BROOKHAVEN CAPITAL MANAGEMENT CO LTD
5, 2000-10-18
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

 

 

 

Filed pursuant to Section 16(a) of the Securities Exchange act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940

 

 

Form 5

OMB APPROVAL

OMB Number: 3235-0287

Expires: December 31, 2001

Estimated average burden

hours per response ...0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

x Form 3 Holdings Reported

x Form 4 Holdings Reported

 

 

(Print or Type Responses)

 

 

1 .Name and Address of Reporting Person

2. Issuer Name and Ticker or Trading Symbol

New Century Financial Corp. (NCEN)

6. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

______Director   X   10% Owner

______Officer (give ______Other (specify title below) below)

____________________________

(Last) (First) (Middle)

 

Brookhaven Capital Management, LLC

3. IRS Identification Number of Reporting Person, if an entity
(voluntary)

4. Statement for
Month/Year

December 31, 1999

(Street)

3000 Sandhill Rd., Bldg. 3, Ste. 105

5. If Amendment,
Date of Original
(Month/Year)

7. Individual or Joint/Group Filing (Check Applicable Line)
___Form filed by One Reporting Person
 X Form filed by More than One Reporting Person, See Note (1)

(City) (State) (Zip)

Menlo Park CA 94025

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned

1. Title of Security
(Instr. 4)

2. Trans-
action
Date


(Month/
Day/
Year)

3. Trans-
Action
Code
(Instr. 8)

 

 

4. Securities Acquired (A)
or Disposed of (D)
(Instr. 3, 4 AND 5)

 

 

5. Amount of
Securities Ben-
eficially Owned
at End of
Issuer's Fiscal
Year
(Instr. 3 and 4)

6. Owner-
ship
Form:
Direct
(D) or
Indirect
(I)

(Instr. 4)

7. Nature of Indirect Beneficial Ownership



(Instr. 4)
See Note (9)

Amount

(A) or

(D)

Price

Common Stock

3

See Note (2)

I

(6)

Common Stock

3

See Note (3)

D & I

(3)

Common Stock

3

See Note (4)

D

Common Stock

03/19/1999

P4

700

A

11.1250

3,025,700 (10)

I

(6)

Common Stock

03/23/1999

P4

400

A

10.8125

3,025,700 (10)

I

(6)

Common Stock

03/25/1999

P4

7,500

A

10.7500

3,025,700 (10)

I

(6)

Common Stock

03/25/1999

P4

10,000

A

10.8750

3,025,700 (10)

I

(6)

Common Stock

03/26/1999

P4

500

A

11.2250

3,025,700 (10)

I

(6)

Common Stock

03/30/1999

P4

1,000

A

11.7500

3,025,700 (10)

I

(6)

Common Stock

03/31/1999

P4

2,000

A

12.00

3,025,700 (10)

I

(6)

Common Stock

04/06/1999

P4

17,000

A

11.7684

3,025,700 (10)

I

(6)

Common Stock

04/08/1999

P4

1,500

A

11.9167

3,025,700 (10)

I

(6)

Common Stock

04/08/1999

P4

2,600

A

11.9519

3,025,700 (10)

I

(6)

Common Stock

04/09/1999

P4

500

A

11.8750

3,025,700 (10)

I

(6)

Common Stock

04/09/1999

P4

2,500

A

11.8375

3,025,700 (10)

I

(6)

Common Stock

04/13/1999

P4

500

A

11.8750

3,025,700 (10)

I

(6)

Common Stock

04/13/1999

P4

1,500

A

11.8750

3,025,700 (10)

I

(6)

Common Stock

04/15/1999

P4

1,200

A

11.5677

3,025,700 (10)

I

(6)

Common Stock

04/16/1999

P4

5,000

A

12.00

3,025,700 (10)

I

(6)

Common Stock

04/16/1999

P4

5,000

A

12.00

3,025,700 (10)

I

(6)

Common Stock

04/16/1999

P4

18,500

A

11.7443

3,025,700 (10)

I

(6)

Common Stock

04/16/1999

P4

10,000

A

12.00

20,000 (10)

D

(7)

Common Stock

04/19/1999

P4

1,200

A

12.00

3,025,700 (10)

I

(6)

Common Stock

04/20/1999

P4

600

A

11.6250

3,025,700 (10)

I

(6)

Common Stock

04/20/1999

P4

1,000

A

11.7500

3,025,700 (10)

I

(6)

Common Stock

04/23/1999

P4

1,200

A

12.9896

3,025,700 (10)

I

(6)

Common Stock

04/23/1999

P4

2,500

A

12.1400

3,025,700 (10)

I

(6)

Common Stock

04/26/1999

P4

900

A

13.5139

3,025,700 (10)

I

(6)

Common Stock

04/26/1999

P4

1,400

A

12.7500

3,025,700 (10)

I

(6)

Common Stock

04/26/1999

P4

1,500

A

12.9583

3,025,700 (10)

I

(6)

Common Stock

04/27/1999

P4

1,400

A

13.3393

3,025,700 (10)

I

(6)

Common Stock

04/27/1999

P4

2,600

A

13.6875

3,025,700 (10)

I

(6)

Common Stock

04/27/1999

P4

4,600

A

13.2772

3,025,700 (10)

I

(6)

Common Stock

04/28/1999

P4

500

A

13.00

3,025,700 (10)

I

(6)

Common Stock

04/28/1999

P4

1,700

A

13.0735

3,025,700 (10)

I

(6)

Common Stock

04/28/1999

P4

2,800

A

12.7607

3,025,700 (10)

I

(6)

Common Stock

04/28/1999

P4

5,000

A

13.2250

3,025,700 (10)

I

(6)

Common Stock

04/29/1999

P4

1,700

A

13.0404

3,025,700 (10)

I

(6)

Common Stock

04/29/1999

P4

8,000

A

13.2343

3,025,700 (10)

I

(6)

Common Stock

04/30/1999

P4

3,200

A

13.2461

3,025,700 (10)

I

(6)

Common Stock

04/30/1999

P4

5,000

A

13.2500

3,025,700 (10)

I

(6)

Common Stock

05/03/1999

P4

2,100

A

13.1250

3,025,700 (10)

I

(6)

Common Stock

05/03/1999

P4

5,000

A

13.2500

3,025,700 (10)

I

(6)

Common Stock

05/03/1999

P4

10,000

A

13.2500

3,025,700 (10)

I

(6)

Common Stock

05/04/1999

P4

2,500

A

12.6250

3,025,700 (10)

I

(6)

Common Stock

05/04/1999

P4

5,000

A

13.00

3,025,700 (10)

I

(6)

Common Stock

05/04/1999

P4

5,000

A

12.6250

3,025,700 (10)

I

(6)

Common Stock

05/05/1999

P4

7,100

A

12.2500

3,025,700 (10)

I

(6)

Common Stock

05/07/1999

P4

2,000

A

11.8750

3,025,700 (10)

I

(6)

Common Stock

05/10/1999

P4

1,100

A

11.8750

3,025,700 (10)

I

(6)

Common Stock

05/11/1999

P4

1,300

A

11.6250

3,025,700 (10)

I

(6)

Common Stock

05/14/1999

P4

15,800

A

11.6804

3,025,700 (10)

I

(6)

Common Stock

05/17/1999

P4

6,300

A

11.8626

3,025,700 (10)

I

(6)

Common Stock

05/18/1999

P4

2,400

A

12.2500

3,025,700 (10)

I

(6)

Common Stock

05/19/1999

P4

5,000

A

12.5500

3,025,700 (10)

I

(6)

Common Stock

05/19/1999

S4

5,000

D

12.3125

3,025,700 (10)

I

(6)

Common Stock

05/19/1999

P4

32,400

A

12.8638

3,025,700 (10)

I

(6)

Common Stock

05/20/1999

P4

4,700

A

13.8338

3,025,700 (10)

I

(6)

Common Stock

05/20/1999

P4

5,000

A

13.4813

3,025,700 (10)

I

(6)

Common Stock

05/20/1999

P4

7,500

A

14.2083

3,025,700 (10)

I

(6)

Common Stock

05/20/1999

P4

10,000

A

13.8338

3,025,700 (10)

I

(6)

Common Stock

05/21/1999

P4

2,500

A

13.8125

3,025,700 (10)

I

(6)

Common Stock

05/21/1999

P4

8,000

A

13.8125

3,025,700 (10)

I

(6)

Common Stock

05/24/1999

P4

3,700

A

13.2872

3,025,700 (10)

I

(6)

Common Stock

05/24/1999

P4

9,000

A

13.5000

3,025,700 (10)

I

(6)

Common Stock

05/25/1999

P4

3,000

A

13.2500

3,025,700 (10)

I

(6)

Common Stock

05/25/1999

P4

7,000

A

13.2500

3,025,700 (10)

I

(6)

Common Stock

05/25/1999

P4

7,000

A

13.1719

3,025,700 (10)

I

(6)

Common Stock

05/25/1999

P4

10,000

A

13.1250

3,025,700 (10)

I

(6)

Common Stock

05/25/1999

P4

13,000

A

13.1719

3,025,700 (10)

I

(6)

Common Stock

05/26/1999

P4

9,200

A

13.00

3,025,700 (10)

I

(6)

Common Stock

05/26/1999

P4

10,000

A

13.1250

3,025,700 (10)

I

(6)

Common Stock

05/27/1999

P4

700

A

13.00

3,025,700 (10)

I

(6)

Common Stock

05/27/1999

P4

1,000

A

13.2500

3,025,700 (10)

I

(6)

Common Stock

05/27/1999

P4

1,400

A

13.5625

3,025,700 (10)

I

(6)

Common Stock

05/28/1999

P4

1,400

A

13.9911

3,025,700 (10)

I

(6)

Common Stock

05/28/1999

P4

1,700

A

14.00

3,025,700 (10)

I

(6)

Common Stock

05/28/1999

P4

2,000

A

14.5000

3,025,700 (10)

I

(6)

Common Stock

06/01/1999

P4

1,000

A

14.1250

3,025,700 (10)

I

(6)

Common Stock

06/01/1999

P4

1,200

A

14.0417

3,025,700 (10)

I

(6)

Common Stock

06/02/1999

P4

1,200

A

14.0208

3,025,700 (10)

I

(6)

Common Stock

06/03/1999

P4

1,600

A

14.5000

3,025,700 (10)

I

(6)

Common Stock

06/04/1999

P4

1,400

A

14.5000

3,025,700 (10)

I

(6)

Common Stock

06/04/1999

P4

1,600

A

14.5469

3,025,700 (10)

I

(6)

Common Stock

06/07/1999

P4

2,500

A

15.00

3,025,700 (10)

I

(6)

Common Stock

06/07/1999

P4

3,200

A

14.8750

3,025,700 (10)

I

(6)

Common Stock

06/07/1999

P4

3,200

A

15.0078

3,025,700 (10)

I

(6)

Common Stock

06/08/1999

P4

1,500

A

15.7917

3,025,700 (10)

I

(6)

Common Stock

06/08/1999

P4

3,200

A

15.3008

3,025,700 (10)

I

(6)

Common Stock

06/10/1999

P4

1,200

A

16.2500

3,025,700 (10)

I

(6)

Common Stock

06/11/1999

P4

1,200

A

15.9479

3,025,700 (10)

I

(6)

Common Stock

06/14/1999

P4

5,600

A

16.6529

3,025,700 (10)

I

(6)

Common Stock

06/15/1999

S4

1,000

D

17.5000

3,025,700 (10)

I

(6)

Common Stock

06/15/1999

S4

1,000

D

18.2500

3,025,700 (10)

I

(6)

Common Stock

06/16/1999

P4

1,500

A

17.5000

3,025,700 (10)

I

(6)

Common Stock

06/16/1999

P4

4,700

A

18.3950

3,025,700 (10)

I

(6)

Common Stock

06/16/1999

P4

15,000

A

18.3950

3,025,700 (10)

I

(6)

Common Stock

06/17/1999

S4

1,000

D

19.7500

3,025,700 (10)

I

(6)

Common Stock

06/17/1999

S4

2,500

D

19.5150

3,025,700 (10)

I

(6)

Common Stock

06/17/1999

P4

5,000

A

19.6397

3,025,700 (10)

I

(6)

Common Stock

06/17/1999

P4

5,600

A

19.6397

3,025,700 (10)

I

(6)

Common Stock

06/17/1999

S4

10,000

D

19.5000

3,025,700 (10)

I

(6)

Common Stock

06/18/1999

P4

5,600

A

19.3650

3,025,700 (10)

I

(6)

Common Stock

06/18/1999

S4

6,100

D

19.0717

3,025,700 (10)

I

(6)

Common Stock

06/18/1999

P4

6,900

A

20.0181

3,025,700 (10)

I

(6)

Common Stock

06/21/1999

P4

1,300

A

19.7981

3,025,700 (10)

I

(6)

Common Stock

06/21/1999

P4

2,000

A

19.8125

3,025,700 (10)

I

(6)

Common Stock

06/22/1999

P4

1,200

A

19.3750

3,025,700 (10)

I

(6)

Common Stock

06/22/1999

P4

1,500

A

19.4833

3,025,700 (10)

I

(6)

Common Stock

06/22/1999

P4

3,000

A

19.3750

3,025,700 (10)

I

(6)

Common Stock

06/23/1999

P4

3,500

A

18.0536

3,025,700 (10)

I

(6)

Common Stock

06/23/1999

P4

5,000

A

17.7000

3,025,700 (10)

I

(6)

Common Stock

06/23/1999

P4

5,400

A

18.00

3,025,700 (10)

I

(6)

Common Stock

06/23/1999

P4

6,300

A

18.0407

3,025,700 (10)

I

(6)

Common Stock

06/23/1999

P4

10,000

A

17.7000

3,025,700 (10)

I

(6)

Common Stock

06/23/1999

P4

10,000

A

17.7000

3,025,700 (10)

I

(6)

Common Stock

06/24/1999

P4

1,700

A

17.5000

3,025,700 (10)

I

(6)

Common Stock

06/24/1999

P4

7,000

A

17.5493

3,025,700 (10)

I

(6)

Common Stock

06/24/1999

P4

7,200

A

17.5493

3,025,700 (10)

I

(6)

Common Stock

06/25/1999

P4

1,200

A

17.6250

3,025,700 (10)

I

(6)

Common Stock

06/25/1999

P4

1,700

A

17.5000

3,025,700 (10)

I

(6)

Common Stock

06/25/1999

P4

10,000

A

17.6250

3,025,700 (10)

I

(6)

Common Stock

06/28/1999

P4

5,000

A

17.6875

3,025,700 (10)

I

(6)

Common Stock

06/28/1999

P4

5,000

A

17.5000

3,025,700 (10)

I

(6)

Common Stock

06/29/1999

P4

2,300

A

17.6875

3,025,700 (10)

I

(6)

Common Stock

06/30/1999

P4

1,700

A

16.5000

3,025,700 (10)

I

(6)

Common Stock

06/30/1999

P4

5,000

A

17.5613

3,025,700 (10)

I

(6)

Common Stock

06/30/1999

P4

5,600

A

17.1105

3,025,700 (10)

I

(6)

Common Stock

06/30/1999

P4

25,000

A

16.00

3,025,700 (10)

I

(6)

Common Stock

06/30/1999

P4

240,000

A

16.00

3,025,700 (10)

I

(6)

Common Stock

07/01/1999

P4

2,600

A

18.0817

3,025,700 (10)

I

(6)

Common Stock

07/02/1999

P4

1,700

A

19.0625

3,025,700 (10)

I

(6)

Common Stock

07/02/1999

P4

4,000

A

18.7500

3,025,700 (10)

I

(6)

Common Stock

07/02/1999

P4

4,000

A

18.8250

3,025,700 (10)

I

(6)

Common Stock

07/06/1999

P4

3,300

A

19.1174

3,025,700 (10)

I

(6)

Common Stock

07/07/1999

P4

2,500

A

19.1250

3,025,700 (10)

I

(6)

Common Stock

07/09/1999

P4

1,200

A

19.1250

3,025,700 (10)

I

(6)

Common Stock

07/09/1999

P4

1,200

A

19.1250

3,025,700 (10)

I

(6)

Common Stock

07/12/1999

P4

6,000

A

19.1250

3,025,700 (10)

I

(6)

Common Stock

07/13/1999

P4

2,400

A

19.0625

3,025,700 (10)

I

(6)

Common Stock

07/14/1999

P4

2,700

A

19.1169

3,025,700 (10)

I

(6)

Common Stock

07/14/1999

P4

5,000

A

19.1169

3,025,700 (10)

I

(6)

Common Stock

07/15/1999

P4

3,000

A

19.2292

3,025,700 (10)

I

(6)

Common Stock

07/15/1999

P4

3,700

A

19.1081

3,025,700 (10)

I

(6)

Common Stock

07/16/1999

P4

2,500

A

19.8100

3,025,700 (10)

I

(6)

Common Stock

07/16/1999

P4

3,200

A

19.7773

3,025,700 (10)

I

(6)

Common Stock

07/19/1999

P4

1,200

A

19.8750

3,025,700 (10)

I

(6)

Common Stock

07/19/1999

P4

1,700

A

19.8235

3,025,700 (10)

I

(6)

Common Stock

07/20/1999

P4

350

A

19.5625

3,025,700 (10)

I

(6)

Common Stock

07/20/1999

P4

3,200

A

19.7708

3,025,700 (10)

I

(6)

Common Stock

07/20/1999

P4

4,000

A

19.7708

3,025,700 (10)

I

(6)

Common Stock

07/21/1999

P4

1,100

A

19.2131

3,025,700 (10)

I

(6)

Common Stock

07/21/1999

P4

1,500

A

19.1250

3,025,700 (10)

I

(6)

Common Stock

07/21/1999

P4

9,900

A

19.2131

3,025,700 (10)

I

(6)

Common Stock

07/22/1999

P4

1,200

A

18.9375

3,025,700 (10)

I

(6)

Common Stock

07/22/1999

P4

2,500

A

19.1250

3,025,700 (10)

I

(6)

Common Stock

07/23/1999

P4

3,800

A

18.7368

3,025,700 (10)

I

(6)

Common Stock

07/23/1999

P4

400

A

19.2188

3,025,700 (10)

I

(6)

Common Stock

07/23/1999

P4

900

A

18.00

3,025,700 (10)

I

(6)

Common Stock

07/26/1999

P4

2,100

A

19.5446

3,025,700 (10)

I

(6)

Common Stock

07/26/1999

P4

2,500

A

19.5000

3,025,700 (10)

I

(6)

Common Stock

07/27/1999

P4

4,000

A

18.9609

3,025,700 (10)

I

(6)

Common Stock

07/28/1999

P4

1,300

A

18.7885

3,025,700 (10)

I

(6)

Common Stock

07/29/1999

P4

5,000

A

18.6000

3,025,700 (10)

I

(6)

Common Stock

07/29/1999

P4

350

A

18.6875

3,025,700 (10)

I

(6)

Common Stock

07/29/1999

P4

1,200

A

18.5625

3,025,700 (10)

I

(6)

Common Stock

07/30/1999

P4

5,000

A

18.3025

3,025,700 (10)

I

(6)

Common Stock

07/30/1999

P4

2,500

A

18.5000

3,025,700 (10)

I

(6)

Common Stock

07/30/1999

P4

5,000

A

18.3025

3,025,700 (10)

I

(6)

Common Stock

08/02/1999

P4

500

A

18.8000

3,025,700 (10)

I

(6)

Common Stock

08/03/1999

P4

1,300

A

18.1827

3,025,700 (10)

I

(6)

Common Stock

08/04/1999

P4

2,500

A

18.2200

3,025,700 (10)

I

(6)

Common Stock

08/05/1999

P4

1,800

A

18.3472

3,025,700 (10)

I

(6)

Common Stock

08/05/1999

P4

1,000

A

18.2500

3,025,700 (10)

I

(6)

Common Stock

08/06/1999

P4

2,300

A

17.7065

3,025,700 (10)

I

(6)

Common Stock

08/06/1999

P4

3,500

A

17.7714

3,025,700 (10)

I

(6)

Common Stock

08/09/1999

P4

2,400

A

17.4948

3,025,700 (10)

I

(6)

Common Stock

08/09/1999

P4

2,500

A

17.5275

3,025,700 (10)

I

(6)

Common Stock

08/10/1999

P4

1,200

A

17.2500

3,025,700 (10)

I

(6)

Common Stock

08/10/1999

P4

900

A

17.3889

3,025,700 (10)

I

(6)

Common Stock

08/10/1999

P4

1,000

A

17.2500

3,025,700 (10)

I

(6)

Common Stock

08/11/1999

P4

2,000

A

17.7188

3,025,700 (10)

I

(6)

Common Stock

08/11/1999

P4

1,700

A

17.4375

3,025,700 (10)

I

(6)

Common Stock

08/12/1999

P4

1,200

A

17.4375

3,025,700 (10)

I

(6)

Common Stock

08/12/1999

P4

2,500

A

17.3550

3,025,700 (10)

I

(6)

Common Stock

08/13/1999

P4

5,000

A

17.0500

3,025,700 (10)

I

(6)

Common Stock

08/17/1999

P4

3,200

A

17.0625

3,025,700 (10)

I

(6)

Common Stock

08/17/1999

P4

7,000

A

17.00

3,025,700 (10)

I

(6)

Common Stock

08/17/1999

P4

3,000

A

17.00

3,025,700 (10)

I

(6)

Common Stock

08/18/1999

P4

15,000

A

17.1229

3,025,700 (10)

I

(6)

Common Stock

08/18/1999

P4

800

A

17.00

3,025,700 (10)

I

(6)

Common Stock

08/18/1999

P4

2,500

A

17.00

3,025,700 (10)

I

(6)

Common Stock

08/19/1999

P4

1,000

A

17.0625

3,025,700 (10)

I

(6)

Common Stock

08/20/1999

P4

100

A

17.0625

3,025,700 (10)

I

(6)

Common Stock

08/20/1999

P4

2,000

A

17.00

3,025,700 (10)

I

(6)

Common Stock

08/20/1999

P4

2,500

A

17.1875

3,025,700 (10)

I

(6)

Common Stock

08/23/1999

P4

1,200

A

17.1014

3,025,700 (10)

I

(6)

Common Stock

08/23/1999

P4

3,000

A

17.00

3,025,700 (10)

I

(6)

Common Stock

08/23/1999

P4

5,000

A

17.00

3,025,700 (10)

I

(6)

Common Stock

08/23/1999

P4

2,500

A

17.1014

3,025,700 (10)

I

(6)

Common Stock

08/24/1999

P4

4,400

A

17.0398

3,025,700 (10)

I

(6)

Common Stock

08/24/1999

P4

2,000

A

17.12

3,025,700 (10)

I

(6)

Common Stock

08/24/1999

P4

8,000

A

17.13

20,000 (10)

D

(7)

Common Stock

08/25/1999

P4

2,000

A

17.1250

3,025,700 (10)

I

(6)

Common Stock

08/25/1999

P4

2,600

A

17.0962

3,025,700 (10)

I

(6)

Common Stock

08/26/1999

P4

900

A

17.00

3,025,700 (10)

I

(6)

Common Stock

08/26/1999

P4

3,700

A

17.0135

3,025,700 (10)

I

(6)

Common Stock

08/27/1999

P4

3,500

A

16.9375

3,025,700 (10)

I

(6)

Common Stock

08/30/1999

P4

2,000

A

17.0125

3,025,700 (10)

I

(6)

Common Stock

08/30/1999

P4

2,200

A

17.2670

3,025,700 (10)

I

(6)

Common Stock

08/30/1999

P4

2,000

A

16.8750

3,025,700 (10)

I

(6)

Common Stock

08/30/1999

P4

5,000

A

16.7738

3,025,700 (10)

I

(6)

Common Stock

08/30/1999

P4

5,000

A

16.7738

3,025,700 (10)

I

(6)

Common Stock

08/31/1999

P4

8,500

A

16.8824

3,025,700 (10)

I

(6)

Common Stock

08/31/1999

P4

1,200

A

16.8333

3,025,700 (10)

I

(6)

Common Stock

08/31/1999

P4

24,000

A

16.2500

3,025,700 (10)

I

(6)

Common Stock

09/01/1999

P4

1,500

A

16.9375

3,025,700 (10)

I

(6)

Common Stock

09/01/1999

P4

5,000

A

16.5000

3,025,700 (10)

I

(6)

Common Stock

09/01/1999

P4

5,000

A

16.9650

3,025,700 (10)

I

(6)

Common Stock

09/01/1999

P4

5,000

A

16.5000

3,025,700 (10)

I

(6)

Common Stock

09/01/1999

P4

2,500

A

16.8875

3,025,700 (10)

I

(6)

Common Stock

09/02/1999

P4

2,500

A

17.00

3,025,700 (10)

I

(6)

Common Stock

09/02/1999

P4

2,000

A

17.1875

3,025,700 (10)

I

(6)

Common Stock

09/03/1999

P4

3,000

A

17.22

3,025,700 (10)

I

(6)

Common Stock

09/03/1999

P4

3,000

A

17.22

15,900 (10)

I

(8)

Common Stock

09/03/1999

P4

6,000

A

17.6521

3,025,700 (10)

I

(6)

Common Stock

09/07/1999

P4

4,000

A

17.9414

3,025,700 (10)

I

(6)

Common Stock

09/07/1999

P4

2,400

A

17.9414

3,025,700 (10)

I

(6)

Common Stock

09/07/1999

P4

2,000

A

17.6250

3,025,700 (10)

I

(6)

Common Stock

09/08/1999

P4

2,500

A

18.0500

3,025,700 (10)

I

(6)

Common Stock

09/08/1999

P4

2,500

A

18.00

3,025,700 (10)

I

(6)

Common Stock

09/09/1999

P4

6,000

A

17.3750

3,025,700 (10)

I

(6)

Common Stock

09/09/1999

P4

5,000

A

17.4375

3,025,700 (10)

I

(6)

Common Stock

09/09/1999

P4

3,000

A

17.4167

3,025,700 (10)

I

(6)

Common Stock

09/09/1999

P4

5,000

A

17.4375

3,025,700 (10)

I

(6)

Common Stock

09/13/1999

P4

1,000

A

17.0446

3,025,700 (10)

I

(6)

Common Stock

09/13/1999

P4

4,000

A

17.1156

3,025,700 (10)

I

(6)

Common Stock

09/13/1999

P4

3,000

A

17.1250

3,025,700 (10)

I

(6)

Common Stock

09/13/1999

P4

1,800

A

17.0446

3,025,700 (10)

I

(6)

Common Stock

09/14/1999

P4

200

A

16.5000

3,025,700 (10)

I

(6)

Common Stock

09/14/1999

P4

5,000

A

16.6250

3,025,700 (10)

I

(6)

Common Stock

09/14/1999

P4

5,000

A

16.6300

3,025,700 (10)

I

(6)

Common Stock

09/20/1999

P4

15,000

A

15.7500

3,025,700 (10)

I

(6)

Common Stock

09/20/1999

P4

4,000

A

16.00

3,025,700 (10)

I

(6)

Common Stock

09/20/1999

P4

4,500

A

15.8750

3,025,700 (10)

I

(6)

Common Stock

09/20/1999

P4

10,200

A

15.8331

3,025,700 (10)

I

(6)

Common Stock

09/20/1999

P4

2,000

A

15.8125

3,025,700 (10)

I

(6)

Common Stock

09/20/1999

P4

5,000

A

15.7500

3,025,700 (10)

I

(6)

Common Stock

09/20/1999

P4

5,000

A

15.8331

3,025,700 (10)

I

(6)

Common Stock

09/21/1999

P4

2,000

A

16.00

3,025,700 (10)

I

(6)

Common Stock

09/21/1999

P4

1,500

A

16.00

3,025,700 (10)

I

(6)

Common Stock

09/21/1999

P4

2,900

A

15.7263

3,025,700 (10)

I

(6)

Common Stock

09/21/1999

P4

13,000

A

15.7500

3,025,700 (10)

I

(6)

Common Stock

09/22/1999

P4

30,000

A

15.6250

3,025,700 (10)

I

(6)

Common Stock

09/22/1999

P4

2,000

A

16.5000

3,025,700 (10)

I

(6)

Common Stock

09/22/1999

P4

3,500

A

16.1071

3,025,700 (10)

I

(6)

Common Stock

09/23/1999

P4

1,000

A

16.6875

3,025,700 (10)

I

(6)

Common Stock

09/23/1999

P4

4,200

A

16.6622

3,025,700 (10)

I

(6)

Common Stock

09/24/1999

P4

5,000

A

16.5188

3,025,700 (10)

I

(6)

Common Stock

09/24/1999

P4

1,300

A

16.5577

3,025,700 (10)

I

(6)

Common Stock

09/24/1999

P4

1,000

A

16.5000

3,025,700 (10)

I

(6)

Common Stock

09/27/1999

P4

2,000

A

16.9250

3,025,700 (10)

I

(6)

Common Stock

09/27/1999

P4

2,000

A

16.9250

3,025,700 (10)

I

(6)

Common Stock

09/28/1999

P4

2,500

A

17.9513

3,025,700 (10)

I

(6)

Common Stock

09/28/1999

P4

2,500

A

17.9513

3,025,700 (10)

I

(6)

Common Stock

09/29/1999

P4

5,200

A

17.9038

3,025,700 (10)

I

(6)

Common Stock

09/29/1999

P4

1,000

A

18.00

3,025,700 (10)

I

(6)

Common Stock

09/30/1999

P4

5,000

A

17.5535

3,025,700 (10)

I

(6)

Common Stock

09/30/1999

P4

1,000

A

17.5000

3,025,700 (10)

I

(6)

Common Stock

09/30/1999

P4

10,000

A

17.5535

3,025,700 (10)

I

(6)

Common Stock

09/30/1999

P4

13,000

A

17.5284

3,025,700 (10)

I

(6)

Common Stock

09/30/1999

P4

5,000

A

17.3750

3,025,700 (10)

I

(6)

Common Stock

09/30/1999

P4

1,100

A

17.5000

3,025,700 (10)

I

(6)

Common Stock

09/30/1999

P4

8,000

A

17.6250

3,025,700 (10)

I

(6)

Common Stock

09/30/1999

P4

5,000

A

17.6250

3,025,700 (10)

I

(6)

Common Stock

09/30/1999

P4

7,200

A

17.5535

3,025,700 (10)

I

(6)

Common Stock

09/30/1999

P4

10,000

A

17.5000

3,025,700 (10)

I

(6)

Common Stock

10/04/1999

P4

186,000

A

17.1250

1,840,700 (10)

D & I

(4)

Common Stock

10/04/1999

P4

2,000

A

17.1250

1,840,700 (10)

D & I

(4)

Common Stock

10/04/1999

P4

20,000

A

17.1250

3,025,700 (10)

I

(6)

Common Stock

10/04/1999

S4

50,000

D

17.1250

3,025,700 (10)

I

(6)

Common Stock

10/04/1999

S4

156,000

D

17.1250

3,025,700 (10)

I

(6)

Common Stock

10/05/1999

P4

50,000

A

17.1250

1,840,700 (10)

D & I

(4)

Common Stock

10/05/1999

P4

5,000

A

17.3538

1,840,700 (10)

D & I

(4)

Common Stock

10/05/1999

S4

15,000

D

17.1250

3,025,700 (10)

I

(6)

Common Stock

10/05/1999

S4

35,000

D

17.1250

3,025,700 (10)

I

(6)

Common Stock

10/06/1999

P4

2,500

A

17.6875

1,840,700 (10)

D & I

(4)

Common Stock

10/07/1999

P4

2,000

A

17.5000

1,840,700 (10)

D & I

(4)

Common Stock

10/08/1999

P4

500

A

16.9375

3,025,700 (10)

I

(6)

Common Stock

10/12/1999

P4

14,500

A

14.7091

1,840,700 (10)

D & I

(4)

Common Stock

10/12/1999

P4

52,000

A

14.5000

1,840,700 (10)

D & I

(4)

Common Stock

10/12/1999

P4

10,000

A

14.8500

1,840,700 (10)

D & I

(4)

Common Stock

10/12/1999

P4

15,000

A

14.8125

1,840,700 (10)

D & I

(4)

Common Stock

10/12/1999

P4

11,200

A

14.4766

1,840,700 (10)

D & I

(4)

Common Stock

10/12/1999

S4

36,000

D

14.9375

3,025,700 (10)

I

(6)

Common Stock

10/12/1999

P4

36,000

A

14.9375

3,025,700 (10)

I

(6)

Common Stock

10/12/1999

S4

52,000

D

14.5000

3,025,700 (10)

I

(6)

Common Stock

10/28/1999

P4

7,000

A

14.1827

3,025,700 (10)

I

(6)

Common Stock

10/28/1999

P4

3,000

A

14.1827

3,025,700 (10)

I

(6)

Common Stock

10/28/1999

P4

3,000

A

14.1827

3,025,700 (10)

I

(6)

Common Stock

10/29/1999

P4

2,000

A

13.7500

3,025,700 (10)

I

(6)

Common Stock

10/29/1999

S4

200

D

13.6875

1,840,700 (10)

D & I

(4)

Common Stock

10/29/1999

P4

1,200

A

13.7300

3,025,700 (10)

I

(6)

Common Stock

11/04/1999

P4

2,000

A

14.5344

3,025,700 (10)

I

(6)

Common Stock

11/05/1999

P4

5,000

A

14.6250

1,840,700 (10)

D & I

(4)

Common Stock

11/05/1999

P4

5,000

A

14.5975

1,840,700 (10)

D & I

(4)

Common Stock

11/08/1999

P4

3,500

A

14.6250

3,025,700 (10)

I

(6)

Common Stock

11/11/1999

P4

2,000

A

14.3750

1,840,700 (10)

D & I

(4)

Common Stock

11/18/1999

P4

2,700

A

15.1759

1,840,700 (10)

D & I

(4)

Common Stock

11/19/1999

P4

3,000

A

16.1875

1,840,700 (10)

D & I

(4)

Common Stock

11/19/1999

P4

1,200

A

16.1875

3,025,700 (10)

I

(6)

Common Stock

11/23/1999

P4

5,000

A

15.9463

3,025,700 (10)

I

(6)

Common Stock

11/24/1999

P4

1,000

A

15.8938

3,025,700 (10)

I

(6)

Common Stock

11/24/1999

P4

2,000

A

15.8938

3,025,700 (10)

I

(6)

Common Stock

11/26/1999

P4

1,200

A

16.1875

1,840,700 (10)

D & I

(4)

Common Stock

11/29/1999

P4

4,000

A

15.9375

1,840,700 (10)

D & I

(4)

Common Stock

11/29/1999

P4

1,300

A

15.8702

1,840,700 (10)

D & I

(4)

Common Stock

11/29/1999

S4

500

D

15.8750

1,840,700 (10)

D & I

(4)

Common Stock

11/29/1999

P4

2,500

A

15.7500

3,025,700 (10)

I

(6)

Common Stock

11/30/1999

P4

4,000

A

15.5469

1,840,700 (10)

D & I

(4)

Common Stock

11/30/1999

P4

10,000

A

15.5625

3,025,700 (10)

I

(6)

Common Stock

11/30/1999

P4

2,000

A

15.6875

3,025,700 (10)

I

(6)

Common Stock

11/30/1999

P4

13,900

A

15.7257

3,025,700 (10)

I

(6)

Common Stock

11/30/1999

P4

7,500

A

15.6875

3,025,700 (10)

I

(6)

Common Stock

12/01/1999

P4

3,000

A

15.25

15,900 (10)

I

(8)

Common Stock

12/02/1999

S4

5,000

D

15.3750

3,025,700 (10)

I

(6)

Common Stock

12/02/1999

S4

10,000

D

15.3750

3,025,700 (10)

I

(6)

Common Stock

12/02/1999

P4

25,000

A

15.3750

3,025,700 (10)

I

(6)

Common Stock

12/02/1999

P4

5,500

A

15.5000

3,025,700 (10)

I

(6)

Common Stock

12/02/1999

S4

10,000

D

15.3750

3,025,700 (10)

I

(6)

Common Stock

12/02/1999

S4

5,500

D

15.5000

3,025,700 (10)

I

(6)

Common Stock

12/03/1999

P4

10,000

A

16.0850

1,840,700 (10)

D & I

(4)

Common Stock

12/06/1999

P4

25,000

A

15.6250

1,840,700 (10)

D & I

(4)

Common Stock

12/06/1999

P4

2,500

A

15.8350

3,025,700 (10)

I

(6)

Common Stock

12/06/1999

S4

25,000

D

15.6250

3,025,700 (10)

I

(6)

Common Stock

12/07/1999

P4

1,500

A

15.0208

1,840,700 (10)

D & I

(4)

Common Stock

12/07/1999

P4

5,000

A

16.7500

3,025,700 (10)

I

(6)

Common Stock

12/07/1999

P4

15,000

A

16.7500

3,025,700 (10)

I

(6)

Common Stock

12/08/1999

P4

5,000

A

16.1723

1,840,700 (10)

D & I

(4)

Common Stock

12/08/1999

P4

4,000

A

16.1723

1,840,700 (10)

D & I

(4)

Common Stock

12/08/1999

S4

13,500

D

16.3750

1,840,700 (10)

D & I

(4)

Common Stock

12/08/1999

P4

5,000

A

16.1723

3,025,700 (10)

I

(6)

Common Stock

12/08/1999

P4

4,500

A

16.1723

3,025,700 (10)

I

(6)

Common Stock

12/10/1999

P4

400

A

15.5000

1,840,700 (10)

D & I

(4)

Common Stock

12/13/1999

P4

1,200

A

15.5000

1,840,700 (10)

D & I

(4)

Common Stock

12/15/1999

P4

3,000

A

15.2292

1,840,700 (10)

D & I

(4)

Common Stock

12/16/1999

P4

10,000

A

15.5906

1,840,700 (10)

D & I

(4)

Common Stock

12/17/1999

P4

42,600

A

15.6948

1,840,700 (10)

D & I

(4)

Common Stock

12/17/1999

S4

42,000

D

15.6994

1,840,700 (10)

D & I

(4)

Common Stock

12/17/1999

P4

2,000

A

15.4375

1,840,700 (10)

D & I

(4)

Common Stock

12/20/1999

P4

5,000

A

15.1250

1,840,700 (10)

D & I

(4)

Common Stock

12/20/1999

S4

10,000

D

15.3750

1,840,700 (10)

D & I

(4)

Common Stock

12/20/1999

S4

10,000

D

15.3750

1,840,700 (10)

D & I

(4)

Common Stock

12/20/1999

P4

22,300

A

15.3540

3,025,700 (10)

I

(6)

Common Stock

12/21/1999

P4

3,000

A

15.3750

1,840,700 (10)

D & I

(4)

Common Stock

12/21/1999

S4

35,000

D

15.7500

1,840,700 (10)

D & I

(4)

Common Stock

12/21/1999

S4

3,000

D

15.25

3,025,700 (10)

I

(6)

Common Stock

12/21/1999

P4

3,000

A

15.3750

3,025,700 (10)

I

(6)

Common Stock

12/21/1999

S4

7,000

D

15.7500

3,025,700 (10)

I

(6)

Common Stock

12/21/1999

P4

37,000

A

15.7500

3,025,700 (10)

I

(6)

Common Stock

12/21/1999

P4

5,000

A

15.7500

3,025,700 (10)

I

(6)

Common Stock

12/22/1999

P4

2,500

A

15.3750

3,025,700 (10)

I

(6)

Common Stock

12/23/1999

P4

700

A

15.3125

3,025,700 (10)

I

(6)

Common Stock

12/23/1999

P4

3,600

A

15.4375

3,025,700 (10)

I

(6)

Common Stock

12/27/1999

P4

3,100

A

15.3609

3,025,700 (10)

I

(6)

Common Stock

12/27/1999

P4

900

A

15.3609

3,025,700 (10)

I

(6)

Common Stock

12/28/1999

P4

1,200

A

15.4375

3,025,700 (10)

I

(6)

Common Stock

12/29/1999

P4

2,000

A

15.5000

1,840,700 (10)

D & I

(4)

Common Stock

12/29/1999

P4

2,200

A

15.5000

3,025,700 (10)

I

(6)

Common Stock

12/30/1999

P4

10,000

A

15.5000

1,840,700 (10)

D & I

(4)

Common Stock

12/30/1999

P4

10,000

A

15.5625

3,025,700 (10)

I

(6)

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4(b)(v).

Persons who respond to the collection of information contained (Over)
in this form are not required to respond unless the form displays SEC 1474 (3-00)

a currently valid OMB control number.

 

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)

1. Title of
Derivative Security
(Instr. 4)

2. Conver-
sion or
Exercise
Price of
Deri-
vative
Security

3. Trans-
action
Date


(Month/
Day/
Year)

4. Trans-
action
Code
(Instr. 8)

 

 

 

 

 

 

5. Number of Deriv-
ative Securities Ac-
quired (A) or Dis-
posed of (D)
(Instr. 3, 4, and 5)

6. Date Exer-
cisable and
Expiration
Date
(Month/Day/
Year).

7. Title and Amount of Securities
Underlying
Derivative Security
(Inst. 4)

8. Price
of
Deriv-
ative
Secur-
ity
(Instr.
5)

9. Number
of deriv-
ative
Secur-
ities
Bene-
ficially
Owned
at End
of
Year
(Instr. 4)

10. Owner-
ship
Form of
Deriv-
ative
Security:
Direct
(D) or
Indirect
(I)
(Instr. 4)

11. Nature of Indirect
Beneficial Ownership
(Instr. 5)

 

(A)

 

(D)

Date
Exer-
cisable

Expira-
tion
Date

Title

Amount or
Number of
Shares

Explanation of Responses:

(1) The reporting persons consist of (i) Brookhaven Capital Management, LLC ("BCM"), a registered investment adviser and general partner of investment limited partnerships; (ii) Watershed Partners, L.P. ("Watershed"), an investment limited partnership of which BCM is the general partner; and (iii) Vincent A. Carrino ("Carrino"), the sole manager and majority member of BCM. BCM and Carrino constitute a group within the meaning of Rule 13d-5(b)(i) and Rule 16a-1(a)(1) under the Exchange Act. Watershed is filing jointly and disclaims membership in a group.

(2) BCM owned 1,456,700 shares on March 10, 1999, the date on which BCM became a reporting person.

(3) Carrino owned 1,468,600 shares on March 10, 1999, the date on which Carrino became a reporting person. Of these shares, 1,456,700 were owned by investment advisory clients of BCM, 2,000 were owned directly by Carrino, and 9,900 were owned indirectly by Carrino through accounts (other than BCM client accounts) over which he has dispositive control.

(4) Watershed owned 1,636,800 shares on October 4, 1999, the date on which Watershed became a reporting person.

(5) These securities are owned directly by Watershed and indirectly by BCM and Carrino.

(6) These securities are owned by an investment advisory client of BCM.

(7) These securities are owned directly by Carrino.

(8) These securities are owned indirectly by Carrino through an account (other than a BCM client account) over which he has dispositive control.

(9) Each reporting person disclaims beneficial ownership of the securities with respect to which indirect beneficial ownership is reported except to the extent of such reporting person's pro rata pecuniary interest therein.

(10) Securities owned by reporting persons at December 31, 1999.

Brookhaven Capital Management, LLC

By: /s/ Vincent A. Carrino, Manager October 18, 2000

**Signature of Reporting Person Date

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See 18 U.S.C. 1001 and 15 U.S.C. 78ff

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
See Instruction 6 for procedure.

Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.

Joint Filer Information:

Name: Watershed Partners, L.P.

Address: 3000 Sandhill Road, Bldg. 3, Suite 105, Menlo Park, CA, 94025

Designated Filer: Brookhaven Capital Management, LLC

Issuer and Ticker Symbol: New Century Financial Corp. (NCEN)

Statement for Month/Year: March - December 1999

Signature: Watershed Partners, L.P.

By: Brookhaven Capital Management, LLC, General Partner

By: /s/ Vincent A. Carrino, Manager

Name: Vincent A. Carrino

Address: 3000 Sandhill Road, Bldg. 3, Suite 105, Menlo Park, CA, 94025

Designated Filer: Brookhaven Capital Management, LLC

Issuer and Ticker Symbol: New Century Financial Corp. (NCEN)

Statement for Month/Year: March - December 1999

Signature: /s/ Vincent A. Carrino

 

 

 



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