-----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, JRuAoQ7ZCklCq1jhj5h5j7tp8y3zdSTn26k2knl399XjiJQLdGuveR3ELAPT6NUh itEioBHF65DZ1a5c0iB05w== 0000950149-02-002285.txt : 20021114 0000950149-02-002285.hdr.sgml : 20021114 20021113195323 ACCESSION NUMBER: 0000950149-02-002285 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020930 FILED AS OF DATE: 20021114 EFFECTIVENESS DATE: 20021114 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: 02821620 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 f85957e13fvhr.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: September 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 November 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: 93 Form 13F Information Table Value Total: $909,714 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 8 COLUMN 1 COLUMN 2 COLUMN 3 -------- ------------------ ---------- -------- ----------------------- -------------- -------------- --------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (X1000) PRIN AMT PRIN CALL DISCRETION MANAGERS SOLE SHARED NONE -------------- -------------- --------- -------- -------- ---- ---- ---------- -------- -------- ------ ------- ABBOTT LABS COM 002824100 1261 31219 SH OTHER 1 31219 0 0 ADAPTEC INC CVT 00651FAC2 1026 1058000 SH SOLE 948000 0 110000 AFFYMETRIX INC CVT 00826TAB4 4952 5800000 SH OTHER 1 5800000 0 0 AFFYMETRIX INC CVT 00826TAD0 8498 10589000 SH OTHER 1 10334000 0 255000 AMDOCS LTD CVT 02342TAB5 19269 21590000 SH OTHER 1 19770000 0 1820000 AMERICAN EXPRESS CO COM 025816109 585 18785 SH OTHER 1 18785 0 0 AMERICAN INTL GROUP INC COM 026874107 32312 590712 SH OTHER 1 550889 0 39823 AMERUS GROUP CO COM 03072M108 29315 1033650 SH OTHER 1 933300 0 100350 ANHEUSER BUSCH COS INC COM 035229103 12926 255450 SH OTHER 1 251850 0 3600 ANTIGENICS INC DEL COM 037032109 256 31787 SH OTHER 1 31787 0 0 AUTOMATIC DATA PROCESSING COM 053015103 507 14600 SH OTHER 1 14600 0 0 BP P L C ADR 055622104 285 7132 SH OTHER 1 7132 0 0 BANK NEW YORK INC COM 064057102 368 12800 SH OTHER 1 12800 0 0 BAUSCH & LOMB INC COM 071707103 39083 1178250 SH OTHER 1 1079500 0 98750 BECTON DICKINSON & CO COM 075887109 25573 900472 SH OTHER 1 840422 0 60050 BERKLEY W R CORP COM 084423102 25898 761699 SH OTHER 1 682274 0 79425 BERKSHIRE HATHAWAY INC DEL CL A COM 084670108 740 10 SH OTHER 1 10 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 1106 46460 SH OTHER 1 41460 0 5000 BURLINGTON NORTHN SANTA FE COM 12189T104 4460 186437 SH OTHER 1 153150 0 33287 CEDAR FAIR L P UNIT BEN INT 150185106 397 16667 SH OTHER 1 338 0 16634 CHEVRONTEXACO CORP COM 166764100 2507 36179 SH OTHER 1 34172 0 2007 CLOROX CO COM 189054109 273 6800 SH SOLE 0 0 6800 COCA COLA CO COM 191216100 1347 28100 SH OTHER 1 20600 0 7500 CONVERGYS CORP COM 212485106 24864 1654240 SH OTHER 1 1543690 0 110550 COX COMMUNICATIONS INC NEW CVT 224044BC0 696 1000000 SH OTHER 1 1000000 0 0 DISNEY WALT CO COM 254687106 1815 119852 SH OTHER 1 94952 0 24900 DOUBLECLICK INC CVT 258609AC0 12541 15064000 SH OTHER 1 13889000 0 1175000 DOW CHEM CO COM 260543103 1498 54887 SH OTHER 1 54887 0 0 DU PONT E I DE NEMOURS & CO COM 263534109 294 8159 SH OTHER 1 8159 0 0 DURECT CORP COM 266605104 3402 1097506 SH OTHER 1 1058306 0 39200 ECHOSTAR COMMUN CORP NEW CL A COM 278762109 26475 1530342 SH OTHER 1 1395392 0 134950 EXXON MOBIL CORP COM 30231G102 3312 103822 SH OTHER 1 97822 0 6000 F A O INC COM 30240S105 57 20000 SH OTHER 1 20000 0 0 FOREST LABS INC COM 345838106 29418 358711 SH OTHER 1 281779 0 76932 GENERAL ELEC CO COM 369604103 4242 172106 SH OTHER 1 169706 0 2400
GENERAL MLS INC COM 370334104 373 8400 SH SOLE 8400 0 0 GENESCO INC CVT 371532AL6 238 260000 SH OTHER 1 260000 0 0 INTERLINK ELECTRS COM 458751104 66 22000 SH OTHER 1 22000 0 0 INTERNATIONAL FLAVRS & FRAGR COM 459506101 13194 414250 SH OTHER 1 399600 0 14650 JOHNSON & JOHNSON COM 478160104 7592 140382 SH OTHER 1 138382 0 2000 KEYSPAN CORP COM 49337W100 4121 123000 SH OTHER 1 115800 0 7200 KIMBERLY CLARK CORP COM 494368103 16777 296200 SH OTHER 1 295700 0 500 KINDER MORGAN EGY PTNS L P LTD PT INT 494550106 24200 757904 SH OTHER 1 645416 0 112488 KINDER MORGAN INC KANS COM 49455P101 27326 770825 SH OTHER 1 715925 0 54900 LAYNE CHRISTENSEN CO COM 521050104 385 52300 SH OTHER 1 52300 0 0 LIBERTY MEDIA CORP NEW COM SER A 530718105 4281 596250 SH OTHER 1 596250 0 0 LILLY ELI & CO COM 532457108 8811 159204 SH OTHER 1 142604 0 16600 LSI LOGIC CORP CVT 502161AD4 6794 7325000 SH OTHER 1 6465000 0 860000 MANOR CARE INC NEW COM 564055101 70026 3115051 SH OTHER 1 2763751 0 351300 MANUFACTURED HOME CMNTYS INC COM 564682102 16295 511116 SH OTHER 1 478566 0 32550 MATTEL INC COM 577081102 271 15035 SH OTHER 1 15035 0 0 MERCK & CO INC COM 589331107 3407 74552 SH OTHER 1 70214 0 4338 MICROSOFT CORP COM 594918104 676 15454 SH OTHER 1 12254 0 3200 MID-STATE BANCSHARES COM 595440108 339 20644 SH OTHER 1 20644 0 0 MOORE LTD COM 615785102 21981 2242900 SH OTHER 1 2026050 0 216850 NEWHALL LD & FARMING CO COM 651426108 7982 324489 SH OTHER 1 237889 0 86600 NEWPARK RES INC COM 651718504 5147 1299645 SH OTHER 1 1184445 0 115200 NEXMED INC COM 652903105 1078 585600 SH OTHER 1 526150 0 59450 NYMAGIC INC COM 629484106 179 12400 SH OTHER 1 11600 0 800 ONI SYS CORP CVT 68273FAA1 11119 14925000 SH OTHER 1 13250000 0 1675000 PALATIN TECHNOLOGIES INC COM 696077304 25 12500 SH SOLE 12500 0 0 PEPSICO INC COM 713448108 10590 286600 SH OTHER 1 281150 0 5450 PFIZER INC COM 717081103 1486 51196 SH OTHER 1 33196 0 18000 PHILIP MORRIS COS INC COM 718154107 405 10440 SH OTHER 1 10440 0 0 PHILLIPS VAN HEUSEN CORP COM 718592108 167 13291 SH SOLE 13291 0 0 PITNEY BOWES INC COM 724479100 34400 1128250 SH OTHER 1 1031200 0 97050 POTLATCH CORP COM 737628107 860 30000 SH OTHER 1 0 0 30000 PROCTER & GAMBLE CO COM 742718109 15533 173786 SH OTHER 1 147786 0 26000 QUANTUM CORP CVT 747906AC9 13410 17415000 SH OTHER 1 16825000 0 590000 RF MICRO DEVICES INC CVT 749941AB6 9504 12610000 SH OTHER 1 10965000 0 1645000 ROYAL DUTCH PETE CO DEP SHS 780257804 1431 35626 SH OTHER 1 35626 0 0 SAN JUAN BASIN RTY TR UNIT BEN INT 798241105 7795 666234 SH OTHER 1 478834 0 187400 SCHERING PLOUGH CORP COM 806605101 432 20260 SH OTHER 1 660 0 19600 SERVICEMASTER CO COM 81760N109 34326 3163769 SH OTHER 1 2900772 0 262997 SMITHFIELD FOODS INC COM 832248108 1454 92600 SH OTHER 1 92600 0 0 STATION CASINOS INC COM 857689103 48188 2832950 SH OTHER 1 2584050 0 248900 SUBURBAN PROPANE PARTNERS LP LTD PT INT 864482104 2186 81600 SH OTHER 1 76500 0 5100
3M CO COM 88579Y101 2062 18748 SH OTHER 1 18548 0 200 TORCHMARK CORP COM 891027104 10385 303100 SH OTHER 1 303100 0 0 TRIBUNE CO NEW COM 896047107 309 7400 SH OTHER 1 7400 0 0 TRIQUINT SEMICONDUCTOR INC CVT 89674KAB9 4076 5480000 SH OTHER 1 4650000 0 830000 US BANCORP DEL NEW COM 902973304 253 13608 SH OTHER 1 13608 0 0 VALUEVISION MEDIA INC CL A COM 92047K107 10523 894820 SH OTHER 1 764920 0 129900 VIACOM INC CL B COM 925524308 30204 744863 SH OTHER 1 650019 0 94844 VIAD CORP COM 92552R109 23080 1129750 SH OTHER 1 1123950 0 5800 WALGREEN CO COM 931422109 682 22167 SH OTHER 1 22167 0 0 WASTE MGMT INC DEL COM 94106L109 29058 1246050 SH OTHER 1 1193650 0 52400 WELLS FARGO & CO NEW COM 949746101 1618 33610 SH OTHER 1 33610 0 0 WESTAMERICA BANCORPORATION COM 957090103 948 23526 SH OTHER 1 23526 0 0 WESTERN GAS RES INC COM 958259103 13712 438796 SH OTHER 1 435596 0 3200 WESTWOOD ONE INC COM 961815107 25292 707493 SH OTHER 1 642759 0 64734 WYETH COM 983024100 617 19400 SH OTHER 1 19400 0 0 ZIMMER HLDGS INC COM 98956P102 487 12717 SH OTHER 1 12717 0 0 --------- ------ TOTAL 909714
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