UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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: Aster Investment Management Co., Inc.
Address: 60 East Sir Francis Drake Blvd., Suite 306
Larkspur, CA 94939
13F File Number: 28-01919
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: Richard F. Aster, Jr.
Title: President
Phone: 415-461-8770
Signature, Place and Date of Signing:
Richard F. Aster, Jr. Larkspur, CA October 14, 1999
Report Type (Check only one.):
[X] 13F HOLDINGS REPORT.
[ ] 13F NOTICE.
[ ] 13F COMBINATION REPORT.
List of Other Managers Reporting for this Manager:
I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934.
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FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 1
Form 13F Information Table Entry Total: 104
Form 13F Information Table Value Total: $215,628
List of Other Included Managers:
No. 13F File Number Name
--- --------------- ------------------------------
01 28-03630 Aster Capital Management, Inc.
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FORM 13F INFORMATION TABLE
VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF 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>
ANTEC Corporation COM 03664P105 3432 64598 SH SOLE 64598
5711 107500 SH DEFINED 01 107500
AVX Corporation COM 002444107 688 19600 SH DEFINED 01 19600
Active Voice Corporation COM 004938106 630 40000 SH DEFINED 01 40000
Adtran, Inc. COM 00738A106 2220 57950 SH SOLE 57950
3850 100500 SH DEFINED 01 100500
Aftermarket Tech Corp. COM 008318107 636 60600 SH DEFINED 01 60600
Airborne Freight Corporation COM 009266107 1103 52350 SH SOLE 52350
2464 117000 SH DEFINED 01 117000
Airgas, Inc. COM 009363102 581 50000 SH DEFINED 01 50000
Anadigics, Inc. COM 032515108 481 17100 SH DEFINED 01 17100
Annuity and Life Re (Holdings) COM G03910109 978 39325 SH SOLE 39325
2413 97000 SH DEFINED 01 97000
Arden Realty, Inc. COM 039793104 2190 100700 SH SOLE 100700
5026 231100 SH DEFINED 01 231100
Atlantic Coast Airlines Holdin COM 048396105 1530 86200 SH SOLE 86200
2946 166000 SH DEFINED 01 166000
Avnet,Inc. COM 053807103 630 15000 SH DEFINED 01 15000
Buffets Inc. COM 119882108 1162 100000 SH DEFINED 01 100000
Burlington Coat Factory Wareho COM 121579106 974 49300 SH DEFINED 01 49300
Burlington Resources, Inc. COM 122014103 661 18000 SH DEFINED 01 18000
CBRL Group, Inc. COM 12489V106 1008 65044 SH SOLE 65044
2712 175000 SH DEFINED 01 175000
CEC Entertainment, Inc. COM 125137109 2828 78819 SH SOLE 78819
4843 135000 SH DEFINED 01 135000
Cabletron Systems COM 126920107 549 35000 SH DEFINED 01 35000
Coherent COM 192479103 725 32500 SH DEFINED 01 32500
Commscope, Inc. COM 203372107 578 17800 SH DEFINED 01 17800
Convergys Corp. COM 212485106 664 33500 SH DEFINED 01 33500
Cost Plus, Inc. COM 221485105 2748 56662 SH SOLE 56662
4122 85000 SH DEFINED 01 85000
DuPont Photomasks, Inc. COM 26613X101 682 14800 SH DEFINED 01 14800
Expeditors International of Wa COM 302130109 2064 64298 SH SOLE 64298
3739 116500 SH DEFINED 01 116500
Extended Stay America, Inc. COM 30224P101 1207 134150 SH SOLE 134150
3285 365000 SH DEFINED 01 365000
Family Dollar Stores, Inc. COM 307000109 1731 81950 SH SOLE 81950
3380 160000 SH DEFINED 01 160000
Genesys Telecommunications Lab COM 371931106 3174 69470 SH SOLE 69470
6437 140900 SH DEFINED 01 140900
Great Atlantic & Pacific Tea C COM 390064103 588 19400 SH DEFINED 01 19400
Haemonetics Corporation COM 405024100 768 39000 SH DEFINED 01 39000
Health Management Associates COM 421933102 1089 140490 SH SOLE 140490
1821 235000 SH DEFINED 01 235000
ITI Technologies, Inc. COM 450564109 661 22000 SH DEFINED 01 22000
Illinova Corporation COM 452317100 578 20600 SH DEFINED 01 20600
International Rectifier Corpor COM 460254105 686 45000 SH DEFINED 01 45000
Jack in the Box COM 466367109 1535 61550 SH SOLE 61550
3691 148000 SH DEFINED 01 148000
KEMET Corporation COM 488360108 2991 93550 SH SOLE 93550
5275 165000 SH DEFINED 01 165000
Lancaster Colony Corporation COM 513847103 640 20000 SH DEFINED 01 20000
Lockheed Martin COM 539830109 556 17000 SH DEFINED 01 17000
Magnetek,inc. COM 559424106 679 76000 SH DEFINED 01 76000
Marine Drilling Co. COM 568240204 1238 78300 SH SOLE 78300
4190 265000 SH DEFINED 01 265000
Mazel Stores, Inc. COM 578792103 365 38900 SH SOLE 38900
1406 150000 SH DEFINED 01 150000
Molex Incorporated (Class A) COM 608554200 2045 63164 SH SOLE 63164
4371 135000 SH DEFINED 01 135000
National Data Corporation COM 635621105 1521 58484 SH SOLE 58484
3120 120000 SH DEFINED 01 120000
Natural Microsystems COM 638882100 416 30000 SH DEFINED 01 30000
P.F. Chang's China Bistro COM 69333Y108 1547 71550 SH SOLE 71550
3038 140500 SH DEFINED 01 140500
PETsMART, Inc. COM 716768106 676 181850 SH SOLE 181850
1813 487650 SH DEFINED 01 487650
Pacific Century Financial Corp COM 694058108 2177 106532 SH SOLE 106532
5937 290500 SH DEFINED 01 290500
Pall Corp COM 696429307 735 31700 SH DEFINED 01 31700
Precision Drilling Corporation COM 74022D100 2478 106850 SH SOLE 106850
3640 157000 SH DEFINED 01 157000
Province Healthcare Company COM 743977100 752 65400 SH SOLE 65400
1955 170000 SH DEFINED 01 170000
Regis Corporation COM 758932107 2296 119250 SH SOLE 119250
4761 247300 SH DEFINED 01 247300
STAAR Surgical Company COM 852312305 237 20000 SH DEFINED 01 20000
Scientific Games Holdings Corp COM 808747109 801 40550 SH SOLE 40550
2842 143900 SH DEFINED 01 143900
Shoe Carnival, Inc. COM 824889109 321 29000 SH DEFINED 01 29000
Sonic Corporation COM 835451105 1639 53850 SH SOLE 53850
3957 130000 SH DEFINED 01 130000
Sotheby's Holdings, Inc. COM 835898107 1440 55794 SH SOLE 55794
2633 102000 SH DEFINED 01 102000
SpeedFam-IPEC, Inc. COM 847705100 600 50000 SH DEFINED 01 50000
Synopsys, Inc. COM 871607107 1678 29880 SH SOLE 29880
3650 65000 SH DEFINED 01 65000
Tektronix, Inc. COM 879131100 1910 57025 SH SOLE 57025
4618 137850 SH DEFINED 01 137850
Teltrend, Inc. COM 87969R106 557 27500 SH DEFINED 01 27500
Tom Brown, Inc. New COM 115660201 717 48600 SH DEFINED 01 48600
Town and Country Trust COM 892081100 2032 114870 SH SOLE 114870
4528 256000 SH DEFINED 01 256000
Universal Electronics, Inc. COM 913483103 474 20500 SH DEFINED 01 20500
Wackenhut Correction Corp COM 929798106 1509 112800 SH SOLE 112800
4004 299400 SH DEFINED 01 299400
West Marine, Inc. COM 954235107 856 106950 SH SOLE 106950
2940 367500 SH DEFINED 01 367500
Williams-Sonoma, Inc. COM 969904101 1871 38530 SH SOLE 38530
3157 65000 SH DEFINED 01 65000
Wolverine World Wide, Inc. COM 978097103 728 64000 SH DEFINED 01 64000
Zale Corporation COM 988858106 1918 50050 SH SOLE 50050
4406 115000 SH DEFINED 01 115000
Zoll Medical Corporation COM 989922109 783 25900 SH DEFINED 01 25900
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