NOVEMBER 12, 1999
Securities and Exchange Commission
Judiciary Plaza
450 Fifth Street, NW
Washington, D.C. 20549
Re: Form 13F Filed on Behalf
of Howard P. Berkowitz
File No. 28-286
Gentlemen:
In accordance with Rule 13f-1 under the Securities and Exchange Act of 1934,
enclosed please find Form 13F filed on behalf of Howard P. Berkowitz for
the quarter ended September 30, 1999.
Kindly acknowledge receipt by e-mail to [email protected].
Very truly yours,
/s/ Carl J. Bennett
Carl J. Bennett
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
If amended report check here:
Howard P. Berkowitz
Name of Institutional Investment Manager
C/o HPB Associates, L.P., 65 EAST 55TH STREET, NY, NY 10022
Business Address (Street) (City) (State) (Zip)
Howard P. Berkowitz, Managing Partner
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 November, 1999.
Howard P Berkowitz
(Name of Institutional investment Manager)
/s/ Howard P. Berkowitz
(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:
1.
2.
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FORM 13F
Name of Reporting Manager: Howard P. Berkowitz
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Item 5: Item 6: Item 8:
Item 1: Item 2: Item 3: Item4: Shares of Investment Discretion Item 7: Voting Authority (Shares)
Name of Issuer Title of CUSIP Fair Market Principal (b) Shared- Managers
CLASS Number Value Amount (a)Sole As Defined(c)Shared SeeInstr(a)Sole(b)Shared(c)None
in Instr. V Other
AETNA INC COM 008117 10 3 21,177,500 430,000 X 430,000
ANIXTER INTL INC COM 035290 10 5 9,804,525 421,700 X 421,700
AUTONATION INC COM 05329W 10 2 3,450,000 276,000 X 276,000
BAKER HUGHES INC COM 057224 10 7 290,000 10,000(c) X 10,000(c)
BERKSHIRE RLTY INC COM 084710 10 2 2,812,800 234,400 X 234,400
BURLINGTON RES INC COM 122014 10 3 1,837,500 50,000(c) X 50,000(c)
CIGNA CORP COM 125509 10 9 1,166,250 15,000(c) X 15,000(c)
COASTCAST CORP COM 19057T 10 8 655,000 52,400 X 52,400
CMP GROUP INC COM 125887 10 9 21,432,325 812,600 X 812,600
EEX CORP COM NEW 26842V 20 7 734,375 250,000 X 250,000
ESG RE LTD ORD G31215 10 9 8,098,438 912,500 X 912,500
FOUNDATION HEALTH SYS INC COM 350404 10 9 5,568,125 590,000 X 590,000
FLEMING COS INC COM 339130 10 6 4,906,250 500,000 X 500,000
GEORGIA PAC CORP COM GA PAC GRP 373298 10 8 9,223,794 228,100 X 228,100
GEORGIA PAC CORP COM-TIMBER GRP 373298 70 2 8,303,625 363,000 X 363,000
GULF ISLAND FABRICATION INC COM 402307 10 2 131,875 10,000 X 10,000
HOLLYWOOD PK INC NEW COM 436255 10 3 5,959,781 387,628 X 387,628
IMC GLOBAL INC COM 449669 10 0 3,640,625 250,000 X 250,000
INSURANCE AUTO AUCTIONS INC COM 457875 10 2 2,008,125 135,000 X 135,000
LIBERTE INVS INC DEL COM 530154 10 3 2,124,719 618,100 X 618,100
LIZ CLAIBORNE INC COM 539320 10 1 1,550,000 50,000 X 50,000
MANDALAY RESORT GROUP MANDALAY 562567 10 7 12,936,250 655,000 X 655,000
MAXXAM INC COM 577913 10 6 1,623,450 31,600 X 31,600
MCDERMOTT INTL INC COM 580037 10 9 506,250 25,000(c) X 25,000(c)
MICRON TECHNOLOGY INC COM 595112 10 3 997,500 15,000(c) X 15,000(c)
NEXELL THERAPEUTICS INC COM 65332H 10 4 539,766 367,500 X 367,500
PACIFIC GATEWAY EXCHANGE INC COM 694327 10 7 1,637,500 100,000 X 100,000
PAGING NETWORK INC COM 695542 10 0 515,625 500,000 X 500,000
PHOSPHATE RESOURCE PARTNERS DEP UNT 719217 10 1 1,000,000 100,000 X 100,000
QUANTUM CORP COM DSSG 747906 20 4 8,402,344 597,500 X 597,500
QUANTUM CORP COM HDDG 747906 30 3 1,487,500 200,000 X 200,000
RELIASTAR FINL CORP COM 75952U 10 3 6,051,500 182,000 X 182,000
REYNOLDS R J TOB HLDGS INC COM 76182K 10 5 3,891,591 144,133 X 144,133
SANTA FE SNYDER CORP COM 80218K 10 5 1,350,000 150,000 X 150,000
SMURFIT-STONE CONTAINER CORP COM 832727 10 1 6,920,649 320,030 X 320,030
SOMNUS MED TECHNOLOGIES INC COM 835397 10 0 1,995,334 778,667 X 778,667
UNION CARBIDE CORP COM 905581 10 4 8,521,875 150,000 X 150,000
VENTAS INC COM 92276F 10 0 10,584,900 2,228,400 X 2,228,400
WASTE MGMT INC DEL COM 94106L 10 9 962,500 50,000(c) X 50,000(c)
WEATHERFORD INTL INC COM 947074 10 0 2,080,000 65,000 X 65,000
TOTAL 186,880,164
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