-----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, EqJPWVbilfGfOeh0vQeMCrjQL/TclH1naJxwCB9SzRz4sem5zu0dYeLyjxPGC0+r bI4Cw+BUcNcOZBrufp16yw== 0000950149-02-001719.txt : 20020814 0000950149-02-001719.hdr.sgml : 20020814 20020814141541 ACCESSION NUMBER: 0000950149-02-001719 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020630 FILED AS OF DATE: 20020814 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: 02734513 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 f83866e13fvhr.txt OSTERWEIS CAPITAL MANAGEMENT, INC FORM 13F 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: 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 August 14, 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: 102 Form 13F Information Table Value Total: $1,016,710 List of Other Included Managers: No. Form 13F File Number Name 1 28-06550 Osterweis Capital Management, LLC FORM 13F INFORMATION TABLE
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ---------------- ---------- --------- -------- -------------------- ---------- -------- -------------------------- VOTING AUTHORITY TITLE VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER -------------------------- NAME OF ISSUER OF CLASS CUSIP (X1000) PRIN AMT PRIN CALL DISCRETION MANAGERS SOLE SHARED NONE - -------------- ---------- --------- ------- -------- ----- ---- ---------- -------- -------- ------ -------- ABBOTT LABS COM 002824100 1175 31219 SH OTHER 1 31219 0 0 AFFYMETRIX INC CVT 00826TAB4 1152 1300000 SH OTHER 1 1300000 0 0 AFFYMETRIX INC CVT 00826TAD0 1244 1500000 SH OTHER 1 14330000 0 70000 AMDOCS LTD CVT 02342TAB5 18431 21340000 SH OTHER 1 19520000 0 1820000 AMERICAN EXPRESS CO COM 025816109 479 11400 SH OTHER 1 11400 0 0 AMERICAN INTL GROUP INC COM 026874107 40850 598708 SH OTHER 1 558885 0 39823 AMERUS GROUP CO COM 03072M108 34806 938150 SH SOLE 837800 0 100350 ANHEUSER BUSCH COS INC COM 035229103 12213 244250 SH SOLE 240650 0 3600 ANTIGENICS INC DEL COM 037032109 318 32312 SH OTHER 1 32312 0 0 AUTOMATIC DATA PROCESSING COM 053015103 636 14600 SH OTHER 1 14600 0 0 AVATAR HLDGS INC CVT 053494AD2 20 20000 SH SOLE 20000 0 0 BANK NEW YORK INC COM 064057102 270 8000 SH SOLE 8000 0 0 BAUSCH & LOMB INC COM 071707103 40766 1204300 SH OTHER 1 1105550 0 98750 BECTON DICKINSON & CO COM 075887109 26091 757372 SH OTHER 1 724922 0 32450 BERKLEY W R CORP COM 084423102 28077 510500 SH OTHER 1 457550 0 52950 BERKSHIRE HATHAWAY INC DEL CL A 084670108 668 10 SH OTHER 1 10 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 1576 61314 SH OTHER 1 56314 0 5000 BURLINGTON NORTHN SANTA FE COM 12189T104 16897 563237 SH OTHER 1 529950 0 33287 CEDAR FAIR L P DEP UNIT 150185106 403 338 SH OTHER 1 338 0 16634 CHEVRONTEXACO CORP COM 166764100 1845 20839 SH OTHER 1 19232 0 1607 CITIGROUP INC COM 172967101 201 5186 SH OTHER 1 1586 0 3600 CLOROX CO COM 189054109 281 6800 SH SOLE 0 0 6800 COCA COLA CO COM 191216100 1590 28400 SH OTHER 1 20900 0 7500 COLGATE PALMOLIVE CO COM 194162103 200 4000 SH OTHER 1 4000 0 0 CONVERGYS CORP COM 212485106 24893 1277890 SH OTHER 1 1152540 0 125350 DISNEY WALT CO COM 254687106 2282 120737 SH OTHER 1 95837 0 24900 DOUBLECLICK INC CVT 258609AC0 8462 10319000 SH OTHER 1 9884000 0 435000 DOW CHEM CO COM 260543103 741 21564 SH OTHER 1 21564 0 0 DURECT CORP COM 266605104 9163 1145456 SH OTHER 1 1106256 0 39200 ECHOSTAR COMMUN CORP NEW CL A 278762109 33200 1788800 SH OTHER 1 1630650 0 158150 ECLIPSYS CORP COM 278856109 67 10278 SH OTHER 1 10278 0 0 EXXON MOBIL CORP COM 30231G102 4350 106286 SH OTHER 1 100286 0 6000 F A O INC COM 30240S105 159 20000 SH OTHER 1 20000 0 0 FOREST LABS INC COM 345838106 22420 316673 SH OTHER 1 239941 0 76732 FOREST LABS INC COM 345838106 4268 60288 SH OTHER 1 58488 0 1800
FOREST LABS INC COM 345838106 26688 376961 SH OTHER 1 298429 0 78532 GENERAL ELEC CO COM 369604103 4207 144806 SH OTHER 1 142406 0 2400 GENERAL MLS INC COM 370334104 383 8700 SH OTHER 1 8700 0 0 INGERSOLL-RAND COMPANY LTD CL A G4776G101 228 5000 SH OTHER 1 5000 0 0 INTERLINK ELECTRS COM 458751104 100 22000 SH OTHER 1 22000 0 0 JOHNSON & JOHNSON COM 478160104 6918 132382 SH OTHER 1 130382 0 2000 KIMBERLY CLARK CORP COM 494368103 18240 294200 SH OTHER 1 293700 0 500 KINDER MORGAN EGY PTNS L P LTD PT INT 494550106 23775 756904 SH OTHER 1 642416 0 114488 KINDER MORGAN INC KANS COM 49455P101 28449 748275 SH OTHER 1 693375 0 54900 LIBERTY MEDIA CORP NEW COM 530718105 6302 630150 SH OTHER 1 332400 0 0 LILLY ELI & CO COM 532457108 9079 160984 SH OTHER 1 143384 0 17600 LOEWS CORP COM 540424108 462 8720 SH SOLE 8720 0 0 LSI LOGIC CORP CVT 502161AE2 10508 12345000 SH OTHER 1 12345000 0 0 MANOR CARE INC NEW COM 564055101 72405 3148029 SH OTHER 1 2796729 0 351300 MANUFACTURED HOME CMNTYS INC COM 564682102 18014 513216 SH OTHER 1 480666 0 32550 MATTEL INC COM 577081102 317 15035 SH OTHER 1 15035 0 0 MAY DEPT STORES CO COM 577778103 121 3666 SH SOLE 1200 0 0 MCDONALDS CORP COM 580135101 245 8600 SH OTHER 1 8600 0 0 MERCK & CO INC COM 589331107 3233 63830 SH OTHER 1 59492 4338 MGIC INVT CORP WIS COM 552848103 271 4000 SH OTHER 1 4000 0 0 MICROSOFT CORP COM 594918104 878 16054 SH OTHER 1 12854 0 3200 MID-STATE BANCSHARES COM 595440108 398 20644 SH OTHER 1 20644 0 0 MOORE LTD COM 615785102 17313 1508100 SH OTHER 1 1329200 0 178900 NEWHALL LD & FARMING CO COM 651426108 10704 334489 SH OTHER 1 247889 0 86600 NEWPARK RES INC COM 651718504 9552 1299645 SH OTHER 1 1184445 0 115200 NEXMED INC COM 652903105 1497 598650 SH OTHER 1 539200 0 59450 NYMAGIC INC COM 629484106 189 12400 SH OTHER 1 11600 0 800 ONI SYS CORP CVT 68273FAA1 10624 15070000 SH OTHER 1 13395000 0 1675000 PALATIN TECHNOLOGIES INC CVT 696077304 25 12500 SH SOLE 12500 0 0 PEPSICO INC COM 713448108 1082 22450 SH OTHER 1 22450 0 0 PFIZER INC COM 717081103 1281 36596 SH OTHER 1 18596 0 18000 PHILIP MORRIS COS INC COM 718154107 224 5130 SH OTHER 1 5130 0 0 PHILIP MORRIS COS INC COM 718154107 199 4560 SH OTHER 1 4560 0 0 PHILIP MORRIS COS INC COM 718154107 423 9690 SH OTHER 1 9690 0 0 PHILLIPS VAN HEUSEN CORP COM 718592108 207 13291 SH OTHER 1 13291 0 0 PITNEY BOWES INC COM 724479100 38236 962650 SH OTHER 1 867600 0 95050 POTLATCH CORP COM 737628107 1021 30000 SH OTHER 1 0 0 30000 PROCTER & GAMBLE CO COM 742718109 15662 175386 SH OTHER 1 148686 0 26700 QUANTUM CORP CVT 747906AC9 10018 10860000 SH OTHER 1 10270000 0 590000 RF MICRO DEVICES INC CVT 749941AB6 3075 1210000 SH OTHER 1 3100000 0 900000 ROYAL DUTCH PETE CO DEP SHS 780257804 1792 32426 SH OTHER 1 32426 0 0 SAN JUAN BASIN RTY TR BEN UNIT 798241105 7429 671134 SH OTHER 1 483734 0 187400
SCHERING PLOUGH CORP COM 806605101 498 20260 SH OTHER 1 660 0 19600 SCHLUMBERGER LTD COM 806857108 23 500 SH OTHER 1 0 0 500 SEPRACOR INC CVT 817315AH7 17373 25270000 SH OTHER 1 22515000 0 2755000 SERVICEMASTER CO COM 81760N109 38053 2773576 SH OTHER 1 2510579 0 262997 SIX FLAGS INC COM 83001P109 34136 2362390 SH OTHER 1 2102840 0 259550 STATE STR CORP COM 857477103 250 5600 SH OTHER 1 5600 0 0 STATION CASINOS INC COM 857689103 55832 3127850 SH OTHER 1 2836350 0 291500 SUBURBAN PROPANE PARTNERS LP LTD PT INT 864482104 2137 82200 SH OTHER 1 77100 0 5100 TARGET CORP COM 87612E106 222 5820 SH OTHER 1 2700 0 3120 3M CO COM 88579Y101 2307 18748 SH OTHER 1 18548 0 200 TRIBUNE CO NEW COM 896047107 322 7400 SH OTHER 1 7400 0 0 UNION PAC CORP COM 907818108 246 3885 SH OTHER 1 3885 0 0 US BANCORP DEL NEW COM 902973304 318 13608 SH OTHER 1 13608 0 0 VALUEVISION INTL INC CL A 92047K107 16368 375545 SH OTHER 1 771920 0 129900 VIACOM INC CL B 925524308 34644 780809 SH OTHER 1 682685 0 98124 VIAD CORP COM 92552R109 29670 1141150 SH OTHER 1 1135350 0 5800 WALGREEN CO COM 931422109 874 22617 SH OTHER 1 22617 0 0 WASHINGTON MUT INC COM 939322103 248 6682 SH OTHER 1 6682 0 0 WASTE MGMT INC DEL COM 94106L109 31865 1223200 SH OTHER 1 1170800 0 52400 WELLS FARGO & CO NEW COM 949746101 1738 34710 SH OTHER 1 34710 0 0 WESTAMERICA BANCORPORATION COM 957090103 922 23526 SH OTHER 1 23526 0 0 WESTERN GAS RES INC COM 958259103 21093 564000 SH OTHER 1 558800 0 5200 WESTWOOD ONE INC COM 961815107 24217 724618 SH OTHER 1 658884 0 65734 WYETH COM 983024100 952 18600 SH OTHER 1 17800 0 800 ZIMMER HLDGS INC COM 98956P102 434 12167 SH OTHER 1 12167 0 0 TOTAL 1016710
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