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Previous: SERVICEMASTER CO, S-8, 1999-05-11 |
Next: HELLER FINANCIAL COMMERCIAL MORTGAGE ASSET CORP, 10-Q, 1999-05-11 |
<PAGE> 1
OMB APPROVAL
OMB Number: 3235-0006
Expires: February 28, 1997
Estimated average burden
hours per response .. 24.60
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SEC USE ONLY
FORM 13F
INFORMATION REQUIRED OF INSTITUTIONAL INVESTMENT MANAGERS PURSUANT TO
SECTION 13(f) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULES THEREUNDER
Report for the Calendar Year or Quarter Ended March 31, 1999.
- --------------------------------------------------------------------------------
(Please read instructions before preparing form.)
- --------------------------------------------------------------------------------
If amended report check here: [ ]
Catalyst Investment Management Co., L.L.C.
- --------------------------------------------------------------------------------
Name of Institutional Investment Manager
909 Montgomery Street, Suite 102 San Francisco CA 94133
- --------------------------------------------------------------------------------
Business Address (Street) (City) (State) (Zip)
Paul W. Jones 415-677-1520 Manager
- --------------------------------------------------------------------------------
Name, Phone No., and Title of Person Duly Authorized to Submit this Report.
ATTENTION
Intentional misstatements or omissions of facts constitute Federal Criminal
Violations.
See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
The institutional investment manager submitting this Form and its
attachments and the person by whom it is signed represent hereby that all
information contained therein is true, correct and complete. It is understood
that all required items, statements and schedules are considered 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.
Pursuant to the requirements of Securities Exchange Act of 1934, the
undersigned institutional investment manager has caused this report to be
signed on its behalf in the City of San Francisco and State of California on the
6th day of May, 1999.
Catalyst Investment Management Co., L.L.C.
------------------------------------------
(Name of Institutional Investment Manager)
------------------------------------------
(Manual Signature of Person Duly Authorized
to Submit This Report)
Name and 13F file numbers of ALL Institutional Investment Managers with respect
to which this schedule is filled (other than the one filing this report): (List
in alphabetical order).
13F File Numbers will be assigned to Institutional Investment Managers after
they file their first report.
<TABLE>
<CAPTION>
Name: 13F File No.: Name: 13F File No.:
- ------------------------------------- ------------- --------------------------------- -------------
<S> <C> <C> <C>
1. 6.
- ------------------------------------- ------------- --------------------------------- -------------
2. 7.
- ------------------------------------- ------------- --------------------------------- -------------
3. 8.
- ------------------------------------- ------------- --------------------------------- -------------
4. 9.
- ------------------------------------- ------------- --------------------------------- -------------
5. 10.
- ------------------------------------- ------------- --------------------------------- -------------
</TABLE>
SEC 1685 (5/91)
<PAGE> 2
JWGenesis Capital Markets, LLC
FORM 13
March 31, 1999
<TABLE>
<CAPTION>
Title Investment
of Discretion
Security Class CUSIP Market Value Quantity Sole
<S> <C> <C> <C> <C> <C>
COMMON STOCK
AIRTOUCH COMMUNICATIONS INC COM 00949T100 6039063 62500
ALIANT COMMUNICATIONS INC COM 016090102 409375 10000
ALLIED WASTE INDS COM 019589308 721875 50000
AMERCIAN BANKERS INSUR GRP COM 024456105 2366000 45500
AMERICAN STORES COMPANY COM 030096101 504900 15300
AMP INC. COM 044907103 5201377 97222
ASCEND COMMUNICATIONS COM 043491109 5339263 63800
ASTRA AB COM 003924958 3555313 155000
BA MERCHANTS SERVICES COM 055239107 1018750 50000
BALLARD MED PRODS COM 058566100 1706250 70000
BANK OF COMMERCE COM 061589107 805000 40000
BAXTER INTL INC CONTINGENT PAYMENT RIGHT COM 071813125 0 25000
BINDLEY WESTN INDS INC. COM 090324104 939706 32900
BOOLE & BABBAGE INC COM 098586100 1188450 47500
BROWNING FERRIS INDS COM 115885105 3779125 98000
BRYLANE INC COM 117661108 242500 10000
CAPSTAR BROADCASTING CORP-CL A COM 14067G105 1605625 70000
CASELLA WASTE SYSTEMS INC COM 147448104 773894 34300
CDNOW/N2K INC. 125 COM 125086108 465500 24500
CENTENNIAL HLTHCR CORP COM 150937100 263438 30000
CENTURY COMMUNICATIONS CORP COM 156503104 1160938 25000
CHANCELLOR MEDIA CORP COM 158915108 942500 20000
CITIZENS UTIL CO COM 177342201 1769441 228315
COLONIAL GAS CO COM 195674106 345000 10000
COLTEC INDS INC COM 196879100 727500 40000
CUNO INC COM 126583103 596400 42600
EAGLE HARDWARE & GARDEN INC COM 26959b101 1447306 37900
EMCOR GROUP INC. COM 29084Q100 2320313 135000
Page Total 46234800
ENTERPRISE FEDERAL BANCORP COM 293711107 803813 18000
EXCITE INC COM 300904109 5432000 38800
EXECUTIVE RISK INC COM 301586103 2204550 31050
FRONTIER CORP COM 35906P105 2593750 50000
GENCORP INC. COM 368682100 876600 48700
GEOCITIES COM 37247V106 1687263 15400
</TABLE>
<TABLE>
<CAPTION>
Voting
Authority
Security Share Other Managers Sole Share None
<S> <C> <C> <C> <C> <C> <C>
COMMON STOCK
AIRTOUCH COMMUNICATIONS INC 2 62500
ALIANT COMMUNICATIONS INC 2 10000
ALLIED WASTE INDS 2 50000
AMERCIAN BANKERS INSUR GRP 2 45500
AMERICAN STORES COMPANY 2 15300
AMP INC. 2 97222
ASCEND COMMUNICATIONS 2 63800
ASTRA AB 2 155000
BA MERCHANTS SERVICES 2 50000
BALLARD MED PRODS 2 70000
BANK OF COMMERCE 2 40000
BAXTER INTL INC CONTINGENT PAYMENT RIGHT 2 25000
BINDLEY WESTN INDS INC. 2 32900
BOOLE & BABBAGE INC 2 47500
BROWNING FERRIS INDS 2 98000
BRYLANE INC 2 10000
CAPSTAR BROADCASTING CORP-CL A 2 70000
CASELLA WASTE SYSTEMS INC 2 34300
CDNOW/N2K INC. 125 2 24500
CENTENNIAL HLTHCR CORP 2 30000
CENTURY COMMUNICATIONS CORP 2 25000
CHANCELLOR MEDIA CORP 2 20000
CITIZENS UTIL CO 2 228315
COLONIAL GAS CO 2 10000
COLTEC INDS INC 2 40000
CUNO INC 2 42600
EAGLE HARDWARE & GARDEN INC 2 37900
EMCOR GROUP INC. 2 135000
Page Total
ENTERPRISE FEDERAL BANCORP 2 18000
EXCITE INC 2 38800
EXECUTIVE RISK INC 2 31050
FRONTIER CORP 2 50000
GENCORP INC. 2 48700
GEOCITIES 2 15400
</TABLE>
<PAGE> 3
<TABLE>
<CAPTION>
Title Investment
of Discretion
Security Class CUSIP Market Value Quantity Sole
<S> <C> <C> <C> <C> <C>
HEADLANDS MTG CO COM 421980103 1015005 47100
HEXCEL CORP NEW COM 428291108 398750 55000
INTEGRATED PRCESS EQUIP COR COM 45812k108 185625 20000
INTERCARGO CORP COM 45844C108 381563 33000
INTERVU INC COM 46114R106 1597500 36000
IXC COMMUNICATIONS INC COM 450713102 1490938 32500
JACOR COMMUNICATIONS COM 469858401 1550400 20400
JONES INTERCABLE INC COM 480206200 2760625 70000
KARRINGTON HEALTH COM 485762108 318719 23500
KN ENERGY INC COM 482620101 813450 40800
KNOLL INC COM 498904101 2251341 91425
LEARNING CO INC COM 522008101 887400 30600
LEVEL ONE COMMUNICATIONS INC COM 527295109 1701875 35000
LIFELINE SYS INC COM 532192101 359569 15100
LUCASVARITY PLC COM 549395101 1418922 30600
MASOTECH INC COM 574670105 675800 43600
MASTER GRAPHICS INC COM 576346100 327000 54500
METRONET CONN CORP CL B COM 59169y108 1375000 25000
MEYER FRED INC. DEL COM 592907109 3567825 60600
MORTON INTL IND INC COM 619335102 2425500 66000
NAC RE CORP COM 628907107 832156 15500
NORTH CAROLINA NATURAL GAS CORP COM 658221106 956813 31500
PENNZENERGY COM 70931Q109 1050000 100000
PHARMERICA INV COM 717135107 246500 49300
PIONEER HI BRED INTL COM 723686101 3491600 92800
Page Total 45677849
PLATINUM TECHNOLOGY COM 72764T101 381094 15000
POOL ENERGY SVCS CO COM 732788104 150938 10000
QUANTUM CORP COM 747906105 630000 35000
QUICKTURN DESIGN SYSTEMS INC COM 74838E102 935075 66200
RAYCHEM COM 754603108 1128125 50000
RJR NABISCO COM 74960K876 2000000 80000
SNYDER OIL CORP COM 833482102 370313 25000
SOUTHWEST GAS CORP COM 844895102 2446125 88950
STONERIDGE INC COM 86183P102 490000 35000
SUNSTRAND CORP COM 867323107 3475000 50000
SWISHER INTL GROUP INC COM 870809100 1342413 150200
TELECOM ITALIA SPA COM 87927W106 1565625 15000
TRANSAMERICA CORP COM 893485102 2847100 40100
U S FILTER CORP NEW COM 911843209 9738750 318000
U.S. WEST MEDIA GROUP COM 58440J104 634375 10000
UNITED INTERNATIONAL HOLDINGS INC COM 910734102 2379450 54700
UNITED RENTALS INC COM 911363109 570000 20000
VARIAN COM 92220P105 4526000 116800
VARIAN INC. WHEN ISSUE COM 922206107 546431 57900
WARNACO GROUP INC COM 934390105 740625 30000
WASTE MANAGEMENT INC. NEW COM 94106L109 887500 20000
</TABLE>
<TABLE>
<CAPTION>
Voting
Authority
Security Share Other Managers Sole Share None
<S> <C> <C> <C> <C> <C> <C>
HEADLANDS MTG CO 2 47100
HEXCEL CORP NEW 2 55000
INTEGRATED PRCESS EQUIP COR 2 20000
INTERCARGO CORP 2 33000
INTERVU INC 2 36000
IXC COMMUNICATIONS INC 2 32500
JACOR COMMUNICATIONS 2 20400
JONES INTERCABLE INC 2 70000
KARRINGTON HEALTH 2 23500
KN ENERGY INC 2 40800
KNOLL INC 2 91425
LEARNING CO INC 2 30600
LEVEL ONE COMMUNICATIONS INC 2 35000
LIFELINE SYS INC 2 15100
LUCASVARITY PLC 2 30600
MASOTECH INC 2 43600
MASTER GRAPHICS INC 2 54500
METRONET CONN CORP CL B 2 25000
MEYER FRED INC. DEL 2 60600
MORTON INTL IND INC 2 66000
NAC RE CORP 2 15500
NORTH CAROLINA NATURAL GAS CORP 2 31500
PENNZENERGY 2 100000
PHARMERICA INV 2 49300
PIONEER HI BRED INTL 2 92800
Page Total
PLATINUM TECHNOLOGY 2 15000
POOL ENERGY SVCS CO 2 10000
QUANTUM CORP 2 35000
QUICKTURN DESIGN SYSTEMS INC 2 66200
RAYCHEM 2 50000
RJR NABISCO 2 80000
SNYDER OIL CORP 2 25000
SOUTHWEST GAS CORP 2 88950
STONERIDGE INC 2 35000
SUNSTRAND CORP 2 50000
SWISHER INTL GROUP INC 2 150200
TELECOM ITALIA SPA 2 15000
TRANSAMERICA CORP 2 40100
U S FILTER CORP NEW 2 318000
U.S. WEST MEDIA GROUP 2 10000
UNITED INTERNATIONAL HOLDINGS INC 2 54700
UNITED RENTALS INC 2 20000
VARIAN 2 116800
VARIAN INC. WHEN ISSUE 2 57900
WARNACO GROUP INC 2 30000
WASTE MANAGEMENT INC. NEW 2 20000
</TABLE>
<PAGE> 4
<TABLE>
<CAPTION>
Title Investment
of Discretion
Security Class CUSIP Market Value Quantity Sole
<S> <C> <C> <C> <C> <C>
WESTERN WATER CO COM 959881103 200000 40000
WHX CORP PFD B COM 929248300 1551600 43100
WYMAN GORDON CO COM 983085101 231250 25000
ZOMAX OPTICAL MEDIA INC COM 989929104 402500 20000
132082936
PREFERRED STOCK
ABN AMRO CAPITAL FUNDING PFD 7 1/8% 00371T206 618750 25000
Page Total 40789038
618750
SHORT STOCK
ASTRAZENECA PLC SPONSORED ADR COM 046353108 -434425 -78100
AT HOME CORP COM 045919107 -1464013 -32400
BMC SOFTWARE COM 055921100 330691 -32100
CLEAR CHANNEL COMMUNICATIONS COM 184502102 -278435 -16700
-1846182
GRAND TOTAL 130855504
Page Total -1846182
</TABLE>
<TABLE>
<CAPTION>
Voting
Authority
Security Share Other Managers Sole Share None
<S> <C> <C> <C> <C> <C> <C>
WESTERN WATER CO 2 40000
WHX CORP PFD B 2 43100
WYMAN GORDON CO 2 25000
ZOMAX OPTICAL MEDIA INC 2 20000
PREFERRED STOCK
ABN AMRO CAPITAL FUNDING PFD 7 1/8% 2 25000
Page Total
SHORT STOCK
ASTRAZENECA PLC SPONSORED ADR 2 -78100
AT HOME CORP 2 -32400
BMC SOFTWARE 2 -32100
CLEAR CHANNEL COMMUNICATIONS 2 -16700
GRAND TOTAL
Page Total
</TABLE>
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