UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
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 ASSET MANAGEMENT LLC
Address: 28 STATE STREET, 18TH FLOOR
BOSTON, MA. 02109
13 File Number: 28-3491
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
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: 617-747-5800
Signature, Place and Date of Signing:
DAVID L. DIAMOND November 12, 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 all other Managers reporting for this Manager: High Rock Capital LLC
I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE
ACT OF 1934
<PAGE>
FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 0
Form 13F Information Table Entry Total: 131
Form 13F Information Table Value Total: 54436
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<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 DISCRETN MANAGERS SOLE SHARED NONE
------------------------------ ---------------- --------- -------- -------- --- ---- -------- --------- -------- -------- --------
D 3COM CORP COM COMMON STOCK 885535104 393 13700 SH SOLE 13700 0 0
D ACCEPTANCE INS COS INC COM COMMON STOCK 004308102 209 16600 SH SOLE 16600 0 0
D ACR GROUP INC COM COMMON STOCK 00087B101 79 55000 SH SOLE 55000 0 0
D ACTEL CORP COM COMMON STOCK 004934105 748 39400 SH SOLE 39400 0 0
D ADEPT TECHNOLOGY INC COM COMMON STOCK 006854103 180 24900 SH SOLE 24900 0 0
D ADVANCED COMMUNICATN SYSTEMS I COMMON STOCK 00750X109 565 45500 SH SOLE 45500 0 0
D ADVEST GROUP INC COM COMMON STOCK 007566102 297 16300 SH SOLE 16300 0 0
D ALBERTO CULVER CO CL A COMMON STOCK 013068200 854 43700 SH SOLE 43700 0 0
D ALEXANDER & BALDWIN INC COM COMMON STOCK 014482103 293 12300 SH SOLE 12300 0 0
D ALIGN-RITE INTL INC COM COMMON STOCK 016251100 231 12300 SH SOLE 12300 0 0
D ALLEN TELECOM INC COM COMMON STOCK 018091108 188 19300 SH SOLE 19300 0 0
D ALTERNATIVE RES CORP COM COMMON STOCK 02145R102 126 24300 SH SOLE 24300 0 0
D APPLIED MICROSYSTEMS CORP COM COMMON STOCK 037935103 39 11000 SH SOLE 11000 0 0
D ARROW ELECTRONICS INC COM COMMON STOCK 042735100 1136 64500 SH SOLE 64500 0 0
D ARTESYN TECHNOLOGIES INC COM COMMON STOCK 043127109 411 21700 SH SOLE 21700 0 0
D AULT INC COM COMMON STOCK 051503100 144 19100 SH SOLE 19100 0 0
D AUTOTOTE CORP CL A COMMON STOCK 053323101 92 35100 SH SOLE 35100 0 0
D AVADO BRANDS INC COM COMMON STOCK 05336P108 69 12400 SH SOLE 12400 0 0
D BAKER J INC COM COMMON STOCK 057232100 1722 218700 SH SOLE 218700 0 0
D BELL MICROPRODUCTS INC COMMON STOCK 078137106 1089 128600 SH SOLE 128600 0 0
D BROOKLINE BANCORP INC COM COMMON STOCK 113739106 124 12249 SH SOLE 12249 0 0
D BTU INTL INC COM COMMON STOCK 056032105 63 13300 SH SOLE 13300 0 0
D CARSON INC CL A COM COMMON STOCK 145845103 64 22500 SH SOLE 22500 0 0
D CFM TECHNOLOGIES INC COM COMMON STOCK 12525K106 320 40000 SH SOLE 40000 0 0
D CITY NATL CORP COM COMMON STOCK 178566105 214 6400 SH SOLE 6400 0 0
D CIVIC BANCORP COM COMMON STOCK 178788105 137 10124 SH SOLE 10124 0 0
D CLEVELAND INDIANS BASEBALL INC COMMON STOCK 186202107 423 23600 SH SOLE 23600 0 0
D CNB BANCSHARES INC COM COMMON STOCK 126126101 205 3881 SH SOLE 3881 0 0
D COLD METAL PRODUCTS INC COMMON STOCK 192861102 195 57900 SH SOLE 57900 0 0
D COMFORT SYS USA INC COM COMMON STOCK 199908104 781 66200 SH SOLE 66200 0 0
D CONCORD CAMERA CORP COM COMMON STOCK 206156101 658 76400 SH SOLE 76400 0 0
D CONMED CORPORATION COM COMMON STOCK 207410101 589 24050 SH SOLE 24050 0 0
D CORRPRO COS INC COM COMMON STOCK 220317101 203 33900 SH SOLE 33900 0 0
D DEL GLOBAL TECHNOLOGIES CORP COMMON STOCK 245073101 112 14300 SH SOLE 14300 0 0
D DESIGNS INC COM COMMON STOCK 25057L102 85 50000 SH SOLE 50000 0 0
D DIODES INC COM COMMON STOCK 254543101 274 47700 SH SOLE 47700 0 0
D ELECTRONICS BOUTIQUE HLDGS COM COMMON STOCK 286045109 406 15800 SH SOLE 15800 0 0
D ESS TECHNOLOGY INC COM COMMON STOCK 269151106 571 43100 SH SOLE 43100 0 0
D FILENET CORP COM COMMON STOCK 316869106 122 11500 SH SOLE 11500 0 0
D FINISH LINE INC CL A COMMON STOCK 317923100 208 23800 SH SOLE 23800 0 0
D FRESH FOOD INC COM COMMON STOCK 358034106 358 53600 SH SOLE 53600 0 0
D FUNCO INC COM COMMON STOCK 360762108 1040 55150 SH SOLE 55150 0 0
D GENERAL SEMICONDUCTR INC COM COMMON STOCK 370787103 341 33100 SH SOLE 33100 0 0
D GENZYME CORP SURGICAL PRODS COMMON STOCK 372917609 1682 299100 SH SOLE 299100 0 0
D GERBER SCIENTIFIC INSTR CO COM COMMON STOCK 373730100 333 14900 SH SOLE 14900 0 0
D GLATFELTER P H CO COM COMMON STOCK 377316104 309 18800 SH SOLE 18800 0 0
D HAGGAR CORP COM COMMON STOCK 405173105 200 15900 SH SOLE 15900 0 0
D HELLO DIRECT INC COM COMMON STOCK 423402106 629 74050 SH SOLE 74050 0 0
D HMT TECHNOLOGY CORP FIXED SUB CONVRT BONDS 403917AD9 37 100000 SH SOLE 100000 0 0
D HOLLYWOOD ENTERTAINM ENT CORP COMMON STOCK 436141105 289 19300 SH SOLE 19300 0 0
D HORACE MANN EDUCATOR CORP COM COMMON STOCK 440327104 957 37100 SH SOLE 37100 0 0
D HUTCHINSON TECHNOLOGY INC COMMON STOCK 448407106 734 27200 SH SOLE 27200 0 0
D IMC GLOBAL INC COM COMMON STOCK 449669100 549 37700 SH SOLE 37700 0 0
D INFOCUS SYSTEMS INC USD NPV CO COMMON STOCK 452919103 304 18200 SH SOLE 18200 0 0
D INTEGRATED MEASUREMENT SYSTEMS COMMON STOCK 457923100 577 45100 SH SOLE 45100 0 0
D INTERNATIONAL HOME FOODS INC COMMON STOCK 459655106 311 17800 SH SOLE 17800 0 0
D INTERTAN INC COM COMMON STOCK 461120107 726 37000 SH SOLE 37000 0 0
D JACO ELECTRS INC COM COMMON STOCK 469783104 286 81800 SH SOLE 81800 0 0
D KENT ELECTRONICS CORP COM COMMON STOCK 490553104 455 24600 SH SOLE 24600 0 0
D KEY TECHNOLOGY INC COM COMMON STOCK 493143101 542 73500 SH SOLE 73500 0 0
D KITTY HAWK INC COM COMMON STOCK 498326107 233 23100 SH SOLE 23100 0 0
D KLAMATH FIRST BANCORP INC COM COMMON STOCK 49842P103 159 12600 SH SOLE 12600 0 0
D LANDRY'S SEAFOOD RESTAURANTS I COMMON STOCK 51508L103 443 55400 SH SOLE 55400 0 0
D LIBERTY FINL CO INC COM COMMON STOCK 530512102 423 19300 SH SOLE 19300 0 0
D LONDON PACIFIC GROUP LTD ADR ADRS STOCKS 542073101 901 41200 SH SOLE 41200 0 0
D LUBRIZOL CORP COM COMMON STOCK 549271104 310 12100 SH SOLE 12100 0 0
D MATERIAL SCIENCES CORP COM COMMON STOCK 576674105 198 14900 SH SOLE 14900 0 0
D MATTSON TECHNOLOGY INC COMMON STOCK 577223100 769 64500 SH SOLE 64500 0 0
D MERRILL CORP COM COMMON STOCK 590175105 285 14300 SH SOLE 14300 0 0
D METROLOGIC INSTRS INC COM COMMON STOCK 591676101 251 21600 SH SOLE 21600 0 0
D MICRO LINEAR CORP COM COMMON STOCK 594850109 54 12000 SH SOLE 12000 0 0
D MICRO WAREHOUSE INC COM COMMON STOCK 59501B105 322 26700 SH SOLE 26700 0 0
D MIIX GROUP INC COM STK COMMON STOCK 59862V104 262 15500 SH SOLE 15500 0 0
D MIKOHN GAMING CORP COM COMMON STOCK 59862K108 154 38600 SH SOLE 38600 0 0
D MILLER HERMAN INC COM COMMON STOCK 600544100 317 13300 SH SOLE 13300 0 0
D MOVIE GALLERY INC COM COMMON STOCK 624581104 306 55500 SH SOLE 55500 0 0
D NATIONAL PRESTO INDS INC COM COMMON STOCK 637215104 505 13100 SH SOLE 13100 0 0
D NATIONAL SVC INDS INC COM COMMON STOCK 637657107 201 6400 SH SOLE 6400 0 0
D NELSON THOMAS INC COM COMMON STOCK 640376109 248 25500 SH SOLE 25500 0 0
D NETWORK EQUIP TECHNOLOGIES COMMON STOCK 641208103 91 10000 SH SOLE 10000 0 0
D NETWORK PLUS CORP COMM COMMON STOCK 64122D506 778 56350 SH SOLE 56350 0 0
D NU HORIZONS ELECTRS CORP COM COMMON STOCK 669908105 961 120200 SH SOLE 120200 0 0
D PENTECH INT'L COM COMMON STOCK 709635106 65 55000 SH SOLE 55000 0 0
D PHILLIPS VAN HEUSEN CORP COM COMMON STOCK 718592108 538 60700 SH SOLE 60700 0 0
D PIER 1 IMPORTS INC GA COM COMMON STOCK 720279108 668 101900 SH SOLE 101900 0 0
D PIONEER NATURAL RESOURCES INC COMMON STOCK 723787107 200 18900 SH SOLE 18900 0 0
D PLAYERS INTL INC COM COMMON STOCK 727903106 219 29700 SH SOLE 29700 0 0
D PRECISION OPTICS INC MASS COMMON STOCK 740294103 20 20000 SH SOLE 20000 0 0
D PREMISYS COMMUNICATIONS INC COMMON STOCK 740584107 112 13500 SH SOLE 13500 0 0
D PRESTIGE BANCORP INC COM COMMON STOCK 741115109 156 13058 SH SOLE 13058 0 0
D PSC INC COM COMMON STOCK 69361E107 111 13900 SH SOLE 13900 0 0
D QUADRAMED CORP CONV CONVRT BONDS 74730WAC5 40 80000 SH SOLE 80000 0 0
D QUANTUM CORP COM STK COMMON STOCK 747906303 265 35700 SH SOLE 35700 0 0
D QUEST EDUCATION CORP COMMON STOCK 74835F102 482 61300 SH SOLE 61300 0 0
D REXALL SUNDOWN INC COM COMMON STOCK 761648104 146 11900 SH SOLE 11900 0 0
D RICHARDSON ELECTRS LTD COM COMMON STOCK 763165107 895 107700 SH SOLE 107700 0 0
D RIGGS NATIONAL CORP COM COMMON STOCK 766570105 377 22350 SH SOLE 22350 0 0
D RIGHT MGMT CONSULTANTS INC COMMON STOCK 766573109 117 10400 SH SOLE 10400 0 0
D ROBINSON NUGENT INC COM COMMON STOCK 770810109 127 28400 SH SOLE 28400 0 0
D SAFETY 1ST INC COM COMMON STOCK 786475103 277 39300 SH SOLE 39300 0 0
D SEMX CORP COMM COMMON STOCK 816854103 65 12100 SH SOLE 12100 0 0
D SERVICE EXPERTS INC COM COMMON STOCK 817567100 349 33700 SH SOLE 33700 0 0
D SIPEX CORP COM COMMON STOCK 829909100 289 20200 SH SOLE 20200 0 0
D STERLING COMMERCE INC COMMON STOCK 859205106 1345 72500 SH SOLE 72500 0 0
D SUPERIOR SURGICL MFG COMMON STOCK 868358102 170 14500 SH SOLE 14500 0 0
D SYPRIS SOLUTIONS INC COM COMMON STOCK 871655106 251 25300 SH SOLE 25300 0 0
D TAKE-TWO INTERACTIVE SOFTWRE C COMMON STOCK 874054109 190 17200 SH SOLE 17200 0 0
D TECH DATA CORP COM COMMON STOCK 878237106 307 13200 SH SOLE 13200 0 0
D TELTREND INC COM COMMON STOCK 87969R106 224 11100 SH SOLE 11100 0 0
D TITAN CORP COM COMMON STOCK 888266103 1743 121300 SH SOLE 121300 0 0
D TITANIUM METALS CORP COM COMMON STOCK 888339108 104 11700 SH SOLE 11700 0 0
D UNIVERSAL FOODS CORP COMMON STOCK 913538104 438 19100 SH SOLE 19100 0 0
D UNO RESTAURANT CORP COM COMMON STOCK 914900105 458 38600 SH SOLE 38600 0 0
D VALUE CITY DEPT STOR ES INC US COMMON STOCK 920387107 421 28100 SH SOLE 28100 0 0
D VANS INC COM COMMON STOCK 921930103 411 34300 SH SOLE 34300 0 0
D VANTIVE CORP CONV SUB NOTES CONVRT BONDS 922091AC7 49 70000 SH SOLE 70000 0 0
D VICORP RESTAURANTS COM COMMON STOCK 925817108 194 11800 SH SOLE 11800 0 0
D VISHAY INTERTECHNLGY COMMON STOCK 928298108 3272 137800 SH SOLE 137800 0 0
D VISHAY INTERTECHNLGY OPTIONS - CALLS 928298TJU 222 9375 SH CALL SOLE 9375 0 0
D VTEL CORP COM COMMON STOCK 918333105 193 52600 SH SOLE 52600 0 0
D WALLACE COMPUTER SERVICES INC COMMON STOCK 932270101 386 19100 SH SOLE 19100 0 0
D WATKINS-JOHNSON CO COM COMMON STOCK 942486101 372 11100 SH SOLE 11100 0 0
D WATSCO INC CL A COMMON STOCK 942622200 142 12500 SH SOLE 12500 0 0
D WESTVACO CORP COMMON STOCK 961548104 269 10500 SH SOLE 10500 0 0
D WHITE ELECTRONICS DESIGNS COMMON STOCK 963801105 179 68500 SH SOLE 68500 0 0
D WILSONS THE LEATHER EXPERTS COMMON STOCK 972463103 228 14300 SH SOLE 14300 0 0
D WORKFLOW MANAGEMENT INC COM COMMON STOCK 98137N109 539 41500 SH SOLE 41500 0 0
D WR GRACE & CO COMMON STOCK 38388F108 766 46800 SH SOLE 46800 0 0
D XIONICS DOCUMENT TECH INC COMMON STOCK 98412X103 111 19000 SH SOLE 19000 0 0
D ZIFF DAVIS INC COM STK COMMON STOCK 989511100 1975 122500 SH SOLE 122500 0 0
D ZIFF-DAVIS INC ZDNET COMMON STOCK 989511209 510 24000 SH SOLE 24000 0 0
S REPORT SUMMARY 131 DATA RECORDS 54436 0 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED
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