<PAGE> 1
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 [ ]; 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
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:
<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): $1,356,165
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
ALLTRISTA CORP COM 020040101 8406 379947 SH SOLE n/a 313117 0 66830
ALTERNATIVE RESOURCES CORP COM 02145R102 3699 672500 SH SOLE n/a 575800 0 96700
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
APOGEE ENTERPRISES INC COM COM 037598109 3643 719600 SH SOLE n/a 592800 0 126800
APPLIED POWER INC COM 038225108 10588 288100 SH SOLE n/a 237200 0 50900
ARCH CHEMICALS INC COM 03937R102 6143 293400 SH SOLE n/a 246400 0 47000
ARVIN INDUSTRIES INC COM 043339100 6016 212000 SH SOLE n/a 173500 0 38500
ATLAS AIR INC COM 049164106 11691 426100 SH SOLE n/a 348300 0 77800
AURORA FOODS INC COM 05164B106 115 12400 SH SOLE n/a 0 0 12400
AVNET INC COM 053807103 28502 471100 SH SOLE n/a 388700 0 82400
BALDOR ELECTRIC CO COM 057741100 1204 66400 SH SOLE n/a 51400 0 15000
BALLY TOTAL FITNESS HOLDINGS COM 05873K108 5447 204100 SH SOLE n/a 167200 0 36900
BENCHMARK ELECTRONICS INC COM 08160H101 2789 121600 SH SOLE n/a 98400 0 23200
BETHLEHEM STEEL CORP COM 087509105 8418 1005100 SH SOLE n/a 840000 0 165100
BINDLEY WESTERN INDUSTRIES INC COM 90324104 5534 367400 SH SOLE n/a 300300 0 67100
BOMBAY CO INC COM 097924104 3635 807800 SH SOLE n/a 655300 0 152500
BOSTON BEER CO INC CL. A CL A 100557107 5004 696200 SH SOLE n/a 563100 0 133100
BROWN SHOE CO COM 115736100 11486 813141 SH SOLE n/a 671200 0 141941
BUFFETS INC COM 119882108 102 10200 SH SOLE n/a 10200 0 0
BURLINGTON INDUSTRIES INC COM 121693105 4687 1171729 SH SOLE n/a 960700 0 211029
CABOT OIL & GAS CORP COM 127097103 8804 548100 SH SOLE n/a 450600 0 97500
CACI INTL COM 127190304 792 35000 SH SOLE n/a 29000 0 6000
CADMUS COMMUNICATIONS COM 127587103 3237 380800 SH SOLE n/a 315800 0 65000
CASEYS GEN STORES COM COM 147528103 3041 291400 SH SOLE n/a 237500 0 53900
CASTLE AND COOKE INC COM 148433105 4762 375300 SH SOLE n/a 303800 0 71500
CATELLUS DEVELOPMENT CORP COM 149111106 7931 619000 SH SOLE n/a 505700 0 113300
CATO CORP COM 149205106 2871 227400 SH SOLE n/a 185500 0 41900
CHASE INDUSTRIES INC COM 161568100 2340 288000 SH SOLE n/a 230800 0 57200
CIRRUS LOGIC CORP COM 172755100 5244 393900 SH SOLE n/a 323200 0 70700
CITY NATIONAL CORP COM 178566105 250 7600 SH SOLE n/a 7600 0 0
CLARCOR INC COM 179895107 6049 336055 SH SOLE n/a 276100 0 59955
CLEVELAND CLIFFS INC COM 185896107 9160 294300 SH SOLE n/a 239000 0 55300
CMI CORP COM 125761304 187 26500 SH SOLE n/a 26500 0 0
COACHMEN INDUSTRIES INC COM 189873102 5400 357000 SH SOLE n/a 293800 0 63200
COHOES BANCORP INC COM 192513109 5539 550500 SH SOLE n/a 460800 0 89700
COMFORT SYSTEMS USA INC COM 199908104 2370 321300 SH SOLE n/a 263900 0 57400
COMMONWEALTH INDUS INC COM 203004106 3309 254500 SH SOLE n/a 209700 0 44800
COMMUNITY BANK SYSTEM COM 203607106 5640 243900 SH SOLE n/a 202000 0 41900
CONMED CORP COM 207410101 6130 236900 SH SOLE n/a 194700 0 42200
COVANCE INC COM 222816100 1864 172400 SH SOLE n/a 141600 0 30800
D R HORTON INC COM COM 23331A109 6684 483900 SH SOLE n/a 398100 0 85800
DAYTON SUPERIOR CORP COM 240028100 7482 460400 SH SOLE n/a 384300 0 76100
DEL MONTE FOODS COMPANY COM 24522P103 8790 713900 SH SOLE n/a 589300 0 124600
DIGI INTERNATIONAL INC COM 253798102 6753 647000 SH SOLE n/a 533600 0 113400
DOLE FOOD COMPANY INC COM 256605106 2922 179800 SH SOLE n/a 147100 0 32700
DOWNEY FINANCIAL CORP COM 261018105 730 36140 SH SOLE n/a 31100 0 5040
DURA AUTOMOTIVE COM 265903104 8049 461600 SH SOLE n/a 379200 0 82400
ELECTRONICS BOUTIQUE HOLDINGS COM 286045109 6896 383100 SH SOLE n/a 317600 0 65500
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
FIRST WASHINGTON BANCORP COM 33748T104 3520 238620 SH SOLE n/a 197510 0 41110
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
NU HORIZONS ELECTRONICS COM 669908105 4003 302100 SH SOLE n/a 247500 0 54600
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
PIONEER-STANDARD ELEC COM 723877106 13026 902200 SH SOLE n/a 740100 0 162100
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
</TABLE>
