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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 JUNE 30, 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)
GEORGED 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 8th day of August.
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.
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2. 7.
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3. 8.
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4. 9.
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5. 10.
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SEC 1685 (5/91)
Copyright (c) 1992. NRs Systems, Inc. (Portions of Software Only)
<PAGE> 2
Shott Capital Management, LLC
FORM 13F
June 30, 1999
<TABLE>
<CAPTION>
Voting Authority
Value Shares/ Put/ Invstmt ----------------------
Name of Issuer CUSIP (x$1000) Prn Amt Call Dscretn Sole None
- ------------------------------ -------- ------- ------- ---- ------- -------- --------
<S> <C> <C> <C> <C> <C> <C> <C>
ARI Network Services 001930205 344 100000 SH Sole 100000 0
Actuate Corporation 00508B102 1385 52258 SH Sole 14833 37425
Advanced Fibre Communication, 00754A105 12425 795194 SH Sole 488330 306864
Alkermes 01642T108 456 19732 SH Sole 19732 0
Amazon.com, Inc. 023135106 6847 54723 SH Sole 9808 44915
America Online, Inc. 02364J104 5318 48342 SH Sole 3011 45331
Anesta Corporation 034603100 328 16040 SH Sole 0 16040
Anicom, Inc. 035250109 783 74610 SH Sole 0 74610
Applied Micro Circuits Corpora 03822W109 12012 146044 SH Sole 45569 100475
Aradigm Corporation 038505103 266 29966 SH Sole 0 29966
Arthrocare Corporation 043136100 755 36841 SH Sole 0 36841
Aspect Development, Inc. 045234101 6121 330850 SH Sole 164650 166200
At Home Corporation 045919107 7116 131915 SH Sole 21302 110613
Aurora Biosciences 051920106 268 36952 SH Sole 0 36952
Boston Life Sciences 100843408 474 83840 SH Sole 0 83840
Broadvision, Inc. 111412102 4941 67000 SH Sole 12333 54667
C-Cube Microsystems, Inc. 125015107 4002 126291 SH Sole 10908 115383
CNET, Inc. 125945105 1521 26400 SH Sole 26400 0
CSG Systems Internationl, Inc. 126349109 786 30000 SH Sole 0 30000
Cable Design Technologies Corp 126924109 1544 100000 SH Sole 100000 0
Carrier Access Corp. 144460102 829 18916 SH Sole 0 18916
Check Point Software M22465104 1555 29000 SH Sole 29000 0
Checkfree Corporation 162812101 1710 62024 SH Sole 0 62024
Ciena Corporation 171779101 9623 318753 SH Sole 60700 258053
Cisco Systems, Inc. (Restricte 17275R102 8170 126795 SH Sole 65536 61259
Clarify Inc. 180492100 454 11000 SH Sole 0 11000
Cohesion Technologies 19248N101 916 152676 SH Sole 0 152676
Collagen Aesthetics 194194106 2099 152676 SH Sole 0 152676
Community First Bankshares 203902101 1070 44818 SH Sole 0 44818
Concentra Managed Care 20589T103 786 53095 SH Sole 49043 4052
Concord Communications, Inc. 206186108 10774 239413 SH Sole 183895 55518
Coulter Pharmaceuticals 222116105 619 27455 SH Sole 4403 23052
Cypress Semiconductor 232806109 1923 112251 SH Sole 0 112251
Cytyc Corporation 232946103 347 17779 SH Sole 0 17779
Documentum, Inc. 256159104 3842 294108 SH Sole 154403 139705
DoubleClick, Inc. 258609304 11762 128184 SH Sole 51700 76484
E-Tek Dynamics, Inc. 269240107 8579 180377 SH Sole 44377 136000
E.spire Communications, Inc. 269153102 4009 379527 SH Sole 369986 9541
EBay, Inc. 278642103 2271 15000 SH Sole 15000 0
EntreMed 29382F103 1688 75000 SH Sole 0 75000
Entrust Technologies, Inc. 293848107 564 16977 SH Sole 0 16977
Esat Telecom Group PLC 26883Y102 733 16716 SH Sole 0 16716
Exodus Communications 300904109 10581 88218 SH Sole 25202 63016
Flextronics Int'l Y2573F102 3148 56714 SH Sole 21714 35000
Forte Software, Inc. 349546101 2027 209261 SH Sole 62259 147002
Frontier Corp. 35906P105 1225 20900 SH Sole 2300 18600
Fusion Medical Tech. 361128101 1242 164251 SH Sole 0 164251
Geltex Pharmaceuticals 361128101 1889 104969 SH Sole 10815 94154
Genesys Telecommunications Lab 371931106 1391 55628 SH Sole 0 55628
Gliatech 37929C103 383 15000 SH Sole 0 15000
Heartport, Inc. 421969106 334 140707 SH Sole 12224 128483
Human Genome Sciences 444903108 1147 29037 SH Sole 14637 14400
Hyperion Solutions Corporation 44914M104 598 33564 SH Sole 21577 11987
ISS Group, Inc. (R-144 until 1 450306105 14930 395505 SH Sole 114795 280710
Incyte Pharmaceuticals 45337C102 500 18907 SH Sole 0 18907
Information Advantage, Inc. 45669P101 676 164996 SH Sole 85376 79620
</TABLE>
<PAGE> 3
<TABLE>
<S> <C> <C> <C> <C> <C> <C> <C>
Informix Corp. 456779107 818 95825 SH Sole 2100 93725
Inhale Therapeutics 457191104 1786 75000 SH Sole 75000 0
Inktomi Corporation 457277101 5801 44116 SH Sole 12000 32116
International Network Services 460053101 21627 535659 SH Sole 86736 448923
Intuit, Inc. 461202103 15332 170120 SH Sole 80505 89615
Latitude Commun.(lock-up until 518292107 1772 136364 SH Sole 0 136364
Legato Systems, Inc. 524651106 3030 52476 SH Sole 0 52476
Level 3 Communications (R-144' 52729N100 7001 116567 SH Sole 19428 97139
Level One Communications, Inc. 527295109 979 20000 SH Sole 10000 10000
Linear Technology Corp. 535678106 8857 131706 SH Sole 22230 109476
Lucent Technologies, Inc. 549463107 13095 194176 SH Sole 2640 191536
Lycos, Inc. 550818108 960 10452 SH Sole 0 10452
Lynx Therapeutics 551812308 453 40000 SH Sole 0 40000
MMC Networks, Inc. 55308N102 32994 737300 SH Sole 287500 449800
Manugistics Group, Inc. 565501103 322 22180 SH Sole 0 22180
Microchip Technology, Inc. 595017104 6864 144897 SH Sole 66000 78897
Microsoft Corp. 594918104 902 10000 SH Sole 0 10000
Millenium Pharmaceuticals 599902103 12859 357202 SH Sole 92314 264888
NVIDIA Corporation (lock up ti 67066G104 2231 116666 SH Sole 0 116666
Nanophase Technologies 630079101 727 322995 SH Sole 0 322995
NetGravity, Inc. (R-144 until 641114103 799 35110 SH Sole 0 35110
Netopia, Inc. 64114K104 1079 45188 SH Sole 15410 29778
Network Appliance, Inc. 64120L104 2235 40000 SH Sole 20000 20000
New Era of Networks 644312100 549 12500 SH Sole 0 12500
Nextcard, Inc. (lock up until 65332K107 1981 58374 SH Sole 0 58374
Nextel Communications, Inc. 65332V103 7591 151247 SH Sole 100000 51247
Northpoint Comm. (Lock-up unti 666610100 12181 333739 SH Sole 0 333739
NOVA Corporation 669784100 1470 58800 SH Sole 46200 12600
Novoste Corporation 67010C100 748 35642 SH Sole 0 35642
Omega Health Systems 681931101 563 75000 SH Sole 0 75000
P.F. Chang's China Bistro, Inc 69333Y108 570 26351 SH Sole 7808 18543
PairGain Technologies, Inc. 695934109 2185 190000 SH Sole 128331 61669
Parametric Technology Corporat 699173100 1624 117068 SH Sole 2022 115046
PeopleSoft, Inc. 712713106 3148 182514 SH Sole 78653 103861
PETsMart 716768106 990 96560 SH Sole 96560 0
Pervasive Software, Inc. 715710109 498 20000 SH Sole 0 20000
Pharmacyclics 716933106 1447 51679 SH Sole 0 51679
Pioneer Hi-Bred 723686101 584 15000 SH Sole 0 15000
Polycom, Inc. 73172K104 1170 30000 SH Sole 0 30000
Powerwave Technologies, Inc. 739363109 967 30000 SH Sole 0 30000
Protein design Labs 74369L103 2315 104325 SH Sole 94325 10000
Qwest Telecommunications Intl, 749121109 4629 140000 SH Sole 80000 60000
Rambus 750917106 6942 75300 SH Sole 25000 50300
Rational Software Corp. 75409P207 7890 239551 SH Sole 56807 182744
Remedy Corp. 759548100 2774 103234 SH Sole 0 103234
Rhythms NetConnections 762430205 4203 72000 SH Sole 0 72000
Security Dynamics Tech, Inc. 814208104 17560 826353 SH Sole 609580 216773
Shire Pharmaceuticals N/A 2078 250002 SH Sole 250002 0
SkyePharma PLC 830808101 707 91972 SH Sole 0 91972
Splash Technology Holdings 848623104 2128 302639 SH Sole 94633 208006
Spyglass, Inc. 852192103 201 10000 SH Sole 0 10000
TMP WorldWide, Inc. 872941109 1448 22800 SH Sole 22800 0
Terayon Communications Systems 880775101 3854 68975 SH Sole 16607 52368
The Presley Companies 741030100 320 365944 SH Sole 365944 0
Trimeris, Inc. 896263100 629 43364 SH Sole 16877 26487
U.S. Oncology 90338W103 900 75000 SH Sole 75000 0
VeriSign, Inc. 92343E102 12746 147780 SH Sole 69960 77820
Verio, Inc. 923433106 4099 58982 SH Sole 0 58982
Veritas Software Corp. 923436109 9494 100000 SH Sole 80000 20000
Vertex Pharmaceuticals 92532F100 3696 153185 SH Sole 46738 106447
Vivid Technologies 928538107 441 126032 SH Sole 126032 0
VoiceStream Wireless Corporati 928615103 1302 45798 SH Sole 29912 15886
Western Wireless Corporation 95988E103 1251 46317 SH Sole 30148 16169
Xomed Surgical Products 98412V107 4314 88605 SH Sole 88605 0
YaHoo!, Inc. 984332106 22523 130755 SH Sole 52255 78500
$481,319 14,904,581 5,898,480 9,006,101
</TABLE>
