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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 [ X ]; Amendment Number:1
This Amendment (check only one): [X ] is a restatement.
[ ] adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: J.L. Kaplan Associates, LLC
222 Berkeley Street, Suite 2010
Boston, MA 02216
13F File Number: 28-3472
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: James L. Kaplan
Title: President
Phone: 617-542-1655
Signature, Place, and Date of Signing:
Boston, MA November 3, 1999
Report Type (check only one):
[x ] 13F HOLDINGS REPORT
[ ] 13F NOTICE
[ ] 13F COMBINATION REPORT.
List 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: 0
Form 13F Information Table Value Total: 0
List of Other Included Managers:
No. 13F File Number Name
None.
<TABLE>
FORM 13F INFORMATION TABLE
VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE
- ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- --------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
ABBOTT LABORATORIES COM 002824100 4270 116380 SH SOLE 1000 115380
AIRBORNE FGHT COM 009266107 20618 978875 SH SOLE 9300 969575
AK STL HLDG CORP COM 730 40000 SH SOLE 40000
ALLTEL CORP COM COM 347 4924 SH SOLE 4924
AMERICAN GENERAL COM 026351106 243 3843 SH SOLE 3843
AMERICAN HOME PRODUCTS COM 026609107 415 10008 SH SOLE 10008
AMERICAN INT'L GROUP COM 026874107 5849 67280 SH SOLE 843 66437
AMERITECH COM 030954101 1753 26267 SH SOLE 800 25467
AMGEN COM 031162100 5627 69040 SH SOLE 69040
ANDREW CORP COM 034425108 22805 1312500 SH SOLE 13300 1299200
APPLEBEES INTL COM 037899101 16010 475250 SH SOLE 475250
APTARGROUP COM 038336103 9399 351375 SH SOLE 351375
ARROW ELECTRS COM 042735100 9414 534150 SH SOLE 200 533950
AT&T CORP COM 001957109 5356 123134 SH SOLE 800 122334
AVIATION SALES COM 053672101 12718 669350 SH SOLE 11000 658350
BARR LABORATORIES INC COM 068306109 3753 118200 SH SOLE 300 117900
BECTON DICKINSON COM 075887109 3844 136986 SH SOLE 1400 135586
BELL ATLANTIC COM 077853109 387 5755 SH SOLE 5755
BELLSOUTH CORP COM 079860102 8595 191002 SH SOLE 8600 182402
BELO A.H. COM 080555105 907 47450 SH SOLE 11500 35950
BERRY PETE CL A COM 227 16750 SH SOLE 16750
BJS WHOLESALE CLUB COM 05548J106 13006 439941 SH SOLE 14400 425541
BP AMOCO PLC ADR COM 110889409 286 2582 SH SOLE 2582
BRISTOL MYERS SQUIBB COM 110122108 5063 75007 SH SOLE 75007
C&D TECHNOLOGIES COM 124661109 26348 725595 SH SOLE 11000 714595
CABOT CORP COM 127055101 1401 59000 SH SOLE 59000
CAMBREX CORP COM 132011107 28432 1075450 SH SOLE 10200 1065250
CARPENTER TECH COM 144285103 4221 172276 SH SOLE 600 171676
CASCADE NAT GAS COM 147339105 279 15600 SH SOLE 300 15300
CASE CORP COM 14743R103 5159 103565 SH SOLE 600 102965
CEDAR FAIR L P COM 150185106 463 22300 SH SOLE 22300
CENTURA BKS INC COM 15640T100 7741 187100 SH SOLE 187100
CHAMPION ENTERPRISES COM 158496109 6452 716900 SH SOLE 2000 714900
CHARTER ONE FINANCIAL COM 160903100 2949 127508 SH SOLE 9450 118058
CHASE INDUSTRIES COM 161568100 6174 721065 SH SOLE 15000 706065
CHEVRON CORPORATION COM 166751107 841 9473 SH SOLE 9473
CHROMCRAFT REVINGTON COM 171117104 1113 89000 SH SOLE 14400 74600
CITIGROUP COM 173034109 634 14407 SH SOLE 14407
CNB BANCSHARES COM 126126101 11845 223493 SH SOLE 223493
COACHMEN INDS COM 189873102 17324 1117703 SH SOLE 11000 1106703
CRANE CO COM 224399105 3642 162300 SH SOLE 1000 161300
DALLAS SEMICONDUCTOR COM 235204104 8603 161000 SH SOLE 200 160800
DANA CORP COM 235811106 7688 207078 SH SOLE 7100 199978
DEERE & CO COM 244199105 426 11000 SH SOLE 11000
DENTSPLY INTERNATIONAL COM 249030107 17495 769000 SH SOLE 10400 758600
DEVON ENERGY COM 932 22500 SH SOLE 22500
DISNEY (WALT) CO. COM 254687106 553 21250 SH SOLE 1000 20250
DRESS BARN COM 261570105 9951 542500 SH SOLE 15000 527500
ESTERLINE TECHNOLOGIES COM 297425100 17393 1104290 SH SOLE 1104290
ETHAN ALLEN INTERIORS COM COM 297602104 2074 65200 SH SOLE 65200
EXXON CORP COM 302290101 1394 18346 SH SOLE 18346
FEDERAL NATL MTG ASSN COM 313586109 8171 130352 SH SOLE 400 129952
FEDERAL SIGNAL COM 313855108 18425 927027 SH SOLE 11500 915527
FILENES BASEMENT COM 316866102 37 40540 SH SOLE 40540
FLEET BOSTON CORP COM 33901A108 3182 86880 SH SOLE 6800 80080
FLEETWOOD ENTERPRISES COM 339099103 1306 64700 SH SOLE 64700
FLOWSERVE CORP COM 34354P105 9799 589410 SH SOLE 589410
FORD MTR COM 345370100 290 5766 SH SOLE 5766
FRONTIER INS GRP COM 359081106 3271 373865 SH SOLE 7260 366605
GANNETT COM 364730101 7493 108300 SH SOLE 800 107500
GENERAL DYNAMICS COM 369550108 237 3800 SH SOLE 3800
GENERAL ELEC COM 369604103 2681 22614 SH SOLE 22614
GOODRICH B F CO COM 382388106 506 17450 SH SOLE 300 17150
GP STRATEGIES CORP COM COM 36225V104 9827 873500 SH SOLE 873500
GRACO INC COM COM 384109104 312 9500 SH SOLE 9500
GREY ADVERTISING INC COM 397838103 736 2000 SH SOLE 2000
GROUP 1 AUTOMOTIVE COM 398905109 23150 1264140 SH SOLE 16900 1247240
GTE CORP COM 362320103 265 3450 SH SOLE 3450
HEALTH CARE REIT COM 42217K106 228 11400 SH SOLE 11400
HOMEBASE COM 43738E108 632 160500 SH SOLE 160500
HON INDS INC COM 438092108 13866 720300 SH SOLE 1000 719300
HUTTON TEL TR UT1ST TXFREE10 COM 447900101 57 10000 SH SOLE 10000
II VI INC COM COM 902104108 335 28500 SH SOLE 28500
INNOVEX COM 457647105 1153 128100 SH SOLE 128100
INTEL CORP COM 458140100 278 3740 SH SOLE 3740
INTERMET CORP COM 45881K104 8240 972950 SH SOLE 972950
INTERNATIONAL BUS MACH COM 459200101 325 2684 SH SOLE 2684
JOHNSON & JOHNSON COM 478160104 1560 16975 SH SOLE 16975
KEANE INC COM COM 486665102 761 33350 SH SOLE 33350
KERR MCGEE CORP COM 492386107 520 9450 SH SOLE 100 9350
KEY PRODUCTION COM 493138101 6482 664850 SH SOLE 664850
KNIGHT RIDDER INC COM COM 499040103 1310 23825 SH SOLE 100 23725
KOLLMORGEN CORP COM 500440102 8562 702500 SH SOLE 14500 688000
LANCASTER COLONY CORP COM 513847103 23435 732343 SH SOLE 6500 725843
LANDSTAR SYS INC COM COM 515098101 1182 34000 SH SOLE 34000
LINCARE HLDGS INC COM 532791100 18305 686700 SH SOLE 9400 677300
MACK-CALI REALTY COM 554489104 1609 60025 SH SOLE 600 59425
MAPICS INC COM 564910107 4470 514500 SH SOLE 514500
MARSHALL INDS COM 572393106 5508 150900 SH SOLE 150900
MAXWELL SHOE INC COM 577766108 3337 378700 SH SOLE 378700
MAY DEPT STORES COM 577778103 2063 56631 SH SOLE 56631
MCDONALDS COM 580135101 228 5266 SH SOLE 5266
MCN CORP COM 55267J100 746 43398 SH SOLE 800 42598
MERCK & CO COM 589331107 765 11800 SH SOLE 11800
MERISTAR HOSPITALITY COM COM 58984Y103 170 11025 SH SOLE 200 10825
METRIS COS INC COM 1248 42300 SH SOLE 42300
MICROSOFT CORP COM 594918104 444 4900 SH SOLE 4900
MINNESOTA MNG & MFG COM 604059105 258 2684 SH SOLE 2684
MOBIL CORP COM 607059102 307 3051 SH SOLE 3051
MORGAN J & P COM 616880100 1549 13559 SH SOLE 100 13459
MTS SYS CORP COM 553777103 6363 613300 SH SOLE 613300
NCI BUILDING SYS COM 628852105 17427 1052200 SH SOLE 12000 1040200
NORFOLK SOUTHERN COM 655844108 1784 72800 SH SOLE 72800
NORTH FORK BANCORP INC COM 659424105 519 26600 SH SOLE 12000 14600
OAK INDS COM 671400505 9902 291240 SH SOLE 6000 285240
OHIO CAS CORP COM 677240103 624 37000 SH SOLE 37000
OLD REPUBLIC INTL COM 680223104 2064 142928 SH SOLE 9675 133253
OMNICOM GROUP COM 681919106 7979 100760 SH SOLE 6800 93960
PACIFIC GULF PPTYS COM 694396102 6256 313790 SH SOLE 200 313590
PFIZER INC COM 717081103 1421 39598 SH SOLE 39598
PPG INDS COM 693506107 5312 88525 SH SOLE 4400 84125
PROSPERITY BANCSHARES COM COM 743606105 423 28100 SH SOLE 28100
QUIXOTE CORP COM 749056107 6599 439900 SH SOLE 21200 418700
RALCORP HLDGS COM 751028101 21439 1212100 SH SOLE 12500 1199600
REGAL BELOIT CORP COM 758750103 2908 140150 SH SOLE 7000 133150
RELIANCE STEEL & ALUM COM 759509102 8078 384690 SH SOLE 13050 371640
RELIASTAR COM 75952U103 326 9800 SH SOLE 9800
RENAISSANCE RE HLDGS COM G7496G103 13944 402000 SH SOLE 402000
REPUBLIC BANCORP COM 760282103 15942 1378754 SH SOLE 14560 1364194
REYNOLDS & REYNOLDS COM 761695105 19061 935495 SH SOLE 6400 929095
ROBBINS & MYERS COM 770196103 6411 413630 SH SOLE 7500 406130
ROSS STORES COM 778296103 696 34600 SH SOLE 34600
ROYAL DUTCH PETE COM 780257705 318 5380 SH SOLE 5380
ROYCE VALUE TR COM 780910105 494 39897 SH SOLE 39897
RYAN'S FAMILY STK HSE COM 783519101 7639 848800 SH SOLE 600 848200
SAFECO CORP COM 786429100 515 18400 SH SOLE 18400
SANTA FE ENERGY TR RCPT DEP UN COM 802013102 191 10600 SH SOLE 1000 9600
SCHERING PLOUGH CORP COM 806605101 203 4662 SH SOLE 4662
SEAGATE TECHNOLOGY COM 811804103 1787 58348 SH SOLE 5000 53348
SHELL TRANS&TRAD PLC COM 822703609 2735 60100 SH SOLE 3000 57100
SILICON VY GROUP COM 827066101 17421 1474800 SH SOLE 12900 1461900
SJNB FINL CORP COM 784273104 1283 41050 SH SOLE 41050
SOUTHDOWN INC COM 841297104 2422 45275 SH SOLE 4200 41075
SOUTHTRUST CORP COM 844730101 1645 45850 SH SOLE 600 45250
SOVEREIGN BANCORP INC COM 845905108 627 69000 SH SOLE 69000
SPORT SUPPLY GROUP INS COM 848915104 3087 371360 SH SOLE 25000 346360
SPX CORP COM 784635104 3259 35909 SH SOLE 1910 33999
ST PAUL COS INC COM COM 792860108 250 9106 SH SOLE 9106
STEPAN CO COM COM 858586100 468 20700 SH SOLE 20700
STEWART&STEVENSON COM 860342104 19952 1520125 SH SOLE 9200 1510925
SUIZA FOODS CORP COM 865077101 25479 679450 SH SOLE 6900 672550
TIDEWATER COM 886423102 11913 467190 SH SOLE 400 466790
TIMKEN CO COM 887389104 6741 418059 SH SOLE 13600 404459
TRANSTECHNOLOGY COM 141 12200 SH SOLE 12200
TRICO MARINE SVCS COM 896106101 6922 832750 SH SOLE 832750
TRINITY INDS COM 896522109 12128 392810 SH SOLE 5600 387210
TRW INC COM 872649108 5438 109297 SH SOLE 3800 105497
U.S. AIRWAYS GROUP COM 911905107 3958 150775 SH SOLE 5300 145475
UNION PLANTERS COM 908068109 2487 61025 SH SOLE 4000 57025
UNITED DOMINION INDS COM 909914103 6117 257550 SH SOLE 300 257250
UNOCAL CORP COM 915289102 3838 103550 SH SOLE 700 102850
UST CORP COM 902900109 3642 118437 SH SOLE 118437
VARIAN INC COM 922206107 3257 183490 SH SOLE 4500 178990
VARIAN MEDICAL SYSTEMS COM 92220P105 3961 181090 SH SOLE 4500 176590
VINTAGE PETROLEUM COM 927460105 17732 1313460 SH SOLE 10000 1303460
WILLIAMS COS INC COM 969457100 478 12700 SH SOLE 7300 5400
WOODHEAD INDS COM 979438108 2341 231250 SH SOLE 231250
WYNN'S INTERNATIONAL COM 983195108 9365 587631 SH SOLE 15187 572444
XEROX CORP COM 984121103 244 5822 SH SOLE 5822
YOUNG & RUBICAM COM 987425105 2541 57750 SH SOLE 57750
NISOURCE INC 629140302 322 7520 SH SOLE 7520
INVESCO EQUITY INCOME MUT 46127Y106 193 12397.418SH SOLE 12397.418
</TABLE>
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