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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, 1998
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 Asset Management LLC
Address: 28 State Street
18th Floor
Boston, MA 02109
13F File Number : Not yet assigned
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: David L. Diamond
Title: President
Phone: (617) 747-5806
Signature, Place and Date of Signing:
/s/ David L. Diamond Boston, Massachusetts February 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.):
[ ] 13F HOLDINGS REPORT.
[ ] 13F NOTICE.
[X] 13F COMBINATION REPORT.
List of Other Managers Reporting for this Manager: High Rock Capital LLC
I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES AND EXCHANGE ACT OF 1934.
<PAGE>
FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Managers Included: 0
Form 13F Information Table Entry Total: 228
Form 13F Information Table Value Total: 50567
List of Other Included Managers:
No. 13F File Number Name
<PAGE>
<TABLE>
<C> <C>
FORM 13F INFORMATION TABLE
VALUE SHARES/ SH/ PUT/ INVSTMT OTHER -----VOTING AUTHORITY-----
NAME OF ISSUER -TITLE OF CLASS- --CUSIP-- (x$1000) PRN AMT PRN CALL DSCRETN -MANAGERS- SOLE SHARED NONE
- ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- --------
A A O N Inc COM 000360206 134 14400 SH SOLE 14400 0 0
ADE CORP MASS COM 00089C107 18 1400 SH SOLE 1400 0 0
ACUSON CORP COM 005113105 273 18400 SH SOLE 18400 0 0
ADAPTEC INC COM 00651F108 367 20900 SH SOLE 20900 0 0
ADEPT TECHNOLOGY COM 006854103 232 36000 SH SOLE 36000 0 0
ADVEST GROUP INC COM 007566102 68 3700 SH SOLE 3700 0 0
AETRIUM INC COM 00817R103 370 33600 SH SOLE 33600 0 0
ALBEMARLE CORP COM 012653101 190 8000 SH SOLE 8000 0 0
ALBERTO CULVER CO CL A 013068200 333 13200 SH SOLE 13200 0 0
ALLIANCE SEMICONDUCTOR CORP COM 01877H100 74 18100 SH SOLE 18100 0 0
ALLTRISTA CORP COM 020040101 302 12583 SH SOLE 12583 0 0
Alpine Oil Services Corp COM 020920104 142 242000 SH SOLE 242000 0 0
ALTERNATIVE RESOURCES CORP COM 02145R102 336 31600 SH SOLE 31600 0 0
AMCAST INDL CORP COM 023395106 103 5400 SH SOLE 5400 0 0
AMERICAN BLDGS CO NEW COM 024757106 176 7200 SH SOLE 7200 0 0
AMERIPATH INC COM 03071D109 147 16500 SH SOLE 16500 0 0
ANSYS INC COM 03662Q105 326 29600 SH SOLE 29600 0 0
ATMEL CORP COM 049513104 220 14400 SH SOLE 14400 0 0
AULT INC COM 051503100 98 15400 SH SOLE 15400 0 0
AVID TECHNOLOGY INC COM 05367P100 201 8600 SH SOLE 8600 0 0
AVONDALE INDS INC COM 054350103 139 4800 SH SOLE 4800 0 0
BALDWIN TECHNOLOGY INC CL A 058264102 136 24100 SH SOLE 24100 0 0
BELL MICROPRODUCTS INC COM 078137106 986 106600 SH SOLE 106600 0 0
BEN & JERRYS HOMEMADE INC CL A 081465106 201 9000 SH SOLE 9000 0 0
BOISE CASCADE OFFFICE PRODS COM 097403109 146 10800 SH SOLE 10800 0 0
CNB BANCSHARES INC COM 126126101 274 5881 SH SOLE 5881 0 0
C Phone Corp COM 12616P105 39 14800 SH SOLE 14800 0 0
CANANDAIGUA BRANDS INC CL A 137219200 318 5500 SH SOLE 5500 0 0
CARMIKE CINEMAS INC CL A 143436103 227 11200 SH SOLE 11200 0 0
CATELLUS DEV CORP COM 149111106 11 800 SH SOLE 800 0 0
CATHERINES STORES CORP COM 14916F100 395 36300 SH SOLE 36300 0 0
CELADON GROUP INC COM 150838100 383 26900 SH SOLE 26900 0 0
CENDANT CORP COM 151313103 199 10300 SH SOLE 10300 0 0
CHAMPION ENTERPRISES INC COM 158496109 394 14400 SH SOLE 14400 0 0
CIRCON CORP COM 172736100 322 21500 SH SOLE 21500 0 0
CIVIC BANCORP COM 178788105 229 17280 SH SOLE 17280 0 0
CLAIRE'S STORES INC COM 179584107 408 19900 SH SOLE 19900 0 0
CLARIFY INC COM 180492100 491 20100 SH SOLE 20100 0 0
CLEVELAND INDIANS BASEBALL COM 186202107 447 62800 SH SOLE 62800 0 0
COLTEC INDS INC COM 196879100 333 17100 SH SOLE 17100 0 0
COMSAT CORP COM SER 1 20564D107 151 4200 SH SOLE 4200 0 0
CONSOLIDATED FREIGHTWAYS COR COM 209232107 178 11200 SH SOLE 11200 0 0
COREL CORP COM 21868Q109 161 40300 SH SOLE 40300 0 0
Corrpro Companies Inc COM 220317101 366 30050 SH SOLE 30050 0 0
COX RADIO INC CL A 224051102 258 6100 SH SOLE 6100 0 0
CREDENCE SYSTEMS CORP COM 225302108 87 4700 SH SOLE 4700 0 0
CROSS TIMBERS OIL CO COM 227573102 160 21400 SH SOLE 21400 0 0
CUBIC CORP COM 229669106 77 4100 SH SOLE 4100 0 0
CustomTracks Corp COM 232046102 362 33900 SH SOLE 33900 0 0
CYPRUS AMAX MINERALS CO COM 232809103 184 18400 SH SOLE 18400 0 0
DAIN RAUSCHER CORP COM 233856103 268 9100 SH SOLE 9100 0 0
DOWNEY FINL CORP COM 261018105 132 5200 SH SOLE 5200 0 0
ESSEF CORP COM 269145108 210 10884 SH SOLE 10884 0 0
EMCO COM 290839109 70 10600 SH SOLE 10600 0 0
Equinox Systems Inc COM 294436100 148 12300 SH SOLE 12300 0 0
FINISH LINE INC CL A 317923100 46 5800 SH SOLE 5800 0 0
1st Bergen Bancorp COM 318915105 262 11700 SH SOLE 11700 0 0
FIRST BRANDS CORP COM 319356101 489 12400 SH SOLE 12400 0 0
FIRST KEYSTONE FINL COM 320655103 209 14400 SH SOLE 14400 0 0
FIRST WASH BANCORP INC WASH COM 33748T104 146 6100 SH SOLE 6100 0 0
FIRSTFED FINL CORP COM 337907109 331 18500 SH SOLE 18500 0 0
Fossil Inc COM 349882100 290 10100 SH SOLE 10100 0 0
FREEDOM SECS CORP COM 35644K103 195 12900 SH SOLE 12900 0 0
FRUIT OF THE LOOM INC CL A 359416104 363 26300 SH SOLE 26300 0 0
FULLER H B CO COM 359694106 135 2800 SH SOLE 2800 0 0
GRC Int'l Inc COM 361922107 71 11300 SH SOLE 11300 0 0
GAYLORD CONTAINER CORP CL A 368145108 290 47800 SH SOLE 47800 0 0
GENERAL CHEM GROUP INC COM 369332101 4 300 SH SOLE 300 0 0
GENERAL SEMICONDUCTOR INC COM 370787103 29 3500 SH SOLE 3500 0 0
GEORGIA GULF CORP COM PAR $0.01 373200203 109 6800 SH SOLE 6800 0 0
GIANT CEMENT HLDG INC COM 374450104 119 4800 SH SOLE 4800 0 0
Guest Supply Inc COM 401630108 407 34100 SH SOLE 34100 0 0
HMT TECHNOLOGY CORP COM 403917107 250 19500 SH SOLE 19500 0 0
Haley Industries Ltd COM 405620105 226 82600 SH SOLE 82600 0 0
HARMONIC LIGHTWAVES INC COM 413160102 133 7100 SH SOLE 7100 0 0
HEARST-ARGYLE TELEVISION INC COM 422317107 370 11200 SH SOLE 11200 0 0
Hello Direct Inc COM 423402106 623 61900 SH SOLE 61900 0 0
HERBALIFE INTL INC CL B 426908307 277 24200 SH SOLE 24200 0 0
HUSSMANN INTL INC COM 448110106 74 3800 SH SOLE 3800 0 0
Hutchinson Technology Inc COM 448407106 214 6000 SH SOLE 6000 0 0
HYPERCOM CORP COM 44913M105 165 16600 SH SOLE 16600 0 0
IN FOCUS SYS INC COM 452919103 246 27700 SH SOLE 27700 0 0
INACOM CORP COM 45323G109 164 11000 SH SOLE 11000 0 0
INDEPENDENCE CMNTY BK CORP COM 453414104 91 5700 SH SOLE 5700 0 0
Information Storage Devices COM 456753102 190 25400 SH SOLE 25400 0 0
Input Software Inc COM 457654101 206 35900 SH SOLE 35900 0 0
INPRISE CORP COM 45766C102 16 2900 SH SOLE 2900 0 0
INSTRON CORP COM 457776102 50 2900 SH SOLE 2900 0 0
INSURANCE AUTO AUCTIONS INC COM 457875102 57 4787 SH SOLE 4787 0 0
Intercargo Corp COM 45844C108 227 20000 SH SOLE 20000 0 0
Interling Software corp COM 458753100 230 26300 SH SOLE 26300 0 0
INTERNATIONAL HOME FOODS INC COM 459655106 174 10300 SH SOLE 10300 0 0
JDA SOFTWARE GROUP INC COM 46612K108 25 2600 SH SOLE 2600 0 0
Jaco Electronics Inc COM 469783104 247 61800 SH SOLE 61800 0 0
JOHNSON WORLDWIDE ASSOC INC CL 479254104 220 23800 SH SOLE 23800 0 0
JOURNAL REGISTER CO COM 481138105 96 6400 SH SOLE 6400 0 0
JUNO LTG INC COM 482047107 332 14200 SH SOLE 14200 0 0
K-SWISS INC CL A 482686102 317 11800 SH SOLE 11800 0 0
Key Technology Inc COM 493143101 173 25200 SH SOLE 25200 0 0
KNOLL INC COM 498904101 317 10700 SH SOLE 10700 0 0
LSI Logic Corp COM 502161102 382 23700 SH SOLE 23700 0 0
LADD FURNITURE INC COM PAR $0.30 505739201 180 11100 SH SOLE 11100 0 0
LAM RESH CORP COM 512807108 422 23700 SH SOLE 23700 0 0
LAWTER INTL INC COM 520786104 391 33600 SH SOLE 33600 0 0
LEARNING CO INC COM 522008101 180 6900 SH SOLE 6900 0 0
LESCO INC OHIO COM 526872106 154 12000 SH SOLE 12000 0 0
LIFETIME HOAN CORP COM 531926103 36 3700 SH SOLE 3700 0 0
LILLY INDS INC CL A 532491107 239 12000 SH SOLE 12000 0 0
LOEWS CINEPLEX ENTMT CORP COM 540423100 382 37700 SH SOLE 37700 0 0
Mallon Resources Corp COM 561240201 76 11100 SH SOLE 11100 0 0
Marine Drilling Cos COM 568240204 193 25500 SH SOLE 25500 0 0
The Marquee Group Inc COM 570906107 180 40100 SH SOLE 40100 0 0
MARSHALL INDUSTRIES INC COM 572393106 201 8200 SH SOLE 8200 0 0
Material Sciences COM 576674105 221 26000 SH SOLE 26000 0 0
Maxtor Corporation COM 577729205 294 21000 SH SOLE 21000 0 0
MAXWELL SHOE INC CL A 577766108 77 7000 SH SOLE 7000 0 0
Merit Medical Systems Inc COM 589889104 238 35900 SH SOLE 35900 0 0
MICROAGE INC COM 594928103 180 11700 SH SOLE 11700 0 0
Microtest COM 594941106 115 41700 SH SOLE 41700 0 0
MICROSEMI CORP COM 595137100 62 5600 SH SOLE 5600 0 0
MICROTOUCH SYS INC COM 595145103 35 2700 SH SOLE 2700 0 0
MORGAN KEEGAN INC COM 617410105 103 5500 SH SOLE 5500 0 0
NATIONAL-OILWELL INC COM 637071101 402 35900 SH SOLE 35900 0 0
NATIONAL R V HLDGS INC COM 637277104 234 9100 SH SOLE 9100 0 0
NATURAL MICROSYSTEMS CORP COM 638882100 104 14200 SH SOLE 14200 0 0
NEIMAN MARCUS GROUP INC COM 640204103 117 4700 SH SOLE 4700 0 0
NEWFIELD EXPL CO COM 651290108 413 19800 SH SOLE 19800 0 0
NIKE INC CL B 654106103 235 5800 SH SOLE 5800 0 0
NORSTAN INC COM 656535101 35 2000 SH SOLE 2000 0 0
Northeast Ind Bancorp COM 664196102 223 13310 SH SOLE 13310 0 0
Nu Horizons Electronics COM 669908105 160 31300 SH SOLE 31300 0 0
NOVELL INC COM 670006105 299 16500 SH SOLE 16500 0 0
NUEVO ENERGY CO COM 670509108 60 5200 SH SOLE 5200 0 0
OBJECT DESIGN INC COM 674416102 174 26200 SH SOLE 26200 0 0
OCEANEERING INTL COM 675232102 112 7500 SH SOLE 7500 0 0
Oracle Corp COM 68389X105 466 10800 SH SOLE 10800 0 0
Optika Imaging Systems COM 683973101 77 20000 SH SOLE 20000 0 0
Orcad Inc COM 685568107 320 37700 SH SOLE 37700 0 0
ORTEL CORP COM 68749W102 156 17800 SH SOLE 17800 0 0
P A M Transport Svcs COM 693149106 171 19000 SH SOLE 19000 0 0
PFF BANCORP INC COM 69331W104 325 20300 SH SOLE 20300 0 0
Parlex Corp COM 701630105 191 19100 SH SOLE 19100 0 0
PEGASUS COMMUNICATIONS CORP CL A 705904100 183 7300 SH SOLE 7300 0 0
PENNFED FINL SVCS INV COM 708167101 251 19300 SH SOLE 19300 0 0
PHILLIPS VAN HEUSEN CORP COM 718592108 29 4000 SH SOLE 4000 0 0
PIER 1 IMPORTS INC COM 720279108 339 35000 SH SOLE 35000 0 0
PIONEER STD ELECTRS INC COM 723877106 155 16500 SH SOLE 16500 0 0
Pittston Brinks Group COM 725701106 242 7600 SH SOLE 7600 0 0
POLAROID CORP COM 731095105 338 18100 SH SOLE 18100 0 0
POOL ENERGY SVCS CO COM 732788104 302 27900 SH SOLE 27900 0 0
PRAEGITZER INDS INC COM 739422103 43 6100 SH SOLE 6100 0 0
Prestige Bancorp Inc COM 741115109 172 13485 SH SOLE 13485 0 0
Prism Solutions COM 742947104 230 91900 SH SOLE 91900 0 0
Professional Bancorp Inc COM 743112104 376 21500 SH SOLE 21500 0 0
Programmers Paradise COM 743205106 343 27200 SH SOLE 27200 0 0
Provident Fincl Hldgs COM 743868101 181 10600 SH SOLE 10600 0 0
Qualix Group COM 747586105 283 31000 SH SOLE 31000 0 0
QUANEX CORP COM 747620102 149 6600 SH SOLE 6600 0 0
Quitman Bancorp Inc COM 748803103 71 6400 SH SOLE 6400 0 0
QUIXOTE CORP COM 749056107 60 4900 SH SOLE 4900 0 0
Ragen Mackenzie Group COM 750642100 7 600 SH SOLE 600 0 0
RICHMOND CNTY FINL CORP COM 764556106 177 11000 SH SOLE 11000 0 0
RIGGS NATL CORP WASH DC COM 766570105 338 16600 SH SOLE 16600 0 0
RIVIANA FOODS INC COM 769536103 59 2400 SH SOLE 2400 0 0
Rock Bottom Restaurants COM 771833100 191 35100 SH SOLE 35100 0 0
Rocky Mt. Chocolate Factory COM 774678403 176 33500 SH SOLE 33500 0 0
RUSSELL CORP COM 782352108 209 10300 SH SOLE 10300 0 0
STB Systems COM 784741100 215 32200 SH SOLE 32200 0 0
SAGA COMMUNICATIONS CL A 786598102 150 7300 SH SOLE 7300 0 0
SANDERSON FARMS INC COM 800013104 75 4900 SH SOLE 4900 0 0
SBARRO INC COM 805844107 241 9200 SH SOLE 9200 0 0
Scholastic Corp COM 807066105 220 4100 SH SOLE 4100 0 0
SCHULMAN A INC COM 808194104 438 19300 SH SOLE 19300 0 0
SENSORMATIC ELECTRS CORP COM 817265101 255 36800 SH SOLE 36800 0 0
SILICONIX INC COM NEW 827079203 70 3380 SH SOLE 3380 0 0
Sizzler International Inc COM 830139101 299 132800 SH SOLE 132800 0 0
SMART Modular Tech Inc COM 831690102 175 6300 SH SOLE 6300 0 0
SMUCKER J M CO CL B 832696207 115 5200 SH SOLE 5200 0 0
SNYDER OIL CORP COM 833482102 106 8000 SH SOLE 8000 0 0
SPACELABS MED INC COM 846247104 241 10500 SH SOLE 10500 0 0
SPEEDFAM INTL INC COM 847706108 1286 75100 SH SOLE 75100 0 0
Sports Chalet Inc COM 849163100 84 12000 SH SOLE 12000 0 0
Starmet Corp COM 855547105 3 400 SH SOLE 400 0 0
Stimsonite Corp COM 860832104 386 55200 SH SOLE 55200 0 0
Success Bancshares Inc COM 864578109 125 11100 SH SOLE 11100 0 0
SUNGLASS HUT INTL INC COM 86736F106 31 4500 SH SOLE 4500 0 0
Suprema Specialties Inc COM 86859F107 160 32100 SH SOLE 32100 0 0
SYMANTEC CORP COM 871503108 368 16900 SH SOLE 16900 0 0
Symmetricom Inc COM 871543104 105 15700 SH SOLE 15700 0 0
TCI Satellite Entertainment COM 872298104 69 47700 SH SOLE 47700 0 0
TACO CABANA INC CL A 873425102 257 33200 SH SOLE 33200 0 0
Techmire LTD COM 87834k104 11 12000 SH SOLE 12000 0 0
Teradyne Inc COM 880770102 538 12700 SH SOLE 12700 0 0
Todd AO Corp COM 888896107 92 11500 SH SOLE 11500 0 0
TORO CO COM 891092108 396 13900 SH SOLE 13900 0 0
Treadco Inc COM 894545102 126 18700 SH SOLE 18700 0 0
Truevision Inc COM 897872107 59 67400 SH SOLE 67400 0 0
Twentieth Century Industries COM 901272203 232 10000 SH SOLE 10000 0 0
UNIT CORP COM 909218109 129 30700 SH SOLE 30700 0 0
United Retail Group COM 911380103 198 18400 SH SOLE 18400 0 0
United States Filter Corp COM 911843209 451 19700 SH SOLE 19700 0 0
Universal Electronics COM 913483103 235 21900 SH SOLE 21900 0 0
URBAN OUTFITTERS INC COM 917047102 100 5900 SH SOLE 5900 0 0
Utah Medical Prod Inc COM 917488108 179 27300 SH SOLE 27300 0 0
Valley National Gases Inc COM 919792101 192 34100 SH SOLE 34100 0 0
VARCO INTL INC COM 922126107 21 2700 SH SOLE 2700 0 0
Varian Associates Inc COM 922204102 420 11100 SH SOLE 11100 0 0
Ventra Group Inc COM 92281e106 191 73200 SH SOLE 73200 0 0
Verilink Corp COM 923432108 277 75000 SH SOLE 75000 0 0
VIASOFT INC COM 92552U102 274 39100 SH SOLE 39100 0 0
VICORP RESTAURANTS INC COM 925817108 384 24800 SH SOLE 24800 0 0
VINTAGE PETE INC COM 927460105 38 4400 SH SOLE 4400 0 0
VISHAY INTERTECHNOLOGY INC COM 928298108 173 11900 SH SOLE 11900 0 0
WALLACE COMPUTER SERVICES INC COM 932270101 359 13600 SH SOLE 13600 0 0
WANG LABS INC NEW COM 93369N109 405 14600 SH SOLE 14600 0 0
WATKINS JOHNSON CO COM 942486101 192 9400 SH SOLE 9400 0 0
Wescam Inc COM 950905109 133 37700 SH SOLE 37700 0 0
WEST MARINE INC COM 954235107 160 16200 SH SOLE 16200 0 0
Western Digital Corp COM 958102105 307 20400 SH SOLE 20400 0 0
Roy F. Weston Inc COM 961137106 72 26200 SH SOLE 26200 0 0
Wickes Inc COM 967446105 250 58900 SH SOLE 58900 0 0
XTRA CORP COM 984138107 232 5600 SH SOLE 5600 0 0
ZIFF-DAVIS INC COM 989511100 1243 78600 SH SOLE 78600 0 0
ZIFF-DAVIS INC COM 989511100 236 252 SH C SOLE 252 0 0
Zoom Telephonics Inc COM 98976E103 100 25100 SH SOLE 25100 0 0
Zoll Medical Corp COM 989922109 315 35500 SH SOLE 35500 0 0
ADVANTA CORP CL B 007942204 303 27400 SH SOLE 27400 0 0
FRESH DEL MONTE PRODUCE INC ORD G36738105 340 15700 SH SOLE 15700 0 0
</TABLE>
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