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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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: 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, Massachusetts
November 15, 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:
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FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 1
Form 13F Information Table Entry Total: 166
Form 13F Information Table Value Total (in thousands): $1,221,994
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
01 801-55041 High Rock Asset Management LLC
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<TABLE>
<CAPTION>
TITLE OF VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY
NAME OF ISSUER CLASS CUSIP X($1000) PRN AMT PRN CALL DISCRETN MANAGERS SOLE SHARED NONE
-------------- -------- ----- -------- ------- --- ---- -------- -------- ---- ------ ----
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
7-ELEVEN INC COM 817826100 221 112028 SH SOLE n/a 0 0 112028
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ACTEL CORP COM 004934105 9964 524400 SH SOLE n/a 440700 0 83700
ADVEST GROUP INC COM 007566102 11018 603700 SH SOLE n/a 501800 0 101900
ALBERTO CULVER CO CL. A CL A 013068200 26210 1339800 SH SOLE n/a 1114100 0 225700
ALEXANDER AND BALDWIN CO COM 014482103 12413 519915 SH SOLE n/a 432600 0 87315
ALLEN TELECOM INC COM 018091108 5711 585700 SH SOLE n/a 500900 0 84800
ALLTRISTA CORP COM 020040101 9401 359847 SH SOLE n/a 298417 0 61430
ALTERNATIVE RESOURCES
CORP COM 02145R102 3510 676700 SH SOLE n/a 560800 0 115900
AMCOL INTERNATIONAL CORP COM 02341W103 2002 135700 SH SOLE n/a 111700 0 24000
AMERICAN FIRST FNCL LP COM 023913106 0 13000 SH SOLE n/a 11200 0 1800
ANSYS INC COM 03662Q105 3731 377866 SH SOLE n/a 304466 0 73400
ARCH CHEMICALS INC COM 03937R102 13188 814700 SH SOLE n/a 678500 0 136200
ARMCO INC COM 042170100 843 120400 SH SOLE n/a 98300 0 22100
ARTESYN TECHNOLOGIES INC COM 043127109 12535 660800 SH SOLE n/a 549900 0 110900
ARTIC CAT, INC. COM 039670104 6827 713900 SH SOLE n/a 583300 0 130600
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AVADO BRANDS INC COM COM 05336P108 1733 308100 SH SOLE n/a 270900 0 37200
AVID TECHNOLOGY INC COM 05367P100 828 63100 SH SOLE n/a 52200 0 10900
BETHLEHEM STEEL CORP COM 087509105 10436 1415000 SH SOLE n/a 1177600 0 237400
BOB EVANS FARMS INC COM 096761101 14114 692688 SH SOLE n/a 574100 0 118588
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CABOT OIL & GAS CORP COM 127097103 6745 391000 SH SOLE n/a 317700 0 73300
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CARBIDE GRAPHITE GROUP
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CARPENTER TECHNOLOGY COM 144285103 2962 120900 SH SOLE n/a 101400 0 19500
CASTLE AND COOKE INC COM 148433105 6221 404600 SH SOLE n/a 335800 0 68800
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CLARCOR INC COM 179895107 7985 474955 SH SOLE n/a 394200 0 80755
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COLDWATER CREEK INC COM 193068103 640 32000 SH SOLE n/a 16800 0 15200
COMFORT SYSTEMS USA INC COM 199908104 18072 1529900 SH SOLE n/a 1264700 0 265200
COMMUNITY BANK SYSTEM COM 203607106 7394 270100 SH SOLE n/a 228400 0 41700
CONMED CORP COM 207410101 14722 600900 SH SOLE n/a 499500 0 101400
CYPRUS AMAX MINERALS CO COM 232809103 245 12500 SH SOLE n/a 12500 0 0
DAYTON SUPERIOR CORP COM 240028100 3349 197000 SH SOLE n/a 163900 0 33100
DEL MONTE FOODS COMPANY COM 24522P103 1079 76400 SH SOLE n/a 64500 0 11900
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EARTHGRAINS CO COM COM 270319106 12625 570600 SH SOLE n/a 471500 0 99100
ELECTRONICS BOUTIQUE
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EMCOR GROUP INC COM 29084Q100 3132 162700 SH SOLE n/a 132300 0 30400
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ESS TECHNOLOGY INC COM 269151106 12882 972200 SH SOLE n/a 801500 0 170700
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FIRST PL FINL CORP COM COM 33610T109 2346 206200 SH SOLE n/a 174400 0 31800
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FIRSTFED FINANCIAL CORP COM 337907109 19530 1124043 SH SOLE n/a 934700 0 189343
FREEDOM SECURITIES COM 35644K103 1594 118100 SH SOLE n/a 85600 0 32500
GENCORP INC COM 368682100 5309 289900 SH SOLE n/a 239700 0 50200
GENERAL SEMICONDUCTOR
INC COM 370787103 10633 1031100 SH SOLE n/a 857000 0 174100
GERBER SCIENTIFIC INC COM 373730100 12964 579414 SH SOLE n/a 482600 0 96814
GRACE WR AND CO COM 38388F108 19606 1197300 SH SOLE n/a 972100 0 225200
GUARDIAN BANCORP COM 401321104 0 243200 SH SOLE n/a 243200 0 0
HERMAN MILLER INC COM 600544100 13342 558100 SH SOLE n/a 467400 0 90700
HOLLYWOOD ENTERTAINMENT
CORP COM 436141105 16755 1117000 SH SOLE n/a 935500 0 181500
HORACE MANN EDUCATORS CORP COM 440327104 23332 903900 SH SOLE n/a 750600 0 153300
HOT TOPIC INC COM 441339108 2104 77200 SH SOLE n/a 64400 0 12800
HUTCHINSON TECHNOLOGY INC COM 448407106 243 9000 SH SOLE n/a 9000 0 0
IMCO RECYCLING INC COM 449681105 5844 389599 SH SOLE n/a 324400 0 65199
INNOVEX INC COM 457647105 3736 415100 SH SOLE n/a 345100 0 70000
INTERFACE INC COM 458665106 1078 210400 SH SOLE n/a 173600 0 36800
INTERNATIONAL HOME FOODS COM 459655106 15887 907800 SH SOLE n/a 755400 0 152400
INTERTAN INC COM 461120107 7503 382300 SH SOLE n/a 322800 0 59500
JEFFBANKS CORP COM 472317106 8120 281200 SH SOLE n/a 233800 0 47400
JOURNAL REGISTER CO COM 481138105 7425 540000 SH SOLE n/a 448100 0 91900
KENT ELECTRONICS CORP COM 490553104 14197 767400 SH SOLE n/a 643700 0 123700
KITTY HAWK INC COM 498326107 3640 359500 SH SOLE n/a 293300 0 66200
KLAMATH FIRST BANCORP INC COM 49842P103 5619 445100 SH SOLE n/a 369300 0 75800
KNIGHTSBRIDGE TANKERS LTD ORD G5299G106 7720 482500 SH SOLE n/a 439300 0 43200
LADD FURNITURE INC COM PAR $0.30 505739201 742 35000 SH SOLE n/a 35000 0 0
LANDRYS SEAFOOD RESTAURANT COM 51508L103 14058 1757300 SH SOLE n/a 1456800 0 300500
LIBERTY FINANCIAL COS COM 530512102 15255 695400 SH SOLE n/a 580800 0 114600
LUBRIZOL CORP COM 549271104 9910 385800 SH SOLE n/a 322700 0 63100
LYDALL INC COM 550819106 8255 800500 SH SOLE n/a 679000 0 121500
MATERIAL SCIENCES COM 576674105 7901 593500 SH SOLE n/a 483100 0 110400
MAXXIM MEDICAL INC COM 57777G105 9716 405900 SH SOLE n/a 337400 0 68500
MERRILL CORP COM 590175105 11004 551900 SH SOLE n/a 458000 0 93900
MICRO WAREHOUSE INC COM 59501B105 6496 538527 SH SOLE n/a 441200 0 97327
MIIX GROUP INC COM 59862V104 8796 519300 SH SOLE n/a 433100 0 86200
MIKASA INC COM 59862T109 3402 289500 SH SOLE n/a 239100 0 50400
MORRISON KNUDSEN CORP COM 61844A109 13486 1307700 SH SOLE n/a 1086700 0 221000
NATIONAL PRESTO INDUSTRY COM 637215104 16296 421900 SH SOLE n/a 349700 0 72200
NATIONAL SERVICE IND INC COM 637657107 6064 192500 SH SOLE n/a 159300 0 33200
NCH CORP COM 628850109 5165 114300 SH SOLE n/a 95200 0 19100
NEIMAN MARCUS GROUP COM 640204202 17440 746100 SH SOLE n/a 622000 0 124100
NELSON (THOMAS) INC. COM 640376109 10192 1045303 SH SOLE n/a 871100 0 174203
NETWORK EQUIPMENT TECH COM 641208103 7302 794800 SH SOLE n/a 665200 0 129600
NETWORK PLUS CORP COM 64122D506 14755 1068200 SH SOLE n/a 886500 0 181700
NORTHWEST PIPE CO COM 667746101 5030 321900 SH SOLE n/a 261800 0 60100
OFFSHORE LOGISTICS INC COM 676255102 7813 757600 SH SOLE n/a 627200 0 130400
PENNFED CAPITAL COM 708167101 4473 298200 SH SOLE n/a 261800 0 36400
PH GLATFELTER CO COM 377316104 9665 588000 SH SOLE n/a 493500 0 94500
PHILLIPS-VAN HEUSEN CORP COM 718592108 16809 1894000 SH SOLE n/a 1578200 0 315800
PIER 1 IMPORTS INC COM 720279108 16589 2527900 SH SOLE n/a 2099200 0 428700
PIONEER NATURAL RESOURCES
CO COM 723787107 10631 1000600 SH SOLE n/a 833300 0 167300
PIONEER-STANDARD ELEC COM 723877106 15320 1061100 SH SOLE n/a 882300 0 178800
PLAYERS INTERNATIONAL INC COM 727903106 5707 770500 SH SOLE n/a 621000 0 149500
PREMISYS COMMUNICATIONS COM 740584107 3323 399800 SH SOLE n/a 331500 0 68300
PULITZER PUBLISHING CO COM 745769109 5039 110900 SH SOLE n/a 91900 0 19000
PXRE GROUP COM G73018106 6955 477600 SH SOLE n/a 397400 0 80200
QUAKER CHEMICAL CORP COM 747316107 5357 322200 SH SOLE n/a 268300 0 53900
QUANTUM CORP - HARD
DISK DRIVE COM 747906303 9952 1338100 SH SOLE n/a 1112700 0 225400
QUEST DIAGNOSTICS INC COM 74834L100 2795 107500 SH SOLE n/a 86500 0 21000
RAINBOW TECHNOLOGIES INC COM 750862104 6338 482900 SH SOLE n/a 398200 0 84700
RAYMOND JAMES FINANCIAL
INC COM 754730109 10792 541300 SH SOLE n/a 449700 0 91600
REXALL SUNDOWN COM 761648104 4460 362200 SH SOLE n/a 300000 0 62200
RIGGS NATIONAL CORP COM 766570105 9586 568050 SH SOLE n/a 469350 0 98700
RPC INC COM 749660106 2337 336900 SH SOLE n/a 277300 0 59600
RPM INC COM 749685103 4405 361400 SH SOLE n/a 302000 0 59400
RUSSELL CORP COM 782352108 1352 95300 SH SOLE n/a 76500 0 18800
RYANS FAMILY STEAK HOUSES COM 783519101 6738 748685 SH SOLE n/a 621000 0 127685
SAFETY KLEEN CORP COM 78648r203 6984 579000 SH SOLE n/a 480100 0 98900
SCHEIN HENRY INC COM 806407102 6646 466400 SH SOLE n/a 386700 0 79700
SCHNITZER STL CL A CL A 806882106 3958 216900 SH SOLE n/a 175000 0 41900
SEACOAST FINL COM 81170Q106 3891 389100 SH SOLE n/a 325900 0 63200
SERVICE EXPERTS INC COM 817567100 10570 1018800 SH SOLE n/a 849400 0 169400
SILGAN HOLDINGS INC COM 827048109 3566 178300 SH SOLE n/a 166300 0 12000
SILICONIX INC COM NEW 827079203 6047 128659 SH SOLE n/a 103155 0 25504
SIPEX CORP COM 829909100 5568 389000 SH SOLE n/a 322800 0 66200
SOLA INTERNATIONAL INC COM 834092108 3426 221000 SH SOLE n/a 182500 0 38500
SPACELABS MEDICAL INC COM 846247104 2890 191100 SH SOLE n/a 149100 0 42000
ST MARY LD & EXPL CO COM COM 792228108 3068 117450 SH SOLE n/a 96950 0 20500
STAGE STORES INC COM 85254C107 2020 326400 SH SOLE n/a 273500 0 52900
STANDARD REGISTER CO COM 853887107 4195 178500 SH SOLE n/a 148100 0 30400
STERLING FINANCIAL CORP COM 859319105 2535 189500 SH SOLE n/a 173200 0 16300
STONE AND WEBSTER INC COM 861572105 15162 541500 SH SOLE n/a 449500 0 92000
STRIDE RITE CORP COM 863314100 5561 794400 SH SOLE n/a 659600 0 134800
SUPERTEX INC COM 868532102 5289 324200 SH SOLE n/a 261600 0 62600
TAKE TWO INTERACTIVE
SOFTWARE INC COM 874054109 4777 431800 SH SOLE n/a 354700 0 77100
TELTREND INC COM 87969R106 5583 275700 SH SOLE n/a 230700 0 45000
TIMKEN CO COM 887389104 5055 313500 SH SOLE n/a 253900 0 59600
TITAN CORP COM 888266103 11684 812800 SH SOLE n/a 675300 0 137500
TITANIUM METALS CORP COM 888339108 2847 318600 SH SOLE n/a 261600 0 57000
TOPPS CO INC COM 890786106 1814 241800 SH SOLE n/a 199700 0 42100
TRACTOR SUPPLY CO COM 892356106 6395 336600 SH SOLE n/a 279400 0 57200
TRIMBLE NAVIGATION LTD COM 896239100 3480 325600 SH SOLE n/a 269000 0 56600
TUBOSCOPE INC COM 898600101 5205 418500 SH SOLE n/a 347500 0 71000
ULTRATECH STEPPER INC COM 904034105 8319 652500 SH SOLE n/a 543400 0 109100
UNITED DOMINION COM 909914103 13554 570700 SH SOLE n/a 493000 0 77700
UNIVERSAL FOODS CORP COM 913538104 18038 786391 SH SOLE n/a 652900 0 133491
VALUE CITY DEPARTMENT
STORES COM 920387107 15747 1049800 SH SOLE n/a 877200 0 172600
VANS INC COM 921930103 5192 432700 SH SOLE n/a 359000 0 73700
VARCO INTERNATIONAL COM 922126107 2661 218300 SH SOLE n/a 179900 0 38400
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WALLACE COMPUTER SVCS INC COM 932270101 13588 671002 SH SOLE n/a 556000 0 115002
WATKINS-JOHNSON COMPANY COM 942486101 10592 315600 SH SOLE n/a 264200 0 51400
WATSCO INC COM 942622200 4264 374900 SH SOLE n/a 310300 0 64600
WELLMAN INC COM 949702104 6126 339139 SH SOLE n/a 281900 0 57239
WEST MARINE INC COM 954235107 2600 325000 SH SOLE n/a 256000 0 69000
WILSONS THE LEATHER
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WYMAN GORDON CO COM COM 983085101 232 12423 SH SOLE n/a 0 0 12423
ZIFF DAVIS INC COM 989511100 28682 1778700 SH SOLE n/a 1486900 0 291800
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