-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, JRe0I8fzkHrXXAKY9gdlcit4eYx7GWsKuHOsNEMpwvQntIiE0ctDjcw9wKOWxsE1 xdJ0wvwWNXJ7MGkMEltU2g== 0000897069-02-000535.txt : 20020731 0000897069-02-000535.hdr.sgml : 20020731 20020730183403 ACCESSION NUMBER: 0000897069-02-000535 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020630 FILED AS OF DATE: 20020731 FILER: COMPANY DATA: COMPANY CONFORMED NAME: VAN WAGONER FUNDS INC CENTRAL INDEX KEY: 0001002556 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10225 FILM NUMBER: 02715215 BUSINESS ADDRESS: STREET 1: 803 WEST MICHIGAN ST STREET 2: STE A CITY: MILWAUKEE STATE: WI ZIP: 53233 BUSINESS PHONE: 4142715885 MAIL ADDRESS: STREET 1: 803 WEST MICHIGAN ST STREET 2: STE A CITY: MILWAUKEE STATE: WI ZIP: 53233 FORMER COMPANY: FORMER CONFORMED NAME: HX FUNDS INC DATE OF NAME CHANGE: 19951020 13F-HR 1 sdc163a.txt 13F HOLDINGS REPORT ---------------------------------- OMB Number: 3235-0006 Expires: October 31, 2003 Estimated average burden hours per response........... 23.5 ---------------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: June 30, 2002 ------------- 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: Van Wagoner Capital Management, Inc. Address: 345 California Street Suite 2450 San Francisco, CA 94104 Form 13F File Number: 28-6388 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: Garrett R. Van Wagoner Title: President Phone: (415) 835-5000 Signature, Place, and Date of Signing: /s/ Garrett R. Van Wagoner San Francisco, CA 7/25/02 - -------------------------------------------------------------------------------- Garrett R. Van Wagoner Date Report Type (Check only one.): [X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 -------------------------- Form 13F Information Table Entry Total: 141 -------------------------- Form 13F Information Table Value Total: $ 221,166 -------------------------- (thousands) List of Other Included Managers: NONE Provide a numbered list of the name(s) and Form 13F file numbers(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. FORM 13F INFORMATION TABLE Name of Reporting Manager: Van Wagoner Capital Management, Inc.
Column 1: Column 2: Column 3: Column 4: Column 5: Column 6: Column 7: Column 8: - ------------------------------------------------------------------------------------------------------------------------------------ Title Market of CUSIP Value Shares or Other Name of Issuer Class Number (x $1,000) Principal Amount Investment Discretion Managers Voting Authority - ------------------------------------------------------------------------------------------------------------------------------------ SH/ Put/ Shared- Shared- PRN Call Sole Defined Other Sole Shared None - ------------------------------------------------------------------------------------------------------------------------------------ ACTEL CORP Common 004934105 683 32,500 SH SOLE 32,500 ACTUATE SFT Common 00508B102 3,390 753,350 SH - SOLE 753,350 AFFYMETRIX INC Common 00826T108 3,059 127,500 SH SOLE 127,500 AGILE SOFTWRE Common 00846X105 2,981 410,000 SH SOLE 410,000 AIRBORNE FGHT Common 009266107 288 15,000 SH SOLE 15,000 ALLIANCE GAMNG Common 01859P609 244 20,000 SH SOLE 20,000 ALLIANT TECH Common 018804104 574 9,000 SH SOLE 9,000 ALTIRIS INC Common 02148M100 1,298 250,000 SH SOLE 250,000 AMAZON COM Common 023135106 2,080 128,000 SH SOLE 128,000 AMERIGROUP Common 03073T102 682 25,000 SH SOLE 25,000 ANAREN MICRO Common 032744104 3,089 357,500 SH SOLE 357,500 ANNTAYLOR STRS Common 036115103 254 10,000 SH SOLE 10,000 APPLEBEES INTL Common 037899101 1,836 80,000 SH SOLE 80,000 APPLIED SIGNAL Common 038237103 716 58,900 SH SOLE 58,900 ARIBA INC Common 04033V104 5,184 1,625,000 SH SOLE 1,625,000 ARKANSAS BEST Common 040790107 764 30,000 SH SOLE 30,000 ATMI INC Common 00207R101 783 35,000 SH SOLE 35,000 AU OPTRONICS Common 002255107 332 40,000 SH SOLE 40,000 BE AEROSPACE Common 073302101 791 60,000 SH SOLE 60,000 BIOMET INC Common 090613100 407 15,000 SH SOLE 15,000 BJ SVCS CO Common 055482103 1,287 38,000 SH SOLE 38,000 BORLAND SOFT Common 099849101 1,391 135,000 SH SOLE 135,000 BROCADE COMM Common 111621108 4,195 240,000 SH SOLE 240,000 CAL DIVE INTL Common 127914109 660 30,000 SH SOLE 30,000
Page 1 of 6 Name of Reporting Manager: Van Wagoner Capital Management, Inc.
Column 1: Column 2: Column 3: Column 4: Column 5: Column 6: Column 7: Column 8: - ------------------------------------------------------------------------------------------------------------------------------------ Title Market of CUSIP Value Shares or Other Name of Issuer Class Number (x $1,000) Principal Amount Investment Discretion Managers Voting Authority - ------------------------------------------------------------------------------------------------------------------------------------ SH/ Put/ Shared- Shared- PRN Call Sole Defined Other Sole Shared None - ------------------------------------------------------------------------------------------------------------------------------------ CHOICEPOINT INC Common 170388102 273 6,000 SH SOLE 6,000 COGNOS INC Common 19244C109 333 15,000 SH SOLE 15,000 COMMUNITY HLTH SYS Common 203668108 268 10,000 SH SOLE 10,000 COOPER CAM Common 216640102 726 15,000 SH SOLE 15,000 COORSTEK INC Common 217020106 773 25,000 SH SOLE 25,000 COST PLUS Common 221485105 305 10,000 SH SOLE 10,000 COVENANT TRNS Common 22284P105 850 40,000 SH SOLE 40,000 COVENTRY HLTH Common 222862104 284 10,000 SH SOLE 10,000 CREE RESH Common 225447101 331 25,000 SH SOLE 25,000 CUMULUS MEDIA Common 231082108 482 35,000 SH SOLE 35,000 DARDEN RSTRTS Common 237194105 445 18,000 SH SOLE 18,000 DOCENT E 040300 Common 25608L106 214 185,906 SH SOLE 185,906 DOCENT F 082800 Common 25608L106 229 199,468 SH SOLE 199,468 DOLLAR GEN Common 256669102 285 15,000 SH SOLE 15,000 DOLLAR TREE STRS Common 256747106 1,084 27,500 SH SOLE 27,500 DOUBLECLICK Common 258690304 2,412 325,000 SH SOLE 325,000 DRIL-QUIP INC Common 262037104 499 20,000 SH SOLE 20,000 DUCOMMUN INC Common 264147109 1,706 65,000 SH SOLE 65,000 EBAY INC Common 278642103 2,927 47,500 SH SOLE 47,500 ELECTRNC ARTS Common 285512109 2,576 39,000 SH SOLE 39,000 EMBRCDRO TECH Common 290787100 15,859 2,566,150 SH SOLE 2,566,150 EMC CORP MASS Common 268648102 755 100,000 SH SOLE 100,000 EMULEX CORP Common 292475209 1,913 85,000 SH SOLE 85,000 ENSCO INTL INC Common 26874Q100 1,363 50,000 SH SOLE 50,000
Page 2 of 6 Name of Reporting Manager: Van Wagoner Capital Management, Inc.
Column 1: Column 2: Column 3: Column 4: Column 5: Column 6: Column 7: Column 8: - ------------------------------------------------------------------------------------------------------------------------------------ Title Market of CUSIP Value Shares or Other Name of Issuer Class Number (x $1,000) Principal Amount Investment Discretion Managers Voting Authority - ------------------------------------------------------------------------------------------------------------------------------------ SH/ Put/ Shared- Shared- PRN Call Sole Defined Other Sole Shared None - ------------------------------------------------------------------------------------------------------------------------------------ ENTERCOM COM Common 293639100 459 10,000 SH SOLE 10,000 EXAR CORP Common 300645108 3,303 167,500 SH SOLE 167,500 EXPEDITORS INTL Common 302130109 3,235 97,550 SH SOLE 97,550 EXTREME NET Common 30226D106 2,594 265,500 SH SOLE 265,500 FAMOUS DAVES Common 307068106 1,021 130,000 SH SOLE 130,000 FIDELITY NATL Common 316326107 474 15,000 SH SOLE 15,000 FINISAR COM Common 31787A101 5,885 2,483,100 SH SOLE 2,483,100 GILEAD SCNCES Common 375558103 2,430 73,900 SH SOLE 73,900 GLOBALSANTAFE Common G3930E101 274 10,000 SH SOLE 10,000 GLOBESPAN SEMI Common 379571102 271 70,000 SH SOLE 70,000 GREY WOLF Common 397888108 1,636 400,000 SH SOLE 400,000 GTECH HLDGS Common 400518106 511 20,000 SH SOLE 20,000 HARRIS CORP Common 413875105 544 15,000 SH SOLE 15,000 HEARTLAND EXP Common 422347104 838 35,000 SH SOLE 35,000 HELMERICH&PAYNE Common 423452101 536 15,000 SH SOLE 15,000 HOLLYWOOD ENT Common 436141105 620 30,000 SH SOLE 30,000 HOT TOPIC INC Common 441339108 267 10,000 SH SOLE 10,000 HUFFY CORP Common 444356109 345 40,000 SH SOLE 40,000 HUMANA INC Common 444859102 547 35,000 SH SOLE 35,000 HUNT JB TRANS Common 445658107 295 10,000 SH SOLE 10,000 I-MANY INC Common 44973Q103 13,496 4,909,600 SH SOLE 4,909,600 IDEC PHARMA Common 449370105 2,428 68,500 SH SOLE 68,500 IMANAGE INC Common 45245Y105 2,295 685,000 SH SOLE 685,000 INTERSIL HLDG Common 46069S109 535 25,000 SH SOLE 25,000
Page 3 of 6 Name of Reporting Manager: Van Wagoner Capital Management, Inc.
Column 1: Column 2: Column 3: Column 4: Column 5: Column 6: Column 7: Column 8: - ------------------------------------------------------------------------------------------------------------------------------------ Title Market of CUSIP Value Shares or Other Name of Issuer Class Number (x $1,000) Principal Amount Investment Discretion Managers Voting Authority - ------------------------------------------------------------------------------------------------------------------------------------ SH/ Put/ Shared- Shared- PRN Call Sole Defined Other Sole Shared None - ------------------------------------------------------------------------------------------------------------------------------------ INTERWOVEN INC Common 46114T102 1,723 565,000 SH SOLE 565,000 INTL BUS MACH Common 459200101 540 7,500 SH SOLE 7,500 J D EDWARDS Common 281667105 4,344 357,500 SH SOLE 357,500 JDA SOFTWARE Common 46612K108 4,041 143,000 SH SOLE 143,000 KEY ENERGY GRP Common 492914106 525 50,000 SH SOLE 50,000 KLA-TENCOR Common 482480100 1,122 25,500 SH SOLE 25,500 KNIGHT TRANSN Common 499064103 928 40,000 SH SOLE 40,000 L-3 COMMUNICTN Common 502424104 972 18,000 SH SOLE 18,000 LAWSON SFTWRE Common 520780107 3,971 688,300 SH SOLE 688,300 MANDALAY RSRT Common 562567107 414 15,000 SH SOLE 15,000 MANUGISTICS Common 565011103 2,016 330,000 SH SOLE 330,000 MARVELL TECH Common G5876H105 4,008 201,500 SH SOLE 201,500 MATRIXONE INC Common 57685P304 3,876 645,000 SH SOLE 645,000 MCDATA CL A Common 580031202 2,760 313,200 SH SOLE 313,200 MGM MIRAGE Common 552953101 574 17,000 SH SOLE 17,000 MICHAELS STORES Common 594087108 273 7,000 SH SOLE 7,000 MICROCHIP TECH Common 595017104 274 10,000 SH SOLE 10,000 MICROMUSE Common 595094103 4,094 920,000 SH SOLE 920,000 MICROTUNE Common 59514P109 2,873 322,500 SH SOLE 322,500 MOOG CL A Common 615394202 900 21,000 SH SOLE 21,000 MULTILINK TECH Common 62544T109 566 1,131,255 SH SOLE 1,131,255 NABORS INDS Common G6359F103 706 20,000 SH SOLE 20,000 NETEGRITY ESC 121402 Common 64110P107 233 42,996 SH SOLE 42,996 NETWRK APPL Common 64120L104 249 20,000 SH SOLE 20,000
Page 4 of 6 Name of Reporting Manager: Van Wagoner Capital Management, Inc.
Column 1: Column 2: Column 3: Column 4: Column 5: Column 6: Column 7: Column 8: - ------------------------------------------------------------------------------------------------------------------------------------ Title Market of CUSIP Value Shares or Other Name of Issuer Class Number (x $1,000) Principal Amount Investment Discretion Managers Voting Authority - ------------------------------------------------------------------------------------------------------------------------------------ SH/ Put/ Shared- Shared- PRN Call Sole Defined Other Sole Shared None - ------------------------------------------------------------------------------------------------------------------------------------ 02MICRO INTL Common G6797E106 3,183 307,500 SH SOLE 307,500 OAK TECHNOLOGY Common 671802106 918 202,700 SH SOLE 202,700 OPNET TECH Common 683757108 6,409 715,250 SH SOLE 715,250 PATTERSON-UTI Common 703414102 1,341 47,500 SH SOLE 47,500 PEP BOYS Common 713278109 506 30,000 SH SOLE 30,000 PETCO ANL SUP Common 716016209 2,655 106,600 SH SOLE 106,600 PHOTON DYN Common 719364101 2,700 90,000 SH SOLE 90,000 PLUMTREE SOFT Common 72940Q104 342 68,650 SH SOLE 68,650 PMC-SIERRA Common 69344F106 1,576 170,000 SH SOLE 170,000 POWERWAVE Common 739363109 2,473 270,000 SH SOLE 270,000 PRECISE SOFT Common M41450103 430 45,000 SH SOLE 45,000 PRFRMNCE FOOD Common 713755106 677 20,000 SH SOLE 20,000 PRICELINE COM Common 741503106 2,678 960,000 SH SOLE 960,000 PRIORITY HLTH Common 74264T102 235 10,000 SH SOLE 10,000 PROVINCE HLTH Common 743977100 3,003 134,300 SH SOLE 134,300 QLOGIC CORP Common 747277101 2,877 75,500 SH SOLE 75,500 RARE HSPTLTY Common 753820109 673 25,000 SH SOLE 25,000 REALNETWORKS Common 75605L104 1,872 460,000 SH SOLE 460,000 RF MICRDVCS Common 749941100 4,229 555,000 SH SOLE 555,000 ROCKWELL COLLINS Common 774341101 411 15,000 SH SOLE 15,000 SCREAM MEDIA C 071700 Common 810883108 499 317,633 SH SOLE 317,633 SEMTECH CORP Common 816850101 294 11,000 SH SOLE 11,000 SILICON LAB Common 826919102 3,112 115,000 SH SOLE 115,000 SMITH INTL INC Common 832110100 1,637 24,000 SH SOLE 24,000
Page 5 of 6 Name of Reporting Manager: Van Wagoner Capital Management, Inc.
Column 1: Column 2: Column 3: Column 4: Column 5: Column 6: Column 7: Column 8: - ------------------------------------------------------------------------------------------------------------------------------------ Title Market of CUSIP Value Shares or Other Name of Issuer Class Number (x $1,000) Principal Amount Investment Discretion Managers Voting Authority - ------------------------------------------------------------------------------------------------------------------------------------ SH/ Put/ Shared- Shared- PRN Call Sole Defined Other Sole Shared None - ------------------------------------------------------------------------------------------------------------------------------------ STEWART&STEVENSON Common 860342104 532 30,000 SH SOLE 30,000 STOCKERYALE Common 86126T203 629 299,600 SH SOLE 299,600 STOCKERYALE 013002 Common 86126T203 136 65,000 SH SOLE 65,000 STOCKERYALE 053101 Common 86126T203 2,099 1,000,000 SH SOLE 1,000,000 SUN MICRO Common 866810104 251 50,000 SH SOLE 50,000 SUPPORTSOFT INC. Common 868587106 1,648 595,000 SH SOLE 595,000 TAKE-TWO INTER Common 874054109 515 25,000 SH SOLE 25,000 TELEDYNE TECH Common 879360105 830 40,000 SH SOLE 40,000 THQ INC Common 872443403 596 20,000 SH SOLE 20,000 UNTD PANAM FIN Common 911301109 203 25,500 SH SOLE 25,500 VARCO INTL INC Common 922126107 526 30,000 SH SOLE 30,000 VERINT SYS Common 92343X100 452 40,000 SH SOLE 40,000 VISHAY INTRTECH Common 928298108 330 15,000 SH SOLE 15,000 WASTE CONNECT Common 941053100 625 20,000 SH SOLE 20,000 WEATHERFORD INTL Common 947074100 864 20,000 SH SOLE 20,000 WHOLE FDS MKT Common 966837106 579 12,000 SH SOLE 12,000 WORKSTREAM (R) Common 981402100 2,454 1,076,136 SH SOLE 1,076,136 WRIGHT MED Common 98235T107 202 10,000 SH SOLE 10,000 YAHOO INC Common 984332106 1,107 75,000 SH SOLE 75,000 YANKEE CANDLE Common 984757104 610 22,500 SH SOLE 22,500 ZOLL MED CORP Common 989922109 569 17,500 SH SOLE 17,500
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