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Previous: WILSHIRE REAL ESTATE INVESTMENT TRUST INC, 10-Q, 1999-11-22 |
Next: NEW WORLD PUBLISHING INC /CO/, 10QSB, 1999-11-22 |
FORM 13F
FORM 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: September 30, 1999
Check here if Amendment [ X ]; Ammendment Number: 1
This Amendment (Check only one.): [ X ] is a restatement.
[ ] adds new holdings entries.
Institutional Investment Manger Filing this Report:
Name: Osterweis Capital Management, LLC
Address: One Maritime Plaza
Suite 800
San Francisco, CA 94111
13F File Number: 28-801-54360
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 ths Report on Behalf of Reporting Manager:
Name: Pamela S. Nichter
Title: Compliance Officer
Phone: 415-434-4441
Signature, Place, and Data of Signing
Pamela S. Nichter San Francisco, CA November 17, 1999
Report Type (Check only one.):
[ X ] 13F HOLDINGS REPORT
[ ] 13F NOTICE
[ ] 13F COMBINATION REPORT
List of Other Mangers 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: 155
Form 13F Information Table Value Total: $188,081
List of Other Included Managers:
No. 13F File Number Name
<PAGE>
<TABLE> <C> <C>
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
- ----------------------------------------------------------------------------------------------------------------------------------
AT&T CORP COM 001957109 171 3927 SH SOLE 3525 402 0
AT&T CORP COM LBRTY MED 001957208 78 2088 SH SOLE 2088 0 0
ABBOTT LABS COM 002824100 23 619 SH SOLE 85 534 0
ABERCROMBIE & FITCH CO CL A 002896207 42 1230 SH SOLE 1230 0 0
ACNIELSEN CORP COM 004833109 2683 118275 SH SOLE 89942 17533 10800
ALLSTATE CORP COM 020002101 181 7276 SH SOLE 2296 4980 0
ALZA CORP COM 022615108 10 233 SH SOLE 0 233 0
ALZA CORP WT 12-31-199 022615157 0 49 SH SOLE 0 49 0
AMERICAN HOME PRODS CORP COM 026609107 454 10950 SH SOLE 10950 0 0
AMERICAN INTL GROUP INC COM 026874107 84 965 SH SOLE 75 890 0
AMERITRADE HLDG CORP CL A 03072H109 193 10500 SH SOLE 0 0 10500
ANHEUSER BUSCH COS INC COM 035229103 3086 44050 SH SOLE 25250 13500 5300
ASSOCIATES FIRST CAP CORP CL A 046008108 3444 95666 SH SOLE 74266 21400 0
ATRIX LABS INC COM 04962L101 37 5433 SH SOLE 0 5433 0
AUTOMATIC DATA PROCESSING COM 053015103 116 2600 SH SOLE 0 2600 0
AVON PRODS INC COM 054303102 2424 97700 SH SOLE 70700 22000 5000
BANK NEW YORK INC COM 064057102 274 8200 SH SOLE 0 8200 0
BELL ATLANTIC CORP COM 077853109 222 3300 SH SOLE 3300 0 0
BERKSHIRE HATHAWAY INC DEL CL B 084670207 19 10 SH SOLE 0 10 0
BOEING CO COM 097023105 43 1000 SH SOLE 0 1000 0
BRISTOL MYERS SQUIBB CO COM 110122108 1110 16440 SH SOLE 4040 7000 5400
BUCKEYE PARTNERS L P UNIT LTD PRTNR 118230101 108 4000 SH SOLE 4000 0 0
BURLINGTON RES INC COM 122014103 40 1100 SH SOLE 1100 0 0
CBS CORP COM 12490K107 6076 131364 SH SOLE 59879 57023 14462
CSK AUTO CORP COM 125965103 2 106 SH SOLE 0 0 106
CALPINE CORP COM 131347106 17736 208503 SH SOLE 138328 59825 10350
CATERPILLAR INC COM 149123101 696 12700 SH DEFINED 0 0 12700
CEDAR FAIR L P DEPOSITARY UNI 150185106 83 4000 SH SOLE 4000 0 0
CHASE MANHATTAN CORP NEW COM 16161A108 30 400 SH SOLE 400 0 0
CHEVRON CORP COM 166751107 72 816 SH SOLE 400 416 0
CHILDRENS PL RETAIL STORES I COM 168905107 36 1354 SH SOLE 1354 0 0
CISCO SYS INC COM 17275R102 460 6712 SH SOLE 2362 4350 0
COCA COLA CO COM 191216100 3 70 SH SOLE 0 70 0
COCA COLA ENTERPRISES INC COM 191219104 22 990 SH SOLE 990 0 0
COMPAQ COMPUTER CORP COM 204493100 5 230 SH SOLE 230 0 0
COMVERSE TECHNOLOGY INC COM PAR $0.10 205862402 905 9600 SH SOLE 9600 0 0
CONVERGYS CORP COM 212485106 6948 350700 SH SOLE 280700 70000 0
CORNING INC COM 219350105 69 1000 SH SOLE 0 1000 0
CRESCENT R E EQUITIES INC COM 225756105 2432 135100 SH SOLE 100400 30700 4000
DISNEY WALT CO COM 254687106 181 6975 SH SOLE 3225 3750 0
DOLLAR GEN CORP COM 256669102 28 900 SH SOLE 0 0 900
DORCHESTER HUGOTON LTD ADR 258205202 13 1000 SH SOLE 1000 0 0
DU PONT E I DE NEMOURS & CO COM 263534109 24 400 SH SOLE 400 0 0
EASTMAN KODAK CO COM 277461109 5156 68180 SH SOLE 61880 6300 0
ECHOSTAR COMMUN CORP NEW CL A 278762109 2788 30700 SH SOLE 29300 1400 0
ELAN CORP ADR 284131208 3048 90825 SH SOLE 77400 13425 0
ETOYS INC COM 297862104 360 5400 SH SOLE 500 0 4900
EXXON CORP COM 302290101 1164 15314 SH SOLE 4800 6978 3536
FAMILY GOLF CTRS INC COM 30701A106 1 617 SH DEFINED 0 0 617
FEDERAL NATL MTG ASSN COM 313586109 43 680 SH SOLE 0 680 0
FIFTH THIRD BANCORP COM 316773100 10 168 SH SOLE 168 0 0
FOREST LABS INC COM 345838106 1854 44001 SH SOLE 25434 18567 0
GATX CORP COM 361448103 4431 142650 SH SOLE 112550 25100 5000
GTE CORP COM 362320103 118 1539 SH SOLE 1539 0 0
GAP INC COM 364760108 11 337 SH SOLE 337 0 0
GENERAL ELEC CO COM 369604103 1874 15807 SH SOLE 7350 5717 2740
GILLETTE CO COM 375766102 38 1134 SH SOLE 0 1134 0
GLAXO WELLCOME PLC ADR SPONSORED 37733W105 16 300 SH SOLE 300 0 0
GOLDEN ST BANCORP INC COM 381197102 93 5200 SH SOLE 5200 0 0
GREENPOINT FINL CORP COM 395384100 29 1100 SH SOLE 0 0 1100
HALLIBURTON CO COM 406216101 98 2402 SH SOLE 0 2402 0
HEARTPORT INC COM 421969106 178 39000 SH SOLE 39000 0 0
HEWLETT PACKARD CO COM 428236103 54 600 SH SOLE 0 600 0
HONEYWELL INC COM 438506107 9 74 SH SOLE 74 0 0
INTEL CORP COM 458140100 201 2700 SH SOLE 1200 1500 0
INTERNATIONAL BUSINESS MACHS COM 459200101 1207 9972 SH SOLE 2160 7812 0
IT GROUP INC COM 465266104 3968 414984 SH SOLE 329034 64330 21620
JOHNSON & JOHNSON COM 478160104 1137 12373 SH SOLE 5140 3733 3500
K MART CORP COM 482584109 10 589 SH SOLE 589 0 0
KELLOGG CO COM 487836108 26693 713000 SH SOLE 0 0 713000
KIMBERLY CLARK CORP COM 494368103 46 875 SH SOLE 875 0 0
KINDER MORGAN EGY PTNS L P UT LTD PT INT 494550106 2603 60108 SH SOLE 21489 27913 10706
KING PHARMACEUTICALS INC COM 495582108 252 7200 SH SOLE 0 0 7200
KNIGHT RIDDER INC COM 499040103 138 2500 SH SOLE 0 2500 0
LAKEHEAD PIPE LINE PARTNERS PREF UT LTD PR 511557100 85 2000 SH SOLE 2000 0 0
LENNOX INTL INC COM 526107107 1389 89600 SH SOLE 75500 14100 0
LILLY ELI & CO COM 532457108 796 12394 SH SOLE 2000 6394 4000
LOEWS CINEPLEX ENTMT CORP COM 540423100 3 400 SH SOLE 400 0 0
MCI WORLDCOM INC COM 55268B106 2635 36667 SH SOLE 32550 4117 0
MGM GRAND INC COM 552953101 534 10445 SH SOLE 10445 0 0
MANOR CARE INC NEW COM 564055101 6756 390250 SH SOLE 303050 71400 15800
MANUFACTURED HOME CMNTYS INC COM 564682102 1416 60583 SH SOLE 39250 16333 5000
MCDONALDS CORP COM 580135101 43 1000 SH SOLE 0 1000 0
MERCK & CO INC COM 589331107 1534 23668 SH SOLE 7798 10670 5200
MICROSOFT CORP COM 594918104 609 6720 SH SOLE 1920 4800 0
MOBIL CORP COM 607059102 111 1100 SH SOLE 0 1100 0
MORGAN J P & CO INC COM 616880100 137 1200 SH SOLE 1200 0 0
NTL INC COM 629407107 7495 77997 SH SOLE 61700 16297 0
NATURES SUNSHINE PRODS INC C COM 639027101 0 6098 SH SOLE 0 6098 0
NEWHALL LD & FARMING CO COM 651426108 1545 62722 SH SOLE 13122 34300 15300
NEWPARK RES INC COM PAR$0.01NE 651718504 2616 337500 SH SOLE 297500 40000 0
NORTEL NETWORKS CORP COM 656569100 108 2114 SH SOLE 2114 0 0
NOVELL INC COM 670006105 2 100 SH SOLE 100 0 0
NSTAR COM 67019E107 21 541 SH SOLE 541 0 0
OHM CORP SBDBCV08.000 0 670839AA7 345 383000 SH SOLE 333000 50000 0
ORACLE CORP COM 68389X105 26 577 SH SOLE 577 0 0
ORGANOGENESIS INC COM 685906109 531 70750 SH SOLE 0 0 70750
OWENS ILL INC COM NEW 690768403 4216 212800 SH SOLE 195950 16850 0
PEGASUS COMMUNICATIONS CORP CL A 705904100 3917 86800 SH SOLE 63050 23750 0
PEPSICO INC COM 713448108 135 4421 SH SOLE 3421 1000 0
PFIZER INC COM 717081103 328 9150 SH SOLE 6150 3000 0
PHILIP MORRIS COS INC COM 718154107 93 2710 SH SOLE 0 2710 0
PLAYTEX PRODS INC COM 72813P100 1819 123300 SH SOLE 100700 12300 10300
PRE PAID LEGAL SVCS INC COM 740065107 221 5600 SH SOLE 5600 0 0
PREMIER PKS INC COM NEW 740540208 1169 40300 SH SOLE 40300 0 0
PRIMEDIA INC COM 74157K101 474 33891 SH SOLE 8291 25600 0
PROCTER & GAMBLE CO COM 742718109 1721 18352 SH SOLE 6184 7284 4884
PROVIDENT FINL GROUP INC COM 743866105 22 600 SH SOLE 0 0 600
REUTERS GROUP PLC ADR SPONSORED 76132M102 40 578 SH SOLE 0 578 0
ROYAL DUTCH PETE CO NY REG SHS 1.2 780257804 473 8000 SH SOLE 6000 2000 0
SBC COMMUNICATIONS INC COM 78387G103 45 877 SH SOLE 0 877 0
S3 INC COM 784849101 98 9360 SH SOLE 832 0 8528
SABRATEK CORP COM 78571U108 180 62650 SH SOLE 0 0 62650
SAN JUAN BASIN RTY TR UNIT BEN INT 798241105 311 35089 SH SOLE 22556 12533 0
SANTA FE SNYDER CORP COM 80218K105 1482 164688 SH SOLE 98474 52479 13735
SAP AG ADR SPONS PREF 803054204 232 6150 SH SOLE 0 0 6150
SCHERING PLOUGH CORP COM 806605101 144 3300 SH SOLE 3300 0 0
SCHLUMBERGER LTD COM 806857108 464 7450 SH SOLE 2250 2600 2600
SERVICEMASTER CO COM 81760N109 6123 381211 SH SOLE 272656 90978 17577
SHARED MED SYS CORP COM 819486101 195 4173 SH SOLE 0 0 4173
SIERRA PAC RES NEW COM 826428104 16 720 SH SOLE 720 0 0
SILICON GRAPHICS INC COM 827056102 0 352 SH DEFINED 0 0 352
SPRINT CORP COM 852061100 138 2536 SH SOLE 0 2536 0
SPRINT CORP PCS GROUP COM 852061506 47 633 SH SOLE 0 633 0
STAPLES INC COM 855030102 26 1203 SH SOLE 1203 0 0
STATE STR CORP COM 857477103 259 4000 SH SOLE 4000 0 0
STERIS CORP COM 859152100 1 40 SH SOLE 40 0 0
SUNGLASS HUT INTL INC COM 86736F106 1133 107250 SH SOLE 79600 27650 0
SUNRISE ASSISTED LIVING INC COM 86768K106 465 18600 SH DEFINED 0 0 18600
SWISS HELVETIA FD INC COM 870875101 19 1364 SH SOLE 0 1364 0
SYSCO CORP COM 871829107 35 1000 SH SOLE 1000 0 0
TCBY ENTERPRISES INC COM 872245105 36 7900 SH SOLE 7900 0 0
TANGER FACTORY OUTLET CTRS COM 875465106 82 3575 SH SOLE 2175 1400 0
TELEFONICA S A ADR SPONSORED 879382208 226 4712 SH SOLE 4712 0 0
TELEFONOS DE MEXICO S A ADR REP ORD L 879403780 27 380 SH SOLE 380 0 0
TEXACO INC COM 881694103 15 237 SH SOLE 237 0 0
TORCHMARK CORP COM 891027104 5395 208500 SH SOLE 163700 36700 8100
TYCO INTL LTD NEW COM 902124106 268 2600 SH SOLE 2600 0 0
USG CORP COM NEW 903293405 10 200 SH SOLE 200 0 0
UNILEVER N V NEW YORK SHS N 904784709 91 1338 SH SOLE 1338 0 0
UNITED SEC BANCORPORATION WA CMT-CAP STK 91146A101 36 2420 SH SOLE 2420 0 0
UNIVERSAL ELECTRS INC COM 913483103 2950 127550 SH SOLE 109950 17600 0
VALUEVISION INTL INC CL A 92047K107 3718 143000 SH SOLE 126000 17000 0
VIACOM INC CL B 925524308 17 400 SH SOLE 400 0 0
WAL MART STORES INC COM 931142103 158 3332 SH SOLE 220 3112 0
WALGREEN CO COM 931422109 237 9334 SH SOLE 7200 2134 0
WARNER LAMBERT CO COM 934488107 48 725 SH SOLE 125 600 0
WELLS FARGO & CO NEW COM 949746101 25 620 SH SOLE 0 620 0
WESTWOOD ONE INC COM 961815107 4974 110220 SH SOLE 106220 4000 0
WILLIAMS COS INC COM 969457100 63 1665 SH SOLE 0 1665 0
CORECOMM LTD COM G2422R109 30 898 SH SOLE 825 73 0
GLOBALSTAR TELECOMMUNICATION COM G3930H104 69 3000 SH SOLE 0 3000 0
LORAL SPACE & COMMUNICATIONS COM G56462107 4212 245050 SH SOLE 202200 42850 0
SBS BROADCASTING ORD L8137F102 1371 35391 SH SOLE 27024 8367 0
CREATIVE TECHNOLOGY LTD ORD Y1775U107 954 89800 SH SOLE 89800 0 0
----------------
LLC TOTAL 188,081
</TABLE>
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