-----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, R9Dd19ehptH1HGppv7H/MHqgPbjnvUFbmgIMAHmsO5iPItvsVCkXBdtRtlHCZCE1 5g6/BuzHl4KLcpzZBfKKmA== 0000897069-03-001423.txt : 20031114 0000897069-03-001423.hdr.sgml : 20031114 20031114121119 ACCESSION NUMBER: 0000897069-03-001423 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030930 FILED AS OF DATE: 20031114 EFFECTIVENESS DATE: 20031114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: KEELEY ASSET MANAGEMENT CORP CENTRAL INDEX KEY: 0001056504 IRS NUMBER: 363160361 STATE OF INCORPORATION: IL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-06810 FILM NUMBER: 031001848 BUSINESS ADDRESS: STREET 1: 401 SOUTH LASALLE STREET STREET 2: STE 1201 CITY: CHICAGO STATE: IL ZIP: 60605 BUSINESS PHONE: 3127865000 MAIL ADDRESS: STREET 1: KELLEY ASSET MANAGEMENT CORP STREET 2: 401 S LASALLE ST STE 1201 CITY: CHICAGO STATE: IL ZIP: 60605 13F-HR/A 1 sdc558.txt 13F HOLDINGS REPORT RESTATEMENT 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, 2003 Check here if Amendment [ x ]; Amendment Number: This Amendment (Check only one.): [ x ] is a restatement. [ ] adds new holdings entries. Institutional investment Manager Filing this Report: Name: Keeley Asset Management Corp. Address: 401 S. LaSalle Street Suite 1201 Chicago, IL 60605 13F File Number: 28-6810 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: John L. Keeley, Jr. Title: President Phone: 312-786-5000 Signature, Place, and Date of Signing: John L. Keeley, Jr., Chicago, IL, September 30, 2003 Report Type (Check only one.): [X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT List of other Managers Reporting for this Manager: None I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 208 Form 13F Information Table Value Total: 784,600.00 List of Other Included Managers: None
VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CUSIP (X1000) PRN AMT PRN CALL DISCRETION MANAGER SOLE SHARED NONE - -------------- -------------- ------- ------- --- ---- ---------- ------- ---- ------ ---- A E S Corp COM 00130H105 2,297 309,600 SH SOLE 193,300 116,300 AT&T Wireless Svcs COM 00209a106 319 39,000 SH SOLE 39,000 Allstate Corp COM 020002101 5,457 149,390 SH SOLE 66,390 83,000 American Axl&Mfg H COM 024061103 1,538 52,000 SH SOLE 52,000 Amerus Group Co COM 03072m108 349 10,250 SH SOLE 10,250 Ametek COM 031100100 2,250 52,500 SH SOLE 29,500 23,000 Apache Corp COM 037411105 6,364 91,780 SH SOLE 31,840 59,940 Apogent Technologi COM 03760a101 221 10,600 SH SOLE 10,600 Aztar Corp COM 054802103 3,427 193,525 SH SOLE 140,525 53,000 BKF Capital Group COM 05548g102 749 31,000 SH SOLE 31,000 Bank Mutual Corp COM 063748107 212 5,000 SH SOLE 5,000 Banc One Corp. COM 06423a103 329 8,500 SH SOLE 8,500 Barrick Gold Corp COM 067901108 245 13,000 SH SOLE 13,000 Berkshire Hills Ba COM 084680107 8,867 263,200 SH SOLE 216,815 46,385 Boardwalk Bank *W EXP 1096611116 54 17,100 SH SOLE 17,100 Boston Private Fin COM 101119105 2,568 109,000 SH SOLE 98,000 11,000 Bowne & Co Inc COM 103043105 1,247 83,420 SH SOLE 82,985 435 Brinks Co COM 109696104 5,508 317,260 SH SOLE 241,160 76,100 Brookline Bancorp COM 11373m107 4,508 305,238 SH SOLE 305,238 CFS Bancorp COM 12525d102 3,170 227,734 SH SOLE 203,105 24,629 C I T Group COM 125581108 12,627 439,045 SH SOLE 233,645 205,400 CMS Energy Corp COM 125896100 1,244 168,800 SH SOLE 168,800 Canadian Pacific L COM 13645t100 7,919 335,395 SH SOLE 171,895 163,500 Capitol Federal Fi COM 14057c106 345 11,775 SH SOLE 11,775 Catellus Developem COM 149111106 12,680 518,595 SH SOLE 329,990 188,605 Cendant Corp. COM 151313103 348 18,600 SH SOLE 18,600 Ceridian Corp COM 156779100 5,367 288,255 SH SOLE 122,735 165,520 Certegy Inc COM 156880106 2,790 86,887 SH SOLE 66,887 20,000 Chesapeake Energy COM 165167107 2,054 190,500 SH SOLE 152,000 38,500 Chesterfield Finan COM 166435107 6,112 271,520 SH SOLE 250,715 20,805 Chicago Bridge & INY REGIS 167250109 13,035 479,930 SH SOLE 405,750 74,180 Choice Hotels Hold COM 169905106 15,876 547,085 SH SOLE 345,820 201,265 Chiquita Brands In *W EXP 0170032114 153 32,600 SH SOLE 32,600 Chiquita Brands In COM 170032809 6,291 355,420 SH SOLE 283,590 71,830 Cimarex Energy Co COM 171798101 4,044 206,305 SH SOLE 149,405 56,900 Cincinnati Financi COM 172062101 2,841 71,020 SH SOLE 53,020 18,000 Circor Intl Inc COM 17273k109 3,750 195,290 SH SOLE 167,830 27,460 Citigroup Inc COM 172967101 828 18,200 SH SOLE 18,200 Citizens Communica COM 17453b101 5,092 454,279 SH SOLE 396,934 57,345 Citizens First Ban COM 17461r106 4,165 201,185 SH SOLE 167,585 33,600 Comm Bancorp Inc N COM 200519106 359 7,500 SH SOLE 7,500 Commercial Metals COM 201723103 5,337 290,506 SH SOLE 230,111 60,395 Comstock Resources COM 205768203 3,681 357,855 SH SOLE 265,365 92,490 Conocophillips COM 20825c104 214 3,900 SH SOLE 3,900 Conseco Inc. New COM 208464883 1,474 81,600 SH SOLE 52,100 29,500 Corus Bankshares I COM 220873103 214 4,000 SH SOLE 4,000 Cox Communications CL A 224044107 2,055 65,000 SH SOLE 65,000 Crane Co. COM 224399105 2,597 110,940 SH SOLE 85,000 25,940 Curtiss-Wright Cla CL B 231561408 232 3,247 SH SOLE 3,247
VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CUSIP (X1000) PRN AMT PRN CALL DISCRETION MANAGER SOLE SHARED NONE - -------------- -------------- ------- ------- --- ---- ---------- ------- ---- ------ ---- Cypress Semiconduc COM 232806109 265 15,000 SH SOLE 15,000 Del Monte Foods Co COM 24522P103 2,820 323,780 SH SOLE 231,800 91,980 Deltic Timber Corp COM 247850100 5,338 184,570 SH SOLE 145,015 39,555 Dover Corp. COM 260003108 5,031 142,240 SH SOLE 50,540 91,700 Dover Downs Gaming COM 260095104 2,080 253,042 SH SOLE 207,042 46,000 Dun & Bradstreet COM 26483e100 13,990 336,782 SH SOLE 214,277 122,505 E*Trade Group Inc COM 269246104 232 25,000 SH SOLE 25,000 Encore Acquisition COM 29255w100 1,078 50,000 SH SOLE 50,000 Energizer Holdings COM 29266r108 3,396 92,350 SH SOLE 64,000 28,350 Enpro Industries I COM 29355x107 5,520 571,995 SH SOLE 448,220 123,775 Equifax Inc. COM 294429105 5,252 280,715 SH SOLE 118,735 161,980 Evergreen Resource COM 299900308 5,359 198,470 SH SOLE 165,370 33,100 FMC Technologies I COM 30249u101 12,194 569,265 SH SOLE 364,865 204,400 Fidelity National COM 316326107 9,365 311,560 SH SOLE 154,348 157,212 First Niagara Fina COM 33582v108 1,811 120,000 SH SOLE 120,000 First SecurityFed COM 336392105 208 7,057 SH SOLE 7,057 Flowers Foods Inc COM 343498101 19,002 833,430 SH SOLE 533,823 299,607 Flowserve Corp. COM 34354p105 1,088 53,575 SH SOLE 53,575 Fortune Brands COM 349631101 8,656 152,520 SH SOLE 72,490 80,030 Friedman Billings CL A 358434108 574 33,300 SH SOLE 33,300 Furniture Brands I COM 360921100 3,918 162,575 SH SOLE 123,575 39,000 Gardner Denver Inc COM 365558105 2,006 95,500 SH SOLE 55,000 40,500 Gaylord Entmt Co. COM 367905106 3,640 148,250 SH SOLE 127,750 20,500 Getty Realty Corpo COM 374297109 2,181 89,000 SH SOLE 89,000 Gray Television In COM 389375106 2,322 198,800 SH SOLE 124,800 74,000 Gray Television Cl CL A 389375205 516 44,500 SH SOLE 44,500 Greenpoint Financi COM 395384100 5,955 199,426 SH SOLE 105,626 93,800 Griffon Corp COM 398433102 4,097 228,140 SH SOLE 228,140 Hancock John Finan COM 41014s106 9,691 286,729 SH SOLE 151,029 135,700 Harbor FL Bancshar COM 411901101 3,333 125,010 SH SOLE 88,110 36,900 Hartford Financial COM 416515104 6,182 117,470 SH SOLE 49,270 68,200 Harvest Natural Re COM 41754v103 843 137,000 SH SOLE 137,000 Hearst-Argyle Tele COM 422317107 5,821 240,520 SH SOLE 94,460 146,060 Hudson City Bancor COM 443683107 5,763 187,000 SH SOLE 150,000 37,000 Hudson River Banco COM 444128102 4,875 151,680 SH SOLE 145,480 6,200 IHOP Corporation COM 449623107 3,861 117,530 SH SOLE 84,030 33,500 ITT Corp. COM 450911102 7,543 126,045 SH SOLE 67,915 58,130 Impco Technologies COM 45255w106 359 50,000 SH SOLE 50,000 Interactive Data C COM 45840j107 3,342 211,550 SH SOLE 196,550 15,000 IShares Russell 20 RUSSELL 464287655 602 6,200 SH SOLE 6,200 IShares Tr Dow Jon DJ US FI 464287788 772 9,700 SH SOLE 9,700 JLG Industries Inc COM 466210101 403 35,000 SH SOLE 35,000 Jefferies Group In COM 472319102 7,052 245,300 SH SOLE 201,400 43,900 Journal Register C COM 481138105 4,808 256,450 SH SOLE 191,350 65,100 Joy Global Inc COM 481165108 5,347 335,469 SH SOLE 266,071 69,398 Kansas City Southe COM 485170302 6,065 547,922 SH SOLE 443,607 104,315 Key Energy Service COM 492914106 2,832 293,450 SH SOLE 237,250 56,200 Leggett & Platt In COM 524660107 203 9,400 SH SOLE 9,400 Lennar Corp Cl A CL A 526057104 1,066 13,704 SH SOLE 13,704 Leucadia National COM 527288104 9,416 248,763 SH SOLE 125,863 122,900
VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CUSIP (X1000) PRN AMT PRN CALL DISCRETION MANAGER SOLE SHARED NONE - -------------- -------------- ------- ------- --- ---- ---------- ------- ---- ------ ---- Liberty Media Corp SER A 530718105 1,844 185,000 SH SOLE 185,000 Limited Brands Inc COM 532716107 1,546 102,500 SH SOLE 102,500 Longview Fibre Co COM 543213102 3,088 316,100 SH SOLE 196,800 119,300 Magnum Hunter Res *W EXP 055972f138 15 61,772 SH SOLE 47,196 14,576 Magnum Hunter Res COM 55972f203 4,809 601,880 SH SOLE 495,590 106,290 Marathon Oil Corp COM 565849106 1,887 66,200 SH SOLE 56,800 9,400 Marshall & Ilsley COM 571834100 208 6,600 SH SOLE 6,600 Marriott Intl Cl A CL A 571903202 7,095 164,885 SH SOLE 70,705 94,180 Martin Marietta Ma COM 573284106 2,878 78,960 SH SOLE 63,270 15,690 Masco Corp. COM 574599106 5,457 222,907 SH SOLE 123,907 99,000 Meadowbrook Insura COM 58319p108 746 180,600 SH SOLE 180,600 Media General Inc COM 584404107 8,022 131,295 SH SOLE 67,445 63,850 Meredith Corp. COM 589433101 8,857 191,825 SH SOLE 99,725 92,100 Merrill Lynch & Co COM 590188108 482 9,000 SH SOLE 9,000 Methode Electrs Cl CL A 591520200 7,473 634,403 SH SOLE 512,333 122,070 MetLife Inc COM 59156r108 6,878 245,215 SH SOLE 109,315 135,900 Michaels Stores In COM 594087108 208 5,100 SH SOLE 5,100 Mony Group Inc. COM 615337102 4,416 135,675 SH SOLE 125,525 10,150 Moody Corp COM 615369105 9,456 172,015 SH SOLE 87,715 84,300 Moog Inc. Cl A CL A 615394202 1,842 47,000 SH SOLE 34,000 13,000 Moog Inc. Cl B CL B 615394301 708 18,000 SH SOLE 18,000 Moore Wallace Inc COM 615857109 6,456 454,680 SH SOLE 362,825 91,855 Myers Inds. Inc. COM 628464109 1,752 175,000 SH SOLE 109,000 66,000 Neiman Marcus Grou CL B 640204301 3,974 101,555 SH SOLE 74,135 27,420 Netbank Inc. COM 640933107 453 36,200 SH SOLE 36,200 Network Equip. Tec COM 641208103 1,039 113,500 SH SOLE 113,500 New York Times Cl CL A 650111107 759 17,455 SH SOLE 14,455 3,000 Nextel Comm Inc Cl CL A 65332V103 256 13,000 SH SOLE 13,000 Northern Trust Cor COM 665859104 233 5,500 SH SOLE 5,500 Occidental Petrole COM 674599105 4,109 116,640 SH SOLE 87,190 29,450 OceanFirst Financi COM 675234108 900 36,000 SH SOLE 36,000 Old Republic Intl COM 680223104 13,435 406,029 SH SOLE 232,409 173,620 Pactiv Corporation COM 695257105 2,254 111,120 SH SOLE 104,120 7,000 Park Place Enterta COM 700690100 1,014 112,500 SH SOLE 112,500 Partners Trust Fin COM 70213a103 7,129 324,805 SH SOLE 276,960 47,845 Pepsi Bottling Gro COM 713409100 5,327 258,820 SH SOLE 113,820 145,000 Pepsico Inc COM 713448108 5,821 127,010 SH SOLE 46,700 80,310 Phoenix Cos Inc COM 71902e109 5,500 476,160 SH SOLE 363,660 112,500 Pinnacle Entertain COM 723456109 833 119,000 SH SOLE 119,000 Plains Expl & Prod COM 726505100 5,944 476,675 SH SOLE 371,675 105,000 Principal Financia COM 74251v102 8,087 260,965 SH SOLE 129,965 131,000 Private Bancorp In COM 742962103 1,026 31,000 SH SOLE 31,000 Providence & Worce COM 743737108 2,278 255,685 SH SOLE 181,485 74,200 Provident Finl Hol COM 743868101 1,082 36,029 SH SOLE 36,029 Provident Financia COM 74386t105 13,696 714,810 SH SOLE 441,470 273,340 Prudential Financi COM 744320102 7,984 213,695 SH SOLE 109,035 104,660 Pulitzer Pubg Co COM 745769109 5,312 101,950 SH SOLE 76,250 25,700 R & G Finl Corp Cl CL B 749136107 336 11,500 SH SOLE 11,500 RH Donnelly Corp. COM 74955w307 6,282 155,449 SH SOLE 143,099 12,350 RPM International COM 749685103 202 15,500 SH SOLE 15,500
VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CUSIP (X1000) PRN AMT PRN CALL DISCRETION MANAGER SOLE SHARED NONE - -------------- -------------- ------- ------- --- ---- ---------- ------- ---- ------ ---- RF Micro Device In COM 749941100 231 25,000 SH SOLE 25,000 Ralcorp Holdings I COM 751028101 8,076 291,565 SH SOLE 248,640 42,925 Regal Beloit Corp. COM 758750103 1,720 84,331 SH SOLE 61,300 23,031 Regional Bk Holder DEPOSIT O75902e100 680 6,000 SH SOLE 6,000 Reliant Resources COM 75952B105 1,389 271,300 SH SOLE 271,300 Rockwell Automatio COM 773903109 8,919 339,775 SH SOLE 154,115 185,660 Roto Rooter Inc COM 778787101 7,796 219,310 SH SOLE 114,110 105,200 Ryder Systems COM 783549108 2,375 81,000 SH SOLE 60,000 21,000 SPDR Trust Ser 1 U UNIT SER 78462f103 750 7,500 SH SOLE 7,500 Safeguard Scientif COM 786449108 230 67,500 SH SOLE 67,500 St. Joe Corp. COM 790148100 8,434 262,890 SH SOLE 150,140 112,750 Sara Lee Corp COM 803111103 2,566 139,750 SH SOLE 139,750 Sauer Danfoss Inc. COM 804137107 2,396 169,950 SH SOLE 128,450 41,500 Henry Schein Inc. COM 806407102 238 4,200 SH SOLE 4,200 Schwab Corp COM 808513105 286 24,000 SH SOLE 24,000 Sector Sdpr Indust SBI INT- 81369y704 279 12,000 SH SOLE 12,000 ServiceMaster Co COM 81760n109 176 17,200 SH SOLE 17,200 Smucker JM Co. COM 832696405 10,820 256,636 SH SOLE 136,455 120,181 Spinnaker Explorat COM 84855w109 2,052 85,500 SH SOLE 85,500 Stage Stores Inc COM 85254c305 1,759 69,250 SH SOLE 69,250 Stancorp Financial COM 852891100 3,721 64,765 SH SOLE 64,765 Standard Pacific COM 85375C101 1,099 29,000 SH SOLE 29,000 Steak N Shake COM 857873103 2,745 184,230 SH SOLE 112,230 72,000 Sybron Dental Spec COM 871142105 15,367 612,960 SH SOLE 372,260 240,700 Tenneco Automotive COM 880349105 2,064 328,100 SH SOLE 249,100 79,000 Terex Corp. COM 880779103 4,913 265,115 SH SOLE 213,115 52,000 Texas Genco Holdin COM 882443104 2,059 86,533 SH SOLE 73,533 13,000 Textron COM 883203101 5,768 146,210 SH SOLE 60,110 86,100 Thomas & Betts Cor COM 884315102 2,051 129,390 SH SOLE 79,990 49,400 Thomas Indust COM 884425109 4,121 144,500 SH SOLE 144,500 Tierone Corporatio COM 88650r108 6,248 295,950 SH SOLE 238,750 57,200 Timken Co. COM 887389104 1,594 104,600 SH SOLE 104,010 590 Spdr FD Materials SBI MATE 81369y100 284 13,000 SH SOLE 13,000 Triarc Co. Inc. CL A 895927101 2,071 205,690 SH SOLE 161,115 44,575 Triarc Co Inc Cl BCL B SER 895927309 4,175 401,470 SH SOLE 314,320 87,150 Tyco Intl Inc. COM 902124106 306 15,000 SH SOLE 15,000 Tyler Corp COM 902252105 1,187 167,705 SH SOLE 167,705 Union Pacific Corp COM 907818108 5,785 99,445 SH SOLE 47,045 52,400 Unionbancal Corp COM 908906100 422 8,500 SH SOLE 8,500 Unisys COM 909214108 271 20,000 SH SOLE 20,000 United Financial C COM 909919102 216 9,390 SH SOLE 9,390 Unitrin Inc COM 913275103 10,466 343,600 SH SOLE 213,450 130,150 Viacom Inc Cl B CL B 925524308 5,264 137,436 SH SOLE 53,996 83,440 Volt Information S COM 928703107 248 15,000 SH SOLE 15,000 W Holding Company COM 929251106 224 12,500 SH SOLE 12,500 Wabtec COM 929740108 3,405 214,822 SH SOLE 206,422 8,400 Waddell & Reed Fin CL A 930059100 11,482 487,125 SH SOLE 276,825 210,300 Wal Mart Stores COM 931142103 335 6,000 SH SOLE 6,000 Water Pik Technolo COM 94113u100 4,268 426,845 SH SOLE 357,695 69,150 Watts Inds Inc Cl CL A 942749102 1,461 82,890 SH SOLE 76,090 6,800
VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CUSIP (X1000) PRN AMT PRN CALL DISCRETION MANAGER SOLE SHARED NONE - -------------- -------------- ------- ------- --- ---- ---------- ------- ---- ------ ---- Waypoint Financial COM 946756103 4,466 222,739 SH SOLE 184,246 38,493 Webster Finl Corp COM 947890109 6,731 168,770 SH SOLE 56,970 111,800 Westar Energy Inc COM 95709t100 14,721 797,880 SH SOLE 474,895 322,985 Westwood Hldg Grou COM 961765104 815 48,000 SH SOLE 48,000 Wintrust Financial COM 97650W108 869 23,000 SH SOLE 23,000 Zale Corp COM 988858106 4,004 90,170 SH SOLE 69,170 21,000 China Yuchai Intl. COM g21082105 280 15,800 SH SOLE 15,800 Ingersoll Rand CL A G4776G101 4,676 87,500 SH SOLE 27,000 60,500 WP Stewart & Co. L COM g84922106 388 18,556 SH SOLE 18,356 200
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