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Previous: PNC MORTGAGE SECURITIES CORP MORT PASS THR CERT SER 1999-11, 8-K, 2000-01-10 |
Next: ANTIGENICS INC /DE/, S-1/A, 2000-01-10 |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: December 31, 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 January 7, 2000
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: 147
Form 13F Information Table Value Total: $1,722,054,000
List of Other Included Managers: NONE
<PAGE>
<TABLE> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
FORM 13F INFORMATION TABLE
VALUE SHRS OR SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (X$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE
- ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ---------- -------- -------- --------
ARI Network Services COM 001930205 1 68000 SH SOLE 68000 0 0
Adforce COM 006867105 11 153054 SH SOLE 153054 0 0
Advanced Fibre COM 00754A105 33 729050 SH SOLE 478000 0 251050
Alkermes, Inc. COM 023135106 1 12000 SH SOLE 12000 0 0
Alteon WebSystems COM 02145A109 8 85697 SH SOLE 0 0 85697
Amazon.com COM 023135106 9 116012 SH SOLE 16648 0 99364
Amdocs COM G02602103 12 351363 SH SOLE 188259 0 163104
America Online COM 02364J104 6 80320 SH SOLE 0 0 80320
Anicom COM 035250109 0 74610 SH SOLE 0 0 74610
Applied Micro Circuits COM 03822W109 33 255482 SH SOLE 58034 0 197448
Aradigm Corp COM 038505103 0 29966 SH SOLE 0 0 29966
Ariba, Inc. COM 04033V104 81 459412 SH SOLE 61368 0 398044
Arthrocare Corp COM 043136100 3 53797 SH SOLE 0 0 53797
Ask Jeeves COM 045174109 2 14794 SH SOLE 0 0 14794
Aspect Development COM 045234101 23 330850 SH SOLE 164650 0 166200
At Home Corp COM 045919107 13 299181 SH SOLE 46302 0 252879
Atmel COM 049513104 0 16000 SH SOLE 0 0 16000
Be, Inc. COM 073309106 1 50000 SH SOLE 0 0 50000
BEA Systems COM 73325102 10 147000 SH SOLE 100000 0 47000
Baker Hughes COM 57224107 1 43641 SH SOLE 43641 0 0
Boston Life Sciences COM 100843408 0 83840 SH SOLE 0 0 83840
Broadbase COM 11130R100 5 44995 SH SOLE 0 0 44995
Broadcom COM 11320107 36 133135 SH SOLE 21995 0 111140
Broadvision COM 111412102 11 65000 SH SOLE 19000 0 46000
Brocade Comms. COM 111621108 69 388147 SH SOLE 139276 0 248871
C-Cube Microsystems COM 125015107 2 32920 SH SOLE 8400 0 24520
CNET, Inc. COM 125945105 1 26400 SH SOLE 26400 0 0
Caremark RX COM 141705103 0 48897 SH SOLE 0 0 48897
Check Point Software COM M22465104 4 20000 SH SOLE 20000 0 0
Checkfree COM 162812101 6 60024 SH SOLE 0 0 60024
Chemdex COM 163565101 2 17633 SH SOLE 0 0 17633
Cisco Systems COM 17275R102 9 88446 SH SOLE 15163 0 73283
Cohesion Technologies COM 19248N101 1 152676 SH SOLE 0 0 152676
Commerce One COM 200693109 102 519044 SH SOLE 281175 0 237869
Commun. Intelligence COM 20338K106 0 50000 SH SOLE 0 0 50000
Concord Comms. COM 206186108 9 211613 SH SOLE 158895 0 52718
Copper Mountain COM 217510106 9 194023 SH SOLE 59998 0 134025
Coulter Pharmaceuticals COM 222116105 0 18000 SH SOLE 0 0 18000
Covad Communications COM 222814204 25 442077 SH SOLE 256924 0 185153
Critical Path COM 22674V100 19 204291 SH SOLE 159013 0 45278
Crown Castle Corp. COM N/A 2 74645 SH SOLE 0 0 74645
Cypress Semiconductor COM 232806109 0 12251 SH SOLE 0 0 12251
Dell Computer COM 247025109 3 58357 SH SOLE 0 0 58357
Ditech Communications COM 25500M103 10 109294 SH SOLE 39743 0 69551
Documentum, Inc. COM 256159104 18 302869 SH SOLE 179403 0 123466
Doubleclick COM 258609304 32 127266 SH SOLE 50200 0 77066
E.spire Communications COM 269153102 2 384298 SH SOLE 369986 0 14312
Ebay, Inc. COM 278642103 44 353042 SH SOLE 40000 0 313042
E-Tek Dynamics COM 269240107 37 247195 SH SOLE 100373 0 146822
Etoys, Inc. COM 297862104 1 56900 SH SOLE 6900 0 50000
Eclipsys Corporation COM 278856109 1 40530 SH SOLE 33775 0 6755
Emusic Corporation COM 292476108 1 65511 SH SOLE 65511 0 0
EntreMed COM 29382F103 2 75000 SH SOLE 0 0 75000
Entrust Technologies COM 293848107 2 28295 SH SOLE 0 0 28295
Exchange Applications COM 300867108 1 24108 SH SOLE 0 0 24108
Exodus Communications COM 300904109 21 241644 SH SOLE 100496 0 141148
Fatbrain.com COM 311889109 1 37771 SH SOLE 0 0 37771
Finisar COM 31787A101 2 17008 SH SOLE 0 0 17008
Flextronics Int'l COM Y2573F102 6 139320 SH SOLE 58658 0 80662
Fusion Medical Tech. COM 361128101 2 164251 SH SOLE 0 0 164251
Getty Images COM 374276103 3 63380 SH SOLE 0 0 63380
Gilead Sciences COM 375558103 4 76283 SH SOLE 65318 0 10965
Gliatech, Inc. COM 37929C103 0 15000 SH SOLE 0 0 15000
Globespan, Inc. COM 379571102 2 38129 SH SOLE 21451 0 16678
Guidant Corp. COM 401698105 1 11127 SH SOLE 0 0 11127
Healtheon Corp. COM 411109106 17 456967 SH SOLE 135956 0 321011
HearMe (Mpath) COM 62473C101 6 210816 SH SOLE 14238 0 196578
Human Genome Sciences COM 444903108 4 29037 SH SOLE 14637 0 14400
Hybrid Networks COM 44860K102 0 17515 SH SOLE 0 0 17515
ISOCOR COM 464902105 1 22731 SH SOLE 19779 0 2952
ISS Group, Inc. COM 450306105 25 354553 SH SOLE 132395 0 222158
Ilex Oncology COM 451923106 1 25669 SH SOLE 0 0 25669
Inhale Therapeutic Sys. COM 457191104 3 75000 SH SOLE 75000 0 0
Inktomi Corp. COM 457277101 5 53780 SH SOLE 22000 0 31780
Interwoven COM 46114T102 3 25430 SH SOLE 0 0 25430
Intraware COM 46118M103 14 170586 SH SOLE 170586 0 0
Intuit, Inc. COM 461202103 28 472910 SH SOLE 241515 0 231395
Juniper Networks COM 48203R104 66 195687 SH SOLE 50504 0 145183
Kana Communications COM 483600102 6 30864 SH SOLE 0 0 30864
Latitude Communications COM 518292107 13 484035 SH SOLE 331562 0 152473
Legato Sytems, Inc. COM 524651106 9 126226 SH SOLE 21274 0 104952
Linear Technology Corp. COM 535678106 9 128506 SH SOLE 30556 0 97950
Lucent Technologies COM 549463107 6 84815 SH SOLE 3352 0 81463
MMC Networks, Inc. COM 55308N102 13 386600 SH SOLE 216500 0 170100
MP3.com COM 62473M109 3 97402 SH SOLE 0 0 97402
Media Metrix, Inc. COM 58440X103 2 68565 SH SOLE 26666 0 41899
Medicalogic COM 584642102 1 31250 SH SOLE 0 0 31250
Medquist COM 584949101 2 93287 SH SOLE 5043 0 88244
Microchip Technology COM 595017104 5 76850 SH SOLE 59300 0 17550
Microsoft Corp. COM 594918104 1 10000 SH SOLE 0 0 10000
Millennium Pharm. COM 599902103 33 268527 SH SOLE 72000 0 196527
Nanophase Technologies COM 630079101 1 270885 SH SOLE 0 0 270885
Netperceptions COM 64107U101 3 66666 SH SOLE 0 0 66666
Network Appliance, Inc. COM 64120L104 7 80000 SH SOLE 40000 0 40000
NextCard, Inc. COM 65332K107 2 65634 SH SOLE 0 0 65634
Nextel Communications COM 65332V103 12 120000 SH SOLE 120000 0 0
Nortel Networks COM 656569100 15 143573 SH SOLE 3573 0 140000
Northpoint Comm. COM 666610100 10 409367 SH SOLE 0 0 409367
ONYX Software COM 683402101 8 220770 SH SOLE 135770 0 85000
PMC/ Sierra Semi. COM 69344F106 16 100582 SH SOLE 24497 0 76085
Pairgain Technologies COM 695934109 1 60682 SH SOLE 14013 0 46669
Parametric Tech. Corp. COM 699173100 3 104277 SH SOLE 1048 0 103229
PeopleSoft, Inc. COM 712713106 2 88163 SH SOLE 15207 0 72956
Pharmacyclics, Inc. COM 716933106 3 62527 SH SOLE 0 0 62527
Phone.com COM 71920Q100 1 9952 SH SOLE 0 0 9952
Protein Design Labs COM 74369L103 7 104325 SH SOLE 94325 0 10000
Quicklogic COM 74837P108 0 27556 SH SOLE 0 0 27556
Quokka Sports COM 749077103 1 90197 SH SOLE 0 0 90197
RF Micro Devices, Inc. COM 749941100 1 12000 SH SOLE 0 0 12000
RSA Security COM 814208104 62 796953 SH SOLE 584580 0 212373
Rambus, Inc. COM 750917106 5 75300 SH SOLE 25000 0 50300
Rational Software, Inc. COM 75409P207 11 220511 SH SOLE 56807 0 163704
Redback Networks COM 757209101 20 114918 SH SOLE 39918 0 75000
Remedy Corporation COM 759548100 2 45000 SH SOLE 0 0 45000
Rhythms Netconnections COM 762430205 10 314844 SH SOLE 62817 0 252027
S1 Corporation COM 78463B101 2 26580 SH SOLE 4340 0 22240
Sagent Technology COM 786693101 4 131386 SH SOLE 68550 0 62836
Saleslogix COM 79466P105 4 101497 SH SOLE 34911 0 66586
Scient Corp. COM 80864H109 38 446595 SH SOLE 39764 0 406831
Shire Pharmaceuticals COM N/A 11 1075002 SH SOLE 1075002 0 0
Skyepharma PLc COM 8308101 1 84015 SH SOLE 0 0 84015
Sun Microsystems COM 866810104 7 96354 SH SOLE 16532 0 79822
TMP Worldwide, Inc. COM 872941109 5 34200 SH SOLE 0 0 34200
Tellabs COM 879664100 4 69547 SH SOLE 0 0 69547
Transkaryotic Therapies COM 893735100 2 54250 SH SOLE 54250 0 0
Tut Systems COM 901103101 3 63090 SH SOLE 56640 0 6450
Tyco International COM 902124106 0 10172 SH SOLE 8849 0 1323
US Web Corp. COM 917327108 2 51138 SH SOLE 31281 0 19857
VA Linux COM 91819B105 45 218979 SH SOLE 0 0 218979
VeriSign, Inc. COM 92343E102 58 305170 SH SOLE 141680 0 163490
Verio, Inc. COM 923433106 13 278000 SH SOLE 213000 0 65000
Veritas Software COM 923436109 46 321347 SH SOLE 231347 0 90000
Vertel Corp. COM 924907108 2 427933 SH SOLE 0 0 427933
Vertex Pharmaceuticals COM 92532F100 5 138585 SH SOLE 95522 0 43063
Viant Corp. COM 92553N107 5 54099 SH SOLE 15640 0 38459
Vignette Corp. COM 926734104 69 423021 SH SOLE 308008 0 115013
Virata COM 927646109 1 26377 SH SOLE 0 0 26377
VisionAmerica COM 92832C104 0 75000 SH SOLE 75000 0 0
Visual Networks COM 928444108 8 99415 SH SOLE 17676 0 81739
Vitria Technology COM 92849Q104 18 78391 SH SOLE 0 0 78391
Vixel COM 928552108 1 47824 SH SOLE 0 0 47824
Voicestream Wireless COM 928615103 27 189905 SH SOLE 169905 0 20000
Webhire, Inc. COM 94768W104 0 22364 SH SOLE 11320 0 11044
WebVan COM 94845V103 8 521736 SH SOLE 0 0 521736
Western Wireless COM 95988E204 27 403143 SH SOLE 383143 0 20000
Wireless Facilities COM 97653A103 3 60096 SH SOLE 0 0 60096
YaHoo!, Inc. COM 984332106 58 134573 SH SOLE 39192 0 95381
</TABLE>
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