0001085146-14-001134.txt : 20140515 0001085146-14-001134.hdr.sgml : 20140515 20140514203342 ACCESSION NUMBER: 0001085146-14-001134 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140331 FILED AS OF DATE: 20140515 DATE AS OF CHANGE: 20140514 EFFECTIVENESS DATE: 20140515 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: 14843412 BUSINESS ADDRESS: STREET 1: ONE MARITIME PLAZA STREET 2: STE 800 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 4154344441 MAIL ADDRESS: STREET 1: ONE MARITIME PLAZA STREET 2: STE 800 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001007524 XXXXXXXX 03-31-2014 03-31-2014 OSTERWEIS CAPITAL MANAGEMENT INC

ONE MARITIME PLAZA STE 800 SAN FRANCISCO CA 94111

13F HOLDINGS REPORT 028-04483 N John Tavernetti 415-434-4441 /s/ John Tavernetti San Francisco CA 05-14-2014 1 119 3266440 false 1 0001048802 028-06550 OSTERWEIS CAPITAL MANAGEMENT LLC/CA INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE ABBVIE INCCOM00287Y1091613130SHOTR1313000ABBVIE INCCOM00287Y109621200SHOTR 120000ACELRX PHARMACEUTICALS INCCOM00444T10030925709SHSOLE 2570900AIR LEASE CORPCL A00912X302569261526585SHOTR 152019006395AIR LEASE CORPCL A00912X302666741787987SHOTR1178283702000AIR LEASE CORPNOTE 3.875%12/000912XAK0128728500000PRNOTR1850000000ALLEGHANY CORP DELCOM0171751003926996395SHOTR 959850410ALLEGHANY CORP DELCOM01717510045564111846SHOTR11114060251AMERICAN EXPRESS COCOM0258161094845375SHSOLE 537500AMERICAN WTR WKS CO INC NEWCOM030420103454931002047SHOTR 99706204985AMERICAN WTR WKS CO INC NEWCOM030420103566671248176SHOTR1124343604740APPLE INCCOM0378331007911474SHOTR1147400ATLAS PIPELINE PARTNERS LPUNIT L P INT04939210326313819467SHOTR181646703000ATLAS PIPELINE PARTNERS LPUNIT L P INT04939210330754957778SHOTR 95375304025ATMEL CORPCOM049513104354594241473SHOTR 4225408016065ATMEL CORPCOM049513104396404741641SHOTR14716891011000BARRETT BILL CORPNOTE 5.000% 3/106846NAA261036103000PRNOTR1610300000BERKSHIRE HATHAWAY INC DELCL A0846701087494SHOTR 400BERKSHIRE HATHAWAY INC DELCL A0846701081871SHOTR1000BERKSHIRE HATHAWAY INC DELCL B NEW0846707023202564SHOTR11264050BOEING COCOM09702310535677284302SHOTR 28319201110BOEING COCOM09702310542479338503SHOTR133850300BRISTOL MYERS SQUIBB COCOM11012210855210617SHOTR 1061700BRISTOL MYERS SQUIBB COCOM1101221083406549SHOTR1654900CHARTER COMMUNICATIONS INC DCL A NEW16117M30538939316060SHOTR 31478501275CHARTER COMMUNICATIONS INC DCL A NEW16117M30543556353535SHOTR135353500CINEMARK HOLDINGS INCCOM17243V102450401552559SHOTR 154588406675CINEMARK HOLDINGS INCCOM17243V102533391838642SHOTR1183393204710COMPANHIA ENERGETICA DE MINASP ADR N-V PFD20440960116023536SHOTR1708305902CROWN HOLDINGS INCCOM228368106581001298615SHOTR1129861500CROWN HOLDINGS INCCOM228368106485321084765SHOTR 107970505060DIAGEO P L CSPON ADR NEW25243Q20537042297315SHOTR 29571501600DIAGEO P L CSPON ADR NEW25243Q20551575413956SHOTR141395600DIGITAL RLTY TR INCCOM25386810339786749557SHOTR 74692702630DIGITAL RLTY TR INCCOM25386810342688804218SHOTR180233301885DIRECTVCOM25490A30947554622272SHOTR 61974702525DIRECTVCOM25490A30954894718323SHOTR171832300DURECT CORPCOM26660510410579256SHOTR 7925600DURECT CORPCOM266605104271204100SHOTR100204100ENTERPRISE PRODS PARTNERS LCOM29379210745503656035SHOTR 65348502550ENTERPRISE PRODS PARTNERS LCOM29379210736166521420SHOTR151942002000EXXON MOBIL CORPCOM30231G102130113318SHOTR 1104600EXXON MOBIL CORPCOM30231G1028458649SHOTR1864900FIRST REP BK SAN FRANCISCO CCOM33616C100114121125SHOTR 2112500FIRST REP BK SAN FRANCISCO CCOM33616C100761412SHOTR1141200GOLDCORP INC NEWNOTE 2.000% 8/0380956AB83854838500000PRNOTR13850000000GOOGLE INCCL A38259P5084471640122SHOTR 399770145GOOGLE INCCL A38259P5085549749795SHOTR14979500HEALTHSOUTH CORPCOM NEW421924309438131219400SHOTR 121355005850HEALTHSOUTH CORPCOM NEW421924309493371373133SHOTR1137313300HEWLETT PACKARD COCOM4282361033139685SHOTR1264005000JOHNSON & JOHNSONCOM47816010446906477509SHOTR 47537402135JOHNSON & JOHNSONCOM47816010460171612557SHOTR161255700JPMORGAN CHASE & COCOM46625H1004397230SHOTR1723000KINDER MORGAN ENERGY PARTNERUT LTD PARTNER4945501065587550SHOTR1755000KINDER MORGAN INC DEL*W EXP 05/25/20149456B1191810000PRNOTR10010000KINDER MORGAN INC DELCOM49456B101121437365SHOTR 3736500KINDER MORGAN INC DELCOM49456B10115164466715SHOTR146671500KNIGHT CAP GROUP INCNOTE 3.500% 3/1499005AE64379943500000PRNOTR14350000000LATTICE SEMICONDUCTOR CORPCOM5184151047810000SHOTR1000LIBERTY INTERACTIVE CORPINT COM SER A53071M104359771246167SHOTR 124134204825LIBERTY INTERACTIVE CORPINT COM SER A53071M104439531522459SHOTR1152245900LILLY ELI & COCOM53245710896816451SHSOLE 1645100MAGELLAN MIDSTREAM PRTNRS LPCOM UNIT RP LP55908010657392822939SHOTR 81866404275MAGELLAN MIDSTREAM PRTNRS LPCOM UNIT RP LP55908010652444751995SHOTR174945502540MERCK & CO INC NEWCOM58933Y10544783SHOTR 78300MERCK & CO INC NEWCOM58933Y10567311854SHOTR11185400MOTOROLA SOLUTIONS INCCOM NEW62007630736445566891SHOTR 56475602135MOTOROLA SOLUTIONS INCCOM NEW62007630740242625939SHOTR162593900NEW RESIDENTIAL INVT CORPCOM64828T102297874603833SHOTR 4585153018680NEW RESIDENTIAL INVT CORPCOM64828T102348455385617SHOTR15370562015055NEWCASTLE INVT CORPCOM65105M108328716993868SHOTR 6966128027740NEWCASTLE INVT CORPCOM65105M108371997914727SHOTR17891507023220NEWMONT MINING CORPNOTE 1.250% 7/1651639AH93003830000000PRNOTR13000000000NOVAGOLD RES INCCOM NEW66987E2064412100SHOTR11210000NOVARTIS A GSPONSORED ADR66987V10936032423810SHOTR142381000NOVARTIS A GSPONSORED ADR66987V10922969270159SHOTR 26899401165NRG YIELD INCCOM CL A62942X10818118458345SHOTR 45617002175NRG YIELD INCCOM CL A62942X10829721751850SHOTR175185000OCCIDENTAL PETE CORP DELCOM67459910540951429756SHOTR 42804101715OCCIDENTAL PETE CORP DELCOM67459910553513561580SHOTR156038501195OCWEN FINL CORPCOM NEW6757463093599170SHOTR1588003290ORACLE CORPCOM68389X105473251156810SHOTR 115209504715ORACLE CORPCOM68389X105580101417972SHOTR1141270002000OWENS ILL INCCOM NEW690768403459991359697SHOTR 135455705140OWENS ILL INCCOM NEW690768403551611630523SHOTR1162784302680PDL BIOPHARMA INCNOTE 4.000% 2/069329YAF12105020000000PRNOTR12000000000PHH CORPCOM NEW693320202386571496028SHOTR1149602800PHH CORPCOM NEW693320202331261281982SHOTR 127669205290POPE RES DEL LTD PARTNERSHIPDEPOSITRY RCPT732857107107315560SHOTR1000PROCTER & GAMBLE COCOM742718109175921821SHOTR 214010420PROCTER & GAMBLE COCOM742718109157419524SHOTR11952400QUESTAR CORPCOM748356102276161161296SHOTR 115668104615QUESTAR CORPCOM748356102395561663385SHOTR116631950190SANOFIRIGHT 12/31/202080105N11353172300SHOTR18830000SANOFISPONSORED ADR80105N10531201596815SHOTR 59432502490SANOFISPONSORED ADR80105N10537430715955SHOTR171595500STONEGATE MTG CORPCOM86181Q30012045810578SHOTR 80721803360STONEGATE MTG CORPCOM86181Q30013088880707SHOTR187426706440SYMETRA FINL CORPCOM87151Q1062151108502SHOTR 10850200SYMETRA FINL CORPCOM87151Q106102551735SHOTR14674500TELEFLEX INCCOM87936910645850427542SHOTR 42574201800TELEFLEX INCCOM87936910656331525283SHOTR152528300TELEFLEX INCNOTE 3.875% 8/0879369AA43218218150000PRNOTR11815000000THOMPSON CREEK METALS CO INCCOM8847681023315000SHOTR10015000TRIUMPH GROUP INC NEWCOM89681810136028557880SHOTR155788000TRIUMPH GROUP INC NEWCOM89681810130238468225SHOTR 46617502050UNILEVER N VN Y SHS NEW90478470940233978426SHOTR 97379104635UNILEVER N VN Y SHS NEW904784709508751237237SHOTR1123723700UNION PAC CORPCOM9078181085633000SHSOLE 300000VALEANT PHARMACEUTICALS INTLCOM91911K10259498451327SHOTR 44946301864VALEANT PHARMACEUTICALS INTLCOM91911K10268402518866SHOTR151686602000VANGUARD INTL EQUITY INDEX FFTSE EMR MKT ETF9220428582065075PRNOTR1507500VIACOM INC NEWCL B92553P20140308474267SHOTR 47217702090VIACOM INC NEWCL B92553P20150032588684SHOTR158868400WELLS FARGO & CO NEWCOM9497461014859755SHOTR1975500XEROX CORPCOM984121103210171859869SHOTR 185212407745XEROX CORPCOM984121103245212169968SHOTR1216996800XPO LOGISTICS INCNOTE 4.500%10/0983793AA8161258600000PRNOTR1860000000