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, 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: Kern Capital Management LLC
Address: 114 W. 47th Street, Suite 1926
New York, NY 10036
Form 13F File Number: 28-6932
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, and 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: John J. Crimmins
Title: Senior Vice President, Chief Financial and Operating Officer
Phone: 212-944-4726
Signature, Place, and Date of Signing:
/x/ John J. Crimmins New York, NY 11/08/00
[Signature] [City, State] [Date]
Report Type (Check only one.):
[ x ] 13F HOLDINGS REPORT. (Check if all holdings of this reporting
manager are reported in this report.)
[ ] 13 F 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: 123
Form 13F Information Table Value Total: $1,940,553
List of Other Included Managers: None
<PAGE>
<TABLE>
<CAPTION>
SHARES
SH/PUT/
VALUE PRN AMT INVESTMENT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x1,000) PRN CALL DISCRETION MANAGERS SOLE SHRD NONE
----------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C> <C>
AAON INC COM PAR $0.004 000360206 20510 854600 SH SOLE 854600 0 0
ACTV INC COMMON 00088E104 8785 638900 SH SOLE 582500 0 56400
ABERCROMBIE & FITCH CO CL A 002896207 7074 371100 SH SOLE 339700 0 31400
ADEPT TECHNOLOGY INC COMMON 006854103 720 13700 SH SOLE 13700 0 0
ADVANCE PARADIGM INC COMMON 007491103 39323 932100 SH SOLE 841100 0 91000
AGENCY COM LTD COMMON 008447104 5549 371500 SH SOLE 371500 0 0
ALAMOSA PCS HOLDINGS COMMON 011593100 3998 247000 SH SOLE 203700 0 43300
AMERICAN CLASSIC VOYAGES COMMON 024928103 18605 1272150 SH SOLE 1226850 0 45300
AMERICAN EAGLE OUTFITTER COMMON 02553E106 6458 205000 SH SOLE 187500 0 17500
ANAREN MICROWAVE INC COMMON 032744104 154328 1137900 SH SOLE 1082450 0 55450
ANNTAYLOR STORES CORP COMMON 036115103 14072 366100 SH SOLE 335200 0 30900
ARTHROCARE CORP COMMON 043136100 28818 1482600 SH SOLE 1434100 0 48500
ASTRONICS CORP COMMON 046433108 534 50000 SH SOLE 50000 0 0
AXSYS TECHNOLOGIES INC COMMON 054615109 17920 495200 SH SOLE 495200 0 0
BEI TECHNOLOGY COMMON 05538P104 7060 169100 SH SOLE 169100 0 0
BEBE STORES INC COMMON 075571109 3540 238000 SH SOLE 238000 0 0
BOSTON COMMUNICATIONS GR COMMON 100582105 35807 1860100 SH SOLE 1860100 0 0
BRIGHT HORIZON FAMILY SO COMMON 109195107 7004 274000 SH SOLE 274000 0 0
BUCA INC COMMON 117769109 6034 567900 SH SOLE 567900 0 0
CBRL GROUP INC COMMON 12489V106 7029 489000 SH SOLE 438900 0 50100
CSG SYS INTL INC COMMON 126349109 3103 107000 SH SOLE 97900 0 9100
CABLETRON SYS INC COMMON 126920107 31740 1080500 SH SOLE 1017300 0 63200
CADIZ INC COMMON 127537108 20311 2031100 SH SOLE 2031100 0 0
CALIFORNIA AMPLIFIER INC COMMON 129900106 22059 959100 SH SOLE 959100 0 0
CALIFORNIA MICRO DEVICES COMMON 130439102 22218 1587000 SH SOLE 1587000 0 0
CASH AMER INTL INC COMMON 14754D100 17958 2455800 SH SOLE 2455800 0 0
CERNER CORP COMMON 156782104 20637 444400 SH SOLE 406700 0 37700
CHAMPIONSHIP AUTO RACING COMMON 158711101 23324 956900 SH SOLE 956900 0 0
CHILDRENS PL RETAIL STOR COMMON 168905107 9726 377700 SH SOLE 377700 0 0
COMARCO INC COMMON 200080109 23405 668700 SH SOLE 668700 0 0
CONCORD CAMERA CORP COMMON 206156101 5978 233300 SH SOLE 233300 0 0
COPPER MTN NETWORKS INC COMMON 217510106 5081 135500 SH SOLE 111400 0 24100
CORPORATE EXECUTIVE BRD COMMON 21988R102 11769 292400 SH SOLE 280800 0 11600
COSTAR GROUP INC COMMON 22160N109 28901 781100 SH SOLE 742900 0 38200
CRITICAL PATH INC COMMON 22674V100 27567 453770 SH SOLE 415320 0 38450
CROWN MEDIA HLDGS INC CL A 228411104 6668 470000 SH SOLE 427800 0 42200
DATALINK CORP COMMON 237934104 13980 1129700 SH SOLE 1129700 0 0
DOCENT INC COMMON 25608L106 1774 96900 SH SOLE 79600 0 17300
EBENX INC COMMON 278668108 12549 1109300 SH SOLE 1109300 0 0
ECLIPSYS CORP COMMON 278856109 25906 1619100 SH SOLE 1619100 0 0
ELECTRONICS BOUTIQUE HLD COMMON 286045109 5601 260500 SH SOLE 260500 0 0
ENDOCARE INC COMMON 29264P104 33494 1695900 SH SOLE 1695900 0 0
EXIGENT INTERNATIONAL IN COMMON 302056106 1307 597710 SH SOLE 597710 0 0
FINISH LINE INC CL A 317923100 2267 310000 SH SOLE 310000 0 0
FUSION MED TECHNOLOGIES COMMON 361128101 10659 1086300 SH SOLE 1086300 0 0
GENE LOGIC INC COMMON 368689105 43288 1882100 SH SOLE 1813400 0 68700
GENESCO INC COMMON 371532102 26094 1540600 SH SOLE 1540600 0 0
GOOD GUYS INC COMMON 382091106 4130 590000 SH SOLE 590000 0 0
GUESS INC COMMON 401617105 10334 918600 SH SOLE 840200 0 78400
GYMBOREE CORP COMMON 403777105 6854 1260500 SH SOLE 1260500 0 0
HANOVER DIRECT INC COMMON 410783104 2775 4934000 SH SOLE 4511900 0 422100
HYTEK MICROSYSTEMS INC COMMON 449180108 1922 146400 SH SOLE 146400 0 0
IMPCO TECHNOLOGIES INC COMMON 45255W106 22445 780700 SH SOLE 780700 0 0
INFOCROSSING INC COMMON 45664X109 8493 468600 SH SOLE 468600 0 0
INNERDYNE INC COMMON 45764D102 8434 1204900 SH SOLE 1204900 0 0
INTERNATIONAL SPEEDWAY C CL A 460335201 35342 906200 SH SOLE 825500 0 80700
INTERNET COM CORP COMMON 460967102 16221 524300 SH SOLE 505300 0 19000
INTERTAN INC COMMON 461120107 14898 1031900 SH SOLE 1031900 0 0
INVITROGEN CORP COMMON 46185R100 26693 375300 SH SOLE 343400 0 31900
ISOMET CORP COMMON 464893106 604 35000 SH SOLE 35000 0 0
JORE CORP COMMON 480815109 4319 785200 SH SOLE 785200 0 0
K-SWISS INC CL A 482686102 6984 310400 SH SOLE 310400 0 0
LIBERTY SATELLITE & TECH CL A 531182103 12318 1159300 SH SOLE 1060500 0 98800
LO-JACK CORP COMMON 539451104 10766 1447500 SH SOLE 1447500 0 0
MDSI MOBILE DATA SOLUTIO COMMON 55268N100 9979 905900 SH SOLE 905900 0 0
MCNAUGHTON APPAREL GROUP COMMON 582524104 12438 759600 SH SOLE 759600 0 0
MEDIA 100 INC COMMON 58440W105 3267 297000 SH SOLE 297000 0 0
MERIX CORP COMMON 590049102 13082 201850 SH SOLE 201850 0 0
METHODE ELECTRS INC CL A 591520200 30150 680400 SH SOLE 621000 0 59400
MICRO COMPONENT TECHNOLO COMMON 59479Q100 8725 1090600 SH SOLE 1090600 0 0
MICROSEMI CORP COMMON 595137100 27134 711700 SH SOLE 711700 0 0
MODTECH HLDGS INC COMMON 60783C100 14541 1472500 SH SOLE 1472500 0 0
NEOPHARM INC COMMON 640919106 21697 549300 SH SOLE 549300 0 0
NETOPIA INC COMMON 64114K104 20431 1857400 SH SOLE 1811700 0 45700
NEW ERA OF NETWORKS INC COMMON 644312100 26600 1093400 SH SOLE 1000600 0 92800
NEWPARK RES INC COM PAR $.01NEW 651718504 10330 1116800 SH SOLE 1116800 0 0
NORTHERN TECH INTL CORP COMMON 665809109 3941 563000 SH SOLE 563000 0 0
NOVADIGM INC COMMON 669937104 8671 560000 SH SOLE 560000 0 0
NUCENTRIX BROADBAND NETW COMMON 670198100 22878 892800 SH SOLE 892800 0 0
OPTIMARK TECHNOLOGIES B CV PFD 683990204 25 50000 SH SOLE 50000 0 0
OPTIMARK TECHNOLOGIES INC 683994107 50 100000 SH SOLE 100000 0 0
OSHKOSH TRUCK CORP COMMON 688239201 15868 409500 SH SOLE 409500 0 0
OXFORD HEALTH PLANS INC COMMON 691471106 29437 957800 SH SOLE 874200 0 83600
PC-TEL INC COMMON 69325Q105 29311 1260700 SH SOLE 1223500 0 37200
PRI AUTOMATION INC COMMON 69357H106 3530 193400 SH SOLE 177000 0 16400
PACIFIC SUNWEAR CALIF IN COMMON 694873100 4688 250000 SH SOLE 250000 0 0
PARLEX CORP COMMON 701630105 13561 818800 SH SOLE 818800 0 0
PEREGRINE SYSTEMS INC COMMON 71366Q101 2856 150800 SH SOLE 123900 0 26900
PRIMUS KNOWLEDGE SOLUTIO COMMON 74163Q100 17516 1182500 SH SOLE 1152700 0 29800
PRINCETON VIDEO IMAGE IN COMMON 742476104 3301 656100 SH SOLE 656100 0 0
PUMA TECHNOLOGY INC COMMON 745887109 30988 1525560 SH SOLE 1469760 0 55800
RMH TELESERVICES INC COMMON 749938106 803 50000 SH SOLE 50000 0 0
RENT A CTR INC NEW COMMON 76009N100 8772 252900 SH SOLE 231500 0 21400
RENT WAY INC COMMON 76009U104 56823 1870700 SH SOLE 1803200 0 67500
REPEATER TECHNOLOGIES IN COMMON 76027U102 10079 857800 SH SOLE 857800 0 0
RIMAGE CORP COMMON 766721104 6994 373000 SH SOLE 373000 0 0
SCC COMMUNICATIONS CORP COMMON 78388X105 595 79300 SH SOLE 79300 0 0
SANCHEZ COMPUTER ASSOCS COMMON 799702105 11555 745500 SH SOLE 682300 0 63200
SERVICEWARE TECHNOLOGIES COMMON 81763Q109 3319 450000 SH SOLE 369300 0 80700
SHUFFLE MASTER INC COMMON 825549108 6768 348200 SH SOLE 348200 0 0
SMARTFORCE PUB LTD CO DEP RECEI 83170A206 34693 732300 SH SOLE 667300 0 65000
SONOSITE INC COMMON 83568G104 4309 230600 SH SOLE 230600 0 0
SPECTRA-PHYSICS LASERS I COMMON 847568102 31409 586400 SH SOLE 586400 0 0
SPECTRUM CTL INC COMMON 847615101 23000 1431900 SH SOLE 1431900 0 0
SPEEDWAY MOTORSPORTS INC COMMON 847788106 8618 414100 SH SOLE 376900 0 37200
STEIN MART INC COMMON 858375108 3268 302200 SH SOLE 302200 0 0
SUNRISE ASSISTED LIVING COMMON 86768K106 11258 519100 SH SOLE 472600 0 46500
SYNTROLEUM CORP COMMON 871630109 10868 533400 SH SOLE 485800 0 47600
TAKE-TWO INTERACTIVE SOF COMMON 874054109 6727 535500 SH SOLE 535500 0 0
TELETECH HOLDINGS INC COMMON 879939106 76918 3107800 SH SOLE 2971500 0 136300
TRIKON TECHNOLOGIES INC COM NEW 896187408 3852 272700 SH SOLE 272700 0 0
UTI ENERGY CORP COMMON 903387108 7091 158900 SH SOLE 158900 0 0
UNIVERSAL ELECTRS INC COMMON 913483103 3144 130000 SH SOLE 130000 0 0
VALUEVISION INTL INC CL A 92047K107 3530 140500 SH SOLE 127600 0 12900
VARIAN SEMICONDUCTOR EQU COMMON 922207105 16959 453000 SH SOLE 412600 0 40400
VENATOR GROUP INC COMMON 922944103 22258 1798600 SH SOLE 1645700 0 152900
VERISIGN INC COMMON 92343E102 20195 99700 SH SOLE 95400 0 4300
VITAL IMAGES INC COMMON 92846N104 470 88500 SH SOLE 88500 0 0
WEBSENSE INC COMMON 947684106 2815 118200 SH SOLE 97900 0 20300
ZYGO CORP COMMON 989855101 100407 1154100 SH SOLE 1113300 0 40800
RIT TECHNOLOGIES LTD ORD M8215N109 7616 721000 SH SOLE 721000 0 0
TEFRON LTD ORD M87482101 3865 327200 SH SOLE 327200 0 0
VOCALTEC COMMUNICATIONS ORD M97601104 2516 250000 SH SOLE 250000 0 0
</TABLE>
