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Previous: CHIEFTAIN CAPITAL MANAGEMENT INC, 13F-HR, 1999-11-15 |
Next: RESOURCES PENSION SHARES 5 LP, 10-Q, 1999-11-15 |
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: Morton H. Sachs & Company, DBA The Sachs Company
------------------------------------------------
Address: 1346 South Third Street
-----------------------
Louisville, Kentucky 40208
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Form 13F File Number: 28-1718
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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: Christopher A. Nunnelley
------------------------
Title: Vice-President
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Phone: (502) 636-5282
--------------
Signature, Place, and Date of Signing:
\S\ Louisville, Kentucky November, 12, 1999
- -------------------------- -------------------- ------------------
[Signature] [City, State] [Date]
Report Type (Check only one.):
[ X ] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting
manager are reported in this report.
[ ] 13F NOTICE. (Check here if no holdings reported are in this report,
and all holdings are reported by other reporting manager(s).)
[ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for
this reporting manager are reported in this report and a portion are
reported by other reporting manager(s).)
List of Other Managers Reporting for this Manager:
[If there are no entries in this list, omit this section.]
Form 13F File Number Name
28- ______________ ____________________- [Repeat as necessary.]
<PAGE>
Form 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: None
---------------
Form 13F Information Table Entry Total: 133
---------------
Form 13F Information Table Value Total: $ 137,845
---------------
(thousands)
List of other Included Managers:
Provide a numbered list of the name(s) and Form 13F file number(s) of all
institutional investment managers with respect to which this report is filed,
other than the manager filing this report.
[If there are no entries in this list, state "NONE" and omit the column headings
and list entries.]
No. Form 13F File Number Name
28-1718
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[Repeat as necessary.]
<PAGE>
<TABLE>
<CAPTION>
THE SACHS COMPANY
Form 13F
CUSIP Market Investment Descretion Voting Authority
---------------------------------------------------------
Name of Issuer Number Value Shares (a) (b) (c) (a) (b) (c)
Sole Shd OtherMgr Sole Shd Other
------ ------ ------- --------- ---- -------- ---- ---- -----
<S> <C> <C> <C> <C> <C>
ABBOTT LABS 002824100 $ 602 16,400 16,400 16,400
ABIOMED INC COM 003654100 363 23,450 23,450 23,450
AEGON NV ORD AMER REG 007924103 1,179 13,633 13,633 13,633
AIR PRODS & CHEMS INC 009158106 212 7,248 7,248 7,248
AIRTRAN HLDGS INC COM 00949P108 101 20,000 20,000 20,000
AMERICA ONLINE INC CO 02364J104 229 2,205 2,205 2,205
AMERICAN EXPRESS CO 025816109 1,075 7,965 7,965 7,965
AMERITECH CORP NEW 030954101 349 5,230 5,230 5,230
ANALOG DEVICES INC CO 032654105 513 10,000 10,000 10,000
AREA BANCSHARES CORP 039872106 631 21,900 21,900 21,900
ATLANTIC RICHFIELD CO 048825103 372 4,193 4,193 4,193
BANK OF AMERICA 060505104 677 12,163 12,163 12,163
BANK ONE CORP COM 06423A103 2,181 62,643 62,643 62,643
BARCLAYS BK PLC PFD D 06738C802 311 11,850 11,850 11,850
BARCLAYS BK PLC PFD E 06738C836 499 20,000 20,000 20,000
BARNES & NOBLE INC CO 067774109 520 20,000 20,000 20,000
BELL ATLANTIC CORP 077853109 320 4,750 4,750 4,750
BELLSOUTH CORP 079860102 1,122 24,924 24,924 24,924
BP AMOCO P L C ADR SP 055622104 423 7,634 7,634 7,634
BRISTOL MYERS SQUIBB 110122108 1,043 15,450 15,450 15,450
BUDGET GROUP INC CL A 119003101 2,802 396,800 396,800 396,800
BUTLER INTL INC NEW C 123649105 3,718 424,950 424,950 424,950
CALIFORNIA WTR SVC GR 130788102 301 11,000 11,000 11,000
CALLAWAY GOLF CO COM 131193104 122 10,000 10,000 10,000
CAPITAL ONE FINL CORP 14040H105 1,030 26,400 26,400 26,400
CHASE MANHATTAN CORP 16161A108 981 13,020 13,020 13,020
CHEVRON CORP 166751107 980 11,044 11,044 11,044
CHIEF CONS MNG CO COM 168628105 104 26,000 26,000 26,000
CINERGY CORP COM 172474108 554 19,550 19,550 19,550
CIRCUIT CITY STORES I 172737108 3,966 94,000 94,000 94,000
CITIGROUP INC COM 172967101 578 13,131 13,131 13,131
CLAIRES STORES INC CO 179584107 250 15,100 15,100 15,100
COCA COLA BOTTLING CO 191098102 453 8,081 8,081 8,081
COCA COLA CO 191216100 498 10,316 10,316 10,316
COMDISCO INC COM 200336105 261 13,500 13,500 13,500
COMPAQ COMPUTER CORP 204493100 270 11,824 11,824 11,824
COMPASS BANCSHARES IN 20449H109 1,663 66,500 66,500 66,500
COOPER INDS INC COM 216669101 243 5,200 5,200 5,200
CRESCENT REAL ESTATE EQUITIES 225756105 369 20,500 20,500 20,500
DELTA AIR LINES INC D 247361108 388 8,000 8,000 8,000
DIME BANCORP INC NEW 25429Q102 2,816 160,900 160,900 160,900
DISNEY WALT PRODTNS 254687106 336 12,920 12,920 12,920
DPL INC 233293109 202 11,450 11,450 11,450
EDAP TMS S A ADR SPON 268311107 18 10,000 10,000 10,000
ENTREMED INC COM 29382F103 954 44,100 44,100 44,100
EQUITY INNS INC COM 294703103 94 11,000 11,000 11,000
EXXON CORP 302290101 3,281 43,166 43,166 43,166
FIFTH THIRD BANCORP C 316773100 282 4,628 4,628 4,628
FIRST AMERN CORP TENN 318900107 218 5,000 5,000 5,000
FIRST UNION CORP COM 337358105 538 15,115 15,115 15,115
FIRSTAR CORP NEW WIS 33763V109 1,355 52,876 52,876 52,876
FLUOR CORP 343861100 262 6,500 6,500 6,500
FORD MOTOR 345370100 459 9,125 9,125 9,125
FOREST LABS INC COM 345838106 337 8,000 8,000 8,000
FORTUNE BRANDS INC CO 349631101 1,761 54,608 54,608 54,608
GENERAL ELEC CO 369604103 2,358 19,884 19,884 19,884
GENERAL MTRS CORP 370442105 362 5,750 5,750 5,750
GENZYME CORP COM-GEN 372917104 1,323 29,350 29,350 29,350
GIBSON GREETINGS INC 374827103 149 28,000 28,000 28,000
GTE CORP 362320103 308 4,000 4,000 4,000
HEWLETT PACKARD CO CO 428236103 433 4,768 4,768 4,768
I B M 459200101 944 7,800 7,800 7,800
IMATION CORP COM 45245A107 245 7,900 7,900 7,900
IMMUCOR INC COM 452526106 120 10,000 10,000 10,000
INTEL CORP COM 458140100 418 5,620 5,620 5,620
INTERWEST BANCORP INC 460931108 1,506 72,600 72,600 72,600
INVESTMENT TECHNOLOGY 46145F105 1,159 50,400 50,400 50,400
JEFFERIES GROUP INC N 472319102 1,073 51,400 51,400 51,400
JEFFERSON SMURFIT GROUP PLC 47508W107 762 26,000 26,000 26,000
JOHNSON & JOHNSON 478160104 386 4,200 4,200 4,200
JOHNS-MANVILLE CORP N 478129109 289 22,000 22,000 22,000
KANSAS CITY LIFE INS 484836101 380 10,410 10,410 10,410
KERR MCGEE CORP CVT 7.5% 492386AL1 1,555 1,585,000 1,585,000 1,585,000
KROGER CO COM 501044101 241 10,916 10,916 10,916
LEGG MASON INC COM 524901105 230 6,000 6,000 6,000
LG & E ENERGY CORP 501917108 729 34,307 34,307 34,307
LILLY, ELI AND COMPAN 532457108 496 7,732 7,732 7,732
LIMITED INC COM 532716107 233 6,100 6,100 6,100
LUCENT TECHNOLOGIES I 549463107 1,972 30,400 30,400 30,400
MANPOWER INC WIS COM 56418H100 338 11,590 11,590 11,590
MARRIOTT INTL INC NEW 571903202 340 10,400 10,400 10,400
MARSH & MCLENNAN COS 571748102 599 8,750 8,750 8,750
MCI WORLDCOM INC COM 55268B106 250 3,483 3,483 3,483
MECH FINL INC COM 583492103 8,885 269,230 269,230 269,230
MEDFORD BANCORP INC C 584131106 1,962 127,600 127,600 127,600
MELLON BK CORP COM 585509102 229 6,800 6,800 6,800
MIDLAND BK PLC PFD B 597433606 304 11,500 11,500 11,500
MONDAVI ROBERT CORP C 609200100 470 12,500 12,500 12,500
MOTOROLA INC COM 620076109 255 2,900 2,900 2,900
NATIONAL CITY CORP 635405103 1,783 66,796 66,796 66,796
NEWELL RUBBERMAID INC 651229106 230 8,038 8,038 8,038
NORTH FORK BANCORP IN 659424105 5,004 256,623 256,623 256,623
NORTHWEST AIRLINES CO 667280101 1,301 51,000 51,000 51,000
OSTEOTECH INC COM 688582105 204 15,000 15,000 15,000
PAYCHEX INC COM 704326107 1,324 38,791 38,791 38,791
PFIZER INC 717081103 1,550 43,200 43,200 43,200
PHILIP MORRIS COS INS 718154107 785 22,950 22,950 22,950
PHILLIPS PETROLEUM CO 718507106 351 7,200 7,200 7,200
PNC FINANCIAL CORP 693475105 2,398 45,520 45,520 45,520
PROCTER & GAMBLE COMP 742718109 2,382 25,410 25,410 25,410
PROVIDENT FINL GROUP 743866105 240 6,575 6,575 6,575
PROVIDIAN FINL CORP C 74406A102 2,439 30,799 30,799 30,799
PULASKI FINL CORP COM 745548107 1,006 92,000 92,000 92,000
QUALCOMM INC COM 747525103 2,929 15,480 15,480 15,480
REGIS CORP MINN COM 758932107 7,001 363,690 363,690 363,690
RFS HOTEL INVS INC CO 74955J108 3,899 339,000 339,000 339,000
SAFEGUARD SCIENTIFICS 786449108 2,407 35,400 35,400 35,400
SAKS INC COM 79377W108 775 51,000 51,000 51,000
SCHERING PLOUGH CORP 806605101 606 13,900 13,900 13,900
SOFTWARE SPECTRUM INC 833960107 4,377 282,400 282,400 282,400
SOTHEBY HLDGS INC CL 835898107 364 14,100 14,100 14,100
SOUTHERN CO COM 842587107 221 8,600 8,600 8,600
SOUTHWEST GAS CORP CO 844895102 531 19,700 19,700 19,700
SYSCO CORP COM 871829107 449 12,800 12,800 12,800
TBC CORP COM 872180104 76 11,000 11,000 11,000
TELEFONICA S A ADR SP 879382208 240 5,092 5,092 5,092
TEXAS INSTRS INC COM 882508104 329 4,000 4,000 4,000
TEXAS REGL BANCSHARES 882673106 2,836 114,600 114,600 114,600
TJX COS INC NEW COM 872540109 250 8,908 8,908 8,908
TOPS APPLIANCE CONV 6.5% 890910AB8 237 395,000 395,000 395,000
TRICO BANCSHARES COM 896095106 1,231 67,000 67,000 67,000
T-NETIX INC COM 872597109 168 37,300 37,300 37,300
UAL CORP COM PAR $0.0 902549500 2,717 41,600 41,600 41,600
UNION PLANTERS CORP C 908068109 326 8,000 8,000 8,000
UNISYS CORP 909214108 628 13,909 13,909 13,909
UROMED CORP CVT 6.00% 917274AA0 79 222,000 222,000 222,000
UST CORP COM 902900109 1,615 52,519 52,519 52,519
WARNER LAMBERT CO COM 934488107 3,086 46,500 46,500 46,500
WAVE SYS CORP CL A 943526103 317 29,500 29,500 29,500
WEBSTER FINL CORP WAT 947890109 622 24,400 24,400 24,400
WELLS FARGO & CO NEW 949746101 281 7,100 7,100 7,100
WINN DIXIE STORES INC 974280109 291 9,800 9,800 9,800
WPP GROUP PLC ADR SPO 929309300 1,497 16,100 16,100 16,100
--------------------------- ----------- ---------
TOTAL $ 137,845 7,451,532 7,451,532 7,451,532
=========================== =========== =========
</TABLE>
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