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.
(X) adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: Shufro Rose & Co, LLC
Address: 745 Fifth Avenue
26th Floor
New York, NY 10151
13F File Number:28-792
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: Steven J. Glass
Title: Managing Director
Phone: 212-754-5100
Signature, Place, and Date of Signing:
Steven J. Glass New York, NY November 15, 1999
Report Type (Check only one):
(X) 13F HOLDINGS REPORT
( ) 13F NOTICE
( ) 13F COMBINATION REPORT
I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934.
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SHUFRO ROSE & CO LLC PAGE 1
FORM 13F INFORMATION TABLE
AS OF DATE: 09/30/99
VALUE SHARES/ SH/ PUT/ INVSTMT -----VOTING AUTHORITY-----
NAME OF ISSUER -TITLE OF CLASS- --CUSIP-- (x$1000) PRN AMT PRN CALL DSCRETN -MANAGERS- SOLE SHARED NONE
IRT PROPERTY CV 7.30% CONV PFD 450058AA0 1279 1312000 PRN SOLE 1312000
PARK ELECTROCHM 5.5% 3-1-CONV PFD 700416AB6 397 415000 PRN SOLE 415000
ACME UNITED COM 004816104 81 59000 SH SOLE 59000
AGRIUM INC COM 008916108 13166 1324829 SH SOLE 1324829
ALDILA INC COM 014384101 28 22540 SH SOLE 22540
ALEXANDER & BALDWIN COM 014482103 4576 191650 SH SOLE 191650
ALLEN TELECOM COM 018091108 2691 276000 SH SOLE 276000
ALLSTATE COM 020002101 462 18512 SH SOLE 18512
AMERICAN EXPRESS COM 025816109 358 2660 SH SOLE 2660
AMERICAN HOME PRODUCTS COM 026609107 14646 352912 SH SOLE 352912
AMERICAN INTERNATIONAL GRCOM 026874107 217 2497 SH SOLE 2497
AMERITECH CORP COM 030954101 1443 21483 SH SOLE 21483
AMWAY JAPAN COM 03234J100 120 26574 SH SOLE 26574
APARTMENT INVESTMENT & MGCOM 03748R101 348 9100 SH SOLE 9100
APRIA HEALTH GROUP COM 037933108 396 23625 SH SOLE 23625
ARROW ELECTRONICS COM 042735100 256 14500 SH SOLE 14500
ASSOCIATES FIRST CAPITAL COM 046008108 253 7014 SH SOLE 7014
ASTROSYSTEMS COM 046465100 366 133200 SH SOLE 133200
AT & T CORP COM 001957109 1792 41203 SH SOLE 36118
ATLANTIC RICHFIELD COM 048825103 461 5200 SH SOLE 5200
AT & T LIBERTY MEDIA GROUCOM 001957208 207 5566 SH SOLE 5566
AUDIOVOX CL A COM 050757103 492 28100 SH SOLE 28100
AUTODESK COM 052769106 2956 135150 SH SOLE 135150
AUTOTOTE COM 053323101 697 265370 SH SOLE 265370
AVADO BRANDS COM 05336P108 56 10000 SH SOLE 10000
BAKER HUGHES COM 057224107 2821 97280 SH SOLE 97280
BALDWIN TECHNOLOGY COM 058264102 2142 901800 SH SOLE 901800
BELL ATLANTIC COM 077853109 1418 21072 SH SOLE 21072
BELLSOUTH COM 079860102 1266 28122 SH SOLE 28122
BERKLEY W R COM 084423102 9032 392675 SH SOLE 392675
BERKSHIRE HATHAWAY B SHARCOM 084670207 1788 1039421 SH SOLE 1039421
BETHLEHEM STEEL COM 087509105 7666 1039 SH SOLE 813425
BHC COMMUNICATIONS COM 055448104 3606 25850 SH SOLE 25850
BOEING CO COM 097023105 252 5920 SH SOLE 5920
BOMBAY COM 097924104 9524 1881060 SH SOLE 1881060
BP AMOCO COM 055622104 3631 32769 SH SOLE 32769
BRIDGFORD FOOD CORP COM 108763103 366 35750 SH SOLE 35750
BRISTOL-MYERS SQUIBB COM 110122108 3152 46698 SH SOLE 46698
BRAZILIAN EQUITY FUND COM 105884100 379 92000 SH SOLE 92000
BUDGET GROUP COM 119003101 187 26505 SH SOLE 26505
BURLINGTON RESOURCES COM 122014103 2032 55300 SH SOLE 55300
CAERE CORP COM 127646107 97 12550 SH SOLE 12550
CALGON CARBON COM 129603106 377 55300 SH SOLE 55300
CARNIVAL CRUISE LINES COM 143658102 1773 40750 SH SOLE 40750
CASE CORP COM 14743R103 2886 57930 SH SOLE 57930
CASH AMERICA INTL COM 14754D100 7457 790150 SH SOLE 790150
CATERPILLAR COM 149123101 611 11155 SH SOLE 11155
CENTRAL HUDSON GAS & ELECCOM 153609102 6013 152705 SH SOLE 152705
CHARMING SHOPPES COM 161133103 2348 458200 SH SOLE 458200
CHARTWELL RE COM 16139W109 1221 84600 SH SOLE 84600
CHEVRON COM 166751107 2654 29908 SH SOLE 29908
CHIQUITA BRANDS INTERNATICOM 170032106 62 10500 SH SOLE 10500
CHOCK FULL O NUTS COM 170268106 200 18436 SH SOLE 18436
CIRRUS LOGIC COM 172755100 200 18200 SH SOLE 18200
CISCO SYSTEMS COM 17275R102 271 3946 SH SOLE 3946
CITIGROUP COM 172967101 699 15891 SH SOLE 15891
CITIZENS UTILITIES COM 177342201 11253 994675 SH SOLE 994675
CLARE C P COM 12615K107 64 10000 SH SOLE 10000
COAST DISTRIBUTION SYSTEMCOM 190345108 41 16500 SH SOLE 16500
COCA-COLA CO COM 191216100 451 9390 SH SOLE 9390
COLD METAL PRODUCTS COM 192861102 143 42440 SH SOLE 42440
COMCAST CLASS A SPECIAL COM 200300200 522 13100 SH SOLE 13100
COMMUNICATIONS SYSTEMS COM 203900105 269 23125 SH SOLE 23125
COMPAQ COMPUTER COM 204493100 1406 61310 SH SOLE 61310
COMSHARE COM 205912108 60 21000 SH SOLE 21000
CONSOLIDATED EDISON COM 209115104 412 9930 SH SOLE 9930
CONSOLIDATED TOMOKA LAND COM 210226106 3092 229000 SH SOLE 229000
CONSOLIDATED STORES COM 210149100 1470 66635 SH SOLE 66635
CONTIFINANCIAL CORP COM 21075V107 1647 1549855 SH SOLE 1549855
CORNING COM 219350105 9765 142430 SH SOLE 142430
CPAC COM 126145101 806 137200 SH SOLE 137200
CRAFTMADE INTERNATIONAL COM 22413E104 1772 253210 SH SOLE 253210
CROWN CORK & SEAL COM 228255105 7362 303600 SH SOLE 303600
CUMMINS ENGINE COM 231021106 1601 32150 SH SOLE 32150
DATRON SYSTEMS COM 238173108 1098 201900 SH SOLE 201900
DAY RUNNER COM 239545106 2574 307365 SH SOLE 307365
DEPARTMENT 56 COM 249509100 12427 519125 SH SOLE 519125
DISNEY WALT COM 254687106 500 19317 SH SOLE 19317
DONNELLY CORP CLASS A COM 257870105 3673 261200 SH SOLE 261200
DOW CHEMICAL COM 260543103 466 4100 SH SOLE 4100
DRUG EMPORIUM COM 262175102 135 20000 SH SOLE 20000
DUPONT COM 263534109 37904 622649 SH SOLE 622649
EASTGROUP PROPERTIES COM 277276101 1084 59800 SH SOLE 59800
EDISON INTERNATIONAL COM 281020107 315 12962 SH SOLE 12962
EL PASO ELECTRIC CO NEW COM 283677854 1659 184365 SH SOLE 184365
EMC CORP COM 368648102 214 3000 SH SOLE 3000
ENVIRONMENTAL ELEMENTS COM 293940102 73 25300 SH SOLE 25300
EXXON CORP COM 302290101 34693 456865 SH SOLE 456865
FIRST DATA COM 319963104 988 22525 SH SOLE 22525
FIRST NATIONAL BANK ANCHOCOM 322387101 513 502 SH SOLE 502
FIRST TENNESSEE NATIONAL COM 337162101 315 11200 SH SOLE 11200
FLEETWOOD ENTERPRISES COM 339099103 6698 331800 SH SOLE 331800
FORD MOTOR COMPANY COM 345370100 886 17658 SH SOLE 17658
FORTUNE BRANDS COM 349631101 903 28000 SH SOLE 28000
FOURTH SHIFT COM 351128103 270 92040 SH SOLE 92040
FRESH CHOICE COM 358032100 31 15500 SH SOLE 15500
GALLAHER COM 363595109 761 28000 SH SOLE 28000
GENERAL ELECTRIC COM 369604103 86016 725485 SH SOLE 725485
GENERAL MOTORS COM 370442105 558 8858 SH SOLE 8858
GENEVA STEEL COM 372252106 15 51990 SH SOLE 51990
GERMANY FUND COM 374143105 1529 114300 SH SOLE 114300
GETTY PETROLEUM MARKETINGCOM 374292100 796 289519 SH SOLE 289519
GETTY REALTY NEW COM 374297109 356 26384 SH SOLE 26384
GIANT CEMENT COM 374450104 7377 321615 SH SOLE 321615
GIGA TRONICS COM 375175106 56 20000 SH SOLE 20000
GLACIER WATER SERVICES COM 376395109 168 10000 SH SOLE 10000
GLATFELTER (P H) COM 377316104 2205 134158 SH SOLE 134158
GLEASON CORP COM 377339106 4497 267500 SH SOLE 267500
GOODYEAR TIRE & RUBBER COM 382550101 638 13265 SH SOLE 13265
GOVERNMENT TECHNOLOGY SERCOM 383750106 2645 755580 SH SOLE 755580
GREAT TRAIN STORE COM 391330107 279 331100 SH SOLE 331100
GROUPE AB COM 39944Q109 1228 517230 SH SOLE 517230
GTE CORP COM 362320103 281 3656 SH SOLE 3656
HALLIBURTON CO COM 406216101 1845 45000 SH SOLE 45000
HANSON INDUSTRIES ADR COM 411352404 5770 149139 SH SOLE 149139
HARTMARX CORP COM 417119104 3665 916200 SH SOLE 916200
HEILIG MEYERS COM 422893107 268 56420 SH SOLE 56420
HEWLETT PACKARD COM 428236103 14301 155449 SH SOLE 155449
HILLENBRAND INDUSTRIES COM 431573104 2550 96700 SH SOLE 96700
HOLLINGER COM 435569108 7266 611915 SH SOLE 611915
HOME DEPOT COM 437076102 7414 108041 SH SOLE 108041
H & Q LIFE SCIENCES INVESCOM 404053100 269 19031 SH SOLE 19031
HUDSON UNITED BANCORP COM 444165104 735 23854 SH SOLE 23854
HUNTCO INC COM 445661101 1778 646412 SH SOLE 646412
IMPERIAL SUGAR CO NEW COM 453096109 151 24600 SH SOLE 24600
INSTEEL INDUSTRIES COM 45774W108 3338 370900 SH SOLE 370900
INTEGRATED DEVICE TECHNOLCOM 458118106 6767 365810 SH SOLE 365810
INTEGRALVISION COM 45811H106 101 92300 SH SOLE 92300
INTEL COM 458140100 424 5704 SH SOLE 5704
INTL BUSINESS MACHINES COM 459200101 10673 87934 SH SOLE 87934
INTERNATIONAL PAPER COM 460146103 2268 47186 SH SOLE 47186
IT GROUP COM 465266104 274 28613 SH SOLE 28613
ITT HARTFORD GROUP COM 416515104 413 10100 SH SOLE 10100
JOHNSON & JOHNSON COM 478160104 2650 28846 SH SOLE 28846
KENT ELECTRONICS COM 490553104 2942 159040 SH SOLE 159040
KENTUCKY ELECTRIC STEEL COM 49127B100 151 44850 SH SOLE 44850
KERR-MCGEE COM 492386107 281 5100 SH SOLE 5100
KEYSPAN CORP COM 49337W100 305 10664 SH SOLE 10664
KIMBERLY CLARK COM 494368103 425 8090 SH SOLE 8090
KIRBY CORP COM 497266106 3083 157100 SH SOLE 157100
LACLEDE GAS COM 505588103 2418 106300 SH SOLE 106300
LACROSSE FOOTWEAR COM 505688101 2054 373365 SH SOLE 373365
LAM RESEARCH COM 512807108 1810 29675 SH SOLE 29675
LAZARE KAPLAN INTL COM 521078105 386 47900 SH SOLE 47900
LODGENET ENTERTAINMENT COM 540211109 956 73500 SH SOLE 73500
LUCENT TECHNOLOGIES COM 549463107 2039 31432 SH SOLE 31432
MANPOWER INC COM 56418H100 422 14500 SH SOLE 14500
MATTEL INC COM 577081102 323 16975 SH SOLE 16975
MAXWELL SHOE COM 577766108 129 14600 SH SOLE 14600
MCI WORLDCOM COM 55268B106 388 5392 SH SOLE 5392
MEDIAONE GROUP COM 58440J104 329 4811 SH SOLE 4811
MELLON BANK COM 585509102 1906 56484 SH SOLE 56484
MENTOR GRAPHICS COM 587200106 2142 250140 SH SOLE 250140
MERCK & CO COM 589331107 3712 57280 SH SOLE 57280
MERITOR AUTOMOTIVE COM 59000G100 3678 176200 SH SOLE 176200
MERRILL LYNCH & CO COM 590188108 357 5319 SH SOLE 5319
METATEC INTERNATIONAL COM 591398102 38 12000 SH SOLE 12000
METRETEK TECHNOLOGIES COM 59159Q107 65 16800 SH SOLE 16800
MFRI INC COM 552721102 853 175000 SH SOLE 175000
MGI PROPERTIES COM 552885105 1725 191700 SH SOLE 191700
MICHAELS STORES COM 594087108 2308 78230 SH SOLE 78230
MICROSOFT COM 594918104 697 7695 SH SOLE 7695
MIDAS MUFFLER SHOPS COM 595626102 6275 304225 SH SOLE 304225
MILBROOK PRESS COM 600179105 225 108900 SH SOLE 108900
MILLENNIUM CHEMICALS COM 599903101 2884 141109 SH SOLE 141109
MINNESOTA MINING & MFG COM 604059105 2135 22230 SH SOLE 22230
MOBIL CORP COM 607059102 10688 106087 SH SOLE 106087
MONSANTO CO COM 611662107 1465 41060 SH SOLE 41060
MOORE MEDICAL COM 615799103 190 24500 SH SOLE 24500
MORGAN J P & CO COM 616880100 18118 158586 SH SOLE 158586
MOTOROLA COM 620076109 1061 12060 SH SOLE 12060
M&T BANK CORP COM 55261F104 16153 35191 SH SOLE 35191
NATIONAL WESTMINSTER BANKADR 638539403 207 1488 SH SOLE 1488
NEWELL RUBBERMAID COM 651192106 934 32685 SH SOLE 32685
NEW GERMANY FUND COM 644465106 5754 487100 SH SOLE 487100
NEW MEXICO & ARIZONA LANDCOM 647072107 1571 349104 SH SOLE 349104
OAK TECHNOLOGY COM 671802106 748 167455 SH SOLE 167455
OCEAN ENERGY COM 67481E106 3206 314720 SH SOLE 314720
OLD REPUBLIC COM 680223104 5016 347400 SH SOLE 347400
ORION CAPITAL COM 686268103 1156 24400 SH SOLE 24400
ORTHOLOGIC CORP COM 68750J107 99 33100 SH SOLE 33100
O'SULLIVAN INDUSTRIES COM 688609106 5939 395900 SH SOLE 395900
PALL CORPORATION COM 696429307 322 13900 SH SOLE 13900
PAXSON COMMUNICATIONS COM 704231109 554 45225 SH SOLE 45225
PENNEY JC COM 708160106 3696 107530 SH SOLE 107530
PEPSICO INC COM 713448108 1511 49940 SH SOLE 49940
PETSMART COM 716768106 5272 1417650 SH SOLE 1417650
PFIZER INC COM 717081103 5841 162537 SH SOLE 162537
PHARMACIA & UPJOHN COM 716941109 240 4835 SH SOLE 4835
PHILIP MORRIS COM 718154107 3926 114843 SH SOLE 114843
PIONEER STANDARD ELECTRONCOM 723877106 3058 211830 SH SOLE 211830
PLANTRONICS NEW COM 727493108 299 6000 SH SOLE 6000
POLAROID COM 731095105 3005 115595 SH SOLE 115595
PROVIDIAN COM 74406A102 2296 29000 SH SOLE 29000
QUAKER OATS CO COM 747402105 402 6500 SH SOLE 6500
RDO EQUIPMENT - CL A COM 749413100 171 25750 SH SOLE 25750
RELIANT ENERGY COM 75952J108 297 10980 SH SOLE 10980
RITE AID COM 767754104 6672 483010 SH SOLE 483010
ROLLINS INC COM 775711104 1346 87200 SH SOLE 87200
ROYAL DUTCH PETROLEUM COM 780257804 2453 41532 SH SOLE 41532
ROYCE VALUE TRUST COM 780910105 3899 315105 SH SOLE 315105
SAFESKIN CORP COM 786454108 1297 157770 SH SOLE 157770
SAMUELS JEWELERS COM 796060101 687 157070 SH SOLE 157070
SARA LEE COM 803111103 13027 555790 SH SOLE 555790
SBC COMMUNICATIONS COM 78387G103 2767 54182 SH SOLE 54182
SCHERING-PLOUGH COM 806605101 560 12840 SH SOLE 12840
SCHNITZER STEEL INDUSTRIECOM 806882106 1907 104475 SH SOLE 104475
A SCHULMAN COM 808194104 294 17000 SH SOLE 17000
SEARS ROEBUCK & CO COM 812387108 733 23370 SH SOLE 23370
SMITHFIELD FOODS COM 832248108 338 12650 SH SOLE 12650
SOLUTIA COM 834376105 261 14602 SH SOLE 14602
SPARTAN MOTORS COM 846819100 1656 327100 SH SOLE 327100
SPARTAN CORP COM 847235108 234 42500 SH SOLE 42500
STANDARD PACIFIC COM 85375C101 108 10500 SH SOLE 10500
STARRETT (L.S.) COM 855668109 1211 48700 SH SOLE 48700
STEIN MART COM 858375108 71 10000 SH SOLE 10000
STEWART & STEVENSON SERVICOM 860342104 3890 296400 SH SOLE 296400
STEWART ENTERPRISES COM 860370105 303 49950 SH SOLE 49950
STRATEGIC DISTRIBUTION COM 862701208 263 84150 SH SOLE 84150
SUMMIT BANCORP COM 866005101 1016 31333 SH SOLE 31333
SUN MICROSYSTEMS COM 866810104 214 2300 SH SOLE 2300
SUNOCO COM 866762107 1240 45300 SH SOLE 45300
SWISS ARMY BRANDS COM 870827102 3914 423130 SH SOLE 423130
SWISS HELVETIA FUND COM 870875101 2369 167000 SH SOLE 167000
SYNALLOY COM 871565107 1361 198000 SH SOLE 198000
TECUMSEH PRODUCTS COM 878895200 4221 84200 SH SOLE 84200
TEJON RANCH COM 879080109 6926 236800 SH SOLE 236800
TIME WARNER COM 887315109 3432 56500 SH SOLE 56500
TIMKEN ROLLER BEARING COM 887389104 7323 454150 SH SOLE 454150
TODAYS MAN COM 888910205 20 22630 SH SOLE 22630
TOKIO MARINE & FIRE INS COM 889090403 633 11000 SH SOLE 11000
TOOTSIE ROLL INDUSTRIES COM 890516107 2262 68792 SH SOLE 68792
TRENWICK GROUP COM 895290104 2132 128700 SH SOLE 128700
TRICON GLOBAL RESTAURANTSCOM 895953107 342 8352 SH SOLE 8352
TSI INTERNATIONAL COM 872879101 557 20542 SH SOLE 20542
TUPPERWARE COM 899896104 6943 342840 SH SOLE 342840
TWIN DISC COM 901476101 1617 98000 SH SOLE 98000
UNION PACIFIC COM 907818108 10979 228434 SH SOLE 228434
UNIVERSAL FOODS COM 913538104 940 41000 SH SOLE 41000
UNUMPROVIDENT CORP COM 91529Y106 916 31100 SH SOLE 31100
USEC INC COM 90333E108 6195 604400 SH SOLE 604400
U S WEST INC COM 91273H101 290 5077 SH SOLE 5077
UST INC COM 902911106 547 18135 SH SOLE 18135
UTAH MEDICAL PRODUCTS COM 917488108 680 99800 SH SOLE 99800
VARIAN INSTRUMENTS COM 922206107 5266 296700 SH SOLE 296700
VARIAN MEDICAL SYSTEMS COM 92220P105 3325 152000 SH SOLE 152000
VERTEX COMMUNICATIONS COM 925320103 638 57000 SH SOLE 57000
VISHAY INTERTECHNOLOGY COM 928298108 240 10125 SH SOLE 10125
VISTA EYECARE COM 928352103 182 72630 SH SOLE 72630
VODAFONE AIRTOUCH COM 92857T107 3159 13287 SH SOLE 13287
WABASH NATIONAL COM 929566107 277 13650 SH SOLE 13650
WAL-MART STORES COM 931142103 1113 23400 SH SOLE 23400
WARNER-LAMBERT COM 934488107 2801 42200 SH SOLE 42200
WEIRTON STEEL COM 948774104 1139 535960 SH SOLE 535960
WESTERN GAS RESOURCES COM 958259103 1723 92200 SH SOLE 92200
XIRCOM COM 983922105 426 9980 SH SOLE 9980
3COM COM 885535104 2785 96880 SH SOLE 96880
LINE COUNT: 257
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FORM 13F SUMMARY PAGE
AS OF DATE: 09/30/99
RUN DATE: 11/14/99 9:12 A.M.
REPORT SUMMARY:
NUMBER OF OTHER INCLUDED MANAGERS: 0
FORM 13F INFORMATION TABLE ENTRY TOTAL: 257
FORM 13F INFORMATION TABLE VALUE TOTAL: $727,402,332
LIST OF OTHER INCLUDED MANAGERS:
NO. 13F FILE NUMBER NAME
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