UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
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 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 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.):
[ ] 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: 143
Form 13F Information Table Value Total: 81354
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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 1565 33300 SH SOLE 33300 0 0
D ABERCROMBIE & FITCH CO CL A CO COMMON STOCK 002896207 234 8800 SH SOLE 8800 0 0
D ACE LTD COM COMMON STOCK G0070K103 328 19700 SH SOLE 19700 0 0
D ACT NETWORKS INC COM COMMON STOCK 000975102 114 12300 SH SOLE 12300 0 0
D ACTEL CORP COM COMMON STOCK 004934105 1233 51400 SH SOLE 51400 0 0
D ACTIVE APPAREL GROUP INC COMMON STOCK 00504P105 82 35700 SH SOLE 35700 0 0
D ADVANCED COMMUNICATN SYSTEMS I COMMON STOCK 00750X109 399 20900 SH SOLE 20900 0 0
D ALBERTO CULVER CO CL A COMMON STOCK 013068200 902 41500 SH SOLE 41500 0 0
D ALBERTSONS INC COM COMMON STOCK 013104104 390 12100 SH SOLE 12100 0 0
D ALIGN-RITE INTL INC COM COMMON STOCK 016251100 204 9300 SH SOLE 9300 0 0
D ALLEN TELECOM INC COM COMMON STOCK 018091108 728 63000 SH SOLE 63000 0 0
D AMES DEPT STORES INC COM NEW COMMON STOCK 030789507 720 25000 SH SOLE 25000 0 0
D APPLIED POWER INC CL-A COM COMMON STOCK 038225108 455 12400 SH SOLE 12400 0 0
D APPLIED POWER INC CL-A COM OPTIONS - CALLS 0382250AE 551 15000 SH CALL SOLE 15000 0 0
D ARDENT SOFTWARE INC COM COMMON STOCK 039794102 1965 50400 SH SOLE 50400 0 0
D ARROW ELECTRONICS INC COM COMMON STOCK 042735100 2532 99800 SH SOLE 99800 0 0
D ASTORIA FINL CORP COM COMMON STOCK 046265104 222 7300 SH SOLE 7300 0 0
D AULT INC COM COMMON STOCK 051503100 243 27100 SH SOLE 27100 0 0
D AUTOTOTE CORP CL A COMMON STOCK 053323101 85 26400 SH SOLE 26400 0 0
D AVNET INC COM COMMON STOCK 053807103 931 15400 SH SOLE 15400 0 0
D AVNET INC COM OPTIONS - CALLS 0538070EH 931 15400 SH CALL SOLE 15400 0 0
D BAKER J INC COM COMMON STOCK 057232100 168 28000 SH SOLE 28000 0 0
D BELL MICROPRODUCTS INC COMMON STOCK 078137106 995 90500 SH SOLE 90500 0 0
D BETHLEHEM STEEL CORP COM COMMON STOCK 087509105 319 38200 SH SOLE 38200 0 0
D BOSTON BEER INC CL A COMMON STOCK 100557107 362 50400 SH SOLE 50400 0 0
D BRADLEES INC COMMON STOCK 104499207 131 15500 SH SOLE 15500 0 0
D BROOKLINE BANCORP INC COM COMMON STOCK 113739106 119 12249 SH SOLE 12249 0 0
D BROWN SHOE COMPANY INC COMMON STOCK 115736100 244 17300 SH SOLE 17300 0 0
D BURLINGTON COAT FACTORY WHSE C OPTIONS - CALLS 1215790AB 763 55000 SH CALL SOLE 55000 0 0
D BURLINGTON RESOURCES INC COMMON STOCK 122014103 297 9000 SH SOLE 9000 0 0
D CIDCO INC COM COMMON STOCK 171768104 380 69900 SH SOLE 69900 0 0
D CITY NATL CORP COM COMMON STOCK 178566105 210 6400 SH SOLE 6400 0 0
D CIVIC BANCORP COM COMMON STOCK 178788105 215 13924 SH SOLE 13924 0 0
D CLEVELAND CLIFFS INC COM COMMON STOCK 185896107 217 7000 SH SOLE 7000 0 0
D CLEVELAND INDIANS BASEBALL INC COMMON STOCK 186202107 494 23600 SH SOLE 23600 0 0
D CNF TRANSPORTATION INC COM OPTIONS - CALLS 12612WECY 248 7200 SH CALL SOLE 7200 0 0
D COLD METAL PRODUCTS INC COMMON STOCK 192861102 154 49500 SH SOLE 49500 0 0
D COMSHARE INC COM COMMON STOCK 205912108 174 49800 SH SOLE 49800 0 0
D CORRPRO COS INC COM COMMON STOCK 220317101 417 71000 SH SOLE 71000 0 0
D DAN RIVER INC COM COMMON STOCK 235774106 59 11700 SH SOLE 11700 0 0
D DAYTON SUPERIOR CORP CL A COMMON STOCK 240028100 360 22200 SH SOLE 22200 0 0
D DIGI INTL INC COM COMMON STOCK 253798102 182 17500 SH SOLE 17500 0 0
D DISNEY WALT CO COM STK COMMON STOCK 254687106 491 16800 SH SOLE 16800 0 0
D DRS TECHNOLOGIES INC COM COMMON STOCK 23330X100 121 12600 SH SOLE 12600 0 0
D DURA AUTOMOTIVE SYS INC COM COMMON STOCK 265903104 235 13500 SH SOLE 13500 0 0
D EQUINOX SYSTEMS INC COM COMMON STOCK 294436100 363 40400 SH SOLE 40400 0 0
D EZENIA! INC COM SKT COMMON STOCK 302311105 79 10000 SH SOLE 10000 0 0
D FIFTH THIRD BANCORP COM COMMON STOCK 316773100 251 3423 SH SOLE 3423 0 0
D FIRST FED FINANCIAL CORP COM COMMON STOCK 337907109 611 43500 SH SOLE 43500 0 0
D GENERAL SEMICONDUCTR INC COM COMMON STOCK 370787103 3471 244700 SH SOLE 244700 0 0
D GENRAD INC COM COMMON STOCK 372447102 296 18400 SH SOLE 18400 0 0
D GENZYME CORP SURGICAL PRODS COMMON STOCK 372917609 1948 335300 SH SOLE 335300 0 0
D GERBER SCIENTIFIC INSTR CO COM COMMON STOCK 373730100 504 23000 SH SOLE 23000 0 0
D GLATFELTER P H CO COM COMMON STOCK 377316104 337 23200 SH SOLE 23200 0 0
D HASBRO INC COM COMMON STOCK 418056107 244 12900 SH SOLE 12900 0 0
D HELLO DIRECT INC COM COMMON STOCK 423402106 1604 107850 SH SOLE 107850 0 0
D HELMERICH & PAYNE INC COM COMMON STOCK 423452101 391 18000 SH SOLE 18000 0 0
D HMT TECHNOLOGY CORP FIXED SUB CONVRT BONDS 403917AD9 39 100000 SH SOLE 100000 0 0
D HNC SOFTWARE INC COM COMMON STOCK 40425P107 317 3000 SH SOLE 3000 0 0
D HOLLYWOOD ENTERTAINM ENT CORP COMMON STOCK 436141105 394 27200 SH SOLE 27200 0 0
D HOUGTON MIFFLIN CO COM COMMON STOCK 441560109 907 21500 SH SOLE 21500 0 0
D HYPERCOM CORP COM COMMON STOCK 44913M105 248 24800 SH SOLE 24800 0 0
D INFOCUS SYSTEMS INC USD NPV CO COMMON STOCK 452919103 422 18200 SH SOLE 18200 0 0
D INTERNATIONAL HOME FOODS INC COMMON STOCK 459655106 248 14300 SH SOLE 14300 0 0
D INTERTAN INC COM COMMON STOCK 461120107 415 15900 SH SOLE 15900 0 0
D IXYS CORPORATION COM STK COMMON STOCK 46600W106 232 37200 SH SOLE 37200 0 0
D JACO ELECTRS INC COM COMMON STOCK 469783104 444 85600 SH SOLE 85600 0 0
D JOURNAL REGISTER CO COM COMMON STOCK 481138105 171 11100 SH SOLE 11100 0 0
D KENT ELECTRONICS CORP COM COMMON STOCK 490553104 450 19800 SH SOLE 19800 0 0
D KEY TECHNOLOGY INC COM COMMON STOCK 493143101 335 37300 SH SOLE 37300 0 0
D KITTY HAWK INC COM COMMON STOCK 498326107 278 40500 SH SOLE 40500 0 0
D KLAMATH FIRST BANCORP INC COM COMMON STOCK 49842P103 131 11100 SH SOLE 11100 0 0
D KULICKE & SOFFA INDS INC COM OPTIONS - CALLS 5012420DW 340 8000 SH CALL SOLE 8000 0 0
D LANDRY'S SEAFOOD RESTAURANTS I COMMON STOCK 51508L103 390 45000 SH SOLE 45000 0 0
D LIBERTY FINL CO INC COM COMMON STOCK 530512102 399 17400 SH SOLE 17400 0 0
D LONDON PACIFIC GROUP LTD ADR ADRS STOCKS 542073101 288 8000 SH SOLE 8000 0 0
D M.A. HANNA CO COM COMMON STOCK 410522106 754 69000 SH SOLE 69000 0 0
D MANITOWOC INC COM COMMON STOCK 563571108 414 12200 SH SOLE 12200 0 0
D MATTEL INC COM COMMON STOCK 577081102 139 10600 SH SOLE 10600 0 0
D MATTSON TECHNOLOGY INC COMMON STOCK 577223100 421 24600 SH SOLE 24600 0 0
D MERIT MED SYS INC COM COMMON STOCK 589889104 228 31500 SH SOLE 31500 0 0
D METALS USA INC COM COMMON STOCK 591324108 127 15000 SH SOLE 15000 0 0
D METROLOGIC INSTRS INC COM COMMON STOCK 591676101 145 10800 SH SOLE 10800 0 0
D MIIX GROUP INC COM STK COMMON STOCK 59862V104 557 38100 SH SOLE 38100 0 0
D MILLIPORE CORP COM COMMON STOCK 601073109 278 7200 SH SOLE 7200 0 0
D MOVIE GALLERY INC COM COMMON STOCK 624581104 380 88200 SH SOLE 88200 0 0
D MSC.SOFTWARE CORPORATION COMMON STOCK 553531104 142 14100 SH SOLE 14100 0 0
D NEIMMAN MARCUS B COM STK COMMON STOCK 640204301 258 9600 SH SOLE 9600 0 0
D NELSON THOMAS INC COM COMMON STOCK 640376109 148 16100 SH SOLE 16100 0 0
D NU HORIZONS ELECTRS CORP COM COMMON STOCK 669908105 2242 169275 SH SOLE 169275 0 0
D NUCOR CORP COM COMMON STOCK 670346105 685 12500 SH SOLE 12500 0 0
D OGDEN CORP COM COMMON STOCK 676346109 130 10900 SH SOLE 10900 0 0
D OLIN CORP COM COMMON STOCK 680665205 283 14300 SH SOLE 14300 0 0
D PENTAIR INC COM COMMON STOCK 709631105 204 5300 SH SOLE 5300 0 0
D PHILLIPS VAN HEUSEN CORP COM COMMON STOCK 718592108 487 58600 SH SOLE 58600 0 0
D PIER 1 IMPORTS INC GA COM COMMON STOCK 720279108 652 102300 SH SOLE 102300 0 0
D PIONEER STD ELECTRS INC COM COMMON STOCK 723877106 532 36900 SH SOLE 36900 0 0
D PLAYERS INTL INC COM COMMON STOCK 727903106 272 33100 SH SOLE 33100 0 0
D POLAROID CORP USD1 COM COMMON STOCK 731095105 511 27200 SH SOLE 27200 0 0
D PRESTIGE BANCORP INC COM COMMON STOCK 741115109 143 13058 SH SOLE 13058 0 0
D PRIDE INTERNATIONAL INC COM COMMON STOCK 741932107 178 12200 SH SOLE 12200 0 0
D QUADRAMED CORP CONV CONVRT BONDS 74730WAC5 36 80000 SH SOLE 80000 0 0
D QUEST DIAGNOSTICS INC COMMON STOCK 74834L100 265 8700 SH SOLE 8700 0 0
D QUEST EDUCATION CORP COMMON STOCK 74835F102 129 14800 SH SOLE 14800 0 0
D QUICKSILVER INC COM COMMON STOCK 74838C106 423 27300 SH SOLE 27300 0 0
D RAINBOW TECHNOLOGIES INC COM COMMON STOCK 750862104 376 16200 SH SOLE 16200 0 0
D RAYMOND JAMES FINL INC COM COMMON STOCK 754730109 456 24500 SH SOLE 24500 0 0
D RICHARDSON ELECTRS LTD COM COMMON STOCK 763165107 1721 229500 SH SOLE 229500 0 0
D RIGGS NATIONAL CORP COM COMMON STOCK 766570105 144 10950 SH SOLE 10950 0 0
D RUSSELL CORP COMMON STOCK 782352108 556 33200 SH SOLE 33200 0 0
D SAFECO CORP COMMON STOCK 786429100 340 13700 SH SOLE 13700 0 0
D SAFETY 1ST INC COM COMMON STOCK 786475103 487 65000 SH SOLE 65000 0 0
D SAFETY-KLEEN CORP COM COMMON STOCK 78648R203 130 11500 SH SOLE 11500 0 0
D SANTA FE SNYDER CORP COMMON STOCK 80218K105 572 71600 SH SOLE 71600 0 0
D SEMITOOL INC COM COMMON STOCK 816909105 402 26800 SH SOLE 26800 0 0
D SILICON VALLEY GROUP INC COM COMMON STOCK 827066101 553 31200 SH SOLE 31200 0 0
D SNYDER COMMUNICATION INC SNC C COMMON STOCK 832914105 993 51600 SH SOLE 51600 0 0
D SPEEDFAM-IPEC INC COMMON STOCK 847705100 608 47000 SH SOLE 47000 0 0
D STERLING COMMERCE INC COMMON STOCK 859205106 1360 40000 SH SOLE 40000 0 0
D STERLING SOFTWARE COM COMMON STOCK 859547101 277 8800 SH SOLE 8800 0 0
D SYPRIS SOLUTIONS INC COM COMMON STOCK 871655106 124 13800 SH SOLE 13800 0 0
D TELTREND INC COM COMMON STOCK 87969R106 574 19000 SH SOLE 19000 0 0
D THE JPM COMPANY COM COMMON STOCK 465933109 246 31300 SH SOLE 31300 0 0
D THOMAS & BETTS CORP COMMON STOCK 884315102 360 11300 SH SOLE 11300 0 0
D TITAN CORP COM COMMON STOCK 888266103 6022 127300 SH SOLE 127300 0 0
D TRIGON HEALTHCARE INC COMMON STOCK 89618L100 259 8800 SH SOLE 8800 0 0
D UNO RESTAURANT CORP COM COMMON STOCK 914900105 382 34360 SH SOLE 34360 0 0
D USX-US STEEL GROUP COM OPTIONS - CALLS 90337T0AX 825 25000 SH CALL SOLE 25000 0 0
D VANS INC COM COMMON STOCK 921930103 303 24800 SH SOLE 24800 0 0
D VANTIVE CORP CONV SUB NOTES CONVRT BONDS 922091AC7 59 70000 SH SOLE 70000 0 0
D VARCO INTL CO COMMON STOCK 922126107 411 40400 SH SOLE 40400 0 0
D VENATOR GROUP INC COM COMMON STOCK 922944103 140 20100 SH SOLE 20100 0 0
D VISHAY INTERTECHNLGY COMMON STOCK 928298108 6317 199775 SH SOLE 199775 0 0
D WASHINGTON MUT INC COM COMMON STOCK 939322103 465 18000 SH SOLE 18000 0 0
D WATER PIK TECH COM STK COMMON STOCK 94113U100 1700 177800 SH SOLE 177800 0 0
D WATKINS-JOHNSON CO COM COMMON STOCK 942486101 316 7900 SH SOLE 7900 0 0
D WATSCO INC CL A COMMON STOCK 942622200 175 15200 SH SOLE 15200 0 0
D WILSONS THE LEATHER EXPERTS COMMON STOCK 972463103 202 11000 SH SOLE 11000 0 0
D WR GRACE & CO COMMON STOCK 38388F108 272 19300 SH SOLE 19300 0 0
D XIONICS DOCUMENT TECH INC COM COMMON STOCK 98412X103 198 19000 SH SOLE 19000 0 0
D XL CAPITAL LTD CL-A COM STK COMMON STOCK G98255105 575 11100 SH SOLE 11100 0 0
D ZIFF DAVIS INC COM STK COMMON STOCK 989511100 1962 124100 SH SOLE 124100 0 0
D ZIFF-DAVIS INC ZDNET COMMON STOCK 989511209 613 29200 SH SOLE 29200 0 0
S REPORT SUMMARY 143 DATA RECORDS 81354 0 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED
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