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Previous: CONVERGE GLOBAL INC/CA, 10QSB, 1999-11-29 |
Next: SALOMON BROTHERS MRT SEC VII INC MRT PS THR CERT 1999-2, 8-K, 1999-11-29 |
<PAGE> 1
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
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: Tupelo Capital Management, L.L.C.
Address: 12 East 49th Street
New York, New York 10017
Form 13F File Number: 28-
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 the required items, statements,
schedules, lists, and tables, are considered integral parts of this form.
Person Signing this Report on Behalf of Reporting Manager:
Name: LuLu C. Wang
Title: Principal
Phone: 212-755-3700
Signature, Place and Date of Signing:
<TABLE>
<S> <C> <C>
/s/ LULU C. WANG New York, New York November 29, 1999
[Signature] [City, State] [Date]
</TABLE>
<PAGE> 2
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 holding 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:
[If there are no entries in this list, omit this section.]
Form 13F File Number Name
28- ________________ Tupelo Capital Services, L.L.C.
[Repeat as necessary.]
<PAGE> 3
Form 13F SUMMARY PAGE
Report summary:
Number of Other Included Managers: 0
---------------------------
Form 13F Information Table Entry Total: 121
---------------------------
Form 13F Information Table Value Total: $ 554,094
---------------------------
(thousands)
CONFIDENTIAL INFORMATION HAS BEEN OMITTED FROM THE PUBLIC FORM 13F REPORT AND
FILED SEPARATELY WITH THE COMMISSION.
List of Other Included Managers:
Provide a number 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.
[If there are not entries in this list, state "NONE" and omit the column
headings and list entries.]
<TABLE>
<CAPTION>
No. Form 13F File Number Name
--- -------------------- ----
<S> <C> <C>
</TABLE>
[Repeat as necessary.]
<PAGE> 4
FORM 13F
REPORTING MANAGER: TUPELO CAPITAL MANAGEMENT, L.L.C.
PERIOD ENDED: SEPTEMBER 30, 1999
<TABLE>
<CAPTION>
Item 1: Item 2: Item 3: Item 4: Item 5:
SEDOL/
CUSIP Fair SHARES SH PUT/
Name of Issuer Title of Class Number Market Value PRN Amount PRN CALL
- -------------- -------------- ------------- ------------ -----------------------------
<S> <C> <C> <C> <C> <C> <C>
ALLIEDSIGNAL COM 19512102 $ 5,388,381 89,900 SH
ALTERA CORP COM 21441100 $ 3,908,088 90,100 SH
ALUMINUM CO.OF AMERICA COM 022249106 $ 5,281,519 85,100 SH
AMERICA ONLINE INC DEL COM 02364J104 $ 6,524,719 62,700 SH
AMGEN INC COM 031162100 $ 5,762,050 70,700 SH
APEX SILVER MINES LTD COM 2121556 $ 2,245,575 151,600 SH
APPLE COMPUTER INC COM 037833100 $ 5,444,875 86,000 SH
APPLIED MATERIALS INC COM 038222105 $ 4,300,003 55,350 SH
BANCO SANTANDER CEN COM 5705946 $ 5,218,634 503,700 SH
CBS CORPORATION COM 12490K107 $ 5,341,875 115,500 SH
CISCO SYSTEMS, INC. COM 17275R102 $ 7,329,331 106,900 SH
CLEAR CHANNEL COMMUNICATIONS COM 184502102 $ 5,175,900 64,800 SH
CNET INC. COM 125945105 $ 5,219,200 93,200 SH
COLGATE-PALMOLIVE CO COM 194162103 $ 3,724,050 81,400 SH
COLT TELECOM GROUP-SPONS ADR ADR 196877104 $ 7,170,625 74,500 SH
CONOCO INC-CL A COM 208251306 $ 6,018,975 216,900 SH
DANAHER COM 235851102 $ 3,998,981 75,900 SH
DEVELOPMENT BANK OF SINGAPORE COM 6265513 $10,528,219 941,449 SH
DIGITAL INSIGHT COM 25385P106 $ 15,000 1,000 SH
DOUBLECLICK, INC. COM 258609304 $ 7,552,525 63,400 SH
EBAY INC COM 278642103 $ 4,457,575 31,600 SH
EXODUS COMMUNICATIONS COM 302088109 $ 7,955,700 110,400 SH
GEMSTAR INTL GROUP LTD COM 2363187 $ 7,632,813 97,700 SH
GENENTECH INC. COM 368710307 $11,792,788 80,600 SH
GENERAL ELECTRIC COM 369604103 $ 5,987,406 50,500 SH
HUTCHISON WHAMPOA COM 6448068 $13,311,734 1,431,200 SH
INGERSOLL-RAND COM 456866102 $ 6,136,519 111,700 SH
INTEL CORP COM 458140100 $ 4,391,869 59,100 SH
INTERNATIONAL BUSINESS MACHS COM 459200101 $ 5,662,800 46,800 SH
JOHNSON ELECTRIC HLDGS COM 6126331 $15,307,308 3,154,000 SH
KAO CORPORATION COM 6483809 $12,476,816 441,000 SH
KIRIN BREWERY CO LTD COM 6870445 $13,985,561 1,167,000 SH
KOHL'S CORP (WISCONSIN) COM 500255104 $ 3,498,013 52,900 SH
KOKUSAI SECURITIES CO LTD COM 6496186 $ 9,369,657 639,000 SH
KOMERI CO LTD COM 6496250 $ 9,075,667 239,000 SH
LEXMARK INTERNATIONAL GROUP COM 529771107 $ 4,846,100 60,200 SH
</TABLE>
<TABLE>
<CAPTION>
Item 1: Item 6: Item 7: Item 8:
Investment Discretion Voting Authority
(b) Shared (c) Shared (b) Shared
Name of Issuer (a) Sole As Defined Other Manager (a) Sole As Defined (c) None
- -------------- ------------------------------ ------ -----------------------------------
<S> <C> <C> <C> <C> <C> <C> <C>
ALLIEDSIGNAL X 1 89,900
ALTERA CORP X 1 90,100
ALUMINUM CO.OF AMERICA X 1 85,100
AMERICA ONLINE INC DEL X 1 62,700
AMGEN INC X 1 70,700
APEX SILVER MINES LTD X 1 151,600
APPLE COMPUTER INC X 1 86,000
APPLIED MATERIALS INC X 1 55,350
BANCO SANTANDER CEN X 1 503,700
CBS CORPORATION X 1 115,500
CISCO SYSTEMS, INC. X 1 106,900
CLEAR CHANNEL COMMUNICATIONS X 1 64,800
CNET INC. X 1 93,200
COLGATE-PALMOLIVE CO X 1 81,400
COLT TELECOM GROUP-SPONS ADR X 1 74,500
CONOCO INC-CL A X 1 216,900
DANAHER X 1 75,900
DEVELOPMENT BANK OF SINGAPORE X 1 941,449
DIGITAL INSIGHT X 1 1,000
DOUBLECLICK, INC. X 1 63,400
EBAY INC X 1 31,600
EXODUS COMMUNICATIONS X 1 110,400
GEMSTAR INTL GROUP LTD X 1 97,700
GENENTECH INC. X 1 80,600
GENERAL ELECTRIC X 1 50,500
HUTCHISON WHAMPOA X 1 1,431,200
INGERSOLL-RAND X 1 111,700
INTEL CORP X 1 59,100
INTERNATIONAL BUSINESS MACHS X 1 46,800
JOHNSON ELECTRIC HLDGS X 1 3,154,000
KAO CORPORATION X 1 441,000
KIRIN BREWERY CO LTD X 1 1,167,000
KOHL'S CORP (WISCONSIN) X 1 52,900
KOKUSAI SECURITIES CO LTD X 1 639,000
KOMERI CO LTD X 1 239,000
LEXMARK INTERNATIONAL GROUP X 1 60,200
</TABLE>
<PAGE> 5
<TABLE>
<S> <C> <C> <C> <C> <C> <C>
MEAD CORP COM 582834107 $ 4,699,063 136,700 SH
MICRON TECHNOLOGY INC COM 595112103 $ 1,662,500 25,000 SH
MICROSOFT CORP. COM 594918104 $ 5,660,156 62,500 SH
MINNESOTA MINING & MFG CO COM 604059105 $ 4,582,181 47,700 SH
MOTOROLA INC. COM 620076109 $ 6,124,800 69,600 SH
NABORS INDUSTRIES INC. COM 629568106 $ 6,472,500 258,900 SH
NEXTEL COMMUNICATIONS CL A COM 65332V103 $ 4,516,313 66,600 SH
NEXTLINK COM 65333H707 $ 4,816,289 92,900 SH
NIHON UNISYS COM 6642688 $13,143,135 354,000 SH
NIKKO SECURITIES COM 6640284 $15,692,187 1,855,000 SH
NOKIA CORP ADR 654902204 $ 6,345,175 70,600 SH
NOVELL INC. CL A 670008101 $ 4,425,056 213,900 SH
NTL INCORPORATED COM 629407107 $ 7,841,254 81,600 SH
NTT DOCOMO ADR 5548431 $16,233,181 164,600 SH
OMNICOM GROUP COM 681919106 $ 5,020,488 63,400 SH
PARKER HANNIFIN CORP COM 701094104 $ 4,203,413 93,800 SH
PERKIN-ELMER CORP COM 714041100 $ 4,479,500 62,000 SH
QUALCOMM INC COM 747525103 $ 4,502,663 23,800 SH
RED HAT INC. COM 756577102 $ 4,320,000 45,000 SH
SANMINA CORP COM 800907107 $ 3,365,813 43,500 SH
SCHLUMBERGER LTD COM 806857108 $ 5,084,700 81,600 SH
SERENA SOFTWARE INC. COM 817492101 $ 4,658,000 272,000 SH
SIEBEL SYSTEMS INC. COM 826170102 $ 4,930,250 74,000 SH
SMURFIT-STONE CONTAINER CORP COM 832727101 $ 6,305,850 291,600 SH
SOFTBANK CORP COM 6770620 $11,534,449 30,300 SH
SONY CORP-SPONSORED ADR ADR 835699307 $11,344,725 75,600 SH
SUN MICROSYSTEMS INC COM 866810104 $ 6,565,800 70,600 SH
SYMBOL TECHNOLOGIES COM 871508107 $ 4,024,913 119,700 SH
TAKEDA CHEMICAL INDUSTRIES COM 6870445 $11,890,208 220,000 SH
TANDY CORP COM 875382103 $ 6,135,306 118,700 SH
TERADYNE INC COM 880770102 $ 5,442,600 154,400 SH
TEXAS INSTRUMENTS INC. COM 882508104 $ 5,609,450 68,200 SH
TIFFANY & CO COM 886547108 $ 7,162,531 119,500 SH
TITAN PHARMACEUTICALS INC COM 888314101 $ 4,545,938 484,900 SH
TYCO INTERNATIONAL COM 902124106 $ 4,687,550 45,400 SH
UNI-CHARM CORPORATION COM 6911485 $ 5,451,508 90,200 SH
UNISYS CORPORATION COM 909214108 $ 5,699,288 126,300 SH
UNITED PAN-EUROPE COM ADR 9113002000 $ 7,887,300 129,300 SH
UNIVISION COMMUNICATIONS COM 914906102 $ 4,223,363 51,900 SH
VERITAS SOFTWARE COM 923436109 $ 4,814,438 63,400 SH
VISX INC. COM 828445105 $ 3,559,221 45,000 SH
VODAFONE GROUP PLC ADR 92857T107 $ 7,738,763 32,550 SH
WAL-MART STORES INC. COM 931142103 $ 4,038,056 84,900 SH
WILLIAMS-SONOMA INC COM 969904101 $ 2,913,750 60,000 SH
YAHOO! INC. COM 984332106 $ 5,385,000 30,000 SH
</TABLE>
<TABLE>
<S> <C> <C> <C> <C> <C> <C> <C>
MEAD CORP X 1 136,700
MICRON TECHNOLOGY INC X 1 25,000
MICROSOFT CORP. X 1 62,500
MINNESOTA MINING & MFG CO X 1 47,700
MOTOROLA INC. X 1 69,600
NABORS INDUSTRIES INC. X 1 258,900
NEXTEL COMMUNICATIONS CL A X 1 66,600
NEXTLINK X 1 92,900
NIHON UNISYS X 1 354,000
NIKKO SECURITIES X 1 1,855,000
NOKIA CORP X 1 70,600
NOVELL INC. X 1 213,900
NTL INCORPORATED X 1 81,600
NTT DOCOMO X 1 164,600
OMNICOM GROUP X 1 63,400
PARKER HANNIFIN CORP X 1 93,800
PERKIN-ELMER CORP X 1 62,000
QUALCOMM INC X 1 23,800
RED HAT INC. X 1 45,000
SANMINA CORP X 1 43,500
SCHLUMBERGER LTD X 1 81,600
SERENA SOFTWARE INC. X 1 272,000
SIEBEL SYSTEMS INC. X 1 74,000
SMURFIT-STONE CONTAINER CORP X 1 291,600
SOFTBANK CORP X 1 30,300
SONY CORP-SPONSORED ADR X 1 75,600
SUN MICROSYSTEMS INC X 1 70,600
SYMBOL TECHNOLOGIES X 1 119,700
TAKEDA CHEMICAL INDUSTRIES X 1 220,000
TANDY CORP X 1 118,700
TERADYNE INC X 1 154,400
TEXAS INSTRUMENTS INC. X 1 68,200
TIFFANY & CO X 1 119,500
TITAN PHARMACEUTICALS INC X 1 484,900
TYCO INTERNATIONAL X 1 45,400
UNI-CHARM CORPORATION X 1 90,200
UNISYS CORPORATION X 1 126,300
UNITED PAN-EUROPE COM X 1 129,300
UNIVISION COMMUNICATIONS X 1 51,900
VERITAS SOFTWARE X 1 63,400
VISX INC. X 1 45,000
VODAFONE GROUP PLC X 1 32,550
WAL-MART STORES INC. X 1 84,900
WILLIAMS-SONOMA INC X 1 60,000
YAHOO! INC. X 1 30,000
</TABLE>
<PAGE> 6
THE FOLLOWING OPTIONS LISTED WITH RESPECT
TO MANAGER ABOVE.
<TABLE>
<S> <C> <C> <C> <C> <C> <C>
ABERCROMBIE & FITCH COM 002896207 $ 1,068,750 3,000 ( p )
ANNTAYLOR COM 036115103 $ 187,500 1,000 ( p )
COUNTRYWIDE CREDIT COM 222372104 $ 666,094 3,045 ( p )
CONSECO COM 208464107 $ 665,625 1,500 ( p )
DOLLAR TREE STORES COM 256747106 $ 459,375 1,500 ( p )
JONES APPAREL GROUP COM 480074103 $ 1,325,000 2,000 ( p )
J.P MORGAN & CO. COM 616880100 $ 970,313 750 ( p )
PEPSICO COM 713448108 $ 503,125 1,750 ( p )
PROVIDIAN FINANCIAL COM 74406A102 $ 1,390,625 1,250 ( p )
STARBUCKS COM 855244109 $ 472,500 2,700 ( p )
TELEBANC FINANCIAL COM 87925R109 $ 1,251,250 2,600 ( p )
WASHINGTON MUTUAL COM 939322103 $ 287,500 1,000 ( p )
WASHINGTON MUTUAL COM 939322103 $ 2,118,750 3,000 ( p )
ALLTEL COM 020039103 $ 185,000 800 ( c )
SOTHEBY'S HOLDINGS COM 835898107 $ 19,375 1,550 ( c )
BOWNE & CO. COM 103043105 $ 187,500 3,000 ( c )
CARNIVAL COM 143658102 $ 162,414 1,575 ( c )
CENDANT COM 151313103 $ 50,000 1,000 ( c )
CENDANT COM 151313103 $ 330,480 2,250 ( c )
WALT DISNEY CO COM 254687106 $ 70,625 2,825 ( c )
ELECTRONIC DATA SYSTEM COM 285661104 $ 676,875 1,900 ( c )
R & B FLACON COM 74912E101 $ 1,062,500 5,000 ( c )
CORNING COM 219350105 $ 1,293,750 1,500 ( c )
HOME DEPOT COM 437076102 $ 318,750 1,000 ( c )
HAMBRECT & QUIST COM 406545103 $ 1,350,000 1,500 ( c )
HAMBRECT & QUIST COM 406545103 $ 450,000 500 ( c )
LEHMAN BROTHERS HOLDINGS COM 524908100 $ 1,737,500 2,000 ( c )
LUCENT COM 549463107 $ 881,875 850 ( c )
MATTEL COM 577081102 $ 218,750 1,750 ( c )
MGM GRAND COM 552953101 $ 987,500 2,000 ( c )
MONSANTO COM 611662107 $ 16,250 1,300 ( c )
SAP ADR 803054204 $ 656,250 2,500 ( c )
SHAW INDUSTRIES COM 820286102 $ 510,324 2,300 ( c )
SHAW INDUSTRIES COM 820286102 $ 150,000 1,600 ( c )
SCHLUMBERGER COM 806857108 $ 1,435,000 2,800 ( c )
STILLWATER MILLING COMPANY COM 8607Q102 $ 970,313 2,250 ( c )
VINTAGE PETROLEUM COM 927460105 $ 543,750 3,000 ( c )
WEATHERFORD INTERNATIONAL COM 947074100 $ 81,250 1,000 ( c )
WILLIAMS-SONOMA COM 969904101 $ 2,126,250 900 ( c )
YORK INTERNATIONAL COM 986670107 $ 328,125 2,500 ( c )
TAIWAN SEMICONDUCTOR ADR 874039100 $ 4,151,250 3,000 ( c )
</TABLE>
<TABLE>
<S> <C> <C> <C> <C> <C> <C> <C>
ABERCROMBIE & FITCH X 1 X
ANNTAYLOR X 1 X
COUNTRYWIDE CREDIT X 1 X
CONSECO X 1 X
DOLLAR TREE STORES X 1 X
JONES APPAREL GROUP X 1 X
J.P MORGAN & CO. X 1 X
PEPSICO X 1 X
PROVIDIAN FINANCIAL X 1 X
STARBUCKS X 1 X
TELEBANC FINANCIAL X 1 X
WASHINGTON MUTUAL X 1 X
WASHINGTON MUTUAL X 1 X
ALLTEL X 1
SOTHEBY'S HOLDINGS X 1
BOWNE & CO. X 1
CARNIVAL X 1
CENDANT X 1
CENDANT X 1
WALT DISNEY CO X 1
ELECTRONIC DATA SYSTEM X 1
R & B FLACON X 1
CORNING X 1
HOME DEPOT X 1
HAMBRECT & QUIST X 1
HAMBRECT & QUIST X 1
LEHMAN BROTHERS HOLDINGS X 1
LUCENT X 1
MATTEL X 1
MGM GRAND X 1
MONSANTO X 1
SAP X 1
SHAW INDUSTRIES X 1
SHAW INDUSTRIES X 1
SCHLUMBERGER X 1
STILLWATER MILLING COMPANY X 1
VINTAGE PETROLEUM X 1
WEATHERFORD INTERNATIONAL X 1
WILLIAMS-SONOMA X 1
YORK INTERNATIONAL X 1
TAIWAN SEMICONDUCTOR X 1
</TABLE>
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