0001085146-14-000604.txt : 20140213 0001085146-14-000604.hdr.sgml : 20140213 20140213162716 ACCESSION NUMBER: 0001085146-14-000604 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20131231 FILED AS OF DATE: 20140213 DATE AS OF CHANGE: 20140213 EFFECTIVENESS DATE: 20140213 FILER: COMPANY DATA: COMPANY CONFORMED NAME: OSTERWEIS CAPITAL MANAGEMENT INC CENTRAL INDEX KEY: 0001007524 IRS NUMBER: 942871718 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-04483 FILM NUMBER: 14606534 BUSINESS ADDRESS: STREET 1: ONE MARITIME PLAZA STREET 2: STE 800 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 4154344441 MAIL ADDRESS: STREET 1: ONE MARITIME PLAZA STREET 2: STE 800 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001007524 XXXXXXXX 12-31-2013 12-31-2013 OSTERWEIS CAPITAL MANAGEMENT INC

ONE MARITIME PLAZA STE 800 SAN FRANCISCO CA 94111

13F HOLDINGS REPORT 028-04483 N John Tavernetti 415-434-4441 /s/ John Tavernetti San Francisco CA 02-12-2014 1 128 3231031 false 1 0001048802 028-06550 OSTERWEIS CAPITAL MANAGEMENT LLC/CA INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE AAR CORPNOTE 1.625% 3/0000361AK153845341000PRNOTR1534100000AAR CORPNOTE 1.750% 2/0000361AR61095911000000PRNOTR11100000000ABBVIE INCCOM00287Y109631200SHOTR 120000ABBVIE INCCOM00287Y1091653130SHOTR1313000ACELRX PHARMACEUTICALS INCCOM00444T10057450709SHSOLE 5070900AIR LEASE CORPCL A00912X302477421536101SHOTR 152970606395AIR LEASE CORPCL A00912X302544721752646SHOTR1174749602000AIR LEASE CORPNOTE 3.875%12/000912XAK0114118500000PRNOTR1850000000ALLEGHANY CORP DELCOM0171751003855796401SHOTR 959910410ALLEGHANY CORP DELCOM01717510043770109435SHOTR11088950351ALLIANCE ONE INTL INCNOTE 5.500% 7/1018772AQ61508114849000PRNOTR11484900000AMERICAN EXPRESS COCOM0258161094885375SHSOLE 537500AMERICAN WTR WKS CO INC NEWCOM03042010340293953460SHOTR 94847504985AMERICAN WTR WKS CO INC NEWCOM030420103509131204768SHOTR1120002804740APPLE INCCOM0378331008271474SHOTR1147400ATLAS PIPELINE PARTNERS LPUNIT L P INT04939210333746962785SHOTR 95876004025ATLAS PIPELINE PARTNERS LPUNIT L P INT04939210328192804345SHOTR180134503000ATMEL CORPCOM049513104311703980900SHOTR 398090000ATMEL CORPCOM049513104306753917649SHOTR13892899011000BARRETT BILL CORPNOTE 5.000% 3/106846NAA261036103000PRNOTR1610300000BED BATH & BEYOND INCCOM07589610033693419595SHOTR 41789001705BED BATH & BEYOND INCCOM07589610037538467475SHOTR146747500BERKSHIRE HATHAWAY INC DELCL A0846701081781SHOTR1000BERKSHIRE HATHAWAY INC DELCL A0846701087124SHOTR 400BERKSHIRE HATHAWAY INC DELCL B NEW0846707023042564SHOTR11264050BOEING COCOM09702310545504333390SHOTR133339000BOEING COCOM09702310538895284965SHOTR 28385501110BRISTOL MYERS SQUIBB COCOM11012210856410617SHOTR 1061700BRISTOL MYERS SQUIBB COCOM1101221083486549SHOTR1654900CINEMARK HOLDINGS INCCOM17243V102481471444555SHOTR 143788006675CINEMARK HOLDINGS INCCOM17243V102599601798991SHOTR1179428104710CROWN HOLDINGS INCCOM228368106484201086378SHOTR 108131805060CROWN HOLDINGS INCCOM228368106558551253187SHOTR1125318700DIAGEO P L CSPON ADR NEW25243Q20536855278322SHOTR 27672201600DIAGEO P L CSPON ADR NEW25243Q20552360395409SHOTR139540900DIGITAL RLTY TR INCCOM25386810317814362670SHOTR 36108501585DIGITAL RLTY TR INCCOM25386810320500417350SHOTR141735000DIRECTVCOM25490A30941886606510SHOTR 60398502525DIRECTVCOM25490A30948698705160SHOTR170516000DURECT CORPCOM26660510417299256SHOTR 9925600DURECT CORPCOM266605104444256600SHOTR100256600ENTERPRISE PRODS PARTNERS LCOM29379210732862495664SHOTR149216003504ENTERPRISE PRODS PARTNERS LCOM29379210743375654230SHOTR 65168002550EXXON MOBIL CORPCOM30231G102134813318SHOTR 1104600EXXON MOBIL CORPCOM30231G1028758649SHOTR1864900FIRST REP BK SAN FRANCISCO CCOM33616C100113221625SHOTR 2162500FIRST REP BK SAN FRANCISCO CCOM33616C100741412SHOTR1141200GENERAL ELECTRIC COCOM3696041031776300SHOTR 630000GENERAL ELECTRIC COCOM36960410323830SHOTR183000GOLDCORP INC NEWNOTE 2.000% 8/0380956AB83859638500000PRNOTR13850000000GOOGLE INCCL A38259P5084840943195SHOTR 430350160GOOGLE INCCL A38259P5085790451667SHOTR15166700HEALTHSOUTH CORPCOM NEW421924309408161224977SHOTR 121912705850HEALTHSOUTH CORPCOM NEW421924309448941347351SHOTR1134735100HEWLETT PACKARD COCOM4282361032719676SHOTR1264005000HOLOGIC INCCOM43644010121942981755SHOTR 97741504340HOLOGIC INCCOM436440101250611121301SHOTR1112130100JOHNSON & JOHNSONCOM47816010455270603444SHOTR160344400JOHNSON & JOHNSONCOM47816010443868478957SHOTR 47682202135JPMORGAN CHASE & COCOM46625H1004237230SHOTR1723000KINDER MORGAN ENERGY PARTNERUT LTD PARTNER4945501066097550SHOTR1755000KINDER MORGAN INC DEL*W EXP 05/25/20149456B119423104000PRNOTR194000010000KINDER MORGAN INC DELCOM49456B10116477457690SHOTR145769000KINDER MORGAN INC DELCOM49456B101134537365SHOTR 3736500KNIGHT CAP GROUP INCNOTE 3.500% 3/1499005AE64355443500000PRNOTR14350000000LATTICE SEMICONDUCTOR CORPCOM5184151048515400SHOTR1000LIBERTY INTERACTIVE CORPINT COM SER A53071M104355651211760SHOTR 120693504825LIBERTY INTERACTIVE CORPINT COM SER A53071M104437641491116SHOTR1149111600LILLY ELI & COCOM53245710883916451SHOTR 1645100LINKEDIN CORPCOM CL A53578A1082981374SHOTR1000MAGELLAN MIDSTREAM PRTNRS LPCOM UNIT RP LP55908010646580736218SHOTR173317803040MAGELLAN MIDSTREAM PRTNRS LPCOM UNIT RP LP55908010652624831730SHOTR 82692004810MERCK & CO INC NEWCOM58933Y10539783SHOTR 78300MERCK & CO INC NEWCOM58933Y10559311854SHOTR11185400MOTOROLA SOLUTIONS INCCOM NEW62007630734605512660SHOTR 51052502135MOTOROLA SOLUTIONS INCCOM NEW62007630740869605460SHOTR160546000NEW RESIDENTIAL INVT CORPCOM64828T102296634440545SHOTR 4421865018680NEW RESIDENTIAL INVT CORPCOM64828T102352885282630SHOTR15267575015055NEWCASTLE INVT CORPCOM65105M108394896879740SHOTR16856520023220NEWCASTLE INVT CORPCOM65105M108343885990975SHOTR 5966040024935NEWMONT MINING CORPNOTE 1.250% 7/1651639AH92998130000000PRNOTR13000000000NOVAGOLD RES INCCOM NEW66987E2063112100SHOTR11210000NOVARTIS A GSPONSORED ADR66987V10921670269595SHOTR 26843001165NOVARTIS A GSPONSORED ADR66987V10933458416254SHOTR141625400NRG YIELD INCCOM CL A62942X10818044450990SHOTR 44881502175NRG YIELD INCCOM CL A62942X10824698617290SHOTR161729000NVIDIA CORPCOM67066G10416010000SHOTR11000000OCCIDENTAL PETE CORP DELCOM67459910537343392667SHOTR 39095201715OCCIDENTAL PETE CORP DELCOM67459910550135527179SHOTR152598401195OCWEN FINL CORPCOM NEW6757463095089170SHOTR1588003290ORACLE CORPCOM68389X105440971152570SHOTR 114785504715ORACLE CORPCOM68389X105509451331522SHOTR1132626002000OWENS ILL INCCOM NEW690768403461101288720SHOTR 128358005140OWENS ILL INCCOM NEW690768403552031542840SHOTR1154016002680PHH CORPCOM NEW693320202357881469740SHOTR1146974000PHH CORPCOM NEW693320202312121281795SHOTR 127650505290POPE RES DEL LTD PARTNERSHIPDEPOSITRY RCPT732857107104315560SHOTR1000PROCTER & GAMBLE COCOM742718109178021866SHOTR 214460420PROCTER & GAMBLE COCOM742718109165720359SHOTR12035900QUESTAR CORPCOM748356102302501315776SHOTR 131045105325QUESTAR CORPCOM748356102405441763565SHOTR117633750190SANOFIRIGHT 12/31/202080105N1131544150SHOTR14415000SANOFISPONSORED ADR80105N1058319155125SHOTR 1544450680SANOFISPONSORED ADR80105N10510129188870SHOTR118887000SPIRIT AEROSYSTEMS HLDGS INCCOM CL A84857410946113515SHOTR 1351500SPIRIT AEROSYSTEMS HLDGS INCCOM CL A848574109183953960SHOTR15176002200STONEGATE MTG CORPCOM86181Q30013535818815SHOTR 81545503360STONEGATE MTG CORPCOM86181Q30014378869810SHOTR186337006440SYMETRA FINL CORPCOM87151Q10618028950870SHOTR 94528005590SYMETRA FINL CORPCOM87151Q106242031276559SHOTR1127159400TELEFLEX INCCOM87936910651377547375SHOTR154737500TELEFLEX INCCOM87936910643773466365SHOTR 46437501990TELEFLEX INCNOTE 3.875% 8/0879369AA42863218150000PRNOTR11815000000THOMPSON CREEK METALS CO INCCOM8847681023315000SHOTR10015000TRIUMPH GROUP INC NEWCOM89681810130405399700SHOTR 39796501735TRIUMPH GROUP INC NEWCOM89681810135617468210SHOTR146821000UNILEVER N VN Y SHS NEW90478470939238975345SHOTR 97071004635UNILEVER N VN Y SHS NEW904784709477951188053SHOTR1118805300UNION PAC CORPCOM9078181085043000SHSOLE 300000VALEANT PHARMACEUTICALS INTLCOM91911K10278137665560SHOTR 66264602914VALEANT PHARMACEUTICALS INTLCOM91911K10290198768294SHOTR176629402000VECTOR GROUP LTDFRNT 1/192240MAY41426212108000PRNOTR11210800000VIACOM INC NEWCL B92553P20140645465362SHOTR 46327202090VIACOM INC NEWCL B92553P20150325576199SHOTR157619900WELLS FARGO & CO NEWCOM9497461014439755SHOTR1975500XEROX CORPCOM984121103268132203175SHOTR 219406509110XEROX CORPCOM984121103291612396177SHOTR1239617700XPO LOGISTICS INCNOTE 4.500%10/0983793AA82426014500000PRNOTR11450000000