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OMB APPROVAL
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OMB Number: 3235-0006
Expires: February 28, 1991
Estimated average burden
hours per response.....24.60
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SEC USE ONLY
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
INFORMATION REQUIRED OF INSTITUTIONAL INVESTMENT MANAGERS PURSUANT
TO SECTION 13(f) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULES THEREUNDER
Report for the Calendar Year or Quarter Ended September 30, 1999
- --------------------------------------------------------------------------------
(Please read instructions before preparing form.)
- --------------------------------------------------------------------------------
If amended report check here: |_|
Haven Capital Management, Inc.
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Name of Institutional Investment Manager
655 Third Avenue New York NY 10017
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Business Address (Street) (City) (State) (Zip)
Stephen Ely, Managing Director (212) 953-2324
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Name, Phone No., and Title of Person Duly Authorized to Submit This Report.
- ------------------------------------ATTENTION-----------------------------------
Intentional misstatements or omissions of facts constitute
Federal Criminal Violations.
See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
- --------------------------------------------------------------------------------
The institutional investment manager submitting this Form and its
attachments and the person by whom it is signed represent hereby that all
information contained therein is true, correct and complete. It is understood
that all required items, statements and schedules are considered integral parts
of this Form and that the submission of any amendment represents that all
unamended items, statements and schedules remain true, correct and complete as
previously submitted.
Pursuant to the requirements of Securities Exchange Act of 1934, the
undersigned institutional investment manager has caused this report to be signed
on its behalf in the City of New York and State of New York on the 12th day of
April, 1999.
Haven Capital Management, Inc.
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(Name of Institutional Investment Manager)
/s/ STEPHEN ELY
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(Manual Signature of Person Duly
Authorized to Submit This Report)
Name and 13F file numbers of ALL Institutional Investment Managers with respect
to which this schedule is filled (other than the one filing this report): (List
in alphabetical order).
13F File Numbers will be assigned to Institutional Investment Managers after
they file their first report.
Name: 13F File No.: Name: 13F File No.:
- ----------------------- ------------- ----------------------- -------------
1. SEE ATTACHED 6.
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2. 7.
- ----------------------- ------------- ----------------------- -------------
3. 8.
- ----------------------- ------------- ----------------------- -------------
4. 9.
- ----------------------- ------------- ----------------------- -------------
5. 10.
- ----------------------- ------------- ----------------------- -------------
SEC 1685 (7-88)
<PAGE>
FORM 13F
Page 1 of 1 Name of Reporting Manager: Haven Capital Management, Inc.
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(SEC USE ONLY)
<TABLE>
<CAPTION>
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Item 1: Item 2: Item 3: Item 4: Item 5: Item 6: Item 7: Item 8:
Investment Discretion Voting Authority
------------------------ ---------------------
Title Fair Shares of (a) (b) (c) Mana- (a) (b) (c)
Name of Issuer of CUSIP Market Principal Sole Shared as Shared gers Sole Shared None
Class Number Value Amount Defined Other See
in Instru
Instru V. V.
- ------------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
SEE ATTACHED
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- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
COLUMN TOTALS
- ------------------------------------------------------------------------------------------------------------------------------------
</TABLE>
<PAGE>
FORM 13F
REPORTING MANAGER: HAVEN CAPITAL MGMT
9/30/99
PAGE 1
<TABLE>
<CAPTION>
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ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8
INVESTMENT DISCRETION VOTING AUTHORITY
TITLE FAIR SHARES OF SHARED
NAME OF ISSUER OF CUSIP MARKET PRINCIPAL SOLE SHARED OTHER MANA- SOLE SHARED NONE
CLASS NUMBER VALUE AMOUNT (A) (B) (C) GERS (A) (B) (C)
- ------------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
ABBOTT LABS COMMON 2824100 4423 120570 SH SOLE 0 0 120570
ALBERTO CULVER CO CL A CL A 13068200 3641 186100 SH SOLE 0 0 186100
ALLMERICA FINL CORP COMMON 19754100 5178 108723 SH SOLE 0 0 108723
AMERICAN HOME PRODS CORP COMMON 26609107 4673 112597 SH SOLE 0 0 112597
AMERICAN INTL GROUP INC COMMON 26874107 571 6567 SH SOLE 0 0 6567
AMERICAN PWR CONVERSION COMMON 29066107 2737 144050 SH SOLE 0 0 144050
ANDREW CORP COMMON 34425108 6060 348770 SH SOLE 0 0 348770
ANHEUSER BUSCH COS INC COMMON 35229103 6810 97200 SH SOLE 0 0 97200
ARMSTRONG WORLD INDS INC COMMON 42476101 7665 170575 SH SOLE 0 0 170575
AVERY DENNISON CORP COMMON 53611109 9483 179770 SH SOLE 0 0 179770
BP AMOCO P L C SPONS ADR 55622104 12612 113812 SH SOLE 0 0 113812
BAKER FENTRESS & CO COMMON 57213100 2468 177041 SH SOLE 0 0 177041
BANK ONE CORP COMMON 06423A103 7040 202233 SH SOLE 0 0 202233
BANKBOSTON CORP COMMON 06605R106 382 8800 SH SOLE 0 0 8800
BECTON DICKINSON & CO COMMON 75887109 4950 176400 SH SOLE 0 0 176400
BELCO OIL & GAS CORP PFD CONV 77410207 2358 140800 SH SOLE 0 0 140800
BELL ATLANTIC CORP COMMON 77853109 5510 81864 SH SOLE 0 0 81864
BERKSHIRE HATHAWAY INC B CLASS B 84670207 594 320 SH SOLE 0 0 320
BOB EVANS FARMS INC COMMON 96761101 4620 226731 SH SOLE 0 0 226731
BORDERS GROUP INC COMMON 99709107 3444 234500 SH SOLE 0 0 234500
BRISTOL MYERS SQUIBB CO COMMON 110122108 9191 136156 SH SOLE 0 0 136156
BURLINGTON RES INC COMMON 122014103 5634 153295 SH SOLE 0 0 153295
CAMPBELL SOUP CO. COMMON 134429109 446 11400 SH SOLE 0 0 11400
CATERPILLAR INC DEL COMMON 149123101 276 5032 SH SOLE 0 0 5032
CHEVRON CORPORATION COMMON 166751107 382 4300 SH SOLE 0 0 4300
CHITTENDEN CORP COMMON 170228100 280 9819 SH SOLE 0 0 9819
CHUBB CORP COMMON 171232101 357 7200 SH SOLE 0 0 7200
CIRCUIT CITY STORE INC CIRCT CITY GRP 172737108 3270 77500 SH SOLE 0 0 77500
COLUMBUS MCKINNON CORP N COMMON 199333105 3134 181665 SH SOLE 0 0 181665
COMMERCE BANCORP NJ COMMON 200519106 6640 159993 SH SOLE 0 0 159993
CONOCO INC CL B CL B 208251405 3065 111950 SH SOLE 0 0 111950
CONSOLIDATED TOMOKA LD C COMMON 210226106 306 22678 SH SOLE 0 0 22678
CORNING INC COMMON 219350105 716 10444 SH SOLE 0 0 10444
CROSS TIMBERS RTY TR TR UNIT 22757R109 3476 292728 SH SOLE 0 0 292728
DANA CORP COMMON 235811106 1552 41818 SH SOLE 0 0 41818
DANAHER CORP DEL COMMON 235851102 4129 78360 SH SOLE 0 0 78360
DEXTER CORP COMMON 252165105 4392 117700 SH SOLE 0 0 117700
DIEBOLD INC COMMON 253651103 3715 160662 SH SOLE 0 0 160662
DOVER CORP COMMON 260003108 10253 250850 SH SOLE 0 0 250850
DU PONT E I DE NEMOURS COMMON 263534109 4774 78906 SH SOLE 0 0 78906
E M C CORP MASS COMMON 268648102 10421 146000 SH SOLE 0 0 146000
ELAN PLC ADR 284131208 4430 132000 SH SOLE 0 0 132000
EMERSON ELEC CO COMMON 291011104 1439 22770 SH SOLE 0 0 22770
FIRST FINL HLDGS INC COMMON 320239106 173 10000 SH SOLE 0 0 10000
FIRST TENN NATL CORP COMMON 337162101 1125 40000 SH SOLE 0 0 40000
FIRST VA BANKS INC COMMON 337477103 294 6750 SH SOLE 0 0 6750
FLEET BOSTON CORP COMMON 33901A108 2716 74154 SH SOLE 0 0 74154
GATEWAY INC COMMON 367626108 6525 148300 SH SOLE 0 0 148300
GENERAL ELEC CO COMMON 369604103 4979 41993 SH SOLE 0 0 41993
GENERAL GROWTH PPTYS INC COMMON 370021107 10436 331295 SH SOLE 0 0 331295
GOLDMAN SACHS GROUP INC COMMON 38141G104 787 12900 SH SOLE 0 0 12900
GRAINGER W W INC COMMON 384802104 3598 74854 SH SOLE 0 0 74854
GREENPOINT FINL CORP COMMON 395384100 744 28000 SH SOLE 0 0 28000
GULF CDA RES LTD ORD 40218L305 3242 774200 SH SOLE 0 0 774200
HASBRO INC COMMON 418056107 3884 180650 SH SOLE 0 0 180650
HEILIG MEYERS CO COMMON 422893107 86 18000 SH SOLE 0 0 18000
HEINZ H J CO COMMON 423074103 247 5750 SH SOLE 0 0 5750
CREDIT COMMERCL FRANCE FRF25 4230870 1072 8500 SH SOLE 0 0 8500
CREDIT SUISSE GROUP-REG CHF20 (REGD) 4245614 1210 6600 SH SOLE 0 0 6600
HEWLETT PACKARD CO COMMON 428236103 12066 132955 SH SOLE 0 0 132955
HOECHST A G ADR 434390308 2532 58200 SH SOLE 0 0 58200
INGERSOLL-RAND COMPANY COMMON 456866102 5670 103200 SH SOLE 0 0 103200
INTERNATIONAL BUSINESS M COMMON 459200101 2787 23036 SH SOLE 0 0 23036
JOHNSON & JOHNSON COMMON 478160104 10173 110726 SH SOLE 0 0 110726
KIMBERLY CLARK CORP COMMON 494368103 10137 192177 SH SOLE 0 0 192177
KINDER MORGAN ENERGY PAR UT LTD PARTNER 494550106 1906 44000 SH SOLE 0 0 44000
LABORATORY CORP AMER HLD COMMON 50540R102 1266 460500 SH SOLE 0 0 460500
LABORATORY CORP CV PFD EXCH A 8.5 6/12 50540R201 2945 52581 SH SOLE 0 0 52581
DAIMLER CHR EUR 66.8 PAR CNV BND 5.75 06/ 5239058 1044 14000 SH SOLE 0 0 14000
LEGGETT & PLATT INC COMMON 524660107 6983 354715 SH SOLE 0 0 354715
LILLY ELI & CO COMMON 532457108 289 4500 SH SOLE 0 0 4500
LOWES COS INC COMMON 548661107 2145 44000 SH SOLE 0 0 44000
LUXOTTICA GROUP S P A DEPOSITORY RECEI 55068R202 229 12000 SH SOLE 0 0 12000
BELL ATL REG S EXCH(CWZ) SDCV 4.250 09/1 5520086 4130 3950000 PRN SOLE 0 0 3950000
MASCO CORP COMMON 574599106 8491 273890 SH SOLE 0 0 273890
MCDONALDS CORP COMMON 580135101 4217 97496 SH SOLE 0 0 97496
MELLON BK CORP COMMON 585509102 3806 113200 SH SOLE 0 0 113200
MERCK & CO INC COMMON 589331107 6501 100306 SH SOLE 0 0 100306
MINNESOTA MNG & MFG CO COMMON 604059105 5498 57229 SH SOLE 0 0 57229
MOBIL CORP COMMON 607059102 443 4400 SH SOLE 0 0 4400
BANGKOK BK (FORGN) THB 6077019 49 25000 SH SOLE 0 0 25000
MOLEX INC COMMON 608554101 5226 143679 SH SOLE 0 0 143679
MOLEX INC CL A NON VTG. 608554200 744 22981 SH SOLE 0 0 22981
MORGAN J P & CO INC COMMON 616880100 583 5100 SH SOLE 0 0 5100
MORRISON KNUDSEN CORP NE COMMON 61844A109 4256 412750 SH SOLE 0 0 412750
MOTOROLA INC COMMON 620076109 299 3400 SH SOLE 0 0 3400
NEWELL RUBBERMAID INC COMMON 651229106 3748 131236 SH SOLE 0 0 131236
NOVELL INC COMMON 670006105 2931 141700 SH SOLE 0 0 141700
O CHARLEYS INC COMMON 670823103 3120 211500 SH SOLE 0 0 211500
OCEAN ENERGY INC TEX COMMON 6.75E+110 7118 698706 SH SOLE 0 0 698706
OFFICE DEPOT INC COMMON 676220106 241 22950 SH SOLE 0 0 22950
OPTIMARK TECHNOLOGIES SER B CV PART. P 683990204 150 15000 SH SOLE 0 0 15000
OWENS CORNING COMMON 69073F103 4789 220800 SH SOLE 0 0 220800
PENTAIR INC COMMON 709631105 2397 59750 SH SOLE 0 0 59750
PFIZER INC COMMON 717081103 210 5850 SH SOLE 0 0 5850
PRAXAIR INC COMMON 74005P104 7005 152285 SH SOLE 0 0 152285
PROCTER & GAMBLE CO COMMON 742718109 2466 26300 SH SOLE 0 0 26300
PROVIDIAN FINL CORP COMMON 74406A102 285 3600 SH SOLE 0 0 3600
R & B FALCON CORP COMMON 7.49E+105 2330 177486 SH SOLE 0 0 177486
RAYTHEON CO CL B CL B 755111408 4355 87750 SH SOLE 0 0 87750
READERS DIGEST ASSN INC CL A NON VTG 755267101 3993 136500 SH SOLE 0 0 136500
REGIONS FINL CORP COMMON 758940100 1023 34098 SH SOLE 0 0 34098
ROYAL DUTCH PETE CO NY REG SHARES 780257804 12806 216816 SH SOLE 0 0 216816
SBC COMMUNICATIONS INC COMMON 78387G103 2921 57200 SH SOLE 0 0 57200
SAUER INC COMMON 804137107 2251 184700 SH SOLE 0 0 184700
SCHLUMBERGER LTD COMMON 806857108 5906 94773 SH SOLE 0 0 94773
SHERWIN WILLIAMS CO COMMON 824348106 1937 92500 SH SOLE 0 0 92500
SILGAN HOLDINGS INC COMMON 827048109 2372 118600 SH SOLE 0 0 118600
SILICON GRAPHICS INC COMMON 827056102 1962 179350 SH SOLE 0 0 179350
SONOCO PRODS CO COMMON 835495102 3874 169829 SH SOLE 0 0 169829
SOUTHERN FINC'L BANCORP COMMON 842870107 307 15521 SH SOLE 0 0 15521
SOVEREIGN BANCORP INC COMMON 845905108 1577 173420 SH SOLE 0 0 173420
THE SPORTS AUTHORITY INC COMMON 849176102 457 143500 SH SOLE 0 0 143500
STRYKER CORP COMMON 863667101 3880 75900 SH SOLE 0 0 75900
SYSCO CORP COMMON 871829107 4353 124150 SH SOLE 0 0 124150
TELE DANMARK A/S DEPOSITORY RECEI 879242105 4651 157000 SH SOLE 0 0 157000
TELEFONICA DE ESPANA S A DEPOSITORY RECEI 879382208 298 6210 SH SOLE 0 0 6210
TEXAS INSTRS INC COMMON 882508104 7880 95810 SH SOLE 0 0 95810
3DFX INTERACTIVE INC COMMON 88553X103 483 58591 SH SOLE 0 0 58591
TNT POST GROEP N V ADR 888742103 3298 129958 SH SOLE 0 0 129958
TOTAL FINA S A ADR 8.92E+113 8475 133590 SH SOLE 0 0 133590
TRANSCANADA PIPELINES LT COMMON 893526103 4402 337000 SH SOLE 0 0 337000
US BANCORP DEL COMMON 902973106 2762 91500 SH SOLE 0 0 91500
UNION PAC RES GROUP INC COMMON 907834105 3820 235053 SH SOLE 0 0 235053
V F CORP COMMON 918204108 2638 85100 SH SOLE 0 0 85100
VALEO ADR 919134304 5276 72914 SH SOLE 0 0 72914
VAXGEN INC COM NEW 922390208 1126 77000 SH SOLE 0 0 77000
WACHOVIA CORP COMMON 929771103 3881 49359 SH SOLE 0 0 49359
WAL MART STORES INC COMMON 931142103 400 8400 SH SOLE 0 0 8400
WASHINGTON GAS LT CO COMMON 938837101 2563 94500 SH SOLE 0 0 94500
WATTS INDS INC CL A 942749102 3882 178500 SH SOLE 0 0 178500
WEINGARTEN RLTY INVS SH BEN INT 948741103 3142 84055 SH SOLE 0 0 84055
WEYERHAEUSER CO COMMON 962166104 821 14250 SH SOLE 0 0 14250
WISCONSIN CENT TRANSN CO COMMON 976592105 622 45440 SH SOLE 0 0 45440
ZANY BRAINY INC COMMON 98906Q101 297 33500 SH SOLE 0 0 33500
AMDOCS LTD ORD G02602103 5177 246500 SH SOLE 0 0 246500
XL CAPITAL LTD CL A G98255105 3958 87959 SH SOLE 0 0 87959
NEW HOLLAND N V ORD N62648105 5516 344740 SH SOLE 0 0 344740
------- -------- ----- ----- ----- --- --- --------
COLUMN TOTALS 489,156 20067315 20067315
------- -------- ----- ----- ----- --- --- --------
REPORT TOTALS 489,156 20067315 20067315
======= ======== ===== ===== ===== === === ========
</TABLE>
