<PAGE> 1
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: March 31, 2000
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
May 12, 2000
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: 186
Form 13F Information Table Value Total (in thousands): $1,580,278
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
<PAGE> 3
<TABLE>
<CAPTION>
TITLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY
NAME OF ISSUER OF 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>
ACTEL CORP COM COMM 004934105 21598 605200 SH SOLE 509800 95400
ACUSON CORP COMM 005113105 1361 91900 SH SOLE 72100 19800
ADAC LABORATORIES COMM 005313200 1166 84800 SH SOLE 78400 6400
ADVEST GROUP INC COMM 007566102 4374 230200 SH SOLE 190900 39300
AGCO CORP COMM 001084102 5331 468700 SH SOLE 395600 73100
AK STEEL HOLDING CORP COMM 001547108 9064 873600 SH SOLE 740300 133300
ALBANY INTL CORP COM CL A COMM 012348108 10683 721182 SH SOLE 614798 106384
ALBEMARLE CORP COMM 012653101 4808 231700 SH SOLE 189100 42600
ALBERTO CULVER CO CL A COMM 013068200 31273 1429600 SH SOLE 1200800 228800
ALEXANDER AND BALDWIN CO COMM 014482103 1040 50400 SH SOLE 39700 10700
ALLIANT TECHSYSTEMS INC COM COMM 018804104 16679 283300 SH SOLE 238600 44700
ALTERNATIVE RESOURCES CORP COMM 02145R102 885 382500 SH SOLE 318700 63800
AMERICAN EAGLE OUTFITTERS COMM 02553E106 12584 331700 SH SOLE 277600 54100
AMERICAN FINANCIAL GROUP INC COMM 025932104 263 9200 SH SOLE 9200 0
AMERICAN FINANCIAL HOLDINGS COMM 026075101 8334 690900 SH SOLE 570700 120200
AMERICAN FREIGHTWAYS CORP COMM 02629V108 6405 428800 SH SOLE 350600 78200
AMERISOURCE HEALTHCARE CORP CL A COMM 03071P102 26417 1761100 SH SOLE 1484400 276700
ANIXTER INTERNATIONAL INC COM COMM 035290105 8772 314700 SH SOLE 259900 54800
ANNTAYLOR STORES CORP COMM 036115103 24136 1049400 SH SOLE 884500 164900
APPLIED POWER INC CL A COMM 038225108 26209 919600 SH SOLE 780000 139600
ARCH CHEMICALS INC COM STK COMM 03937R102 5640 282000 SH SOLE 232900 49100
ARTESYN TECHNOLOGIES INC COM COMM 043127109 7452 393500 SH SOLE 324600 68900
ASTORIA FINL CORP COM COMM 046265104 12916 455201 SH SOLE 382200 73001
AVNET INC COM COMM 053807103 47653 756400 SH SOLE 635500 120900
AVT CORP COM COMM 002420107 532 45000 SH SOLE 38600 6400
BALL CORPORATION COMM 058498106 5139 148700 SH SOLE 124400 24300
BALLY TOTAL FITNESS HOLDINGS COMM 05873K108 11162 455600 SH SOLE 381400 74200
BANK UTD CORP CL A COM COMM 065412108 7556 239400 SH SOLE 197900 41500
BE AEROSPACE INC COMM 073302101 492 83700 SH SOLE 83700 0
BE SEMICONDUCTOR INDUSTRIES COMM 073320103 7873 470000 SH SOLE 400100 69900
</TABLE>
<PAGE> 4
<TABLE>
<CAPTION>
TITLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY
NAME OF ISSUER OF 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>
BELDEN INC COMM 077459105 23001 836400 SH SOLE 706900 129500
BINDLEY WESTERN INDUSTRIES INC COMM 090324104 3168 233600 SH SOLE 197600 36000
BOMBAY CO INC USD1 COM COMM 097924104 1858 560900 SH SOLE 464400 96500
BOSTON BEER CO INC CL A COMM 100557107 5858 781100 SH SOLE 634900 146200
BROWN SHOE CO COMM 115736100 9063 755241 SH SOLE 620600 134641
BUFFETS INC COMM 119882108 92 10200 SH SOLE 10200 0
BURLINGTON INDS INC NEW COM COMM 121693105 8520 1947429 SH SOLE 1626400 321029
BUSH BOAKE ALLEN INC COMM 123162109 2509 90200 SH SOLE 74100 16100
C D I CORP COM COMM 125071100 5599 294700 SH SOLE 240900 53800
CADMUS COMMUNICATIONS COMM 127587103 3005 338600 SH SOLE 282100 56500
CALLAWAY GOLF CO COMM 131193104 4410 284500 SH SOLE 239300 45200
CASTLE AND COOKE INC COMM 148433105 8996 535100 SH SOLE 438600 96500
CATELLUS DEVELOPMENT CORP COMM 149111106 12630 910300 SH SOLE 764200 146100
CEC ENTERTAINMENT INC COMM 125137109 4839 178400 SH SOLE 146100 32300
CENTRAL NEWSPAPERS INC COMM 154647101 19828 593000 SH SOLE 499500 93500
CHECKPOINT SYSTEMS INC COMM 162825103 5511 658000 SH SOLE 544200 113800
CITY NATIONAL CORP COMM 178566105 5528 164100 SH SOLE 135200 28900
CLAIRE'S STORES INC COMM 179584107 1226 61100 SH SOLE 48900 12200
CLARCOR INC COMM 179895107 5450 307055 SH SOLE 253700 53355
CLEVELAND CLIFFS INC COM COMM 185896107 7026 297400 SH SOLE 244400 53000
CNH GLOBAL N.V. COMM N20935107 616 62400 SH SOLE 62400 0
COHU INC COMM 192576106 11543 276900 SH SOLE 228500 48400
COMFORT SYSTEMS USA INC COMM 199908104 3669 575600 SH SOLE 473300 102300
COMMUNITY BANK SYSTEM COMM 203607106 6326 277300 SH SOLE 228000 49300
CONSOLIDATED STORES CORP COM COMM 210149100 3451 303400 SH SOLE 249800 53600
COVANCE INC COMM 222816100 18578 1728200 SH SOLE 1449100 279100
CRACKER BARREL OLD CNTY STORE COMM 12489v106 5625 562500 SH SOLE 411900 150600
CROMPTON CORP COMM 227116100 7625 748500 SH SOLE 618900 129600
CSK AUTO CORP COMM 125965103 4573 328100 SH SOLE 269800 58300
DAYTON SUPERIOR CORP COMM 240028100 13319 528800 SH SOLE 451600 77200
DEB SHOPS INC COM COMM 242728103 2842 206700 SH SOLE 171500 35200
DEL MONTE FOODS COMPANY COMM 24522P103 6513 609400 SH SOLE 512500 96900
DIAL CORP NEW COM COMM 25247D101 12529 911200 SH SOLE 751300 159900
DORAL FINL CORP COM COMM 25811P100 912 80600 SH SOLE 80600 0
DOWNEY FINANCIAL CORP COMM 261018105 4221 198640 SH SOLE 166000 32640
</TABLE>
<PAGE> 5
<TABLE>
<CAPTION>
TITLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY
NAME OF ISSUER OF 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>
DURA AUTOMOTIVE COMM 265903104 5565 323800 SH SOLE 265600 58200
ELECTRONICS BOUTIQUE HOLDINGS COMM 286045109 9230 482600 SH SOLE 397400 85200
ESS TECHNOLOGY INC COMM 269151106 2041 116600 SH SOLE 100400 16200
EVEREST RE GROUP LTD COM STK COMM G3223R108 13993 428900 SH SOLE 354600 74300
FILENES BASEMENT COMM 316866102 1 11400 SH SOLE 11400 0
FINISH LINE INC CL A COMM 317923100 7262 744800 SH SOLE 618900 125900
FIRST WASHINGTON BANCORP COMM 33748T104 5879 322120 SH SOLE 264110 58010
FIRSTFED FINANCIAL CORP COM COMM 337907109 19489 1470843 SH SOLE 1233300 237543
FLEMING COS INC COM COMM 339130106 6204 411900 SH SOLE 342000 69900
FOAMEX INTL COMM 344123104 1997 211600 SH SOLE 211600 0
FOOTSTAR INC COMM 344912100 4777 169100 SH SOLE 138600 30500
FOREST OIL CORP COMM 346091606 6042 568700 SH SOLE 461600 107100
FOSSIL INC COM COMM 349882100 7786 332200 SH SOLE 278800 53400
FSI INTL INC COM COMM 302633102 9215 449500 SH SOLE 370200 79300
GENERAL SEMICONDUCTOR INC COMM 370787103 20831 1207600 SH SOLE 1010200 197400
GENESCO INC COM COMM 371532102 11393 868000 SH SOLE 729900 138100
GENRAD INC COM COMM 372447102 12457 1006600 SH SOLE 853800 152800
GENZYME CORP SURGICAL PRODS COMM 372917609 12046 1025200 SH SOLE 867900 157300
GEON COMPANY COMM 37246W105 18165 844900 SH SOLE 708100 136800
GRACE WR AND CO COMM 38388F108 6247 485200 SH SOLE 391300 93900
GREAT ATLANTIC & PACIFIC TEA COMM 390064103 4746 243400 SH SOLE 201100 42300
HANNA M A CO COM COMM 410522106 23451 2073000 SH SOLE 1735900 337100
HARLAND (J.H.) CO COMM 412693103 6377 472400 SH SOLE 388500 83900
HELMERICH & PAYNE INC COMM 423452101 7034 226900 SH SOLE 192000 34900
HOLLYWOOD ENTERTAINMENT CORP COMM 436141105 8186 1015300 SH SOLE 839900 175400
HON INDS INC COM COMM 438092108 10931 424500 SH SOLE 363700 60800
HORACE MANN EDUCATORS CORP COMM 440327104 8939 484800 SH SOLE 405800 79000
HOUSTON EXPLORATION CO COMM 442120101 9000 500000 SH SOLE 408500 91500
HUSSMAN INTERNATIONAL COMM 448110106 6213 489700 SH SOLE 407200 82500
HYPERCOM CORP COMM 44913M105 15436 901400 SH SOLE 765600 135800
IMATION CORP COMM 45245A107 6971 261200 SH SOLE 215500 45700
IMC GLOBAL INC COMM 449669100 10421 709500 SH SOLE 594500 115000
IMCO RECYCLING INC COMM 449681105 3523 318499 SH SOLE 263600 54899
INTERIM SERVICES INC COMM 45868P100 4275 230300 SH SOLE 188100 42200
INTERNATIONAL HOME FOODS COMM 459655106 4370 273100 SH SOLE 229500 43600
</TABLE>
<PAGE> 6
<TABLE>
<CAPTION>
TITLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY
NAME OF ISSUER OF 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>
INTERTAN INC COMM 461120107 6659 484300 SH SOLE 395800 88500
INVACARE CORP COMM 461203101 22504 820200 SH SOLE 689100 131100
JLM INDS INC COMM 46621D103 123 20000 SH SOLE 20000 0
KITTY HAWK INC COMM 498326107 2063 434300 SH SOLE 343700 90600
KLAMATH FIRST BANCORP INC COMM 49842P103 3743 356500 SH SOLE 294200 62300
KNIGHTSBRIDGE TANKERS LTD COMM G5299G106 7121 399800 SH SOLE 342900 56900
LANCE INC COMM 514606102 7339 690700 SH SOLE 574500 116200
LANDRYS SEAFOOD RESTAURANT COMM 51508L103 6728 1055300 SH SOLE 874400 180900
LEE ENTERPRISES INC COMM 523768109 7315 280000 SH SOLE 231600 48400
LIBERTY FINANCIAL COS COMM 530512102 11921 601700 SH SOLE 497900 103800
LOUIS DREYFUS NATURAL GAS CORP COMM 546011107 3146 92525 SH SOLE 78100 14425
MACNEAL SCHWNDLER COMM 553531104 8224 696200 SH SOLE 575800 120400
MANTOWOC COMM 563571108 11396 414400 SH SOLE 348000 66400
MAPICS INC COMM 564910107 7001 439300 SH SOLE 362200 77100
MENTOR GRAPHICS CORP COMM 587200106 2195 145100 SH SOLE 119500 25600
MEREDITH CORP COMM 589433101 11800 426200 SH SOLE 351700 74500
MIIX GROUP INC COMM 59862V104 4754 341100 SH SOLE 280700 60400
MILACRON INC COM COMM 598709103 3113 215600 SH SOLE 176800 38800
MODIS PROFESSIONAL SERVICES COMM 607830106 12624 1020100 SH SOLE 856900 163200
MONY GROUP INC COMM 615337102 4113 127300 SH SOLE 104000 23300
NATIONAL PRESTO INDUSTRY COMM 637215104 6515 199700 SH SOLE 163700 36000
NCI BLDG SYS INC COMM 628852105 679 36100 SH SOLE 36100 0
NEIMAN MARCUS B COM STK COMM 640204301 28460 1034900 SH SOLE 877600 157300
NELSON (THOMAS) INC. COMM 640376109 4824 607703 SH SOLE 501800 105903
NETWORK EQUIPMENT TECH COMM 641208103 2132 213200 SH SOLE 177900 35300
NEUBERGER BERMAN COMM 641234109 5550 196900 SH SOLE 165600 31300
OCULAR SCIENCES INC COMM 675744106 4015 255200 SH SOLE 209800 45400
OFFICEMAX INC COMM 67622M108 1057 162600 SH SOLE 136400 26200
OFFSHORE LOGISTICS INC COMM 676255102 6613 476600 SH SOLE 393800 82800
OGDEN CORP COMM 676346109 10629 890400 SH SOLE 743000 147400
OLIN CORP COMM 680665205 20263 1141600 SH SOLE 960400 181200
O'REILLY AUTOMOTIVE INC COMM 686091109 4106 289400 SH SOLE 238000 51400
PACIFIC CENTURY FINANCIAL CORP COMM 694058108 4788 235700 SH SOLE 193700 42000
PARKER DRILLING CO COMM 701081101 6355 1271000 SH SOLE 1050900 220100
PENZOIL CO COMM 709323109 11525 1104200 SH SOLE 925000 179200
</TABLE>
<PAGE> 7
<TABLE>
<CAPTION>
TITLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY
NAME OF ISSUER OF 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>
PH GLATFELTER CO COMM 377316104 9254 871000 SH SOLE 737000 134000
PHILLIPS-VAN HEUSEN CORP COMM 718592108 10913 1419600 SH SOLE 1198300 221300
PIONEER-STANDARD ELEC COMM 723877106 9719 617100 SH SOLE 510800 106300
PLAYTEX PRODS INC COMM 72813P100 5777 444400 SH SOLE 367900 76500
POLAROID CORP COMM 731095105 7510 316200 SH SOLE 274700 41500
PROGRESS SOFTWARE CORP COMM 743312100 4538 193600 SH SOLE 160100 33500
PULTE GROUP COMM 745867101 3144 150600 SH SOLE 124100 26500
QUIKSILVER INC COMM 74838C106 12081 687900 SH SOLE 589700 98200
QUORUM HEALTH GROUP INC COMM 749084109 500 49700 SH SOLE 39200 10500
RAYMOND JAMES FINANCIAL INC COMM 754730109 253 12200 SH SOLE 12200 0
REEBOK INTERNATIONAL COMM 758110100 11871 1283300 SH SOLE 1058600 224700
RESPIRONICS INC COMM 761230101 5931 412600 SH SOLE 341700 70900
ROBBINS AND MYERS INC COMM 770196103 5214 220700 SH SOLE 182400 38300
RPM INC COMM 749685103 5343 485700 SH SOLE 401400 84300
RUDDICK CORP COM COMM 781258108 3603 329400 SH SOLE 272300 57100
RUSS BERRIE AND CO INC COMM 782233100 10865 587300 SH SOLE 493000 94300
RUSSELL CORP COMM 782352108 9684 676600 SH SOLE 579100 97500
RYERSON TULL INC COMM 78375P107 11520 743200 SH SOLE 626200 117000
SANTA FE SNYDER CORP COMM 80218K105 27151 2858000 SH SOLE 2397400 460600
SCHOOL SPECIALTY INC COMM 807863105 17770 826500 SH SOLE 704300 122200
SEROLOGICALS CORPORATION COMM 817523103 2255 414700 SH SOLE 342800 71900
SILICON VALLEY GROUP INC COMM 827066101 9477 344600 SH SOLE 292000 52600
SLI INC COM COMM 78442T108 7558 444600 SH SOLE 364900 79700
SNYDER COMMUNICATIONS INC COMM 832914105 17600 782200 SH SOLE 658500 123700
SPECIALTY EQUIPMENT COS COMM 847497203 2424 116800 SH SOLE 86400 30400
STEEL DYNAMICS INC COMM 858119100 10823 936000 SH SOLE 789700 146300
STEELCASE INC COM STK COMM 858155203 246 20500 SH SOLE 20500 0
STERIS CORP COMM 859152100 5696 555700 SH SOLE 458900 96800
STERLING BANCORP COMM 859158107 469 31260 SH SOLE 31260 0
STERLING FINANCIAL CORP COMM 859319105 2510 251000 SH SOLE 207300 43700
STRIDE RITE CORP COMM 863314100 4890 606500 SH SOLE 510400 96100
TECH DATA CORP COMM 878237106 9277 282200 SH SOLE 237700 44500
THOMAS AND BETTS CORP COMM 884315102 32544 1152000 SH SOLE 964200 187800
TOMMY HILFIGER CORP COMM G8915Z102 15608 1076400 SH SOLE 905300 171100
TORO CO COM COMM 891092108 18792 627700 SH SOLE 530300 97400
</TABLE>
<PAGE> 8
<TABLE>
<CAPTION>
TITLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY
NAME OF ISSUER OF 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>
TREDEGAR INDUSTRIES INC COMM 894650100 20820 772900 SH SOLE 650600 122300
UCAR INTERNATIONAL INC COMM 90262K109 1575 119400 SH SOLE 99200 20200
ULTRATECH STEPPER INC COMM 904034105 4255 298600 SH SOLE 252100 46500
VANS INC COMM 921930103 11592 718900 SH SOLE 600100 118800
VENATOR GROUP INC COM COMM 922944103 13904 1555700 SH SOLE 1308300 247400
VICORP RESTAURANTS, INC. COMM 925817108 4929 236123 SH SOLE 198761 37362
WAUSAU-MOSINEE PAPER COMM 943315101 6433 497200 SH SOLE 410800 86400
WESLEY JESSEN VISIONCR COM COMM 951018100 302 8400 SH SOLE 8400 0
WESTPOINT STEVENS INC COMM 961238102 9188 483600 SH SOLE 411200 72400
WILSONS THE LEATHER EXPERTS COMM 972463103 2913 215800 SH SOLE 179500 36300
WISCONSIN CENTRAL TRANS COMM 976592105 820 66900 SH SOLE 55100 11800
XIRCOM INC COM COMM 983922105 14171 383000 SH SOLE 319200 63800
YELLOW CORPORATION COMM 985509108 4762 258300 SH SOLE 212200 46100
YORK INTERNATIONAL CORP COMM 986670107 9553 408700 SH SOLE 342900 65800
YOUNG BROADCASTING INC CL A COMM 987434107 7925 417100 SH SOLE 343600 73500
ZIFF DAVIS INC COM STK COMM 989511100 14184 907800 SH SOLE 762700 145100
</TABLE>
