700
Imasco Ltd. COM 452451701 2016 77100 SH 77100 1 77100
International Paper COM 460146103 15019 312500 SH 312500 312500
Jones Intercable Inc. COM 480206200 5157 95500 SH 95500 95500
Jones Intercable Inc. COM 480206200 9040 167400 SH 167400 1 167400
Jones Lang Lasalle Inc. COM 48020Q107 281 17400 SH 17400 17400
Jones Lang Lasalle Inc. COM 48020Q107 492 30500 SH 30500 1 30500
Juno Lighting Inc. COM 482047107 985 84756 SH 84756 84756
Juno Lighting Inc. COM 482047107 1672 143849 SH 143849 1 143849
Kenetech Corp. COM 488878109 43 122900 SH 122900 122900
Kenetech Corp. COM 488878109 72 205000 SH 205000 1 205000
Level 8 Systems Inc. COM 52729M102 205 16200 SH 16200 16200
Level 8 Systems Inc. COM 52729M102 347 27500 SH 27500 1 27500
Level 8 Systems, Inc. PFD 52729M102 1569 11620 SH 11620 11620
Level 8 Systems, Inc. PFD 52729M102 2774 20550 SH 20550 1 20550
Limited Inc. COM 532716107 1304 34080 SH 34080 34080
Limited Inc. COM 532716107 2287 59800 SH 59800 1 59800
Lucent Technologies Inc. COM 549463107 12481 192390 SH 192390 192390
MBNA Corp. COM 55262L100 397 17400 SH 17400 17400
MBNA Corp. COM 55262L100 698 30600 SH 30600 1 30600
Marvel Enterprises Inc. COM 57383M108 1007 185200 SH 185200 185200
Marvel Enterprises Inc. COM 57383M108 1768 325100 SH 325100 1 325100
Mediware Information Systems COM 584946107 269 34200 SH 34200 34200
Mediware Information Systems COM 584946107 486 61700 SH 61700 1 61700
Medronic Inc. COM 585055106 7171 202000 SH 202000 202000
Meristar Hotels and Resorts COM 589955104 803 273400 SH 273400 273400
Meristar Hotels and Resorts COM 589955104 1410 480000 SH 480000 1 480000
Microsoft Corp. COM 594918104 417 4600 SH 4600 4600
Microsoft Corp. COM 594918104 761 8400 SH 8400 1 8400
Navigant International COM 63935R108 1942 267800 SH 267800 267800
Navigant International COM 63935R108 3410 470300 SH 470300 1 470300
Novacare Employee Services COM 66986Q101 29 11900 SH 11900 11900
Novacare Employee Services COM 66986Q101 49 20000 SH 20000 1 20000
Olsten Corp. COM 681385100 2906 278400 SH 278400 278400
Olsten Corp. COM 681385100 5101 488700 SH 488700 1 488700
PEC Israel Economic Corp. COM 705098101 4609 132400 SH 132400 132400
PEC Israel Economic Corp. COM 705098101 7742 222400 SH 222400 1 222400
Periphonics Corporation COM 714005105 1066 34100 SH 34100 34100
Periphonics Corporation COM 714005105 1931 61800 SH 61800 1 61800
Recovery Engineering Inc. COM 756269106 444 12600 SH 12600 12600
Recovery Engineering Inc. COM 756269106 797 22600 SH 22600 1 22600
Republic New York Corp COM 760719104 2095 34100 SH 34100 34100
Republic New York Corp COM 760719104 3785 61600 SH 61600 1 61600
Safra Republic Holdings COM L80614107 313 5100 SH 5100 1 5100
Saga Systems Inc. COM 786610105 692 47900 SH 47900 47900
Saga Systems Inc. COM 786610105 1247 86400 SH 86400 1 86400
Smart Modular Technologies COM 831690102 1724 50600 SH 50600 50600
Smart Modular Technologies COM 831690102 3113 91400 SH 91400 1 91400
Spanish Broadcasting Systems PFD 846425809 598 572 SH 572 572
Stanford Telecommunications Inc. COM 854402104 2223 70000 SH 70000 70000
Stanford Telecommunications Inc. COM 854402104 4010 126300 SH 126300 1 126300
Styling Technology Corp COM 863905105 320 30500 SH 30500 30500
Styling Technology Corp COM 863905105 583 55500 SH 55500 1 55500
TSI Inc/Minnesota COM 872885108 390 32500 SH 32500 32500
TSI Inc/Minnesota COM 872885108 691 57600 SH 57600 1 57600
TYCO International LTD. COM 902224106 30571 296092 SH 296092 296092
Tektronic Inc. COM 879131100 683 20400 SH 20400 20400
Tektronic Inc. COM 879131100 1233 36800 SH 36800 1 36800
Transworld Entertainment COM 89336Q100 842 66380 SH 66380 66380
Triad Hospitals Inc. COM 89579K109 1520 150100 SH 150100 150100
Triad Hospitals Inc. COM 89579K109 2656 262300 SH 262300 1 262300
US Bioscience Inc. COM 911646206 1949 136800 SH 136800 136800
US Bioscience Inc. COM 911646206 3515 246700 SH 246700 1 246700
USWest COM 91273H101 782 13700 SH 13700 13700
USWest COM 91273H101 1409 24700 SH 24700 1 24700
Vodafone Group Plc-ADR COM 92857F107 17047 71700 SH 71700 71700
Watkins-Johnson Company COM 942456101 2870 85500 SH 85500 85500
Watkins-Johnson Company COM 942456101 5175 154200 SH 154200 1 154200
Wherehouse COM 963251100 4121 228925 SH 228925 228925
Wherehouse COM 963251100 7234 401904 SH 401904 1 401904
</TABLE>
