-----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, BXcvNuN6nKGltliwCXlnA9/ZazfUKMpbGICEIWFCR+RFOdvkJYVxopDxI4l5cxDg gRWaasYCAA1y46MvNuo9AQ== 0000950149-01-501196.txt : 20021127 0000950149-01-501196.hdr.sgml : 20021127 20010813141314 ACCESSION NUMBER: 0000950149-01-501196 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010630 FILED AS OF DATE: 20010813 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: 01706189 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 f74819e13f-hr.txt OSTERWEIS CAPITAL MANAGEMENT FORM 13-F FOR 6/30/01 1 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, 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 August 13, 2001 - ----------------------- ----------------- --------------- Report Type (Check only one): [X] 13F HOLDINGS REPORT [ ] 13F NOTICE [ ] 13F COMBINATION REPORT 2 FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 Form 13F Information Table Entry Total: 100 Form 13F Information Table Value Total: $ 1,174,618 List of Other Included Managers:
No. Form 13F File Number Name 1 28-06550 Osterweis Capital Management, LLC
3 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) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ----------------------------- -------------- --------- -------- ----------------- ---------- -------- -------- ------ ------- ABBOTT LABS COM 002824100 1499 31219 SH OTHER 1 31219 0 0 ADOBE SYS INC COM 00724F101 503 10700 SH OTHER 1 10700 0 0 AMERICAN EXPRESS CO COM 25816109 407 10500 SH OTHER 1 10500 0 0 AMERICAN GEN CORP COM 26351106 30265 651550 SH OTHER 1 602050 0 49500 AMERICAN HOME PRODS CORP COM 26609107 1046 17900 SH OTHER 1 17900 0 0 AMERICAN INTL GROUP INC COM 26874107 1555 18089 SH OTHER 1 18089 0 0 AMERICAN TOWER CORP CL A 29912201 27018 1307150 SH OTHER 1 1143750 0 163400 ANHEUSER BUSCH COS INC COM 35229103 10275 249400 SH OTHER 1 243350 0 6050 ANTIGENICS INC DEL COM 37032109 638 32312 SH OTHER 1 32312 0 0 AT&T CORP COM LBRTY MED 1957208 197 11248 SH OTHER 1 11248 0 0 AUTOMATIC DATA PROCESSING COM 53015103 725 14600 SH OTHER 1 14600 0 0 BANK NEW YORK INC COM 64057102 384 8000 SH OTHER 1 8000 0 0 BERKLEY W R CORP COM 84423102 9909 239250 SH OTHER 1 201300 0 37950 BERKSHIRE HATHAWAY INC DEL CL A 84670108 694 10 SH OTHER 1 10 0 0 BERKSHIRE HATHAWAY INC DEL CL B 84670207 23 10 SH OTHER 1 10 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 10876 207945 SH OTHER 1 205945 0 2000 CALPINE CORP COM 131347106 74536 1971862 SH OTHER 1 1724392 0 247470 CHEVRON CORP COM 166751107 1834 20268 SH OTHER 1 18868 0 1400 COCA COLA CO COM 191216100 1201 26700 SH OTHER 1 20700 0 6000 COLGATE PALMOLIVE CO COM 194162103 236 4000 SH OTHER 1 4000 0 0 CONVERGYS CORP COM 212485106 2285 75540 SH OTHER 1 66940 0 8600 CREATIVE TECHNOLOGY LTD ORD Y1775U107 930 109920 SH OTHER 1 109920 0 0 CRESCENT R E EQUITIES INC COM 225756105 36341 1479095 SH OTHER 1 1295245 0 183850 DISNEY WALT CO DISNEY COM 25468106 3575 123712 SH OTHER 1 93712 0 30000 DOW CHEM CO COM 260543103 717 18980 SH OTHER 1 21564 0 0 DURECT CORP COM 266605104 4966 381956 SH OTHER 1 341856 0 40100 ECHOSTAR COMMUN CORP NEW CL A 278762109 32977 1017200 SH OTHER 1 862750 0 154450 ELAN PLC ADR 284131208 21527 352900 SH OTHER 1 320400 0 32500 EMERSON ELEC CO COM 29101104 7631 126120 SH OTHER 1 124620 0 1500 EQUIFAX INC COM 294429105 21054 574000 SH OTHER 1 519500 0 54500 EXXON MOBIL CORP COM 30231G102 4326 49518 SH OTHER 1 47570 0 1948 FEDERAL HOME LN MTG CORP COM 313400301 36435 520500 SH OTHER 1 445150 0 75350 FEDERAL NATL MTG ASSN COM 313586109 790 9280 SH OTHER 1 9280 0 0 FMC CORP COM NEW 302491303 44033 642250 SH OTHER 1 572200 0 70050 FOREST LABS INC COM 345838106 31638 445602 SH OTHER 1 344970 0 100632 GBC BANCORP CALIF COM 361475106 228 8000 SH OTHER 1 8000 0 0 GENERAL ELEC CO COM 369604103 7936 162783 SH OTHER 1 159591 0 3192 GENERAL MLS INC COM 370334104 455 10400 SH SOLE 10400 0 0 GENERAL MTRS CORP CL H NEW 370442832 4419 211844 SH OTHER 1 193800 0 18044 GOLDEN WEST FINL CORP DEL COM 381317106 231 3600 SH SOLE 3600 0 0 HEALTH CARE PPTY INVS INC COM 421915109 18117 526658 SH OTHER 1 505708 0 20950 HEWLETT PACKARD CO COM 428236103 499 17452 SH OTHER 1 17452 0 0 ILLINOIS TOOL WKS INC COM 452308109 317 5000 SH OTHER 1 5000 0 0 INGERSOLL RAND CO COM 456866102 678 16450 SH SOLE 16450 0 0 IT GROUP INC COM 465266104 7680 1209505 SH OTHER 1 949976 0 259529 JOHNSON & JOHNSON COM 478160104 6628 132548 SH OTHER 1 128432 0 4116 KIMBERLY CLARK CORP COM 494368103 12197 218200 SH OTHER 1 217700 0 500
4 KINDER MORGAN EGY PTNS L P UT LTD PT INT 494550106 24578 357452 SH OTHER 1 293478 0 63974 KINDER MORGAN INC KANS COM 49455P101 34181 680225 SH OTHER 1 617825 0 62400 KROGER CO COM 501044101 12812 199435 SH OTHER 1 460500 0 52000 LILLY ELI & CO COM 532457108 12060 162966 SH OTHER 1 142066 0 20900 LOEWS CORP COM 540424108 562 8720 SH SOLE 8720 0 0 MANOR CARE INC NEW COM 564055101 103919 3273052 SH OTHER 1 2840452 0 432600 MANUFACTURED HOME CMNTYS INC COM 564682102 14270 507816 SH OTHER 1 469666 0 38150 MATTEL INC COM 577081102 285 15035 SH OTHER 1 15035 0 0 MCDONALDS CORP COM 580135101 233 8600 SH SOLE 8600 0 0 MERCK & CO INC COM 589331107 4042 63244 SH OTHER 1 60956 0 2288 MICROSOFT CORP COM 594918104 874 11964 SH OTHER 1 7000 0 4964 MID-STATE BANCSHARES COM 595440108 377 20644 SH OTHER 1 20644 0 0 MINNESOTA MNG & MFG CO COM 604059105 2344 20548 SH OTHER 1 20548 0 0 NEWHALL LD & FARMING CO COM 651426108 9267 336989 SH OTHER 1 238489 0 98500 NEWPARK RES INC COM PAR$0.01NE 651718504 18253 1644445 SH OTHER 1 1490045 0 154400 NEXMED INC COM 652903105 2883 667300 SH OTHER 1 596100 0 71200 NTL INC COM 629407107 4239 351761 SH OTHER 1 291570 0 60191 NTL INC SUB NT 7.000 0 629407AL1 22294 45110000 SH OTHER 1 40185000 0 4925000 OHM CORP SBDBCV08.000 0 670839AA7 2166 2476000 SH OTHER 1 2387000 0 89000 ORION PWR HLDG INC COM 686286105 4332 181950 SH OTHER 1 167650 0 14300 PALATIN TECHNOLOGIES INC COM NEW 696077304 54 12500 SH SOLE 12500 0 0 PEPSICO INC COM 713448108 954 21576 SH OTHER 1 20510 0 1066 PFIZER INC COM 717081103 939 23446 SH OTHER 1 17446 0 6000 PHILIP MORRIS COS INC COM 718154107 372 7340 SH OTHER 1 7340 0 0 PHILLIPS VAN HEUSEN CORP COM 718592108 187 13000 SH SOLE 13000 0 0 PITNEY BOWES INC COM 724479100 34325 814950 SH OTHER 1 708100 0 106850 PRIMEDIA INC COM 74157K101 8829 1300315 SH OTHER 1 1117782 0 182533 PROCTER & GAMBLE CO COM 742718109 11627 65881 SH OTHER 1 151546 0 30700 QUANTUM CORP SBNTCV07.000 0 747906AC9 8510 9815000 SH OTHER 1 9080000 0 735000 ROYAL DUTCH PETE CO NY REG SHS 1.2 780257804 1907 32726 SH OTHER 1 29650 0 3076 SAN JUAN BASIN RTY TR UNIT BEN INT 798241105 4551 358634 SH OTHER 1 274809 0 83825 SCANDINAVIAN BROADCASTING SY SBNTCV07.000 0 805906AC8 515 500000 SH OTHER 1 500000 0 0 SCHERING PLOUGH CORP COM 806605101 285 7860 SH OTHER 1 660 0 7200 SERVICEMASTER CO COM 81760N109 56103 4675248 SH OTHER 1 4253187 0 422061 SIX FLAGS INC COM 83001P109 54172 2574740 SH OTHER 1 2274990 0 299750 SONICBLUE INC COM 83546Q109 55 16848 SH OTHER 1 8320 0 7800 SPIEKER PPTYS INC COM 848497103 240 4000 SH OTHER 1 4000 0 0 STATE STR CORP COM 857477103 277 5600 SH OTHER 1 5600 0 0 STATION CASINOS INC COM 857689103 52064 3254000 SH OTHER 1 2910800 0 343200 SUNGLASS HUT INTL INC SBNTCV05.250 0 86736FAC0 5463 5872000 SH OTHER 1 5597000 0 275000 TRIBUNE CO NEW COM 896047107 302 7560 SH OTHER 1 7560 0 0 UNION PAC CORP COM 907818108 213 3885 SH SOLE 3885 0 0 UNIVERSAL ELECTRS INC COM 913483103 4677 259800 SH OTHER 1 203300 0 56500 US BANCORP DEL NEW COM NEW 902973304 310 13608 SH OTHER 1 13608 0 0 VALUEVISION INTL INC CL A 92047K107 27764 1276470 SH OTHER 1 1139470 0 137000 VIACOM INC CL B 925524308 49779 961903 SH OTHER 1 839615 0 122288 VIAD CORP COM 92552R109 14306 541900 SH OTHER 1 536600 0 5300 WALGREEN CO COM 931422109 729 12933 SH OTHER 1 21334 0 0 WASTE MGMT INC DEL COM 94106L109 29117 944750 SH OTHER 1 889750 0 55000 WELLS FARGO & CO NEW COM 949746101 1561 33610 SH OTHER 1 33610 0 0 WESTAMERICA BANCORPORATION COM 957090103 1037 26401 SH OTHER 1 26401 0 0 WESTWOOD ONE INC COM 961815107 27446 744795 SH OTHER 1 633726 0 111069 XL CAPITAL LTD CL A G98255105 25009 304620 SH OTHER 1 278320 0 26300 -------- TOTAL 1174618
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