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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: December 31,1999
Check here if Amendment [X]; Amendment Number: 1
This Amendment (Check only one.):
[X] 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
February 14, 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:
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EXPLANATORY NOTE
The sole purpose of this Amendment Number 1 filing was to include additional
names of issuers, which were inadvertently omitted in the original filing.
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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): $1,356,165
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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HIGH ROCK CAPITAL LLC
<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
-------------- ------- ----- -------- ------- --- ---- -------- -------- ----- --------- ----
<C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
7-ELEVEN INC COM 817826100 200 112028 SH SOLE n/a 0 0 112028
ACCEPTANCE INSURANCE COS COM 004308102 1593 277100 SH SOLE n/a 222800 0 54300
ACTEL CORP COM 004934105 9398 391600 SH SOLE n/a 315000 0 76600
ADVANCED COMMUNICATION SYS INC COM 00750X109 1507 78800 SH SOLE n/a 65600 0 13200
ADVEST GROUP INC COM 007566102 12214 664700 SH SOLE n/a 549700 0 115000
ADVO COM 007585102 3591 151200 SH SOLE n/a 125500 0 25700
AIRGAS INC COM 009363102 5106 537500 SH SOLE n/a 445400 0 92100
ALBANY INTL CORP CL. A CL A 012348108 4366 281682 SH SOLE n/a 231998 0 49684
ALBERTO CULVER CO CL. A CL A 013068200 27481 1263500 SH SOLE n/a 1039600 0 223900
ALLEN TELECOM INC COM 018091108 9665 835900 SH SOLE n/a 696400 0 139500
ALLIANT TECHSYSTEMS INC COM 018804104 6780 108800 SH SOLE n/a 89300 0 19500
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AMERICAN FINANCIAL HOLDINGS COM 026075101 8888 707500 SH SOLE n/a 579200 0 128300
AMERICAN FIRST FNCL LP COM 023913106 0 13000 SH SOLE n/a 11200 0 1800
AMERISOURCE HEALTHCARE COM 03071P102 4643 305700 SH SOLE n/a 252400 0 53300
AMES DEPARTMENT STORES COM 030789507 18590 645200 SH SOLE n/a 536500 0 108700
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APPLIED POWER INC COM 038225108 10588 288100 SH SOLE n/a 237200 0 50900
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CASTLE AND COOKE INC COM 148433105 4762 375300 SH SOLE n/a 303800 0 71500
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FEDERAL SIGNAL CORP COM 313855108 3009 187300 SH SOLE n/a 153500 0 33800
FIBREMARK INC COM 315646109 1027 87400 SH SOLE n/a 72100 0 15300
FINISH LINE INC CL. A CL A 317923100 5185 953600 SH SOLE n/a 793700 0 159900
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FIRSTFED FINANCIAL CORP COM 337907109 18728 1331743 SH SOLE n/a 1097300 0 234443
FLORIDA ROCK IND COM 341140101 4256 123600 SH SOLE n/a 101600 0 22000
FOREST OIL CORP COM 346091606 6821 517200 SH SOLE n/a 424300 0 92900
FOSSIL INC COM 349882100 7289 315200 SH SOLE n/a 258800 0 56400
GARNER GROUP INC COM 366651107 5342 350300 SH SOLE n/a 290700 0 59600
GAYLORD CONTAINER CORP COM 368145108 6212 911800 SH SOLE n/a 747800 0 164000
GENERAL SEMICONDUCTOR INC COM 370787103 16066 1132400 SH SOLE n/a 923600 0 208800
GENESCO INC COM 371532102 3010 231500 SH SOLE n/a 189600 0 41900
GENRAD INC COM 372447102 8606 533700 SH SOLE n/a 442900 0 90800
GEON COMPANY COM 37246W105 16328 502400 SH SOLE n/a 414600 0 87800
GERBER SCIENTIFIC INC COM 373730100 15839 722014 SH SOLE n/a 596600 0 125414
GRACE WR AND CO COM 38388F108 7660 542300 SH SOLE n/a 449800 0 92500
GUARDIAN BANCORP COM 401321104 0 243200 SH SOLE n/a 243200 0 0
HANNA M A CO COM COM 410522106 23498 2148400 SH SOLE n/a 1771600 0 376800
HELMERICH & PAYNE INC COM 423452101 10336 475200 SH SOLE n/a 391900 0 83300
HOLLYWOOD ENTERTAINMENT CORP COM 436141105 6877 474300 SH SOLE n/a 396500 0 77800
HON INDS INC COM COM 438092108 7544 343900 SH SOLE n/a 286200 0 57700
HORACE MANN EDUCATORS CORP COM 440327104 6284 320200 SH SOLE n/a 264100 0 56100
HOUGHTON MIFFLIN CO COM 441560109 12631 299400 SH SOLE n/a 246500 0 52900
HUSSMAN INTERNATIONAL COM 448110106 7701 511300 SH SOLE n/a 421000 0 90300
HYPERCOM CORP COM 44913M105 7438 743800 SH SOLE n/a 611300 0 132500
IMC GLOBAL INC COM 449669100 11246 686800 SH SOLE n/a 563300 0 123500
IMCO RECYCLING INC COM 449681105 5884 466099 SH SOLE n/a 382100 0 83999
INTERIM SERVICES INC COM 45868P100 8296 335200 SH SOLE n/a 275200 0 60000
INTERNATIONAL HOME FOODS COM 459655106 16265 936100 SH SOLE n/a 769000 0 167100
JACK IN THE BOX INC COM 466367109 12088 584300 SH SOLE n/a 480100 0 104200
JOURNAL REGISTER CO COM 481138105 8106 525100 SH SOLE n/a 441300 0 83800
KITTY HAWK INC COM 498326107 3564 518400 SH SOLE n/a 427800 0 90600
KLAMATH FIRST BANCORP INC COM 49842P103 4152 349600 SH SOLE n/a 288100 0 61500
KNIGHTSBRIDGE TANKERS LTD ORD G5299G106 8656 641200 SH SOLE n/a 548700 0 92500
LANDRYS SEAFOOD RESTAURANT COM 51508L103 14859 1710400 SH SOLE n/a 1404700 0 305700
LIBERTY FINANCIAL COS COM 530512102 18114 789700 SH SOLE n/a 657700 0 132000
LTV CORP COM 501921100 579 140400 SH SOLE n/a 115200 0 25200
MANTOWOC COM 563571108 12825 377200 SH SOLE n/a 308900 0 68300
MAPICS INC COM 564910107 2932 232200 SH SOLE n/a 190000 0 42200
MATERIAL SCIENCES COM 576674105 566 55600 SH SOLE n/a 47700 0 7900
METALS USA INC COM COM 591324108 3800 447000 SH SOLE n/a 366000 0 81000
MIIX GROUP INC COM 59862V104 9167 626800 SH SOLE n/a 512500 0 114300
MILLIPORE CORP COM 601073109 12711 329100 SH SOLE n/a 274100 0 55000
MORRISON KNUDSEN CORP COM 61844A109 4793 613500 SH SOLE n/a 510100 0 103400
NATIONAL OILWELL INC COM 637071101 4487 286000 SH SOLE n/a 234900 0 51100
NATIONAL PRESTO INDUSTRY COM 637215104 10029 282500 SH SOLE n/a 236900 0 45600
NATIONAL STEEL CORP COM 637844309 4315 580200 SH SOLE n/a 476700 0 103500
NCH CORP COM 628850109 4091 91800 SH SOLE n/a 73600 0 18200
NEIMAN MARCUS GROUP COM 640204202 14047 502800 SH SOLE n/a 411800 0 91000
NEIMAN MARCUS GROUP CL B CL B 640204301 10678 396400 SH SOLE n/a 330200 0 66200
NELSON (THOMAS) INC. COM 640376109 6544 707503 SH SOLE n/a 590400 0 117103
NEUBERGER BERMAN COM 641234109 12987 522100 SH SOLE n/a 429200 0 92900
NEWPORT NEWS SHIPBLDG COM 652228107 1232 44800 SH SOLE n/a 38000 0 6800
NFO WORLDWIDE COM 62910N108 11049 493800 SH SOLE n/a 408200 0 85600
NL INDUSTRIES INC COM 629156407 815 54100 SH SOLE n/a 41400 0 12700
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OFFICEMAX INC COM 67622M108 5200 956400 SH SOLE n/a 783500 0 172900
OFFSHORE LOGISTICS INC COM 676255102 7074 754600 SH SOLE n/a 639200 0 115400
OGDEN CORP COM 676346109 9829 823400 SH SOLE n/a 675600 0 147800
OLIN CORP COM 680665205 13530 682900 SH SOLE n/a 561400 0 121500
OMNICARE INC COM 681904108 3684 307000 SH SOLE n/a 251500 0 55500
PAREXEL INTERNATIONAL CORP COM 699462107 3440 291200 SH SOLE n/a 238200 0 53000
PARKER DRILLING CO COM 701081101 2563 804100 SH SOLE n/a 658500 0 145600
PENZOIL CO COM 709323109 4108 403200 SH SOLE n/a 332500 0 70700
PETCO ANIMAL SUPPLIES COM 716016100 8430 566700 SH SOLE n/a 462800 0 103900
PH GLATFELTER CO COM 377316104 10114 694500 SH SOLE n/a 576000 0 118500
PHARMACEUTICAL PROD COM COM 717124101 2265 190700 SH SOLE n/a 156600 0 34100
PHILLIPS-VAN HEUSEN CORP COM 718592108 16711 2010300 SH SOLE n/a 1684500 0 325800
PIER 1 IMPORTS INC COM 720279108 17129 2686900 SH SOLE n/a 2210500 0 476400
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PLAYERS INTERNATIONAL INC COM 727903106 6109 743300 SH SOLE n/a 593100 0 150200
POLARIS INDUSTRIES INC COM 731068102 13380 369100 SH SOLE n/a 300900 0 68200
POLAROID CORP COM 731095105 21121 1122700 SH SOLE n/a 925100 0 197600
PRIDE INTL INC COM COM 741932107 5359 366400 SH SOLE n/a 301200 0 65200
QUAKER CHEMICAL CORP COM 747316107 5290 371200 SH SOLE n/a 306500 0 64700
QUEST DIAGNOSTICS INC COM 74834L100 9493 310600 SH SOLE n/a 257900 0 52700
QUIKSILVER INC COM 74838C106 8172 527200 SH SOLE n/a 435100 0 92100
RAYMOND JAMES FINANCIAL INC COM 754730109 13663 733600 SH SOLE n/a 610300 0 123300
RIGGS NATIONAL CORP COM 766570105 5332 404350 SH SOLE n/a 333150 0 71200
ROBBINS AND MYERS INC COM 770196103 3523 155700 SH SOLE n/a 126900 0 28800
ROCK TENN COM 772739207 6692 453700 SH SOLE n/a 377600 0 76100
RPM INC COM 749685103 2670 262100 SH SOLE n/a 215300 0 46800
RUSSELL CORP COM 782352108 15387 918600 SH SOLE n/a 759700 0 158900
SAFETY KLEEN CORP COM 78648r203 8108 716700 SH SOLE n/a 596800 0 119900
SANTA FE SNYDER CORP COM 80218K105 18198 2274700 SH SOLE n/a 1861300 0 413400
SCHEIN HENRY INC COM 806407102 2864 215100 SH SOLE n/a 177000 0 38100
SCHNITZER STL CL A CL A 806882106 4514 237600 SH SOLE n/a 193300 0 44300
SCHOOL SPECIALTY INC COM 807863105 7162 473500 SH SOLE n/a 380000 0 93500
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SHOPKO STORES INC COM COM 824911101 11185 486300 SH SOLE n/a 402100 0 84200
SILICON VALLEY GROUP INC COM 827066101 11878 669200 SH SOLE n/a 550600 0 118600
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SOLUTIA INC COM 834376105 185 12000 SH SOLE n/a 12000 0 0
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STRIDE RITE CORP COM 863314100 3543 545000 SH SOLE n/a 450200 0 94800
TECH DATA CORP COM 878237106 4937 182000 SH SOLE n/a 149100 0 32900
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VALSPAR COM 920355104 201 4800 SH SOLE n/a 4800 0 0
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VENATOR GROUP, INC COM 922944103 7697 1099500 SH SOLE n/a 904500 0 195000
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WATKINS-JOHNSON COMPANY COM 942486101 13840 346000 SH SOLE n/a 286100 0 59900
WATSCO INC COM 942622200 7306 631900 SH SOLE n/a 521400 0 110500
WESTPOINT STEVENS INC COM 961238102 7172 409800 SH SOLE n/a 338300 0 71500
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ZIFF DAVIS INC COM 989511100 27228 1721900 SH SOLE n/a 1417400 0 304500
</TABLE>
