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, 1999
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Check here if Amendment [ ]; Amendment Number:
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This Amendment (Check only one.): [ ] is a restatement.
[ ] adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: DCF Capital, L.L.C.
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Address: 660 Steamboat Road
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Greenwich, Connecticut 06830
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Form 13F File Number: 28-7546
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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: Douglas C. Floren
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Title: Managing Member
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Phone: (203) 618-1601
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Signature, Place, and Date of Signing:
/s/ Douglas C. Floren Greenwich, Connecticut 11/15/99
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[Signature] [City, State] [Date]
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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).)
List of Other Managers Reporting for this Manager:
NONE
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Form 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 0
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Form 13F Information Table Entry Total: 44
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Form 13F Information Table Value Total: 248,066
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(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
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Form 13F INFORMATION TABLE
<C> <C> <C> <C> <C> <C> <C> <C>
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8
- --------------------------------- -------------- --------- -------- ----------------- ---------- -------- --------------------------
VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE
- --------------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- -------- -------- --------
Abgenix Inc Common Stock 00339B107 4,350 111,000 SH sole 111,000
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Advanced Neuromodulation Sys Common Stock 00757T101 3,560 431,500 SH sole 431,500
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Alkermes Inc Common Stock 01642T108 5,474 190,000 SH sole 190,000
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Amgen Inc Common Stock 031162100 5,501 67,500 SH sole 67,500
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Arthrocare Corp Common Stock 043136100 4,425 81,000 SH sole 81,000
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Astrazeneca PLC Sponsored ADR 046353108 13,402 317,200 SH sole 317,200
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Aurora Biosciences Corp Common Stock 051920106 1,499 110,000 SH sole 110,000
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Biochem Pharma Inc Common Stock 09058T108 2,992 125,000 SH sole 125,000
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Biochem Pharma Inc Common Stock 09058T9AD 200 400 SH CALL sole 400
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Biocryst Pharmaceuticals Common Stock 09058V103 2,437 100,500 SH sole 100,500
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Biotime Inc Common Stock 09066L105 2,382 262,879 SH sole 262,879
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Centocor Inc Common Stock 152342101 8,239 140,680 SH sole 140,680
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Cubist Pharmaceuticals Inc Common Stock 229678107 3,267 381,500 SH sole 381,500
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Endosonics Corp Common Stock 29264K105 4,895 575,900 SH sole 575,900
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Enzon Inc Common Stock 293904108 49,273 1,615,500 SH sole 1,615,500
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Gilead Sciences Inc Common Stock 375558103 5,007 78,000 SH sole 78,000
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Gilead Sciences Inc Common Stock 3755589WM 511 670 SH PUT sole 670
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Idec Pharmaceuticals Corp Common Stock 449370105 9,093 96,700 SH sole 96,700
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Idec Pharmaceuticals Corp Common Stock 4493709WS 594 500 SH PUT sole 594
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Invitrogen Corp Common Stock 46185R100 7,162 213,000 SH sole 213,000
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Johnson & Johnson Common Stock 478160104 919 10,000 SH sole 10,000
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King Pharmaceuticals Inc Common Stock 495582108 1,925 55,000 SH sole 55,000
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LJL Biosystems Inc Common Stock 501873103 1,599 482,600 SH sole 482,600
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Lilly Eli & Co Common Stock 532457108 4,355 67,844 SH sole 67,844
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Medimmune Inc Common Stock 584699102 15,626 156,800 SH sole 156,800
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Medtronic Inc Common Stock 585055106 3,450 97,000 SH sole 97,000
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Millennium Pharmaceuticals Inc Common Stock 599902103 3,250 50,000 SH sole 50,000
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PE Corp Com PE Bio Grp 69332S102 14,060 194,600 SH sole 194,600
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PE Corp Celera Gen Grp 69332S201 7,295 181,250 SH sole 181,250
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Pharmacia & Upjohn Inc Common Stock 716941109 6,717 135,352 SH sole 135,352
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QLT Phototherapeutics Inc Common Stock 746927102 2,942 38,500 SH sole 38,500
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Ribozyme Pharmaceuticals Inc Common Stock 762567105 50 10,000 SH sole 10,000
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St Jude Med Inc Common Stock 790849103 2,048 65,000 SH sole 65,000
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Sepracor Inc Common Stock 817315104 7,512 99,500 SH sole 99,500
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Strategic Diagnostics Inc Common Stock 862700101 4,359 481,000 SH sole 481,000
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Thoratec Labs Corp Common Stock 885175307 351 46,000 SH sole 46,000
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Transkaryotic Therapies Inc Common Stock 893735100 1,942 37,800 SH sole 37,800
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U S Bioscience Inc Common Stock 911646206 9,386 658,700 SH sole 658,700
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U S Bioscience Inc Common Stock 9116469CB 365 800 SH CALL sole 800
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Valentis Inc Common Stock 91913E104 2,486 490,998 SH sole 490,998
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Visible Genetics Inc Common Stock 92829S104 14,409 768,500 SH sole 768,500
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Waters Corp Common Stock 941848103 7,328 121,000 SH sole 121,000
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Xoma Ltd ORD G9825R107 1,216 414,100 SH sole 414,100
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Xomed Surgical Prods Inc Common Stock 98412V107 213 3,750 SH sole 3,750
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