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Previous: FACTUAL DATA CORP, 8-K, 1999-10-15 |
Next: PC TEL INC, S-1/A, 1999-10-15 |
INFORMATION REQUIRED OF INSTITUTIONAL INVESTMENT
MANAGERS PURSUANT TO SECTION 13(F) OF THE SECURITIES
EXCHANGE ACT OF 1934 AND RULES THEREUNDER
Securities and Exchange Commission
Washington, D.C. 20549
Adopted in Release No. 34-14852, June 15, 1978, 43 F.R. 26705;
amended in Release No. 34-15467, effective February 5, 1979, 44 F.R. - 3033
Report as at September 30, 1999
(Please read instructions before preparing form)
If amended report check here:
Name of Institutional Investment Manager:
Innovest Capital Management
Business Address:
Street: One State Street City: New York State: New York Zip: 10004
---------------- -------- -------- -----
William Yost (212) 858-2402, Chief Investment Officer
- -----------------------------------------------------
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 New York and State of New York on the 30th day of
September, 1999.
/s/ William R. Yost
-----------------------------------
Innovest Capital Management
Name and 13F file numbers of All Institutional Investment Managers with respect
to which this schedule is filed (other than the one filing this report) (List in
alphabetical order).
Name 13F File No.
1_____________________________ __________________
2_____________________________ __________________
3_____________________________ __________________
4_____________________________ __________________
5_____________________________ __________________
6_____________________________ __________________
7_____________________________ __________________
8_____________________________ __________________
9_____________________________ __________________
10____________________________ __________________
11____________________________ __________________
12____________________________ __________________
13____________________________ __________________
14____________________________ __________________
<PAGE>
Innovest Capital Management, Inc.
FORM 13F
September 30, 1999
<TABLE>
<CAPTION>
Voting
Authority
Title of Value Shares/ Sh/ Put/ Invstmt Other ----------------------
Name of Issuer class CUSIP (x$1000) Prn Amt Prn Call Dscretn Managers Sole Shared None
- -------------- ----- ----- -------- ------- --- ---- ------- -------- ---- ------ ----
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
ACCLAIM ENTMT INC COM
PAR $0.0 Com 004325205 1020 134300 SH Sole 134300
47 6200 SH Defined 6200
ACTION PERFORMANCE COS Com 004933107 234 11100 SH Sole 11100
70 3300 SH Defined 3300
ADVO INC Com 007585102 1105 55400 SH Sole 55400
183 9200 SH Defined 9200
AETNA INC COM Com 008117103 1167 23700 SH Sole 23700
167 3400 SH Defined 3400
AGRIBRANDS INTERNATIONAL Com 00849R105 1464 29500 SH Sole 29500
263 5300 SH Defined 5300
ALPHARMA INC CL A Com 020813101 1116 31600 SH Sole 31600
155 4400 SH Defined 4400
AMERICA WEST HLDG CORP CL B Com 023657208 772 44600 SH Sole 44600
35 2000 SH Defined 2000
AMERICAN MGMT SYS INC COM Com 027352103 616 24000 SH Sole 24000
151 5900 SH Defined 5900
AMERICREDIT CORP Com 03060R101 940 62900 SH Sole 62900
52 3500 SH Defined 3500
AMERISOURCE HEALTH CP CL A Com 03071P102 2312 97600 SH Sole 97600
258 10900 SH Defined 10900
AMES DEPT STORES INC Com 030789507 210 6600 SH Sole 6600
AMSOUTH BANCORPORATION Com 032165102 305 13000 SH Sole 13000
AON CORP Com 037389103 674 22800 SH Sole 22800
35 1200 SH Defined 1200
ARCADIA FINL LTD COM Com 039101100 79 18400 SH Defined 18400
ARGOSY GAMING CO COM Com 040228108 258 19500 SH Sole 19500
37 2800 SH Defined 2800
ARVIN INDS INC Com 043339100 1822 58900 SH Sole 58900
294 9500 SH Defined 9500
ASTEC INDS INC COM Com 046224101 227 9400 SH Sole 9400
ASTORIA FINL CORP COM Com 046265104 612 19900 SH Sole 19900
145 4700 SH Defined 4700
AVIS RENT A CAR INC COM Com 053790101 1417 67900 SH Sole 67900
42 2000 SH Defined 2000
AZTAR CORP COM Com 054802103 1354 132100 SH Sole 132100
151 14700 SH Defined 14700
BEAR STEARNS COS INC Com 073902108 1803 46915 SH Sole 46915
219 5700 SH Defined 5700
BINDLEY WESTN INDS INC COM Com 090324104 269 18799 SH Sole 18799
156 10900 SH Defined 10900
BLOCK H & R INC Com 093671105 1568 36100 SH Sole 36100
BOISE CASCADE CORP COM Com 097383103 2044 56100 SH Sole 56100
171 4700 SH Defined 4700
BORG-WARNER AUTOMOTIVE COM Com 099724106 469 10900 SH Sole 10900
39 900 SH Defined 900
CALLAWAY GOLF CO COM Com 131193104 173 14200 SH Sole 14200
CATALINA MARKETING CP COM Com 148867104 297 3500 SH Sole 3500
CDW COMPUTER CTRS INC Com 125129106 220 4500 SH Defined 4500
CELLSTAR CORP Com 150925105 1359 181200 SH Sole 181200
112 15000 SH Defined 15000
CENTEX CORP COM Com 152312104 163 5500 SH Sole 5500
127 4300 SH Defined 4300
CHARTER ONE FINL INC Com 160903100 255 11025 SH Sole 11025
CHECKPOINT SYS INC COM Com 162825103 118 12700 SH Defined 12700
CHEVRON CORPORATION COM Com 166751107 364 4100 SH Sole 4100
</TABLE>
1
<PAGE>
Innovest Capital Management, Inc.
FORM 13F
September 30, 1999
<TABLE>
<CAPTION>
Voting
Authority
Title of Value Shares/ Sh/ Put/ Invstmt Other ----------------------
Name of Issuer class CUSIP (x$1000) Prn Amt Prn Call Dscretn Managers Sole Shared None
- -------------- ----- ----- -------- ------- --- ---- ------- -------- ---- ------ ----
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
124 1400 SH Defined 1400
CK WITCO CORP COM Com 12562C108 1294 87000 SH Sole 87000
173 11600 SH Defined 11600
CLAIRE'S STORES INC COM Com 179584107 1130 68200 SH Sole 68200
96 5800 SH Defined 5800
CONECTIV INC COM Com 206829103 1448 73800 SH Sole 73800
296 15100 SH Defined 15100
CONSOLIDATED EDISON COM Com 209115104 207 5000 SH Sole 5000
CSG SYS INTL INC COM Com 126349109 258 9400 SH Sole 9400
CULLEN FROST BANKERS I Com 229899109 2357 94300 SH Sole 94300
282 11300 SH Defined 11300
CUMMINS ENGINE INC COM Com 231021106 1524 30600 SH Sole 30600
D R HORTON INC COM Com 23331A109 317 24500 SH Sole 24500
129 10000 SH Defined 10000
DARDEN RESTAURANTS INC COM Com 237194105 1671 85400 SH Sole 85400
229 11700 SH Defined 11700
DELPHI FINL GROUP INC Com 247131105 1003 33234 SH Sole 33234
37 1224 SH Defined 1224
DETROIT DIESEL CORP Com 250837101 699 37800 SH Sole 37800
DEXTER CORP Com 252165105 1295 34700 SH Sole 34700
75 2000 SH Defined 2000
DIME BANCORP INC NEW COM Com 25429Q102 213 12200 SH Sole 12200
93 5300 SH Defined 5300
DTE ENERGY CO COM Com 233331107 273 7500 SH Sole 7500
DURA PHARMACEUTICALS I Com 26632S109 1706 122400 SH Sole 122400
217 15600 SH Defined 15600
EARTHGRAINS CO COM Com 270319106 841 38000 SH Sole 38000
195 8800 SH Defined 8800
EDISON INTL COM Com 281020107 1347 55400 SH Sole 55400
139 5700 SH Defined 5700
EL PASO ENERGY CP DEL COM Com 283905107 950 23600 SH Sole 23600
44 1100 SH Defined 1100
ELECTRONIC DATA SYS NW COM Com 285661104 2472 46700 SH Sole 46700
349 6600 SH Defined 6600
ENERGY EAST CORP COM Com 29266M109 1323 55700 SH Sole 55700
50 2100 SH Defined 2100
ENGELHARD CORP COM Com 292845104 1121 61400 SH Sole 61400
51 2800 SH Defined 2800
F Y I INC COM Com 302712104 1007 29900 SH Sole 29900
FERRO CORP COM Com 315405100 927 43500 SH Sole 43500
FIDELITY NATL FINL INC COM Com 316326107 24 1600 SH Sole 1600
141 9300 SH Defined 9300
FIFTH THIRD BANCORP Com 316773100 335 5500 SH Sole 5500
FINANCIAL SEC ASSURN H Com 31769P100 248 4800 SH Sole 4800
FIRST AMERN FINL CORP Com 318522307 1006 75200 SH Sole 75200
53 4000 SH Defined 4000
FIRST DATA CORP COM Com 319963104 1356 30900 SH Sole 30900
162 3700 SH Defined 3700
FOREST OIL CORP Com 346091606 206 12100 SH Sole 12100
FRONTIER INS GRP NEW COM Com 359081106 121 13800 SH Sole 13800
GEORGIA PAC CORP COM GA
PAC GR Com 373298108 259 6400 SH Sole 6400
162 4000 SH Defined 4000
GRACE W R & CO DEL NEW COM Com 38388F108 1061 64800 SH Sole 64800
</TABLE>
2
<PAGE>
Innovest Capital Management, Inc.
FORM 13F
September 30, 1999
<TABLE>
<CAPTION>
Voting
Authority
Title of Value Shares/ Sh/ Put/ Invstmt Other ----------------------
Name of Issuer class CUSIP (x$1000) Prn Amt Prn Call Dscretn Managers Sole Shared None
- -------------- ----- ----- -------- ------- --- ---- ------- -------- ---- ------ ----
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
241 14700 SH Defined 14700
GREATER BAY BANCORP COM Com 391648102 539 15900 SH Sole 15900
166 4900 SH Defined 4900
GREENPOINT FINL CORP COM Com 395384100 1344 50600 SH Sole 50600
122 4600 SH Defined 4600
HAMILTON BANCORP FLA COM Com 407013101 1069 50300 SH Sole 50300
172 8100 SH Defined 8100
HANDLEMAN CO DEL COM Com 410252100 333 25100 SH Sole 25100
HERTZ CORP CL A Com 428040109 1773 40300 SH Sole 40300
290 6600 SH Defined 6600
IBP INC COM Com 449223106 407 16500 SH Sole 16500
INTERIM SVCS INC COM Com 45868P100 1099 67100 SH Sole 67100
196 12000 SH Defined 12000
INTL HOME FOODS INC COM Com 459655106 1213 69300 SH Sole 69300
140 8000 SH Defined 8000
IVEX PACKAGING CP DEL COM Com 465855104 209 20900 SH Sole 20900
JLG INDS INC Com 466210101 184 12100 SH Sole 12100
JONES PHARMA INC Com 480236108 1250 37900 SH Sole 37900
K-SWISS INC CL A Com 482686102 1004 31800 SH Sole 31800
136 4300 SH Defined 4300
LABOR READY INC COM NEW Com 505401208 126 12500 SH Sole 12500
LACLEDE GAS CO COM Com 505588103 257 11300 SH Sole 11300
52 2300 SH Defined 2300
LANDSTAR SYS INC COM Com 515098101 1553 44700 SH Sole 44700
268 7700 SH Defined 7700
LEHMAN BROS HLDGS INC COM Com 524908100 1547 26500 SH Sole 26500
134 2300 SH Defined 2300
LEXMARK INTL GROUP INC Com 529771107 258 3200 SH Sole 3200
LIBBEY INC Com 529898108 825 27900 SH Sole 27900
LONGS DRUG STORES CORP COM Com 543162101 1285 43000 SH Sole 43000
42 1400 SH Defined 1400
LOUISIANA PAC CORP Com 546347105 1428 91400 SH Sole 91400
155 9900 SH Defined 9900
MALLINCKRODT INC NEW COM Com 561232109 1434 47500 SH Sole 47500
166 5500 SH Defined 5500
MAXIMUS INC COM Com 577933104 1183 39500 SH Sole 39500
MERITOR AUTOMOTIVE INC COM Com 59000G100 205 9800 SH Defined 9800
MESABA HLDGS INC COM Com 59066B102 121 10300 SH Sole 10300
MICRO WHSE INC Com 59501B105 351 29100 SH Sole 29100
127 10500 SH Defined 10500
MOHAWK INDS INC COM Com 608190104 891 44700 SH Sole 44700
36 1800 SH Defined 1800
MORGAN STAN DEAN WITTR
COM NEW Com 617446448 678 7600 SH Sole 7600
MOTIVEPOWER INDS INC COM Com 61980K101 218 19800 SH Sole 19800
MUSICLAND STORES CORP COM Com 62758B109 303 34100 SH Sole 34100
75 8500 SH Defined 8500
NATIONWIDE FINL SVCS CL A Com 638612101 205 5800 SH Sole 5800
NEW CENTURY FINANCIAL Com 64352D101 1264 71700 SH Sole 71700
157 8900 SH Defined 8900
NORTHERN BORDER PARTNR
UNIT LT Com 664785102 287 9900 SH Sole 9900
NORTHWESTERN CORP COM Com 668074107 969 42600 SH Sole 42600
132 5800 SH Defined 5800
OLD KENT FINL CORP COM Com 679833103 223 6000 SH Sole 6000
ORBOTECH LTD ORD Com M75253100 1114 18000 SH Sole 18000
OREGON STL MLS INC COM Com 686079104 1615 144400 SH Sole 144400
51 4600 SH Defined 4600
OWENS CORNING COM Com 69073F103 1401 64600 SH Sole 64600
</TABLE>
3
<PAGE>
Innovest Capital Management, Inc.
FORM 13F
September 30, 1999
<TABLE>
<CAPTION>
Voting
Authority
Title of Value Shares/ Sh/ Put/ Invstmt Other ----------------------
Name of Issuer class CUSIP (x$1000) Prn Amt Prn Call Dscretn Managers Sole Shared None
- -------------- ----- ----- -------- ------- --- ---- ------- -------- ---- ------ ----
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
187 8600 SH Defined 8600
OXFORD HEALTH PLANS COM Com 691471106 125 10000 SH Sole 10000
PACCAR INC COM Com 693718108 1226 24100 SH Sole 24100
PACIFIC GATEWAY EXCH COM Com 694327107 1549 94600 SH Sole 94600
177 10800 SH Defined 10800
PACIFICARE HLT SYS DEL COM Com 695112102 1669 38600 SH Sole 38600
156 3600 SH Defined 3600
PAPA JOHNS INTL INC COM Com 698813102 412 10000 SH Sole 10000
157 3800 SH Defined 3800
PATTERSON DENTAL CO Com 703412106 45 900 SH Sole 900
169 3400 SH Defined 3400
PATTERSON ENERGY INC COM Com 703414102 225 14800 SH Sole 14800
PEP BOYS MANNY MOE & J Com 713278109 744 50000 SH Sole 50000
PIONEER NAT RES CO Com 723787107 184 17300 SH Sole 17300
PIXAR COM Com 725811103 944 25100 SH Sole 25100
188 5000 SH Defined 5000
PUBLIC SVC ENTERPRISE COM Com 744573106 394 10200 SH Sole 10200
PULTE CORP COM Com 745867101 268 12300 SH Sole 12300
QUAKER OATS CO COM Com 747402105 340 5500 SH Sole 5500
QUIKSILVER INC COM Com 74838C106 182 10000 SH Sole 10000
RYERSON TULL INC NEW COM Com 78375P107 1346 58200 SH Sole 58200
SCHULMAN A INC COM Com 808194104 938 54200 SH Sole 54200
SCI SYS INC Com 783890106 1280 28800 SH Sole 28800
156 3500 SH Defined 3500
SEACOR SMIT INC Com 811904101 1327 25900 SH Sole 25900
41 800 SH Defined 800
SKYWEST INC COM Com 830879102 217 9900 SH Sole 9900
SMITHFIELD FOODS INC Com 832248108 490 18300 SH Sole 18300
SOLUTIA INC COM Com 834376105 202 11300 SH Defined 11300
SONIC AUTOMOTIVE INC CL A Com 83545G102 186 14300 SH Sole 14300
SOUTH JERSEY INDS INC COM Com 838518108 372 14100 SH Sole 14100
STEWART ENTERPRISES CL A Com 860370105 152 25000 SH Sole 25000
STEWART INFORMATN SVCS COM Com 860372101 923 50400 SH Sole 50400
231 12600 SH Defined 12600
SUPERVALU INC COM Com 868536103 2535 114900 SH Sole 114900
TECUMSEH PRODS CO CL A Com 878895200 246 4900 SH Sole 4900
140 2800 SH Defined 2800
TEL-SAVE HLDGS INC COM Com 879176105 1728 133900 SH Sole 133900
283 21900 SH Defined 21900
TEREX CORP NEW Com 880779103 1676 53200 SH Sole 53200
50 1600 SH Defined 1600
TJX COS INC NEW COM Com 872540109 1111 39600 SH Sole 39600
TOYS R US INC COM Com 892335100 1075 71700 SH Sole 71700
TRITON ENERGY LTD Com G90751101 1410 100300 SH Sole 100300
115 8200 SH Defined 8200
TUPPERWARE CORP COM Com 899896104 1594 78700 SH Sole 78700
298 14700 SH Defined 14700
UNIONBANCAL CORP COM Com 908906100 2226 61400 SH Sole 61400
250 6900 SH Defined 6900
UNISYS CORP COM Com 909214108 1056 23400 SH Sole 23400
144 3200 SH Defined 3200
US ONCOLOGY INC COM Com 90338W103 883 97400 SH Sole 97400
USWEB CORP COM Com 917327108 1448 42200 SH Sole 42200
93 2700 SH Defined 2700
WALLACE COMPUTER SVCS COM Com 932270101 605 29900 SH Sole 29900
</TABLE>
4
<PAGE>
Innovest Capital Management, Inc.
FORM 13F
September 30, 1999
<TABLE>
<CAPTION>
Voting
Authority
Title of Value Shares/ Sh/ Put/ Invstmt Other ----------------------
Name of Issuer class CUSIP (x$1000) Prn Amt Prn Call Dscretn Managers Sole Shared None
- -------------- ----- ----- -------- ------- --- ---- ------- -------- ---- ------ ----
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
WEBSTER FINL CORP CONN COM Com 947890109 954 37400 SH Sole 37400
59 2300 SH Defined 2300
WHIRLPOOL CORP COM Com 963320106 731 11200 SH Sole 11200
WORLD ACCESS INC Com 98141A101 955 85400 SH Sole 85400
76 6800 SH Defined 6800
YORK INTL CORP NEW COM Com 986670107 543 15100 SH Sole 15100
101 2800 SH Defined 2800
ZALE CORP NEW COM Com 988858106 437 11400 SH Sole 11400
73 1900 SH Defined 1900
ZIONS BANCORPORATION COM Com 989701107 226 4100 SH Sole 4100
REPORT SUMMARY 230 DATA RECORDS 136154 0 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED
5
</TABLE>
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