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: Shott Capital Management, LLC
Address: 601 California Street # 801
San Francisco, CA 94108
Form 13F File Number: 28-99999
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: George B. Shott
Title: Senior Managing Director
Phone: (415) 772-8376
Signature, Place, and Date of Signing:
George B. Shott San Francisco, CA November 8, 1999
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
<PAGE>
FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 0
Form 13F Information Table Entry Total: 131
Form 13F Information Table Value Total: $651,302
List of Other Included Managers: NONE
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FORM 13F INFORMATION TABLE
TITLE OF VALUE SHRS OR SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY
NAME OF ISSUER CLASS CUSIP (X$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE
- ------------------------- -------- --------- -------- -------- --- ---- ------- -------- ---- ------ --------
[email protected], Inc. COM 04963A104 0 106048 SH SOLE 0 0 106048
ARI Network Services COM 001930205 0 72000 SH SOLE 0 0 72000
AT & T COM 001957109 2 24052 SH SOLE 0 0 24052
Accredo Health COM 00437V104 3 88844 SH SOLE 0 0 88844
Adforce COM 006867105 4 153054 SH SOLE 0 0 153054
Advanced Fibre COM 00754A105 18 795194 SH SOLE 0 0 795194
Amazon.com COM 023135106 14 169446 SH SOLE 0 0 169446
America Online COM 02364J104 5 44709 SH SOLE 0 0 44709
Anicom COM 035250109 0 74610 SH SOLE 0 0 74610
Applied Micro Circuits COM 03822W109 16 287615 SH SOLE 0 0 287615
Aradigm Corp COM 038505103 0 29966 SH SOLE 0 0 29966
Arthrocare Corp COM 043136100 3 53979 SH SOLE 0 0 53979
Aspect Development COM 045234101 8 330850 SH SOLE 0 0 330850
At Home Corp COM 045919107 9 224572 SH SOLE 0 0 224572
Aurora Biosciences COM 051920106 1 36952 SH SOLE 0 0 36952
Be, Inc. COM 73309106 0 50000 SH SOLE 0 0 50000
BEA Systems COM 73325102 2 55500 SH SOLE 0 0 55500
Boston Life Sciences COM 100843408 0 83840 SH SOLE 0 0 83840
Broadcom COM 11320107 12 110164 SH SOLE 0 0 110164
Broadvision COM 111412102 7 55737 SH SOLE 0 0 55737
Brocade Comms. COM 111621108 14 68189 SH SOLE 0 0 68189
C-Cube Microsystems COM 125015107 5 126291 SH SOLE 0 0 126291
CNET, Inc. COM 125945105 1 26400 SH SOLE 0 0 26400
Cardiothoracic Systems COM 141907105 1 30818 SH SOLE 0 0 30818
Carrier Access Corp. COM 144460102 4 88879 SH SOLE 0 0 88879
Check Point Software COM M22465104 2 29000 SH SOLE 0 0 29000
Checkfree COM 162812101 2 60024 SH SOLE 0 0 60024
Ciena Corporation COM 171779101 13 358446 SH SOLE 0 0 358446
Cisco Systems COM 17275R102 6 90711 SH SOLE 0 0 90711
Cohesion Technologies COM 19248N101 1 152676 SH SOLE 0 0 152676
Commerce One COM 200693109 1 11423 SH SOLE 0 0 11423
Concord Comms. COM 206186108 9 229413 SH SOLE 0 0 229413
Concur Technologies COM 206708109 0 10753 SH SOLE 0 0 10753
Copper Mountain COM 217510106 9 105999 SH SOLE 0 0 105999
Coulter Pharmaceuticals COM 222116105 0 18000 SH SOLE 0 0 18000
Covad Communications COM 222814204 17 381078 SH SOLE 0 0 381078
Critical Path COM 22674V100 6 136374 SH SOLE 0 0 136374
Cypress Semiconductor COM 232806109 1 57665 SH SOLE 0 0 57665
Documentum, Inc. COM 256159104 6 283518 SH SOLE 0 0 283518
Doubleclick COM 258609304 14 119184 SH SOLE 0 0 119184
E.spire Communications COM 269153102 3 379527 SH SOLE 0 0 379527
Ebay, Inc. COM 278642103 2 15000 SH SOLE 0 0 15000
E-Tek Dynamics COM 269240107 3 63000 SH SOLE 0 0 63000
EntreMed COM 29382F103 2 75000 SH SOLE 0 0 75000
Entrust Technologies COM 293848107 0 16977 SH SOLE 0 0 16977
Esat Telecom Group COM 26883Y102 1 16716 SH SOLE 0 0 16716
Exodus Communications COM 300904109 11 153502 SH SOLE 0 0 153502
Extreme Networks COM 30226D106 1 13441 SH SOLE 0 0 13441
Fatbrain.com COM 311889109 1 81600 SH SOLE 0 0 81600
Flextronics Int'l COM Y2573F102 3 56714 SH SOLE 0 0 56714
Forte Software COM 349546101 7 264691 SH SOLE 0 0 264691
Fusion Medical Tech. COM 361128101 2 164251 SH SOLE 0 0 164251
Geltex Pharmaceuticals COM 361128101 1 104969 SH SOLE 0 0 104969
Gliatech, Inc. COM 37929C103 0 15000 SH SOLE 0 0 15000
Healtheon Corp. COM 411109106 8 214099 SH SOLE 0 0 214099
Heartport, Inc. COM 421969106 1 140707 SH SOLE 0 0 140707
Human Genome Sciences COM 444903108 2 29037 SH SOLE 0 0 29037
Hyperion Solutions Corp. COM 44914M104 0 18476 SH SOLE 0 0 18476
ISS Group, Inc. COM 450306105 9 337055 SH SOLE 0 0 337055
Ilex Oncology COM 451923106 0 25669 SH SOLE 0 0 25669
Informix Corp. COM 456779107 1 95825 SH SOLE 0 0 95825
Inhale Therapeutic Sys. COM 457191104 2 75000 SH SOLE 0 0 75000
Inktomi Corp. COM 457277101 3 26890 SH SOLE 0 0 26890
Int'l Network Services COM 460053101 10 180049 SH SOLE 0 0 180049
Intraware COM 46118M103 4 155516 SH SOLE 0 0 155516
Intuit, Inc. COM 461202103 15 165970 SH SOLE 0 0 165970
Latitude Communications COM 518292107 6 196020 SH SOLE 0 0 196020
Legato Sytems, Inc. COM 524651106 6 126226 SH SOLE 0 0 126226
Level 3 Communications COM 52729N100 6 116567 SH SOLE 0 0 116567
Linear Technology Corp. COM 535678106 8 131706 SH SOLE 0 0 131706
Lucent Technologies COM 549463107 8 116795 SH SOLE 0 0 116795
Lycos COM 550818108 1 20904 SH SOLE 0 0 20904
MMC Networks, Inc. COM 55308N102 16 505009 SH SOLE 0 0 505009
MP3.com COM 62473M109 2 48702 SH SOLE 0 0 48702
MicroTherapeutics COM 59500W100 1 47910 SH SOLE 0 0 47910
Microchip Technology COM 595017104 6 112750 SH SOLE 0 0 112750
Microsoft Corp. COM 594918104 1 14806 SH SOLE 0 0 14806
Millennium Pharm. COM 599902103 17 268527 SH SOLE 0 0 268527
Nabi, Inc. COM 628716102 0 39135 SH SOLE 0 0 39135
NVIDIA Corp. COM 67066G104 4 209086 SH SOLE 0 0 209086
Nanophase Technologies COM 630079101 1 322995 SH SOLE 0 0 322995
Netperceptions COM 64107U101 1 66666 SH SOLE 0 0 66666
NetGravity, Inc. COM 641114103 1 35110 SH SOLE 0 0 35110
Network Appliance, Inc. COM 64120L104 3 40000 SH SOLE 0 0 40000
New Era of Networks COM 644312100 0 12500 SH SOLE 0 0 12500
Newfield Exploration COM 651290108 1 26595 SH SOLE 0 0 26595
NextLink Comm. COM 65333H707 1 13468 SH SOLE 0 0 13468
NextCard, Inc. COM 65332K107 1 58374 SH SOLE 0 0 58374
Nextel Communications COM 65332V103 8 125000 SH SOLE 0 0 125000
Nortel Networks COM 656569100 7 140000 SH SOLE 0 0 140000
Northpoint Comm. COM 666610100 6 333739 SH SOLE 0 0 333739
Novoste Corp COM 67010C100 1 35642 SH SOLE 0 0 35642
PETsMart, Inc. COM 716768106 0 96560 SH SOLE 0 0 96560
PMC/ Sierra Semi. COM 69344F106 1 12040 SH SOLE 0 0 12040
Pairgain Technologies COM 695934109 2 190000 SH SOLE 0 0 190000
Parametric Tech. Corp. COM 699173100 2 117068 SH SOLE 0 0 117068
PeopleSoft, Inc. COM 712713106 3 174514 SH SOLE 0 0 174514
Pharmacyclics, Inc. COM 716933106 2 51679 SH SOLE 0 0 51679
Pioneer Hi-Bred COM 723686101 1 15000 SH SOLE 0 0 15000
Protein Design Labs COM 74369L103 4 104325 SH SOLE 0 0 104325
Quokka Sports COM 749077103 1 90197 SH SOLE 0 0 90197
Qwest Telecomm Intl. COM 749121109 1 50000 SH SOLE 0 0 50000
RF Micro Devices, Inc. COM 749941100 1 12000 SH SOLE 0 0 12000
RSA Security COM 814208104 22 821953 SH SOLE 0 0 821953
Rambus, Inc. COM 750917106 5 75300 SH SOLE 0 0 75300
Rational Software, Inc. COM 75409P207 6 220511 SH SOLE 0 0 220511
Redback Networks COM 757209101 25 233147 SH SOLE 0 0 233147
Remedy Corporation COM 759548100 2 78000 SH SOLE 0 0 78000
Rhythms Netconnections COM 762430205 2 72000 SH SOLE 0 0 72000
Scient Corp. COM 80864H109 2 33333 SH SOLE 0 0 33333
Shire Pharmaceuticals COM N/A 7 750001 SH SOLE 0 0 750001
Skyepharma PLc PFD 8308101 1 84015 SH SOLE 0 0 84015
Splash Technology COM 848623104 2 286840 SH SOLE 0 0 286840
TMP Worldwide, Inc. COM 872941109 1 22800 SH SOLE 0 0 22800
Tegal Corp. COM 879008100 1 230000 SH SOLE 0 0 230000
Terayon Comm Systems COM 880775101 1 20556 SH SOLE 0 0 20556
The Presley Companies PFD N/A 0 365944 SH SOLE 0 0 365944
Transkaryotic Therapies COM 893735100 1 20500 SH SOLE 0 0 20500
U.S. Oncology COM 90338W103 1 75000 SH SOLE 0 0 75000
VeriSign, Inc. COM 92343E102 16 152585 SH SOLE 0 0 152585
Verio, Inc. COM 923433106 3 87870 SH SOLE 0 0 87870
Veritas Software COM 923436109 18 236500 SH SOLE 0 0 236500
Vertex Pharmaceuticals COM 92532F100 4 138585 SH SOLE 0 0 138585
Vignette Corp. COM 926734104 37 414175 SH SOLE 0 0 414175
Viropharma COM 928241108 1 55830 SH SOLE 0 0 55830
VisionAmerica COM 92832C104 0 75000 SH SOLE 0 0 75000
Vivid Technologies COM 928538107 0 126032 SH SOLE 0 0 126032
Voicestream Wireless COM 928615103 9 139013 SH SOLE 0 0 139013
Western Wireless COM 95988E103 7 162968 SH SOLE 0 0 162968
Xomed Surgical Products COM 98412V107 5 88605 SH SOLE 0 0 88605
YaHoo!, Inc. COM 984332106 27 150512 SH SOLE 0 0 150512
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