-----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, CKg9lJs9u9bEjocNpETVAPWW1/+DmuGNzlX9smcDGGHvd1X/oelBosQzBe+LV4Tj Y2nfTuVl7umhXP1jzOS/6A== 0000950149-02-000273.txt : 20020414 0000950149-02-000273.hdr.sgml : 20020414 ACCESSION NUMBER: 0000950149-02-000273 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20011231 FILED AS OF DATE: 20020214 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: 02543215 BUSINESS ADDRESS: STREET 1: ONE MARITIME PLAZA STREET 2: STE 2101 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 4154344441 MAIL ADDRESS: STREET 1: ONE MARITIME PLAZA STREET 2: STE 1201 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 13F-HR 1 f79131e13f-hr.txt OSTERWEIS CAPITAL MGMT. FORM 13-F FOR 12/31/2001 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: December 31, 2001 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: Osterweis Capital Management, Inc. Address: One Maritime Plaza Suite 800 San Francisco, CA 94111 13F File Number: 28-04483 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: Doretta L. Dunegan Title: Director of Compliance Phone: 415-434-4441 Signature, Place, and Date of Signing: /s/ Doretta L. Dunegan San Francisco, CA February 13, 2002 - ------------------------------------- --------------------- ----------------- 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: 1 Form 13F Information Table Entry Total: 93 Form 13F Information Table Value Total: $1,052,684,000 List of Other Included Managers: No. Form 13F File Number Name 1 28-06550 Osterweis Capital Management, LLC FORM 13F INFORMATION TABLE
COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 1 COLUMN 2 COLUMN 3 -------- --------------------- ---------- -------- -------------- -------------- --------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER NAME OF ISSUER TITLE OF CLASS CUSIP (X1000) PRIN AMT PRIN CALL DISCRETION MANAGERS -------------- -------------- --------- -------- --------------------- ---------- -------- ABBOTT LABS COM 002824100 1741 31219 SH OTHER 1 ADOBE SYS INC COM 00724F101 332 10700 SH OTHER 1 ALLIED CAP CORP NEW COM 01903Q108 4129 158800 SH OTHER 1 AMERICAN EXPRESS CO COM 025816109 397 11100 SH OTHER 1 AMERICAN HOME PRODS CORP COM 026609107 1123 18300 SH OTHER 1 AMERICAN INTL GROUP INC COM 026874107 32536 409775 SH OTHER 1 AMERUS GROUP CO COM 03072M108 6279 175200 SH OTHER 1 ANHEUSER BUSCH COS INC COM 035229103 11142 246450 SH OTHER 1 ANTIGENICS INC DEL COM 037032109 530 32312 SH OTHER 1 AUTOMATIC DATA PROCESSING COM 053015103 860 14600 SH OTHER 1 AVATAR HLDGS INC CVT 053494AD2 19 20000 SH OTHER 1 BANK AMER CORP COM 060505104 168 2667 SH OTHER 1 BAUSCH & LOMB INC COM 071707103 30446 808450 SH OTHER 1 BECTON DICKINSON & CO COM 075887109 21260 641322 SH OTHER 1 BERKLEY W R CORP COM 084423102 23411 435950 SH OTHER 1 BERKSHIRE HATHAWAY INC DEL CL A 084670108 756 10 SH OTHER 1 BRISTOL MYERS SQUIBB CO COM 110122108 10922 214154 SH OTHER 1 CALPINE CORP COM 131347106 41648 2480511 SH OTHER 1 CEDAR FAIR L P DEP UNIT 150185106 420 16972 SH OTHER 1 COCA COLA CO COM 191216100 1330 28200 SH OTHER 1 COLGATE PALMOLIVE CO COM 194162103 231 4000 SH OTHER 1 CONVERGYS CORP COM 212485106 8052 214790 SH OTHER 1 DISNEY WALT CO COM 254687106 2588 124912 SH OTHER 1 DOW CHEM CO COM 260543103 728 21564 SH OTHER 1 DURECT CORP COM 266605104 4427 381956 SH OTHER 1 ECHOSTAR COMMUN CORP NEW L A 278762109 45255 1647450 SH OTHER 1 ELAN PLC ADR 284131208 18037 400284 SH OTHER 1 EQUIFAX INC COM 294429105 14019 580500 SH OTHER 1 EXXON MOBIL CORP COM 30231G102 4114 104686 SH OTHER 1 FEDERAL HOME LN MTG CORP COM 313400301 20699 316500 SH SOLE FEDERAL NATL MTG ASSN COM 313586109 738 9280 SH OTHER 1 FMC CORP COM NEW 302491303 35952 604250 SH OTHER 1 FMC TECHNOLOGIES INC COM 30249U101 6014 365600 SH OTHER 1 FOREST LABS INC COM 345838106 35792 436748 SH OTHER 1 GENERAL DYNAMICS CORP COM 369550108 2883 36200 SH OTHER 1 GENERAL ELEC CO COM 369604103 6578 164103 SH OTHER 1 GENERAL MLS INC COM 370334104 453 8700 SH OTHER 1 HEALTH CARE PPTY INVS INC COM 421915109 19071 526658 SH OTHER 1 HEINZ H J CO COM 423074103 15431 375250 SH OTHER 1 HEWLETT PACKARD CO COM 428236103 198 9652 SH OTHER 1 INGERSOLL RAND CO COM 456866102 688 16450 SH OTHER 1 INTEL CORP COM 458140100 239 7600 SH OTHER 1 JOHNSON & JOHNSON COM 478160104 7876 133250 SH OTHER 1 KIMBERLY CLARK CORP COM 494368103 17545 293400 SH OTHER 1 KINDER MORGAN EGY PTNS L P LTD PT INT 494550106 26833 709504 SH OTHER 1 KINDER MORGAN INC KANS COM 49455P101 40656 730025 SH OTHER 1 LILLY ELI & CO COM 532457108 12778 162684 SH OTHER 1 MANOR CARE INC NEW COM 564055101 77083 3251095 SH OTHER 1 MANUFACTURED HOME CMNTYS INC COM 564682102 15849 507816 SH OTHER 1 MATTEL INC COM 577081102 258 15035 SH OTHER 1 MCDONALDS CORP COM 580135101 228 8600 SH SOLE MERCK & CO INC COM 589331107 3792 64494 SH OTHER 1 MICROSOFT CORP COM 594918104 978 14763 SH OTHER 1 MID-STATE BANCSHARES COM 595440108 336 20644 SH OTHER 1 MINNESOTA MNG & MFG CO COM 604059105 2452 20748 SH OTHER 1 NEWHALL LD & FARMING CO COM 651426108 9901 334489 SH OTHER 1 NEWPARK RES INC COM NEW 651718504 10384 1314345 SH OTHER 1 NEXMED INC COM 652903105 2102 618500 SH OTHER 1 NYMAGIC INC COM 629484106 209 13000 SH OTHER 1 OHM CORP CVT 670839AA7 1 1036000 SH OTHER 1 PALATIN TECHNOLOGIES INC COM NEW 696077304 53 12500 SH SOLE PEPSICO INC COM 713448108 1093 22450 SH OTHER 1 PFIZER INC COM 717081103 994 24946 SH OTHER 1 PG&E CORP COM 69331C108 248 8132 SH SOLE PHILIP MORRIS COS INC COM 718154107 362 7890 SH OTHER 1 PITNEY BOWES INC COM 724479100 34115 907050 SH OTHER 1 POTLATCH CORP COM 737628107 997 34000 SH OTHER 1 PROCTER & GAMBLE CO COM 742718109 14086 178008 SH OTHER 1 QUANTUM CORP CVT 747906AC9 9133 10100000 SH OTHER 1 ROYAL DUTCH PETE CO Y REG SHS 1.25 780257804 1590 32426 SH OTHER 1 SAN JUAN BASIN RTY TR NIT BEN INT 798241105 6515 679334 SH OTHER 1 SCANDINAVIAN BROADCASTING CVT 805906AC8 399 500000 SH OTHER 1 SCHERING PLOUGH CORP COM 806605101 367 10260 SH OTHER 1 SERVICEMASTER CO COM 81760N109 67047 4858486 SH OTHER 1 SIX FLAGS INC COM 83001P109 36887 2398390 SH OTHER 1 STATION CASINOS INC COM 857689103 35450 3168000 SH OTHER 1 SUBURBAN PROPANE PARTNERS LP COM UNIT 864482104 338 12900 SH OTHER 1 SUNGLASS HUT INTL INC CVT 86736FAC0 3221 3550000 SH OTHER 1 TARGET CORP COM 87612E106 251 6120 SH OTHER 1 TRIBUNE CO NEW COM 896047107 283 7560 SH OTHER 1 UNION PAC CORP COM 907818108 221 3885 SH SOLE US BANCORP DEL NEW COM NEW 902973304 285 13608 SH OTHER 1 VALUEVISION INTL INC CL A 92047K107 18323 935320 SH OTHER 1 VIACOM INC CL B 925524308 34956 791746 SH OTHER 1 VIAD CORP COM 92552R109 25652 1083250 SH OTHER 1 WALGREEN CO COM 931422109 761 22617 SH OTHER 1 WASTE MGMT INC DEL COM 94106L109 33828 1060100 SH OTHER 1 WELLS FARGO & CO NEW COM 949746101 1509 34710 SH OTHER 1 WESTAMERICA BANCORPORATION COM 957090103 931 23526 SH OTHER 1 WESTERN GAS RES INC COM 958259103 18752 580200 SH OTHER 1 WESTWOOD ONE INC COM 961815107 21706 722318 SH OTHER 1 XL CAPITAL LTD CL A G98255105 20799 227670 SH OTHER 1 ZIMMER HLDGS INC COM 98956P102 635 20779 SH OTHER 1 ------- TOTAL 1052684
COLUMN 8 COLUMN 1 -------------------------- -------------- VOTING AUTHORITY NAME OF ISSUER SOLE SHARED NONE -------------- -------------------------- ABBOTT LABS 31219 0 0 ADOBE SYS INC 10700 0 0 ALLIED CAP CORP NEW 145800 0 13000 AMERICAN EXPRESS CO 11100 0 0 AMERICAN HOME PRODS CORP 17500 0 800 AMERICAN INTL GROUP INC 382071 0 27704 AMERUS GROUP CO 114750 0 60450 ANHEUSER BUSCH COS INC 240400 0 6050 ANTIGENICS INC DEL 32312 0 0 AUTOMATIC DATA PROCESSING 14600 0 0 AVATAR HLDGS INC 20000 0 0 BANK AMER CORP 667 0 2000 BAUSCH & LOMB INC 733550 0 74900 BECTON DICKINSON & CO 636522 0 4800 BERKLEY W R CORP 373400 0 62550 BERKSHIRE HATHAWAY INC DEL 10 0 0 BRISTOL MYERS SQUIBB CO 207154 0 7000 CALPINE CORP 2249441 0 231070 CEDAR FAIR L P 338 0 16634 COCA COLA CO 21200 0 7000 COLGATE PALMOLIVE CO 4000 0 0 CONVERGYS CORP 196990 0 17800 DISNEY WALT CO 98212 0 26700 DOW CHEM CO 21564 0 0 DURECT CORP 353056 0 28900 ECHOSTAR COMMUN CORP NEW 1475700 0 171750 ELAN PLC 367784 0 32500 EQUIFAX INC 526000 0 54500 EXXON MOBIL CORP 100686 0 4000 FEDERAL HOME LN MTG CORP 245550 0 70950 FEDERAL NATL MTG ASSN 9280 0 0 FMC CORP 536200 0 68050 FMC TECHNOLOGIES INC 308850 0 56750 FOREST LABS INC 341116 0 95632 GENERAL DYNAMICS CORP 34300 0 1900 GENERAL ELEC CO 158511 0 5592 GENERAL MLS INC 8700 0 0 HEALTH CARE PPTY INVS INC 505708 0 20950 HEINZ H J CO 346350 0 28900 HEWLETT PACKARD CO 8452 0 0 INGERSOLL RAND CO 16450 0 0 INTEL CORP 1200 0 6400 JOHNSON & JOHNSON 129134 0 4116 KIMBERLY CLARK CORP 292900 0 500 KINDER MORGAN EGY PTNS L P 589116 0 120388 KINDER MORGAN INC KANS 670925 0 59100 LILLY ELI & CO 143384 0 19300 MANOR CARE INC NEW 2860545 0 390550 MANUFACTURED HOME CMNTYS INC 474466 0 33350 MATTEL INC 15035 0 0 MCDONALDS CORP 8600 0 0 MERCK & CO INC 61156 0 3338 MICROSOFT CORP 9074 0 5689 MID-STATE BANCSHARES 20644 0 0 MINNESOTA MNG & MFG CO 20548 0 200 NEWHALL LD & FARMING CO 241289 0 93200 NEWPARK RES INC 1190745 0 123600 NEXMED INC 549100 0 69400 NYMAGIC INC 12000 0 1000 OHM CORP 1009000 0 27000 PALATIN TECHNOLOGIES INC 12500 0 0 PEPSICO INC 21384 0 1066 PFIZER INC 18946 0 6000 PG&E CORP 0 0 8132 PHILIP MORRIS COS INC 7890 0 0 PITNEY BOWES INC 804000 0 103050 POTLATCH CORP 0 0 34000 PROCTER & GAMBLE CO 151308 0 26700 QUANTUM CORP 9475000 0 625000 ROYAL DUTCH PETE CO 32426 0 0 SAN JUAN BASIN RTY TR 491109 0 188225 SCANDINAVIAN BROADCASTING 500000 0 0 SCHERING PLOUGH CORP 660 0 9600 SERVICEMASTER CO 4456955 0 401531 SIX FLAGS INC 2113440 0 284950 STATION CASINOS INC 2847300 0 320700 SUBURBAN PROPANE PARTNERS LP 12900 0 0 SUNGLASS HUT INTL INC 3375000 0 175000 TARGET CORP 3000 0 3120 TRIBUNE CO NEW 7560 0 0 UNION PAC CORP 3885 0 0 US BANCORP DEL NEW 13608 0 0 VALUEVISION INTL INC 799820 0 135500 VIACOM INC 692068 0 99678 VIAD CORP 1077950 0 5300 WALGREEN CO 22617 0 0 WASTE MGMT INC DEL 1005100 0 55000 WELLS FARGO & CO NEW 34710 0 0 WESTAMERICA BANCORPORATION 23526 0 0 WESTERN GAS RES INC 571000 0 9200 WESTWOOD ONE INC 630449 0 91869 XL CAPITAL LTD 208070 0 19600 ZIMMER HLDGS INC 20579 0 200 TOTAL
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