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 holding entries.
Institutional Investment Manger Filing this Report:
Name: Regal Asset Management Corporation
8201 Preston Road
Suite 400
Dallas, TX 75225
13F File Number: 28-3090
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 table, are considered integral parts of
this form.
Person signing this Report on Behalf of Reporting Manager:
Name: Jay Thompson
Title: Chief Operating Officer
Phone: (214) 890-8808
Signature, Place, and Date of Signing:
Joseph W. Thompson, Dallas, Texas, November 8, 1999.
Report Type (Check only one.):
[X] 13F HOLDINGS REPORT
[ ] 13F NOTICE.
[ ] 13F COMBINATION REPORT.
List of other Managers Reporting for this Manager: None
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: 63
Form 13F Information Table Value Total: $33,278,000
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FORM 13F INFORMATION TABLE
TITLE OF VALUE SHARES / SH / PUT / INVSTMT OTHER VOTING AUTHORITY
NAME OF ISSUER CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE
Barrick Gold Corp CS 067901108 436 20,050 SH SOLE 20,050
ACE COMM Corp CS 004404109 210 55,000 SH SOLE 55,000
Astec Industries Inc CS 046224101 660 27,500 SH SOLE 27,500
BostonFed Bancorp Inc CS 101178101 210 14,000 SH SOLE 14,000
Bristol Myers Squibb Co CS 110122108 675 10,000 SH SOLE 10,000
Citigroup Inc CS 172967101 590 13,400 SH SOLE 13,400
Crescent Real Estate Eq CS 225756105 360 20,000 SH SOLE 20,000
CheckFree Holdings Corp CS 162816102 276 6,700 SH SOLE 6,700
Colonial Properties Tru CS 195872106 268 10,000 SH SOLE 10,000
Candela Corp CS 136907102 317 30,000 SH SOLE 30,000
Camden Property Trust S CS 133131102 302 11,249 SH SOLE 11,249
Detection Systems Inc CS 250644101 430 42,500 SH SOLE 42,500
Dell October 45 puts CS 247025OVI 251 670 SH PUT SOLE 670
eBay Inc CS 278642103 917 6,500 SH SOLE -6,500
Eastern Co CS 276317104 491 30,000 SH SOLE 30,000
Equity Inns Inc CS 294703103 354 41,600 SH SOLE 41,600
ESS Technology Inc CS 269151106 656 50,000 SH SOLE 50,000
First Australia Prime I CS 318653102 735 120,000 SH SOLE 120,000
Felcor Lodging Trust In CS 31430F101 438 25,000 SH SOLE 25,000
4Front Technologies Inc CS 351042106 414 30,000 SH SOLE 30,000
Fortress Inv. 144A #N/A 844 50,000 SH SOLE 50,000
Genlyte Group Inc CS 372302109 532 22,500 SH SOLE 22,500
Gap Inc CS 364760108 320 10,000 SH SOLE 10,000
Glimcher Realty Trust CS 379302102 389 26,500 SH SOLE 26,500
Hansen Natural Corp CS 411310105 325 65,000 SH SOLE 65,000
High Income Opportunity CS 42967Q105 357 39,100 SH SOLE 39,100
Homestake Mining Co CS 437614100 322 35,050 SH SOLE 35,050
Herley Industries Inc CS 427398102 678 48,000 SH SOLE 48,000
International Business CS 459200101 3,415 28,140 SH SOLE 28,140
IBM Oct 130 Puts CS 4592000VF 271 282 SH PUT SOLE 282
Innodata Corp CS 457642205 280 40,000 SH SOLE 40,000
Ion Networks Inc CS 46205P100 322 50,000 SH SOLE 50,000
JONES PHARMA INC CS 480236108 658 20,000 SH SOLE 20,000
Jacksonville Savings an CS 469248108 257 17,000 SH SOLE 17,000
Kensey Nash Corp CS 490057106 664 42,500 SH SOLE 42,500
Eli Lilly and Company CS 532457108 960 15,000 SH SOLE 15,000
Manatron Inc CS 562048108 263 50,000 SH SOLE 50,000
Medco Research Inc CS 584059109 748 30,000 SH SOLE 30,000
Merck and Company Inc CS 589331107 324 5,000 SH SOLE 5,000
Micron Electronics Inc CS 595100108 350 33,500 SH SOLE 33,500
Northstar Cap. 144A 144A 66704F106 794 50,000 SH SOLE 50,000
Newmont Mining Corp CS 651639106 260 10,050 SH SOLE 10,050
New Era of Networks Inc CS 644312100 578 26,800 SH SOLE 26,800
Bank One Corporation CS 06423A103 348 10,000 SH SOLE 10,000
PRT.B Prime ret CS 741570303 279 20,000 SH SOLE 20,000
Rush Enterprises Inc CS 781846100 529 35,000 SH SOLE 35,000
Invivo Corp CS 461858102 333 27,500 SH SOLE 27,500
Schering Plough Corp CS 806605101 654 15,000 SH SOLE 15,000
SLI Inc CS 78442T108 213 10,000 SH SOLE 10,000
SPDR S&P Dep Rcpt TradDEP REC 78462F103 644 5,000 SH SOLE 5,000
Sequent Computer System CS 817338106 718 40,000 SH SOLE 40,000
Sunquest Information Sy CS 867654105 709 45,000 SH SOLE 45,000
Thor Industries Inc CS 885160101 510 20,000 SH SOLE 20,000
Trinet Corporation Real CS 896287109 238 10,000 SH SOLE 10,000
US Restaurant Propertie CS 902971100 238 12,500 SH SOLE 12,500
VDI MultiMedia CS 917916108 484 50,000 SH SOLE 50,000
Vicon Industries Inc CS 925811101 350 50,000 SH SOLE 50,000
Walden Residential Prop CS 931210108 436 20,000 SH SOLE 20,000
Workflow Management Inc CS 98137N109 638 50,000 SH SOLE 50,000
Wyndham Intl Inc CS 983101106 289 110,000 SH SOLE 110,000
Xeta Corp CS 983909102 727 47,500 SH SOLE 47,500
Xilinx Inc CS 983919101 878 13,400 SH SOLE 13,400
Yahoo! Inc CS 984332106 1,164 6,500 SH SOLE -6,500
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