<PAGE> 1
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OMB APPROVAL
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OMB NUMBER: 3235-0006
Expires: February 28, 1997
Estimated average burden
hours per response.... 24.60
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SEC USE ONLY
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 13F
INFORMATION REQUIRED OF INSTITUTIONAL INVESTMENT MANAGERS PURSUANT
TO SECTION 13(f) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULES THEREUNDER
Report for the Calendar Year or Quarter ended MARCH 31, 1999.
(Please read instructions before preparing form.)
If amended report check here: [ ]
SHOTT CAPITAL MANAGEMENT, LLC
- --------------------------------------------------------------------------------
Name of Institutional Investment Manager
601 CALIFORNIA STREET, SUITE 801 SAN FRANCISCO CA 94108
- --------------------------------------------------------------------------------
Business Address (Street) (City) (State) (Zip)
GEORGE B. SHOTT 415-394-7271 SENIOR MANAGING DIRECTOR
- --------------------------------------------------------------------------------
Name, Phone No., and Title of Person Duly Authorized to Submit this Report.
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 SAN FRANCISCO and State of CALIFORNIA on
the 27 day of MAY, 1999.
SHOTT CAPITAL MANAGEMENT, LLC
--------------------------------------------
(Name of Institutional Investment Manager)
--------------------------------------------
(Manual Signature of Person Duly Authorized
to Submit This Report)
Name and 13F file numbers of ALL Institutional Investment Managers with respect
to which this schedule is filled (other than the one filing this report):
(List in alphabetical order).
13F File Numbers will be assigned to Institutional Investment Managers after
they file their first report.
Name: 13F File No.: Name: 13F File No.:
- ----------------------- ------------- ----------------------- -------------
1. 6.
- ----------------------- ------------- ----------------------- -------------
2. 7.
- ----------------------- ------------- ----------------------- -------------
3. 8.
- ----------------------- ------------- ----------------------- -------------
4. 9.
- ----------------------- ------------- ----------------------- -------------
5. 10.
- ----------------------- ------------- ----------------------- -------------
SEC 1685 (5/91)
Copyright (c) 1992. NRs Systems, Inc. (Portions of Software Only)
<PAGE> 2
FORM 13F
--------------------
(SEC USE ONLY)
--------------------
Page 1 of 9 Name of Reporting Manager Shott Capital Management
---- ---- ---------------------------------
<TABLE>
<CAPTION>
- ------------------------------------------------------------------------------------------------------------------------------------
Item 6:
Investment Discretion
(4) Item 5: --------------------------------------
Item 3: Item 4: Shares of (b) Shared-
Item 1: Item 2: CUSIP Fair Market Principal As Defined (c) Shared-
Name of Issuer Title of Class Number Value Amount (a) Sole in Instr. V Other
- ------------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C>
Action Technologies Preferred A 005990882 746 690648 X
- ------------------------------------------------------------------------------------------------------------------------------------
Action Technologies Preferred B 006990890 1990 2487633 X
- ------------------------------------------------------------------------------------------------------------------------------------
ARI Network Services Common 001930205 482 179206 X
- ------------------------------------------------------------------------------------------------------------------------------------
AXENT Technologies Common 05459C108 1119 46512 X
- ------------------------------------------------------------------------------------------------------------------------------------
Actuate Software Common 00508B102 2466 74713 X
- ------------------------------------------------------------------------------------------------------------------------------------
Advanced Fibre Communications Common 00754A105 7197 750194 X
- ------------------------------------------------------------------------------------------------------------------------------------
Amazon.com Common 023135106 9470 55000 X
- ------------------------------------------------------------------------------------------------------------------------------------
American Online Common 02364J104 2237 15219 X
- ------------------------------------------------------------------------------------------------------------------------------------
American Buildings Common 024757106 300 15907 X
- ------------------------------------------------------------------------------------------------------------------------------------
American Oncology Resources Common 028910107 675 75000 X
- ------------------------------------------------------------------------------------------------------------------------------------
Anesta Corp. Common 034603100 362 16040 X
- ------------------------------------------------------------------------------------------------------------------------------------
Anicom, Inc. Common 035250109 653 74610 X
- ------------------------------------------------------------------------------------------------------------------------------------
Applied Digital Access Common 038181103 470 208973 X
- ------------------------------------------------------------------------------------------------------------------------------------
Applied Micro Circuits Common 03822W109 1759 41139 X
- ------------------------------------------------------------------------------------------------------------------------------------
COLUMN TOTALS 29926
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
<CAPTION>
(5) Item 8
Item 7: Voting Authority (Shares)
Managers ---------------------------------------------
See Instr. V (a) Sole (b) Shared (c) None
- --------------------------------------------------------------------------------
<S> <C> <C> <C>
690648
- --------------------------------------------------------------------------------
2487633
- --------------------------------------------------------------------------------
179206
- --------------------------------------------------------------------------------
31571 14941
- --------------------------------------------------------------------------------
14833 59880
- --------------------------------------------------------------------------------
448330 301864
- --------------------------------------------------------------------------------
5000 50000
- --------------------------------------------------------------------------------
15219
- --------------------------------------------------------------------------------
15907
- --------------------------------------------------------------------------------
75000
- --------------------------------------------------------------------------------
16040
- --------------------------------------------------------------------------------
74610
- --------------------------------------------------------------------------------
70000 138973
- --------------------------------------------------------------------------------
18139 23000
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
</TABLE>
SEC 1685 (5/91)
<PAGE> 3
FORM 13F
--------------------
(SEC USE ONLY)
--------------------
Page 2 of 9 Name of Reporting Manager Shott Capital Management, LLC
---- ---- ---------------------------------
<TABLE>
<CAPTION>
- ------------------------------------------------------------------------------------------------------------------------------------
Item 6:
Investment Discretion
(4) Item 5: --------------------------------------
Item 3: Item 4: Shares of (b) Shared-
Item 1: Item 2: CUSIP Fair Market Principal As Defined (c) Shared-
Name of Issuer Title of Class Number Value Amount (a) Sole in Instr. V Other
- ------------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C>
Aradigm Corp. Common 038505103 273 29966 x
- ------------------------------------------------------------------------------------------------------------------------------------
Arthocare Corp. Common 043136100 857 51931 x
- ------------------------------------------------------------------------------------------------------------------------------------
Ascend Communications Common 043491109 13726 164016 x
- ------------------------------------------------------------------------------------------------------------------------------------
Aspect Development Common 045234101 7002 301150 x
- ------------------------------------------------------------------------------------------------------------------------------------
At Home Corp Common 045919107 3938 25000 x
- ------------------------------------------------------------------------------------------------------------------------------------
Banyan Systems Common 066908102 416 34116 x
- ------------------------------------------------------------------------------------------------------------------------------------
Boston Life Sciences Common 100843408 603 83840 x
- ------------------------------------------------------------------------------------------------------------------------------------
Broadvision, Inc. Common 111412102 5539 92700 x
- ------------------------------------------------------------------------------------------------------------------------------------
C-Cube Microsystems, Inc. Common 125015107 2502 126921 x
- ------------------------------------------------------------------------------------------------------------------------------------
CNET, Inc. Common 125945105 1492 16200 x
- ------------------------------------------------------------------------------------------------------------------------------------
COM 21, Inc. Common 205937105 2990 113912 x
- ------------------------------------------------------------------------------------------------------------------------------------
CSG Systems Int'l Common 126349109 1183 30000 x
- ------------------------------------------------------------------------------------------------------------------------------------
Cable Design Technologies Common 126924109 1100 100000 x
- ------------------------------------------------------------------------------------------------------------------------------------
Check Point Software Common M22465104 2485 57796 x
- ------------------------------------------------------------------------------------------------------------------------------------
COLUMN TOTALS 44106
- ------------------------------------------------------------------------------------------------------------------------------------
<CAPTION>
(5) Item 8
Item 7: Voting Authority (Shares)
Managers ---------------------------------------------
See Instr. V (a) Sole (b) Shared (c) None
- --------------------------------------------------------------------------------
<S> <C> <C> <C>
29966
- --------------------------------------------------------------------------------
51931
- --------------------------------------------------------------------------------
49166 114850
- --------------------------------------------------------------------------------
144150 157000
- --------------------------------------------------------------------------------
25000
- --------------------------------------------------------------------------------
34116
- --------------------------------------------------------------------------------
83840
- --------------------------------------------------------------------------------
12333 80367
- --------------------------------------------------------------------------------
10908 116013
- --------------------------------------------------------------------------------
16200
- --------------------------------------------------------------------------------
43991 69921
- --------------------------------------------------------------------------------
30000
- --------------------------------------------------------------------------------
100000
- --------------------------------------------------------------------------------
57796
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
</TABLE>
SEC 1685 (5/91)
<PAGE> 4
FORM 13F
--------------------
(SEC USE ONLY)
--------------------
Page 3 of 9 Name of Reporting Manager Shott Capital Management, LLC
---- ---- ---------------------------------
<TABLE>
<CAPTION>
- ------------------------------------------------------------------------------------------------------------------------------------
Item 6:
Investment Discretion
(4) Item 5: --------------------------------------
Item 3: Item 4: Shares of (b) Shared-
Item 1: Item 2: CUSIP Fair Market Principal As Defined (c) Shared-
Name of Issuer Title of Class Number Value Amount (a) Sole in Instr. V Other
- ------------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C>
Checkfree Corp. Common 162812101 2640 62024 x
- ------------------------------------------------------------------------------------------------------------------------------------
Ciena Corporation Common 171779101 2260 100465 x
- ------------------------------------------------------------------------------------------------------------------------------------
Cisco Systems Common 17275R102 4927 44975 x
- ------------------------------------------------------------------------------------------------------------------------------------
Clarify, Inc. Common 180492100 824 30859 x
- ------------------------------------------------------------------------------------------------------------------------------------
Cohesion Technologies Common 19248N101 606 152676 x
- ------------------------------------------------------------------------------------------------------------------------------------
Collagen Aesthetics Common 194194106 2052 152676 x
- ------------------------------------------------------------------------------------------------------------------------------------
Community First Bancshares, Inc. Common 203902101 896 44818 x
- ------------------------------------------------------------------------------------------------------------------------------------
Concentra Managed Care, Inc. Common 20589T103 770 53095 x
- ------------------------------------------------------------------------------------------------------------------------------------
Concord Communications Common 206186108 12017 210819 x
- ------------------------------------------------------------------------------------------------------------------------------------
Coulter Pharmaceuticals Common 222116105 597 27455 x
- ------------------------------------------------------------------------------------------------------------------------------------
Cytyc Corporation Common 232946103 247 17779 x
- ------------------------------------------------------------------------------------------------------------------------------------
Documentum, Inc. Common 256159104 5092 294108 x
- ------------------------------------------------------------------------------------------------------------------------------------
DoubleClick Common 258609304 21623 118767 x
- ------------------------------------------------------------------------------------------------------------------------------------
Expire Communications Common 269153102 848 61686 x
- ------------------------------------------------------------------------------------------------------------------------------------
COLUMN TOTALS 55399
- ------------------------------------------------------------------------------------------------------------------------------------
<CAPTION>
(5) Item 8
Item 7: Voting Authority (Shares)
Managers ---------------------------------------------
See Instr. V (a) Sole (b) Shared (c) None
- --------------------------------------------------------------------------------
<S> <C> <C> <C>
62024
- --------------------------------------------------------------------------------
60700 39765
- --------------------------------------------------------------------------------
1704 43271
- --------------------------------------------------------------------------------
30859
- --------------------------------------------------------------------------------
152676
- --------------------------------------------------------------------------------
152676
- --------------------------------------------------------------------------------
44818
- --------------------------------------------------------------------------------
49043 4052
- --------------------------------------------------------------------------------
159612 51207
- --------------------------------------------------------------------------------
4403 23052
- --------------------------------------------------------------------------------
17779
- --------------------------------------------------------------------------------
154403 139705
- --------------------------------------------------------------------------------
44000 74767
- --------------------------------------------------------------------------------
61686
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
</TABLE>
SEC 1685 (5/91)
<PAGE> 5
FORM 13F
--------------------
(SEC USE ONLY)
--------------------
Page 4 of 9 Name of Reporting Manager Shott Capital Management, LLC
---- ---- ---------------------------------
<TABLE>
<CAPTION>
- ------------------------------------------------------------------------------------------------------------------------------------
Item 6:
Investment Discretion
(4) Item 5: --------------------------------------
Item 3: Item 4: Shares of (b) Shared-
Item 1: Item 2: CUSIP Fair Market Principal As Defined (c) Shared-
Name of Issuer Title of Class Number Value Amount (a) Sole in Instr. V Other
- ------------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C>
Ebay, Inc. Common 278642103 2060 15000 x
- ------------------------------------------------------------------------------------------------------------------------------------
Eclipse Surgical Technologies Common 248849104 241 22919 x
- ------------------------------------------------------------------------------------------------------------------------------------
EntreMed Common 29382F103 1584 75000 x
- ------------------------------------------------------------------------------------------------------------------------------------
Entrust Technologies Common 293848107 573 16977 x
- ------------------------------------------------------------------------------------------------------------------------------------
Esat Telecom Group Common 26883Y102 700 16716 x
- ------------------------------------------------------------------------------------------------------------------------------------
Excite, Inc. Common 300904109 2308 16465 x
- ------------------------------------------------------------------------------------------------------------------------------------
Exodus Communications Common 302088109 7570 56286 x
- ------------------------------------------------------------------------------------------------------------------------------------
Flextronics Int'l Common Y2573F102 2468 48400 x
- ------------------------------------------------------------------------------------------------------------------------------------
Fore Systems Common 345449102 3461 183085 x
- ------------------------------------------------------------------------------------------------------------------------------------
Forte Software Common 349546101 1408 304379 x
- ------------------------------------------------------------------------------------------------------------------------------------
Frontier Corp. Common 35906P105 5250 101209 x
- ------------------------------------------------------------------------------------------------------------------------------------
Fusion Medical Technologies Common 361128101 1017 193696 x
- ------------------------------------------------------------------------------------------------------------------------------------
Galtex Pharmaceuticals Common 368538104 1476 104969 x
- ------------------------------------------------------------------------------------------------------------------------------------
Genesys Telecommunications Common 371931106 838 55628 x
- ------------------------------------------------------------------------------------------------------------------------------------
COLUMN TOTALS 30954
- ------------------------------------------------------------------------------------------------------------------------------------
<CAPTION>
(5) Item 8
Item 7: Voting Authority (Shares)
Managers ---------------------------------------------
See Instr. V (a) Sole (b) Shared (c) None
- --------------------------------------------------------------------------------
<S> <C> <C> <C>
15000
- --------------------------------------------------------------------------------
22919
- --------------------------------------------------------------------------------
75000
- --------------------------------------------------------------------------------
16977
- --------------------------------------------------------------------------------
16716
- --------------------------------------------------------------------------------
1485 15000
- --------------------------------------------------------------------------------
13834 42452
- --------------------------------------------------------------------------------
10200 38200
- --------------------------------------------------------------------------------
26458 156607
- --------------------------------------------------------------------------------
304379
- --------------------------------------------------------------------------------
4600 96609
- --------------------------------------------------------------------------------
29445 164251
- --------------------------------------------------------------------------------
12554 92415
- --------------------------------------------------------------------------------
55628
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
</TABLE>
SEC 1685 (5/91)
<PAGE> 6
FORM 13F
--------------------
(SEC USE ONLY)
--------------------
Page 5 of 9 Name of Reporting Manager Shott Capital Management, LLC
---- ---- ---------------------------------
<TABLE>
<CAPTION>
- ------------------------------------------------------------------------------------------------------------------------------------
Item 6:
Investment Discretion
(4) Item 5: --------------------------------------
Item 3: Item 4: Shares of (b) Shared-
Item 1: Item 2: CUSIP Fair Market Principal As Defined (c) Shared-
Name of Issuer Title of Class Number Value Amount (a) Sole in Instr. V Other
- ------------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C>
Geotel Communications Common 373656107 1606 35000 x
- ------------------------------------------------------------------------------------------------------------------------------------
Gliatech, Inc. Common 37929C103 463 20000 x
- ------------------------------------------------------------------------------------------------------------------------------------
HMT Technology Holdings Corp. Common 403917107 408 116637 x
- ------------------------------------------------------------------------------------------------------------------------------------
Heartport, Inc. Common 421969106 677 140707 x
- ------------------------------------------------------------------------------------------------------------------------------------
Human Genome Sciences Common 444903108 1007 29037 x
- ------------------------------------------------------------------------------------------------------------------------------------
Hyperion Solutions Corp. Common 44914M104 1094 75472 x
- ------------------------------------------------------------------------------------------------------------------------------------
ISS Group, Inc. Common 450306105 9738 122495 x
- ------------------------------------------------------------------------------------------------------------------------------------
Incyte Pharmaceuticals Common 45337C102 637 31723 x
- ------------------------------------------------------------------------------------------------------------------------------------
Information Advantage, Inc. Common 45669P101 1277 192705 x
- ------------------------------------------------------------------------------------------------------------------------------------
Informix Corp. Common 456779107 1137 154125 x
- ------------------------------------------------------------------------------------------------------------------------------------
Inhale Therapeutic Systems, Inc. Common 457191104 2034 75000 x
- ------------------------------------------------------------------------------------------------------------------------------------
Inktomi Corp. Common 457277101 12777 149000 x
- ------------------------------------------------------------------------------------------------------------------------------------
International Network Services Common 460053101 23843 340907 x
- ------------------------------------------------------------------------------------------------------------------------------------
Intuit, Inc. Common 461202103 18846 185220 x
- ------------------------------------------------------------------------------------------------------------------------------------
COLUMN TOTALS 75544 x
- ------------------------------------------------------------------------------------------------------------------------------------
<CAPTION>
(5) Item 8
Item 7: Voting Authority (Shares)
Managers ---------------------------------------------
See Instr. V (a) Sole (b) Shared (c) None
- --------------------------------------------------------------------------------
<S> <C> <C> <C>
35000
- --------------------------------------------------------------------------------
5000 15000
- --------------------------------------------------------------------------------
57886 58751
- --------------------------------------------------------------------------------
12224 128483
- --------------------------------------------------------------------------------
14637 14400
- --------------------------------------------------------------------------------
21577 53895
- --------------------------------------------------------------------------------
40000 82495
- --------------------------------------------------------------------------------
31723
- --------------------------------------------------------------------------------
83376 109329
- --------------------------------------------------------------------------------
2100 152025
- --------------------------------------------------------------------------------
75000
- --------------------------------------------------------------------------------
28000 121000
- --------------------------------------------------------------------------------
39825 301082
- --------------------------------------------------------------------------------
80505 104715
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
</TABLE>
SEC 1685 (5/91)
<PAGE> 7
FORM 13F
--------------------
(SEC USE ONLY)
--------------------
Page 6 of 9 Name of Reporting Manager Shott Capital Management, LLC
- ------------ -----------------------------
<TABLE>
<CAPTION>
- ------------------------------------------------------------------------------------------------------------------------------------
Item 6:
Investment Discretion
(4) Item 5: --------------------------------------
Item 3: Item 4: Shares of (b) Shared-
Item 1: Item 2: CUSIP Fair Market Principal As Defined (c) Shared-
Name of Issuer Title of Class Number Value Amount (a) Sole in Instr. V Other
- ------------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C>
Legato Systems, Inc. Common 524651106 2547 49335 X
- ------------------------------------------------------------------------------------------------------------------------------------
Level One Communications, Inc. Common 527295109 1216 25000 X
- ------------------------------------------------------------------------------------------------------------------------------------
Linear Technology Corp. Common 53567B106 7826 152706 X
- ------------------------------------------------------------------------------------------------------------------------------------
Lucent Technologies Common 549463107 4320 40000 X
- ------------------------------------------------------------------------------------------------------------------------------------
Lynx Therapeutics, Inc. Common 551812308 375 40000 X
- ----------------------------------------------------------------------------------------------------------------------------------
MMC Networks, Inc. Common 55308N102 14322 895101 X
- ------------------------------------------------------------------------------------------------------------------------------------
Microchip Technology, Inc. Common 595017104 5242 151397 X
- ------------------------------------------------------------------------------------------------------------------------------------
Microsoft Corp. Common 594918104 896 10000 X
- ------------------------------------------------------------------------------------------------------------------------------------
Millennium Pharmaceuticals Common 599902103 12710 406703 X
- ------------------------------------------------------------------------------------------------------------------------------------
Nanophase Technologies Common 630079101 733 360885 X
- ------------------------------------------------------------------------------------------------------------------------------------
NetGravity, Inc. Common 641114103 1452 35110 X
- ------------------------------------------------------------------------------------------------------------------------------------
Network Appliance, Inc. Common 64120L104 3188 62965 X
- ------------------------------------------------------------------------------------------------------------------------------------
New Era of Networks Common 644312100 847 12500 X
- ------------------------------------------------------------------------------------------------------------------------------------
Newfield Exploration Common 651290108 1400 61875 X
- ------------------------------------------------------------------------------------------------------------------------------------
COLUMN TOTALS 57074
- ------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
<CAPTION>
(5) Item 8
Item 7: Voting Authority (Shares)
Managers ---------------------------------------------
See Instr. V (a) Sole (b) Shared (c) None
- --------------------------------------------------------------------------------
<S> <C> <C> <C>
49335
- --------------------------------------------------------------------------------
15000 10000
- --------------------------------------------------------------------------------
23230 129476
- --------------------------------------------------------------------------------
40000
- --------------------------------------------------------------------------------
40000
- --------------------------------------------------------------------------------
458838 436263
- --------------------------------------------------------------------------------
66000 85397
- --------------------------------------------------------------------------------
10000
- --------------------------------------------------------------------------------
92314 314389
- --------------------------------------------------------------------------------
360865
- --------------------------------------------------------------------------------
35110
- --------------------------------------------------------------------------------
32965 30000
- --------------------------------------------------------------------------------
12500
- --------------------------------------------------------------------------------
61875
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
</TABLE>
SEC 1685 (5/91)
<PAGE> 8
FORM 13F
--------------------
(SEC USE ONLY)
--------------------
Page 7 of 9 Name of Reporting Manager Shott Capital Management, LLC
---- ---- ---------------------------------
<TABLE>
<CAPTION>
- ------------------------------------------------------------------------------------------------------------------------------------
Item 6:
Investment Discretion
(4) Item 5: --------------------------------------
Item 3: Item 4: Shares of (b) Shared-
Item 1: Item 2: CUSIP Fair Market Principal As Defined (c) Shared-
Name of Issuer Title of Class Number Value Amount (a) Sole in Instr. V Other
- ------------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C>
- ------------------------------------------------------------------------------------------------------------------------------------
Nextel Communications Common 65332V103 8579 234247 x
- ------------------------------------------------------------------------------------------------------------------------------------
Novoste Corp. Common 67010C100 855 35642 x
- ------------------------------------------------------------------------------------------------------------------------------------
Omega Health Systems, Inc. Common 681931101 267 75000 x
- ------------------------------------------------------------------------------------------------------------------------------------
PETsMart, Inc. Common 716768106 775 96560 x
- ------------------------------------------------------------------------------------------------------------------------------------
Pairgain Technologies, Inc. Common 695934109 1999 205000 x
- ------------------------------------------------------------------------------------------------------------------------------------
Parametric Technology Corp. Common 699173100 2313 117068 x
- ------------------------------------------------------------------------------------------------------------------------------------
PeopleSoft, Inc. Common 712713106 2669 182514 x
- ------------------------------------------------------------------------------------------------------------------------------------
Peoples Choice TV Common 710847104 395 128842 x
- ------------------------------------------------------------------------------------------------------------------------------------
Pervasive Software, Inc. Common 715710109 886 49565 x
- ------------------------------------------------------------------------------------------------------------------------------------
Pharmacyclics, Inc. Common 716933106 1856 112501 x
- ------------------------------------------------------------------------------------------------------------------------------------
Pioneer Hi-Bred Common 723686101 564 15000 x
- ------------------------------------------------------------------------------------------------------------------------------------
Platinum Technology Common 72764T101 3440 134905 x
- ------------------------------------------------------------------------------------------------------------------------------------
Powerwave Technologies, Inc. Common 739363109 1171 41273 x
- ------------------------------------------------------------------------------------------------------------------------------------
Protein Design Labs Common 74369L103 1571 104325 x
- ------------------------------------------------------------------------------------------------------------------------------------
COLUMN TOTALS 27340
- ------------------------------------------------------------------------------------------------------------------------------------
<CAPTION>
(5) Item 8
Item 7: Voting Authority (Shares)
Managers ---------------------------------------------
See Instr. V (a) Sole (b) Shared (c) None
- --------------------------------------------------------------------------------
<S> <C> <C> <C>
- --------------------------------------------------------------------------------
212464 21783
- --------------------------------------------------------------------------------
35642
- --------------------------------------------------------------------------------
75000
- --------------------------------------------------------------------------------
96560
- --------------------------------------------------------------------------------
128331 76669
- --------------------------------------------------------------------------------
2022 115046
- --------------------------------------------------------------------------------
78653 103861
- --------------------------------------------------------------------------------
128642
- --------------------------------------------------------------------------------
49565
- --------------------------------------------------------------------------------
112501
- --------------------------------------------------------------------------------
15000
- --------------------------------------------------------------------------------
101034 33871
- --------------------------------------------------------------------------------
41273
- --------------------------------------------------------------------------------
94325 10000
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
</TABLE>
SEC 1685 (5/91)
<PAGE> 9
FORM 13F
--------------------
(SEC USE ONLY)
--------------------
Page 8 of 9 Name of Reporting Manager Shott Capital Management, LLC
---- ---- ---------------------------------
<TABLE>
<CAPTION>
- ------------------------------------------------------------------------------------------------------------------------------------
Item 6:
Investment Discretion
(4) Item 5: --------------------------------------
Item 3: Item 4: Shares of (b) Shared-
Item 1: Item 2: CUSIP Fair Market Principal As Defined (c) Shared-
Name of Issuer Title of Class Number Value Amount (a) Sole in Instr. V Other
- ------------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C>
Qwest Telecommunication Int'l Common 749121109 5047 70000 x
- ------------------------------------------------------------------------------------------------------------------------------------
RF Micro Devices, Inc. Common 749941100 2297 24000 x
- ------------------------------------------------------------------------------------------------------------------------------------
RailTex, Inc. Common 750766107 1138 100000 x
- ------------------------------------------------------------------------------------------------------------------------------------
Rambus, Inc. Common 750917106 4847 75300 x
- ------------------------------------------------------------------------------------------------------------------------------------
Rational Software Common 75409P207 11184 417125 x
- -----------------------------------------------------------------------------------------------------------------------------------
Remedy Corporation Common 759548100 1445 103234 x
- ------------------------------------------------------------------------------------------------------------------------------------
RenaissanceRE Holdings Ltd. Common G7496G103 865 24750 x
- ------------------------------------------------------------------------------------------------------------------------------------
Security Dynamics Technologies, Inc. Common 814208104 15391 826353 x
- ------------------------------------------------------------------------------------------------------------------------------------
Splash Technology Holdings Common 848623104 1925 317446 x
- ------------------------------------------------------------------------------------------------------------------------------------
SportsLine USA, Inc. Common 848934105 1278 28000 x
- ------------------------------------------------------------------------------------------------------------------------------------
TMP Worldwide, Inc. Common 872941109 1478 22800 x
- ------------------------------------------------------------------------------------------------------------------------------------
Terayon Communications Common 880775101 2161 54028 x
- ------------------------------------------------------------------------------------------------------------------------------------
Trimeris, Inc. Common 896263100 1627 127584 x
- ------------------------------------------------------------------------------------------------------------------------------------
USWeb Corporation Common 917327108 554 13429 x
- ------------------------------------------------------------------------------------------------------------------------------------
COLUMN TOTALS 51237
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
<CAPTION>
(5) Item 8
Item 7: Voting Authority (Shares)
Managers ---------------------------------------------
See Instr. V (a) Sole (b) Shared (c) None
- --------------------------------------------------------------------------------
<S> <C> <C> <C>
40000 30000
- --------------------------------------------------------------------------------
20000 4000
- --------------------------------------------------------------------------------
100000
- --------------------------------------------------------------------------------
25000 50300
- --------------------------------------------------------------------------------
100874 316251
- --------------------------------------------------------------------------------
103234
- --------------------------------------------------------------------------------
24750
- --------------------------------------------------------------------------------
609580 216773
- --------------------------------------------------------------------------------
94633 222813
- --------------------------------------------------------------------------------
28000
- --------------------------------------------------------------------------------
22800
- --------------------------------------------------------------------------------
54028
- --------------------------------------------------------------------------------
16877 110707
- --------------------------------------------------------------------------------
6858 6571
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
</TABLE>
SEC 1685 (5/91)
<PAGE> 10
FORM 13F
--------------------
(SEC USE ONLY)
--------------------
Page 9 of 9 Name of Reporting Manager Shott Capital Management, LLC
---- ---- ---------------------------------
<TABLE>
<CAPTION>
- ------------------------------------------------------------------------------------------------------------------------------------
Item 6:
Investment Discretion
(4) Item 5: --------------------------------------
Item 3: Item 4: Shares of (b) Shared-
Item 1: Item 2: CUSIP Fair Market Principal As Defined (c) Shared-
Name of Issuer Title of Class Number Value Amount (a) Sole in Instr. V Other
- ------------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C>
VeriSign, Inc. Common 92343E102 9885 64186 x
- ------------------------------------------------------------------------------------------------------------------------------------
Verio, Inc. Common 923433106 5561 120560 x
- ------------------------------------------------------------------------------------------------------------------------------------
Veritas Software Common 923436109 2725 33760 x
- ------------------------------------------------------------------------------------------------------------------------------------
Vertex Pharmaceuticals Common 92532F100 3868 153185 x
- ------------------------------------------------------------------------------------------------------------------------------------
Vivid Technologies, Inc. Common 928638107 778 194486 x
- ------------------------------------------------------------------------------------------------------------------------------------
Xomed Surgical Products, Inc. Common 98412V107 3478 88605 x
- ------------------------------------------------------------------------------------------------------------------------------------
Yahoo!, Inc. Common 984332106 37829 224669 x
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
COLUMN TOTALS 64124
- ------------------------------------------------------------------------------------------------------------------------------------
<CAPTION>
(5) Item 8
Item 7: Voting Authority (Shares)
Managers ---------------------------------------------
See Instr. V (a) Sole (b) Shared (c) None
- --------------------------------------------------------------------------------
<S> <C> <C> <C>
34980 29206
- --------------------------------------------------------------------------------
120560
- --------------------------------------------------------------------------------
33750
- --------------------------------------------------------------------------------
47639 105546
- --------------------------------------------------------------------------------
126875 67611
- --------------------------------------------------------------------------------
88605
- --------------------------------------------------------------------------------
58655 166014
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
</TABLE>
SEC 1685 (5/91)
