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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: September 30, 2000
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: White Rock Capital Management, L.P.
Address: 3131 Turtle Creek Boulevard, Suite 800
Dallas, Texas 75219
Form 13F File Number: 28-7520
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: Thomas U. Barton
Title: President of White Rock Capital, Inc., the general partner
of the Institutional Investment Manager
Phone: (214) 526-1465
Signature, Place, and Date of Signing:
/S/ THOMAS U. BARTON
--------------------------------------
[Signature]
Dallas, Texas
--------------------------------------
[City, State]
November 10, 2000
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[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 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).)
<PAGE>
Form 13F Summary Page
Report Summary:
Number of Other Included Managers:
0
Form 13F Information Table Entry Total:
10
Form 13F Information Table Value Total:
$ 132,496 (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.
NONE
<PAGE>
<TABLE>
<CAPTION>
White Rock Capital
Form 13F
September 30, 2000
--------------------- ----------- ----------- ---------- --------- ------ -------- ------------ ----------- ------------------------
Title of Value Shares/ Sh/ Put/ Invstmt Other Voting Authority
Name of Issuer Class CUSIP (x$10.00) Prn Amt Prn Call Dscretn Managers Sole Authority None
--------------------- ----------- ----------- ---------- --------- ------ -------- ------------ ----------- ------------------------
--------------------- ----------- ----------- ---------- --------- ------ -------- ------------ ----------- --------- ------ -------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Generex
Biotechnology Corp. COM 371485103 5995 482000 SH Sole 482000
--------------------- ----------- ----------- ---------- --------- ------ -------- ------------ ----------- --------- ------- -----
--------------------- ----------- ----------- ---------- --------- ------ -------- ------------ ----------- --------- ------- -----
Hain Celestial
Group, Inc. COM 405217100 3512 100000 SH Sole 100000
--------------------- ----------- ----------- ---------- --------- ------ -------- ------------ ----------- --------- ------- -----
--------------------- ----------- ----------- ---------- --------- ------ -------- ------------ ----------- --------- ------- -----
IGEN International,
Inc. COM 449536101 6500 323000 SH Sole 323000
--------------------- ----------- ----------- ---------- --------- ------ -------- ------------ ----------- --------- ------- -----
--------------------- ----------- ----------- ---------- --------- ------ -------- ------------ ----------- --------- ------- -----
Microtune, Inc. COM 59514P109 19495 363966 SH Sole 363966
--------------------- ----------- ----------- ---------- --------- ------ -------- ------------ ----------- --------- ------- -----
--------------------- ----------- ----------- ---------- --------- ------ -------- ------------ ----------- --------- ------- -----
National Discount
Brokers Group COM 635646102 40278 1301900 SH Sole 1301900
--------------------- ----------- ----------- ---------- --------- ------ -------- ------------ ----------- --------- ------- -----
--------------------- ----------- ----------- ---------- --------- ------ -------- ------------ ----------- --------- ------- -----
Osicom Sole
Technologies, Inc. COM 688271501 11984 484200 SH 484200
--------------------- ----------- ----------- ---------- --------- ------ -------- ------------ ----------- --------- ------- -----
--------------------- ----------- ----------- ---------- --------- ------ -------- ------------ ----------- --------- ------- -----
Read-Rite Corp. COM 755246105 9000 800000 SH Sole 800000
--------------------- ----------- ----------- ---------- --------- ------ -------- ------------ ----------- --------- ------- -----
--------------------- ----------- ----------- ---------- --------- ------ -------- ------------ ----------- --------- ------- -----
SoftNet Systems, Sole
Inc. COM 833964109 5455 913900 SH 913900
--------------------- ----------- ----------- ---------- --------- ------ -------- ------------ ----------- --------- ------- -----
--------------------- ----------- ----------- ---------- --------- ------ -------- ------------ ----------- --------- ------- -----
WebFinancial
Corp.-Warrants COM 94767P118 6 69000 SH Sole 69000
--------------------- ----------- ----------- ---------- --------- ------ -------- ------------ ----------- --------- ------- -----
--------------------- ----------- ----------- ---------- --------- ------ -------- ------------ ----------- --------- ------- -----
ZixIt Corporation COM 98974P100 30271 992500 SH Sole 992500
--------------------- ----------- ----------- ---------- --------- ------ -------- ------------ ----------- --------- ------- -----
--------------------- ----------- ----------- ---------- --------- -------------------------------------------------- ------- -----
REPORT SUMMARY 10 DATA
RECORDS 132,496 0 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED
--------------------- ----------- ----------- ---------- --------- ----------------------------------------------------------------
</TABLE>
