UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
Report for the 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: Kornitzer Capital Management, Inc.
Address:7715 Shawnee Mission Parkway
Overland Park, KS 66202
13F File Number: 028-03620
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 the Report on Behalf of Reporting Manager:
Name: John C. Kornitzer
Title: President
Phone: 913-677-7778
Signature, Place, and Date of Signing:
John C. Kornitzer Overland Park, KS November 12, 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.
<PAGE>
FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 0
Form 13F Information Table Entry Total: 242
Form 13F Information Table Value Total: 448,632
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KORNITZER CAPITAL MANAGEMENT, INC
FORM 13F
September 30, 1999
Voting Authority
--------------------------
Value Shares/ Sh/ Put/ Invstmt Other
Name of Issuer Title of class CUSIP (x$1000) Prn Amt Prn Call Dscretn Managers Sole Shared None
- ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- --------
ABBOTT LABORATORIES COM 002824100 1173 31978 SH Sole 31978
ACCOM INC. COM 004334108 26 52500 SH Sole 52500
AFFYMETRIX INC COM 00826T108 945 9600 SH Sole 9600
AFLAC INCORPORATED COM 001055102 1193 28500 SH Sole 28500
AHL SERVICES INC COM 001296102 443 17000 SH Sole 17000
ALLIED SIGNAL INC COM 019512102 3786 63171 SH Sole 63171
ALLSTATE CORP COM 020002101 1823 73100 SH Sole 73100
AMERICAN EXPRESS COMPANY COM 025816109 3139 23250 SH Sole 23250
AMERICAN FINANCIAL GROUP COM 025932104 415 14800 SH Sole 14800
AMERICAN HOME PRODS COM 026609107 2619 63120 SH Sole 63120
ANALOG DEVICES COM 032654105 5593 109132 SH Sole 109132
AON CORP COM 037389103 709 24000 SH Sole 24000
APPLIED MATERIALS COM 038222105 2206 28400 SH Sole 28400
APPLIED MICRO CIRCUITS COM 03822W109 4702 82500 SH Sole 82500
ARGOSY GAMING CO COM 040228108 13506 1019300 SH Sole 1019300
ATLANTIC RICHFIELD CO COM 048825103 922 10400 SH Sole 10400
ATMEL CORP COM 049513104 3655 108100 SH Sole 108100
AXYS PHARMACEUTICALS COM 054635107 54 13770 SH Sole 13770
BANK OF AMERICA CORP COM 060505104 234 4194 SH Sole 4194
BARNES & NOBLE INC COM 067774109 894 34400 SH Sole 34400
BEST FOODS COM 08658U101 2098 43200 SH Sole 43200
BOEING CO. COM 097023105 2628 61660 SH Sole 61660
BP AMOCO, INC COM 055622104 3789 34193 SH Sole 34193
BRISTOL MYERS SQUIBB CO COM 110122108 2806 41566 SH Sole 41566
BRUNSWICK CORP COM 117043109 1383 55600 SH Sole 55600
C.I.T. GROUP INC A COM 125577106 273 13300 SH Sole 13300
CADENCE DESIGN SYSTEMS, INC COM 127387108 543 40600 SH Sole 40600
CALLON PETROLEUM CO COM 13123X102 714 46800 SH Sole 46800
CAPITOL FEDERAL FINANCIAL COM 14057C106 249 25000 SH Sole 25000
CARNIVAL CORP CLASS A COM 143658102 859 19750 SH Sole 19750
CELL GENESYS INC COM 150921104 85 10800 SH Sole 10800
CENTEX CONSTRUCTION PRODUCTS I COM 15231R109 208 5600 SH Sole 5600
CHEVRON CORP COM 166751107 2414 27200 SH Sole 27200
CHUBB CORP COM 171232101 261 5252 SH Sole 5252
CIENA CORPORATION COM 171779101 1653 45300 SH Sole 45300
CISCO SYS INC COM COM 17275R102 9256 134996 SH Sole 134996
COACHMEN INDUSTRIES INC COM 189873102 1048 67600 SH Sole 67600
COASTAL CORP COM 190441105 3214 78519 SH Sole 78519
COCA-COLA COM 191216100 1732 35887 SH Sole 35887
COMBICHEM INC COM 20009P103 210 42000 SH Sole 42000
COMPAQ COMPUTER CORP COM 204493100 261 11400 SH Sole 11400
COMPUSA INC COM 204932107 805 134100 SH Sole 134100
DAIMLERCHRYSLER COM D1668R123 3622 52169 SH Sole 52169
DALLAS SEMICONDUCTOR COM 235204104 1534 28700 SH Sole 28700
DIEBOLD INC COM 253651103 3283 141950 SH Sole 141950
DILLARD'S INC CLASS A COMMON COM 254067101 229 11250 SH Sole 11250
DISNEY (WALT) CO. COM 254687106 1834 70527 SH Sole 70527
DOW CHEMICAL COM 260543103 295 2600 SH Sole 2600
E I DUPONT DE NEMOURS & CO COM 263534109 403 6655 SH Sole 6655
EAGLE GEOPHYSICAL COM 269524104 9 25000 SH Sole 25000
EASTMAN CHEMICAL CO COM 277432100 219 5500 SH Sole 5500
EDUCATION MANAGEMENT CORP COM 28139T101 829 67000 SH Sole 67000
EDUTREK ITERNATIONAL CL A COM 28164K108 496 256000 SH Sole 256000
EL PASO ENERGY CORPORATION COM 283905107 757 18800 SH Sole 18800
ELAN CORP PLC ADR COM 284131208 1178 35100 SH Sole 35100
ELCOR CORP COM 284443108 4137 165500 SH Sole 165500
ENRON CORP COM 293561106 6627 161400 SH Sole 161400
ETEC SYSTEMS COM 26922C103 2878 76500 SH Sole 76500
ETHAN ALLEN INTERIORS INC COM 297602104 3967 124700 SH Sole 124700
EVEREST REINSURANCE COM 299808105 607 25500 SH Sole 25500
EXIDE CORP COM 302051107 344 36000 SH Sole 36000
EXXON MOBILE CORP COM COM 302290101 401 5280 SH Sole 5280
FDX CORP COM 31304N107 2352 60500 SH Sole 60500
FEDDERS CORP CL A NON-VOTING COM 313135303 721 146065 SH Sole 146065
FIRSTSERVICE CORPORATION COM 33761N109 1025 85000 SH Sole 85000
FLEET BOSTON CORP COM 33901A108 1066 29094 SH Sole 29094
FRONTIER OIL CO COM 35914P105 17079 2507000 SH Sole 2507000
GENE LOGIC, INC COM 368689105 69 10900 SH Sole 10900
GENERAL ELECTRIC COM 369604103 1072 9038 SH Sole 9038
GENERAL MOTORS CORPORATION COM 370442105 3071 48801 SH Sole 48801
GIANT INDUSTRIES INC COM 374508109 172 14800 SH Sole 14800
GLOBAL INDUSTRIES COM 379336100 457 56300 SH Sole 56300
GLOBAL MARINE INC NEW COM 379352404 2533 154100 SH Sole 154100
GOODYEAR TIRE & RUBBER COMPANY COM 382550101 1648 34250 SH Sole 34250
GTE CORP COM 362320103 1840 23936 SH Sole 23936
HALLIBURTON CO. COM 406216101 845 20600 SH Sole 20600
HARTFORD FINANCIAL SVC GROUP I COM 416515104 229 5600 SH Sole 5600
HEADWAY CORPORATE RESOURCES COM 422101105 72 16000 SH Sole 16000
HELLER FINANCIAL INC COM 423328103 810 36000 SH Sole 36000
HEWLETT PACKARD CO COM 428236103 3898 42954 SH Sole 42954
HMT TECHNOLOGY COM 403917107 1606 458900 SH Sole 458900
HNC SOFTWARE COM 40425P107 1429 36000 SH Sole 36000
HOLLINGER INTERNATIONAL COM 435569108 1142 96130 SH Sole 96130
HUMAN GENOME SCIENCES INC COM 444903108 1895 25700 SH Sole 25700
ICO HOLDINGS, INC. COM 449293109 1124 642150 SH Sole 642150
INT'L BUSINESS MACHINES COM 459200101 2154 17800 SH Sole 17800
INTEGRATED DEVICE TECHNOLOGY, COM 458118106 2314 125100 SH Sole 125100
INTEL CORP COM 458140100 4967 66840 SH Sole 66840
INTERFACE INC. COM 458665106 1191 232300 SH Sole 232300
INTERSTATE BAKERIES COM 46072H108 676 29400 SH Sole 29400
INTEVAC COM 461148108 1150 255600 SH Sole 255600
J P MORGAN & COMPANY INC COM 616880100 303 2650 SH Sole 2650
JOHNSON & JOHNSON COM 478160104 4195 45659 SH Sole 45659
K MART CORP COM 482584109 1597 136600 SH Sole 136600
KANSAS CITY SOUTHERN INDUSTRIE COM 485170104 2786 59924 SH Sole 59924
KENDLE INTERNATIONAL INC COM 48880L107 222 28000 SH Sole 28000
KEY ENERGY SERVICES INC COM 492914106 360 73000 SH Sole 73000
KING PHARMACEUTICALS INC COM 495582108 504 14400 SH Sole 14400
KORN/FERRY INTERNATIONAL COM 500643200 715 31000 SH Sole 31000
LANDMARK BANCSHARES INC. - DO COM 514928100 322 20438 SH Sole 20438
LEAR CORP COM 521865105 1249 35500 SH Sole 35500
LIZ CLAIBORNE INC COM 539320101 315 10150 SH Sole 10150
LOCKHEED MARTIN CORP COM 539830109 3383 103500 SH Sole 103500
LUCENT TECHNOLOGIES INC COM 549463107 608 9366 SH Sole 9366
MAXIM INTERGRATED PRODUCTS INC COM 57772K101 208 3300 SH Sole 3300
MCDERMOTT INTL COM 580037109 5229 258200 SH Sole 258200
MCDONALD'S CORP COM 580135101 3775 87290 SH Sole 87290
MERCK & CO COM 589331107 3357 51798 SH Sole 51798
MERCURY GENERAL CORP. COM 589400100 430 15600 SH Sole 15600
META GROUP COM 591002100 815 45900 SH Sole 45900
MICRON TECHNOLOGY COM 595112103 359 5400 SH Sole 5400
MICROSOFT CORP COM 594918104 5767 63680 SH Sole 63680
MIDWEST EXPRESS HOLDINGS COM 597911106 1171 44725 SH Sole 44725
MIRAGE RESORTS INC COM 60462E104 1641 117200 SH Sole 117200
MOBIL CORP. COM 607059102 2290 22730 SH Sole 22730
MOTOROLA INC COM 620076109 2213 25143 SH Sole 25143
MYLAN LABS COM 628530107 362 19677 SH Sole 19677
NABORS INDUSTRIES INC COM 629568106 3002 120100 SH Sole 120100
NATIONAL SEMICONDUCTOR COM 637640103 6085 199100 SH Sole 199100
NICOR INC COM 654086107 338 9100 SH Sole 9100
NOBLE DRILLING CORP COM 655042109 483 22100 SH Sole 22100
NORTHROP GRUMMAN CORP COM 666807102 2148 33800 SH Sole 33800
OCEAN ENERGY INC COM 67481E106 330 32370 SH Sole 32370
PAUL HARRIS STORES COM 703555201 346 88000 SH Sole 88000
PAULA FINANCIAL CA COM 703588103 80 12900 SH Sole 12900
PE CORP - PE BIOSYSTEMS GROUP COM 69332S102 347 4800 SH Sole 4800
PEPSICO INC. COM 713448108 1928 63217 SH Sole 63217
PFIZER COM 717081103 317 8823 SH Sole 8823
PLACER DOME INCORPORATED COM 725906101 466 31300 SH Sole 31300
PNC BANK CORP COM 693475105 933 17700 SH Sole 17700
PRAXAIR INC COM 74005P104 1375 29900 SH Sole 29900
PREMIER PARKS INC COM 740540208 522 18000 SH Sole 18000
PROCTER & GAMBLE CO COM 742718109 2088 22275 SH Sole 22275
QUESTAR CORP COM 748356102 2530 139600 SH Sole 139600
QUINTILES TRANSNATIONAL CORP COM 748767100 773 40600 SH Sole 40600
RACING CHAMPIONS COM 750069106 296 52000 SH Sole 52000
RAYTHEON CLASS A COM 755111309 1008 20792 SH Sole 20792
REMEC INC COM 759543101 272 19800 SH Sole 19800
REPUBLIC GROUP INC COM 760473108 556 39900 SH Sole 39900
ROCKWELL INTERNATIONAL CORP NE COM 773903109 2074 39500 SH Sole 39500
ROYAL DUTCH PETROLEUM COMPANY COM 780257804 2468 41780 SH Sole 41780
SARA LEE COM 803111103 3317 141900 SH Sole 141900
SCHERING-PLOUGH COM 806605101 3600 82528 SH Sole 82528
SCHLUMBERGER LTD COM 806857108 5607 89975 SH Sole 89975
SCIENTIFIC ATLANTA INC COM 808655104 3682 74300 SH Sole 74300
SEAGATE TECHNOLOGY INC COM 811804103 1047 34200 SH Sole 34200
SERVICE CORP INTERNATIONAL COM 817565104 126 11900 SH Sole 11900
SERVICEMASTER COMPANY COM 81760N109 1568 97600 SH Sole 97600
SIGMA ALDRICH CORP COM 826552101 2089 65800 SH Sole 65800
SILICON VALLEY GROUP INC COM 827066101 196 16600 SH Sole 16600
SONAT, INC. COM 835415100 4305 108475 SH Sole 108475
SOUTHWEST AIRLINES COM 844741108 6898 454204 SH Sole 454204
STAGE STORES COM 85254C107 475 76800 SH Sole 76800
STAMPS.COM INC COM 852857101 973 28000 SH Sole 28000
STANCORP FINANCIAL GROUP COM 852891100 604 27000 SH Sole 27000
STEEL DYNAMICS COM 858119100 588 37500 SH Sole 37500
STEWART ENTERPRISES COM 860370105 158 26000 SH Sole 26000
STRAYER EDUCATION COM 863236105 2395 120500 SH Sole 120500
SUNGARD DATA SYSTEMS INC COM 867363103 1354 51460 SH Sole 51460
SUNOCO INC. COM 86764P109 602 22000 SH Sole 22000
SUNRISE ASSISTED LIVING COM 86768K106 513 19300 SH Sole 19300
SUNTRUST BANKS INC COM 867914103 332 5044 SH Sole 5044
SUSQUEHANNA BANCSHARES INC COM 869099101 630 36500 SH Sole 36500
SYLVAN LEARNING SYSTEMS INC COM 871399101 291 15000 SH Sole 15000
SYNOVUS - DO NOT SELL REQUEST COM 87161C105 255 13662 SH Sole 13662
TELEFLEX INC. COM 879369106 1751 44400 SH Sole 44400
TENNECO AUTOMOTIVE INC COM 880349105 530 31200 SH Sole 31200
TEXACO INCORPORATED COM 881694103 2056 32567 SH Sole 32567
TEXAS INDUSTRIES INC COM 882491103 3282 88700 SH Sole 88700
THERMOQUEST CORP COM 883655102 456 45000 SH Sole 45000
TRINITY INDUSTRIES COM 896522109 1396 45200 SH Sole 45200
TRITON ENERGY LIMITED CL A COM G90751101 2872 204200 SH Sole 204200
TYCO INTERNATIONAL LTD COM 902124106 1605 15543 SH Sole 15543
UNION PACIFIC RESOURCES GROUP COM 907834105 855 52615 SH Sole 52615
UNION PLANTERS CORP COM 908068109 1834 45000 SH Sole 45000
UNITED NATIONAL BANKCORP NJ DO COM 910909100 974 41900 SH Sole 41900
UNITED TECHNOLOGIES CORP COM 913017109 3327 56100 SH Sole 56100
UNUMPROVIDENT CORP COM 91529Y106 968 32900 SH Sole 32900
UST CORP COM 902900109 883 28700 SH Sole 28700
VAIL RESORTS INC COM 91879Q109 684 29500 SH Sole 29500
VANDERBILT GOLD DO NOT SELL COM 921786109 1 43000 SH Sole 43000
VIAD CORPORATION COM 92552R109 962 32620 SH Sole 32620
WAL MART STORES INC. COM 931142103 319 6700 SH Sole 6700
WARNER LAMBERT CO COM 934488107 226 3400 SH Sole 3400
WASHINGTON MUTUAL COM 939322103 2687 91850 SH Sole 91850
WESTERN DIGITAL CORP COM 958102105 454 123000 SH Sole 123000
WILLIAMS COS. COM 969457100 3504 93122 SH Sole 93122
WRIGLEY WM JR CO COM 982526105 2181 31700 SH Sole 31700
BETHLEHEM STEEL CONV PREF $3.5 PFD CV 087509501 1494 44600 SH Sole 44600
CARRIAGE SRV CAP TRUST 7% 144 PFD CV 14444T101 1110 30000 SH Sole 30000
CYPRUS AMAX MINERALS CO $4.00 PFD CV 232809202 2371 49270 SH Sole 49270
EVI INC CONV PRFD 5.00% PFD CV 268939402 1102 30000 SH Sole 30000
FREEPORT-MCMORAN CORP 7% PFD CV 35671D501 855 48500 SH Sole 48500
HOLLINGER INTERNATIONAL CONV P PFD CV 435569207 178 15000 SH Sole 15000
ICO HOLDINGS, INC. $1.6875 SE PFD CV 449293307 13184 1014150 SH Sole 1014150
K MART FINANCING 7.75% PFD CV 498778208 2098 44050 SH Sole 44050
LOMAK FINANCING TRUST 5.75% PFD CV 541505400 357 14870 SH Sole 14870
LOMAK FINANCING TRUST 5.75% 14 PFD CV 541505202 624 26000 SH Sole 26000
TESORO PETROLEUM CONV PRFD 7.2 PFD CV 881609408 753 48000 SH Sole 48000
TEXAS INDUSTRIES INC 5.500% PFD CV 873119200 5766 154800 SH Sole 154800
UNION PACIFIC CAP TRUST 6.25% PFD CV 907824403 547 12000 SH Sole 12000
UNOCAL CORP 6.25% CONV PREF PFD CV 91528T207 537 10000 SH Sole 10000
NORTHERN INSTITUTIONAL EQUITY MUT FND 665278487 24210496.283 SH Sole 10496.283
SCUDDER CASH INVESTMENT TRUST MUT FND 811118108 3231538.580 SH Sole 31538.580
ALLEGHENY BEV CORP (ESC FOR FU CONV 0172668J9 0 10000 PRN Sole 10000
ALLWASTE INC *4 7.25% COUPON CONV 020047AA4 484 6051000 PRN Sole 6051000
ALZA CORP CONV 022615AD0 1200 1000000 PRN Sole 1000000
AMERITRADE HOLDING CORP 144A CONV 03072HAA7 731 1000000 PRN Sole 1000000
EDO CORP *0 CONV 281347AB0 1415 1750000 PRN Sole 1750000
EXIDE CORP 144A UNREGISTERED * CONV 302051AF4 2471 4242000 PRN Sole 4242000
HEXCEL CORP CONV 428291AA6 1950 2600000 PRN Sole 2600000
HEXCEL CORP *8 CONV 428290AA8 543 776000 PRN Sole 776000
HILTON HOTELS CONV 432848AL3 2807 3465000 PRN Sole 3465000
HMT TECHNOLOGY *9 CONV 403917AD9 4907 12914000 PRN Sole 12914000
HMT TECHNOLOGY 144A *3 CONV 403917AB3 562 1500000 PRN Sole 1500000
INTEGRATED DEVICE TECHNOLOGY * CONV 458118AA4 7657 8113000 PRN Sole 8113000
INTEVAC *2 CONV 461148AC2 6219 11960000 PRN Sole 11960000
INTEVAC 144A REGISTERED UPON S CONV 461148AA6 260 500000 PRN Sole 500000
KERR-MCGEE CORP CONV 492386AL1 4855 4948000 PRN Sole 4948000
KEY ENERGY SERVICES, INC CONV 492914AC0 793 985000 PRN Sole 985000
KEY ENERGY SERVICES, INC CONV 492914AF3 16348 23480000 PRN Sole 23480000
KEY ENERGY SERVICES, INC 144A CONV 492914AD8 870 1250000 PRN Sole 1250000
KOLLMORGEN CORP CONV 500440AA0 25 25000 PRN Sole 25000
LOMAK PETROLEUM CONV 541509AF2 3317 5426000 PRN Sole 5426000
MICRON TECHNOLOGY CONV 595112AB9 2041 1750000 PRN Sole 1750000
MORAN ENERGY INC *1 CONV 616457AC1 5368 5651000 PRN Sole 5651000
NATIONAL SEMICONDUCTOR CONV 637640AB9 248 250000 PRN Sole 250000
NATIONAL SEMICONDUCTOR 144A *1 CONV 637640AA1 2236 2250000 PRN Sole 2250000
OHM CORP SUB DEB CONV *7 CONV 670839AA7 10229 11366000 PRN Sole 11366000
PARKER DRILLING CO. CONV 701081AD3 76 100000 PRN Sole 100000
ROY WESTON *4 CONV 961137AA4 892 975000 PRN Sole 975000
SABRATEK CORP 6% COUPON CONV 78571UAA6 472 1800000 PRN Sole 1800000
SCAN TRON CORP SUB DEB CONV CONV 805894AA3 21 23000 PRN Sole 23000
SIMULA, INC CONV 829206AB7 423 596000 PRN Sole 596000
SOUTHERN MINERALS CONV 843367AA1 102 300000 PRN Sole 300000
SUN CO INC. *2 CONV 866762AG2 414 415000 PRN Sole 415000
SUNRISE ASSISTED LIVING CONV 86768KAC0 1940 2000000 PRN Sole 2000000
SWIFT ENERGY *7 CONV 870738AB7 996 1237000 PRN Sole 1237000
TRANS-LUX CORP CONV 893247AD8 1381 1485000 PRN Sole 1485000
UROMED CORP CONV 917274AC6 375 750000 PRN Sole 750000
VLSI TECHNOLOGY *5 CONV 918270AB5 5410 5330000 PRN Sole 5330000
WESTERN DIGITAL CONV 958102AH8 204 1500000 PRN Sole 1500000
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