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.
[ X ] adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: The University of Chicago
Address: 450 N. Cityfront Plaza Drive
Suite 440
Chicago, IL 60611
13F File Number: 28-18
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: Philip Halpern
Title: Vice President and Chief Investment Officer
Phone: 312.595.1000
Signature, Place, and Date of Signing:
Philip Halpern Chicago, Illinois October 29, 1999
Report Type (Check only one.):
[ X ] 13F HOLDINGS REPORT.
[ ] 13F NOTICE.
[ ] 13F COMBINATION REPORT.
List of Other Managers Reporting for this Manager:
I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE
ACT OF 1934.
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FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 2
Form 13F Information Table Entry Total: 60
Form 13F Information Table Value Total: $44,802
List of Other Included Managers:
No. 13F File Number Name
01 801-31452 Penn Capital Management Company Inc.
02 801-38612 Shott Capital Management LLC
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<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
- --------------------------------------------------------------------------------
- -------------------------------
D BP AMOCO PLC ADR 055622104 309 2788 SH SOLE
2788 0 0
D AMERICA ONLINE COM 02364J104 1410 13550 SH OTHER 02
13
550 0 0
D APPLIED MICRO CIR COM 03822W109 1140 20000 SH
OTHER 02 20000 0 0
D AT HOME CORP COM 045919107 259 6249 SH
OTHER 02 6249 0 0
D AT&T CDA Inc Cl B COM 00207Q202 1511 24052 SH
OTHER 02 24052 0 0
D BERKSHIRE REALTY COM 084710102 126 10500 SH SOLE
10500
0 0
D BEA SYS Inc. COM 073325102 327 9250 SH OTHER 02
9250 0 0
D BROCADE COM SYS COM 111621108 2059 9806 SH OTHER
02 9806 0 0
D BROADCOM CORP CL A COM 111320107 1363 12500 SH
OTHER 02 12500 0 0
D C-CUBE MICROSYSTEMS COM 125015107 522 12000 SH
OTHER 02 12000 0 0
D CHECKPOINT SYSTEMS COM 162825103 93 10000 SH SOLE
1
0000 0 0
D CIENA CORP COM 171779101 730 19997 SH OTHER
02 19997 0 0
D CLEARNET COM CL A COM 184902104 199 11025 SH OTHER 01
0
0 11025
D COVAD COM GROUP COM 222814204 2812 64513 SH
OTHER O2 64513 0 0
D DAN RIVER CL A COM 235774106 187 28700 SH
OTHER 01 0 0 28700
D DEVRY INC DEL COM 251893103 4062 203104 SH SOLE
203104 0 0
D E-TEK DYNAMICS COM 269240107 705 13000 SH OTHER 02
13
000 0 0
D ESCO ELECTRONICS COM 269030201 122 11000 SH SOLE
11000
0 0
D ECHOSTAR COM SER C PFD 278762307 904 2330 SH OTHER
01 0 0 2330
D EXIDE CORP COM 302051107 128 13405 SH OTHER 01
0
0 13405
D EXODUS COM COM 302088109 1296 17224 SH
OTHER 02 17224 0 0
D FATBRAIN COM COM 311889109 406 27200 SH
OTHER O2 27200 0 0
D FLEXTRONICS INT'L COM Y2573F102 873 15000 SH OTHER 02
15000 0 0
D FOREST CITY ENT CLB COM 345550305 808 32000 SH SOLE
3
2000 0 0
D FOREST CITY ENT CLA COM 345550107 3348 150044 SH SOLE
150044 0 0
D GENZYME CORP COM 372917104 203 4500 SH SOLE
4500 0 0
D GENZYME CORP TISSUE COM 372917401 21 11180 SH SOLE
11180
0 0
D GENZYME TRANSGENICS COM 37246E105 135 20000 SH SOLE
2
0000 0 0
D GULF CANADA RESOUR COM 40218L305 4188 1000000 SH SOLE
1000000 0 0
D HEALTHEON CORP COM 422209106 1859 50251 SH OTHER 02
50251 0 0
D HEARTPORT INC COM 421969106 68 15000 SH
OTHER 02 15000 0 0
D HOOVER'S INC COM 439992108 1670 154500 SH
SOLE 154500 0 0
D ILL SUPERCONDUCTOR WTS 452284128 17 16784 SH OTHER 02
16784 0 0
D ILL SUPERCONDUCTOR COM 452284102 32 46481 SH OTHER 02
46
481 0 0
D INKTOMI CORP COM 457277101 707 5890 SH OTHER
02 5890 0 0
D IBM CORP COM 459200101 218 1800 SH SOLE
1800 0 0
D LITTLE SWITZERLAND COM 537528101 7 16000 SH SOLE
16000
0 0
D MAGANIN PHARMACUET COM 559036108 11 10000 SH SOLE
10000
0 0
D MICROSOFT COM 594918104 409 4512 SH OTHER 02
4512 0 0
D MICROSOFT COM 594918104 254 2800 SH SOLE
2800 0 0
D NANOPHASE TECHNOLOG COM 630079101 533 270885 SH OTHER 02
270885 0 0
D NETWORK APPLIANCE COM 64120L104 1433 20000 SH OTHER 02
20000 0 0
D NEW ERA NETWORKS COM 644312100 270 12500 SH OTHER 02
12500 0 0
D NOVOSTE CORP. COM 67010C100 530 29702 SH OTHER
02 29702 0 0
D PAIRGAIN TECHNOL COM 695934103 128 10000 SH OTHER 02
10000 0 0
D PARAMETRIC TECHNOL COM 699173100 398 29509 SH OTHER 02
29
509 0 0
D PEGASUS COM CLA COM 705904100 226 5000 SH
OTHER 01 0 0 5000
D PILLOWTEX CORP COM 721501104 119 15920 SH OTHER
01 0 0 15920
D RADIANCE MEDICAL SY COM 750241101 176 26000 SH SOLE
26000
0 0
D REDBACK NETWORKS COM 758939102 3780 35000 SH OTHER 02
35
000 0 0
D RSA SEC INC COM 749719100 341 12838 SH OTHER 02
12838 0 0
D SPEIZMAN INDS INC COM 847805108 102 24000 SH SOLE
24000
0 0
D SPLASH TECH-HOLD COM 848623104 151 24678 SH OTHER 02
24678 0 0
D TERAYON COMM COM 880775101 516 10556 SH OTHER
O2 10556 0 0
D THERMO FIBERGEN INC COM 88355U109 216 19300 SH SOLE
19300
0 0
D THERMO FIBERGEN INC RTS 88355U107 27 19300 SH SOLE
19300
0 0
D TOPPS INC COM 890786106 105 14000 SH SOLE
14000
0 0
D VERSUS TECH INC. COM 925313108 9 60000 SH SOLE
60000
0 0
D WAL-MART STORES COM 931142103 228 4800 SH SOLE
4800 0 0
D WESTERN WATER COM 959881103 16 10000 SH SOLE
10000
0 0
S REPORT SUMMARY 60 DATA RECORDS 44802
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