<PAGE> 1
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: June 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: High Rock Capital LLC
Address: 28 State Street
18th Floor
Boston, MA 02109
Form 13F File Number: 801-55041
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: Steven C. Wilner
Title: Vice President
Phone: (617) 747-5806
Signature, Place, and Date of Signing:
/s/ Steven C. Wilner
- ----------------------
Boston, Massacusetts
August 16, 1999
High Rock Asset Management LLC is the parent company and sole member of High
Rock Capital LLC. In accordance with 17 CFR 240.13f-1(b), High Rock Asset
Management LLC is deemed to exercise "investment discretion" with respect to
all accounts with which High Rock Capital LLC exercises "investment
discretion".
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:
<PAGE> 2
FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 1
Form 13F Information Table Entry Total: 187
Form 13F Information Table Value Total (in thousands): $1,222,485
List of Other Included Managers:
Provide a numbered list of the name(s) and Form 13F file number(s) of
all institutional investment managers with respect to which this report
is filed, other than the manager filing this report.
No. 13F File Number Name
01 Not yet assigned High Rock Asset Management LLC
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<TABLE>
<CAPTION>
Title Market Dis-
Security of Class Cusip Value Quantity Investment cretion Managers Voting Authority
Sole Shared Other Sole Shared None
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
7-ELEVEN INC COM COM 817826100 249 112028 112028 0 0 n/a 0 0 112028
ACKERLEY GROUP INC COM 004527107 2683 147500 147500 0 0 n/a 134600 0 12900
ACT MANUFACTURING INC COM 000973107 140 10000 10000 0 0 n/a 8600 0 1400
ACTEL CORP COM 004934105 9074 615200 615200 0 0 n/a 505500 0 109700
ADE CORP/MA COM 00089C107 5276 439700 439700 0 0 n/a 366500 0 73200
ADVEST GROUP INC COM 007566102 10966 550000 550000 0 0 n/a 458500 0 91500
AGCO CORP COM 001084102 5145 454800 454800 0 0 n/a 374800 0 80000
ALBERTO CULVER CO CL. A CL A 013068200 20368 895300 895300 0 0 n/a 735000 0 160300
ALEXANDER AND BALDWIN CO COM 014482103 8567 385015 385015 0 0 n/a 318100 0 66915
ALLEN TELECOM INC COM 018091108 7251 659200 659200 0 0 n/a 539500 0 119700
ALLTRISTA CORP COM 020040101 9205 278947 278947 0 0 n/a 231917 0 47030
ALTERNATIVE RESOURCES CORP COM 02145R102 6074 867700 867700 0 0 n/a 721100 0 146600
AMCOL INTERNATIONAL CORP COM 02341W103 7445 517900 517900 0 0 n/a 426500 0 91400
AMERICAN AXLE AND MANUFACTURING COM 024061103 1634 116700 116700 0 0 n/a 86900 0 29800
AMERICAN FIRST FNCL LP COM 023913106 0 13000 13000 0 0 n/a 11200 0 1800
AMERICAN MEDICAL COM 02744P101 156 18062 18062 0 0 n/a 0 0 18062
ANSYS INC COM 03662Q105 3561 358366 358366 0 0 n/a 288266 0 70100
ARCH CHEMICALS INC COM 03937R102 12239 503400 503400 0 0 n/a 404500 0 98900
ARDENT SOFTWARE INC COM 039794102 7731 363800 363800 0 0 n/a 303100 0 60700
ARMCO INC COM 042170100 159 24000 24000 0 0 n/a 24000 0 0
ASARCO INC COM 043413103 10377 551602 551602 0 0 n/a 454300 0 97302
AVISTA CORP COM COM 05379B107 218 13432 13432 0 0 n/a 0 0 13432
BECKMAN COULTER INC COM 075811109 14505 298300 298300 0 0 n/a 245600 0 52700
BMC INDUSTRIES INC COM 055607105 1661 161100 161100 0 0 n/a 135000 0 26100
BOB EVANS FARMS INC COM 096761101 14550 732088 732088 0 0 n/a 603000 0 129088
BOMBAY CO INC COM 097924104 6149 819800 819800 0 0 n/a 674900 0 144900
BRADLEES INC COM 104499207 3191 212700 212700 0 0 n/a 172100 0 40600
BROOKSTONE INC COM 114537103 175 11300 11300 0 0 n/a 11300 0 0
BROWN SHOE CO COM 115736100 8964 412141 412141 0 0 n/a 340900 0 71241
BUDGET GROUP COM 119003101 12792 1038929 1038929 0 0 n/a 861000 0 177929
BUFFETS INC COM 119882108 9421 819200 819200 0 0 n/a 675600 0 143600
BURLINGTON COAT FACTORY COM 121579106 19588 1014260 1014260 0 0 n/a 839400 0 174860
BURLINGTON INDUSTRIES INC COM 121693105 10256 1108729 1108729 0 0 n/a 916500 0 192229
CADMUS COMMUNICATIONS COM 127587103 4914 357400 357400 0 0 n/a 295500 0 61900
CALGON CARBON CORP COM 129603106 77 13000 13000 0 0 n/a 13000 0 0
CALLAWAY GOLF CO COM 131193104 6518 445700 445700 0 0 n/a 367500 0 78200
CARBIDE GRAPHITE GROUP INC COM 140777103 1184 82700 82700 0 0 n/a 68700 0 14000
CARRIAGE SERVICES INC COM 143905107 6597 353000 353000 0 0 n/a 292700 0 60300
CASTLE AND COOKE INC COM 148433105 3194 181200 181200 0 0 n/a 144000 0 37200
CHARMING SHOPPES INC COM 161133103 240 39400 39400 0 0 n/a 39400 0 0
CKE RESTAURANTS INC COM 12561E105 12286 756040 756040 0 0 n/a 617840 0 138200
CLARCOR INC COM 179895107 5445 283755 283755 0 0 n/a 234100 0 49655
COHOES BANCORP INC COM 192513109 300 25000 25000 0 0 n/a 18600 0 6400
COLDWATER CREEK INC COM 193068103 2915 149500 149500 0 0 n/a 125700 0 23800
COMFORT SYSTEMS USA INC COM 199908104 18904 1050200 1050200 0 0 n/a 867300 0 182900
COMMONWEALTH INDUS INC COM 203004106 3513 281000 281000 0 0 n/a 229700 0 51300
COMMUNITY BANK SYSTEM COM 203607106 3788 149300 149300 0 0 n/a 122100 0 27200
COMPUSA INC COM 204932107 9577 1287700 1287700 0 0 n/a 1062800 0 224900
CONMED CORP COM 207410101 6140 200500 200500 0 0 n/a 167600 0 32900
COOPER COMPANIES INC COM 216648402 15800 633600 633600 0 0 n/a 515600 0 118000
CORECOMM LTD COM G2422R109 288 5968 5968 0 0 n/a 0 0 5968
CRACKER BARREL OLD CNTY STORE COM 12489v106 14977 865100 865100 0 0 n/a 707100 0 158000
DAL-TILE INTL INC COM 23426R108 217 19100 19100 0 0 n/a 19100 0 0
DEB SHOPS INC COM 242728103 6535 328800 328800 0 0 n/a 271700 0 57100
DEL MONTE FOODS COMPANY COM 24522P103 5914 353100 353100 0 0 n/a 299800 0 53300
DOWNEY FINANCIAL CORP COM 261018105 10445 476140 476140 0 0 n/a 396700 0 79440
EARTHGRAINS CO COM COM 270319106 6332 245300 245300 0 0 n/a 200700 0 44600
ENTERTAINMENT PPTYS TR COM SH BEN INT COM 29380T105 227 12883 12883 0 0 n/a 0 0 12883
ESCO ELECTRONICS CORP COM 269030201 4568 356500 356500 0 0 n/a 293400 0 63100
FEDERAL SIGNAL CORP COM 313855108 6602 311600 311600 0 0 n/a 255200 0 56400
FIBREMARK INC COM 315646109 2168 164400 164400 0 0 n/a 136500 0 27900
FILENET CORP COM 316869106 5364 469000 469000 0 0 n/a 384000 0 85000
FINISH LINE INC CL. A CL A 317923100 8505 756000 756000 0 0 n/a 619700 0 136300
FIRST PL FINL CORP COM COM 33610T109 1479 120100 120100 0 0 n/a 96600 0 23500
FIRST WASHINGTON BANCORP COM 33748T104 1520 75784 75784 0 0 n/a 53810 0 21974
FIRSTFED FINANCIAL CORP COM 337907109 12319 639943 639943 0 0 n/a 531400 0 108543
FREEDOM SECURITIES COM 35644K103 3476 202955 202955 0 0 n/a 155300 0 47655
GENCORP INC COM 368682100 202 8000 8000 0 0 n/a 8000 0 0
GENERAL NUTRITION COS COM 37047F103 19937 855200 855200 0 0 n/a 704000 0 151200
GEON COMPANY COM 37246W105 5434 168500 168500 0 0 n/a 137800 0 30700
GERBER SCIENTIFIC INC COM 373730100 6268 284114 284114 0 0 n/a 235900 0 48214
GIANT CEMENT HOLDING INC COM 374450104 5674 248052 248052 0 0 n/a 204400 0 43652
GIANT INDS INC COM 374508109 2268 228200 228200 0 0 n/a 180100 0 48100
GUARDIAN BANCORP COM 401321104 0 243200 243200 0 0 n/a 243200 0 0
GYMBOREE CORP COM 403777105 3006 286252 286252 0 0 n/a 238600 0 47652
HAVEN BANCORP INC COM 419352109 5000 312500 312500 0 0 n/a 261700 0 50800
HELEN OF TROY CORP COM G4388N106 11387 634800 634800 0 0 n/a 522800 0 112000
HERMAN MILLER INC COM 600544100 9356 445500 445500 0 0 n/a 368600 0 76900
HOLLYWOOD ENTERTAINMENT CORP COM 436141105 6383 326300 326300 0 0 n/a 267900 0 58400
HORACE MANN EDUCATORS CORP COM 440327104 6359 233900 233900 0 0 n/a 191900 0 42000
IMCO RECYCLING INC COM 449681105 4703 274599 274599 0 0 n/a 222700 0 51899
IN FOCUS SYSTEMS INC COM 452919103 11776 785074 785074 0 0 n/a 654500 0 130574
INSTRON CORP COM 457776102 2505 123700 123700 0 0 n/a 115000 0 8700
INTEGRATED DEVICE TECH INC COM 458118106 18206 1674100 1674100 0 0 n/a 1376400 0 297700
INTERFACE INC COM 458665106 3906 452900 452900 0 0 n/a 373000 0 79900
INTERNATIONAL HOME FOODS COM 459655106 11439 620400 620400 0 0 n/a 505000 0 115400
INTERPOOL INC COM 46062R108 5183 398700 398700 0 0 n/a 322100 0 76600
INTERTAN INC COM 461120107 13080 654000 654000 0 0 n/a 535000 0 119000
JEFFBANKS CORP COM 472317106 3057 107500 107500 0 0 n/a 87900 0 19600
JOURNAL REGISTER CO COM 481138105 5355 238000 238000 0 0 n/a 196000 0 42000
KLAMATH FIRST BANCORP INC COM 49842P103 6078 405200 405200 0 0 n/a 332800 0 72400
KNIGHTSBRIDGE TANKERS LTD ORD G5299G106 3878 221600 221600 0 0 n/a 210600 0 11000
LADD FURNITURE INC COM PAR $0.30 505739201 10309 490900 490900 0 0 n/a 417500 0 73400
LAM RESEARCH CORP COM 512807108 6499 139200 139200 0 0 n/a 114500 0 24700
LANDRYS SEAFOOD RESTAURANT COM 51508L103 6610 826200 826200 0 0 n/a 675400 0 150800
LESCO INC COM 526872106 6950 363400 363400 0 0 n/a 318900 0 44500
LIBERTY FINANCIAL COS COM 530512102 9693 332800 332800 0 0 n/a 274400 0 58400
LYDALL INC COM 550819106 7846 682300 682300 0 0 n/a 625100 0 57200
MARSHALL INDUSTRIES COM 572393106 20057 558114 558114 0 0 n/a 454700 0 103414
MATERIAL SCIENCES COM 576674105 9368 624500 624500 0 0 n/a 498100 0 126400
MATTSON TECHNOLOGY INC COM 577223100 8325 659400 659400 0 0 n/a 537900 0 121500
MAXXIM MEDICAL INC COM 57777G105 8271 354800 354800 0 0 n/a 291700 0 63100
MCWHORTER TECHNOLOGIES COM 582803102 205 14200 14200 0 0 n/a 12700 0 1500
MICRO WAREHOUSE INC COM 59501B105 11131 622727 622727 0 0 n/a 518900 0 103827
MIKASA INC COM 59862T109 2772 245000 245000 0 0 n/a 202900 0 42100
MORGAN KEEGAN INC COM 617410105 12309 650000 650000 0 0 n/a 553700 0 96300
MORRISON KNUDSEN CORP COM 61844A109 4847 470000 470000 0 0 n/a 384400 0 85600
NATIONAL PRESTO INDUSTRY COM 637215104 1561 40800 40800 0 0 n/a 29400 0 11400
NATIONAL RV HOLDINGS INC COM 637277104 4392 181100 181100 0 0 n/a 145000 0 36100
NATIONAL SERVICE IND INC COM 637657107 11722 325600 325600 0 0 n/a 266900 0 58700
NCH CORP COM 628850109 5485 110800 110800 0 0 n/a 90000 0 20800
NEIMAN MARCUS GROUP COM 640204103 7365 286700 286700 0 0 n/a 245800 0 40900
NELSON (THOMAS) INC. COM 640376109 8406 755603 755603 0 0 n/a 617700 0 137903
NETWORK EQUIPMENT TECH COM 641208103 5327 539400 539400 0 0 n/a 456200 0 83200
NFO WORLDWIDE COM 62910N108 3889 277800 277800 0 0 n/a 209300 0 68500
NORSTAN INC COM 656535101 1430 115000 115000 0 0 n/a 102000 0 13000
OCULAR SCIENCES INC COM 675744106 5775 332400 332400 0 0 n/a 272100 0 60300
OFFICEMAX INC COM 67622M108 11791 982600 982600 0 0 n/a 815500 0 167100
OFFSHORE LOGISTICS INC COM 676255102 5491 493600 493600 0 0 n/a 409400 0 84200
PENNFED CAPITAL COM 708167101 3958 251300 251300 0 0 n/a 217300 0 34000
PENZOIL CO COM 709323109 5309 353900 353900 0 0 n/a 289900 0 64000
PEP BOYS MANNY MOE AND JACK COM 713278109 14051 669100 669100 0 0 n/a 554700 0 114400
PERRIGO CO COM 714290103 3176 416556 416556 0 0 n/a 343300 0 73256
PFF BANCORP INC COM 69331W104 641 34200 34200 0 0 n/a 34200 0 0
PHILLIPS-VAN HEUSEN CORP COM 718592108 15219 1521900 1521900 0 0 n/a 1258700 0 263200
PIER 1 IMPORTS INC COM 720279108 6418 570500 570500 0 0 n/a 473700 0 96800
PLAYERS INTERNATIONAL INC COM 727903106 2689 374100 374100 0 0 n/a 307700 0 66400
POOL ENERGY SVCS CO COM 732788104 4123 202963 202963 0 0 n/a 167700 0 35263
PULITZER PUBLISHING CO COM 745769109 9688 199500 199500 0 0 n/a 163800 0 35700
PXRE CORP COM 693674103 5579 307800 307800 0 0 n/a 253100 0 54700
QUAKER CHEMICAL CORP COM 747316107 5484 337500 337500 0 0 n/a 288600 0 48900
RAYMOND JAMES FINANCIAL INC COM 754730109 10927 455300 455300 0 0 n/a 384200 0 71100
RIGGS NATIONAL CORP COM 766570105 7450 362300 362300 0 0 n/a 300000 0 62300
RPC INC COM 749660106 2470 282300 282300 0 0 n/a 225000 0 57300
RPM INC COM 749685103 470 33100 33100 0 0 n/a 33100 0 0
RYANS FAMILY STEAK HOUSES COM 783519101 5626 483985 483985 0 0 n/a 397800 0 86185
SANTA FE SNYDER CORP COM 80218K105 14329 1791143 1791143 0 0 n/a 1485620 0 305523
SCHNITZER STL CL A CL A 806882106 2636 117500 117500 0 0 n/a 92300 0 25200
SCOTSMAN INDUSTRIES INC COM 809340102 2068 95900 95900 0 0 n/a 81000 0 14900
SEACOAST FINL COM 81170Q106 1023 89900 89900 0 0 n/a 73500 0 16400
SERVICE EXPERTS INC COM 817567100 9524 435400 435400 0 0 n/a 357200 0 78200
SHAW GROUP INC COM 820280105 4119 259451 259451 0 0 n/a 210300 0 49151
SILGAN HOLDINGS INC COM 827048109 5348 269100 269100 0 0 n/a 247300 0 21800
SILICONIX INC COM NEW 827079203 4535 132397 132397 0 0 n/a 107293 0 25104
SIPEX CORP COM 829909100 6603 322100 322100 0 0 n/a 266400 0 55700
SMART MODULAR TECH INC COM 831690102 7605 437700 437700 0 0 n/a 359100 0 78600
SOLA INTERNATIONAL INC COM 834092108 18833 968900 968900 0 0 n/a 797900 0 171000
SPACELABS MEDICAL INC COM 846247104 7607 403000 403000 0 0 n/a 330900 0 72100
STANDARD REGISTER CO COM 853887107 2094 68100 68100 0 0 n/a 56500 0 11600
STONE AND WEBSTER INC COM 861572105 8666 325500 325500 0 0 n/a 262800 0 62700
STRUCTURAL DYNAMICS RES COM 863555108 3107 167400 167400 0 0 n/a 132500 0 34900
SYBASE INC COM 871130100 4393 399356 399356 0 0 n/a 330000 0 69356
TESORO PETROLEUM CORP COM 881609101 8962 562300 562300 0 0 n/a 461300 0 101000
TITAN CORP COM 888266103 9472 861100 861100 0 0 n/a 708000 0 153100
TORO CO COM 891092108 5524 140300 140300 0 0 n/a 120500 0 19800
TRACTOR SUPPLY CO COM 892356106 5812 212800 212800 0 0 n/a 174500 0 38300
TRAMMELL CROW CO COM 89288R106 4900 298100 298100 0 0 n/a 273400 0 24700
TRIMBLE NAVIGATION LTD COM 896239100 2455 190700 190700 0 0 n/a 145900 0 44800
TRUE NORTH COMM COM 897844106 10356 348100 348100 0 0 n/a 289500 0 58600
TUSCARORA INC COM 900902107 538 39700 39700 0 0 n/a 30600 0 9100
UCAR INTERNATIONAL INC COM 90262K109 273 10800 10800 0 0 n/a 10800 0 0
ULTRATECH STEPPER INC COM 904034105 8333 553200 553200 0 0 n/a 453900 0 99300
UNITED DOMINION COM 909914103 6834 281800 281800 0 0 n/a 240800 0 41000
UNIVERSAL FOODS CORP COM 913538104 12580 595491 595491 0 0 n/a 482800 0 112691
US INDUSTRIES INC COM 912080108 223 13100 13100 0 0 n/a 13100 0 0
VALUE CITY DEPARTMENT STORES COM 920387107 3492 285100 285100 0 0 n/a 235400 0 49700
VANS INC COM 921930103 5463 477000 477000 0 0 n/a 379100 0 97900
VANTIVE CORP COM 922091103 8409 735200 735200 0 0 n/a 602600 0 132600
VARCO INTERNATIONAL COM 922126107 6689 618600 618600 0 0 n/a 508000 0 110600
VARIAN INC. COM 922206107 14729 1091000 1091000 0 0 n/a 902200 0 188800
VARIAN MEDICAL SYSTEMS COM 92220P105 227 9000 9000 0 0 n/a 9000 0 0
VENTAS INC COM COM 92276F100 58 10873 10873 0 0 n/a 0 0 10873
VICORP RESTAURANTS, INC. COM 925817108 6914 397900 397900 0 0 n/a 356300 0 41600
VISHAY INTERTECH INC COM 928298108 20011 952924 952924 0 0 n/a 783200 0 169724
WALLACE COMPUTER SVCS INC COM 932270101 5533 221302 221302 0 0 n/a 186700 0 34602
WATKINS-JOHNSON COMPANY COM 942486101 3478 117900 117900 0 0 n/a 98100 0 19800
WATSCO INC COM 942622200 398 24300 24300 0 0 n/a 10500 0 13800
WELLMAN INC COM 949702104 7698 483039 483039 0 0 n/a 401900 0 81139
WEST MARINE INC COM 954235107 10789 740900 740900 0 0 n/a 605000 0 135900
WEST TELESERVICES CORP COM 956188106 689 73500 73500 0 0 n/a 68100 0 5400
WILSONS THE LEATHER EXPERTS COM 972463103 3107 189000 189000 0 0 n/a 162100 0 26900
WOLVERINE TUBE INC COM 978093102 7759 308800 308800 0 0 n/a 255600 0 53200
WOLVERINE WORLD WIDE COM 978097103 8440 602862 602862 0 0 n/a 496800 0 106062
WORTHINGTON FOODS INC COM 981809106 1967 119195 119195 0 0 n/a 90300 0 28895
WR GRACE AND CO COM 38388F108 17140 902100 902100 0 0 n/a 745100 0 157000
WYMAN GORDON CO COM COM 983085101 240 12423 12423 0 0 n/a 0 0 12423
ZIFF DAVIS INC COM 989511100 16866 1110500 1110500 0 0 n/a 912800 0 197700
</TABLE>
