-----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, TTl3rnQyr5tl0dO2p6p5892ySX5spif3Qq4QxsfT2KT1x7I6/7d1Fj+32lMww9lO ARcZfICVllC4tsuFj4IoiQ== 0001116679-01-501013.txt : 20020411 0001116679-01-501013.hdr.sgml : 20020411 ACCESSION NUMBER: 0001116679-01-501013 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010930 FILED AS OF DATE: 20011115 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CANNELL CAPITAL LLC CENTRAL INDEX KEY: 0001058854 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 943366999 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06453 FILM NUMBER: 1792496 BUSINESS ADDRESS: STREET 1: 2500 18TH STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94110 BUSINESS PHONE: 4158358300 MAIL ADDRESS: STREET 1: 2500 18TH STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94110 FORMER COMPANY: FORMER CONFORMED NAME: CANNELL J CARLO DBA CANNELL CAPITAL MGMT DATE OF NAME CHANGE: 19980330 13F-HR 1 cc13f.txt 9/30/01 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, 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: Cannell Capital LLC --------------------------------------------------- Address: 150 California Street --------------------------------------------------- San Francisco, CA 94111 --------------------------------------------------- --------------------------------------------------- Form 13F File Number: 28- 6453 ------------ 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: J. Carlo Cannell --------------------------------------------------- Title: Managing Member --------------------------------------------------- Phone: 415-229-8115 --------------------------------------------------- Signature, Place, and Date of Signing: /s/ J. Carlo Cannell San Francisco, CA 11/15/2001 ----------------------------- ------------------------------ ------------- [Signature] [City, State] [Date] 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: 0 ------------------- Form 13F Information Table Entry Total: 74 ------------------- Form 13F Information Table value Total: $ 491,993 ------------------- (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] NONE
Form 13F INFORMATION TABLE CANNELL CAPITAL LLC Managed Assets as of 9/30/2001 - ------------------------------------------------------------------------------------------------------------------------------------ COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 - ------------------------------------------------------------------------------------------------------------------------------------ VALUE SHS OR PRN SH/ PUT/ INVESTMENT NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) AMT PRN CALL DISCRETION - ------------------------------------------------------------------------------------------------------------------------------------ 3TEC ENERGY CORP COM NEW COMMON 88575r308 10,129 710,800 SH SOLE ADEPT TECHNOLOGY INC COMMON 006854103 2,292 761,400 SH SOLE ADTRAN INC COMMON 00738A106 6,062 317,400 SH SOLE ALDILA INC COM COMMON 014384101 1,900 1,520,050 SH SOLE ALLIANCE SEMICONDUCTOR CORP COMMON 01877h100 7,135 993,700 SH SOLE AMCOL INTERNATIONAL CORP COMMON 02341w103 7,060 1,249,500 SH SOLE AMERICA SVC GROUP INC COM COMMON 02364l109 2,712 484,200 SH SOLE CALIFORNIA MICRO DEVIC COM COMMON 130439102 2,850 800,500 SH SOLE CASCADE CORP COM COMMON 147195101 7,107 764,200 SH SOLE COLUMBUS MCKINNON CORP-N.Y. COMMON 199333105 6,766 650,600 SH SOLE COMTECH TELECOMMUNICAT COM NEW COMMON 205826209 7,833 531,780 SH SOLE CONRAD INDS INC COM COMMON 208305102 4,013 750,000 SH SOLE CONSOLIDATED GRAPHICS INC COMMON 209341106 9,157 536,100 SH SOLE CORNELL COMPANIES INC CMN COMMON 219141108 9,857 555,300 SH SOLE DAVOX CORP COMMON 239208101 6,879 865,300 SH SOLE DITECH COMMUNICATIONS CORP COMMON 25500m103 2,934 698,600 SH SOLE ENNIS BUSINESS FORMS INC COMMON 293389102 11,797 1,378,100 SH SOLE FAMOUS DAVE'S OF AMERICA COMMON 307068106 1,703 179,300 SH SOLE FILENET CORP COMMON 316869106 2,769 275,000 SH SOLE FIRST YRS INC COM COMMON 337610109 5,553 536,500 SH SOLE GALILEO INTERNATIONAL, INC. COMMON 363547100 18,167 875,100 SH SOLE HERBALIFE INTERNATIONAL CL-B COMMON 426908307 6,744 706,200 SH SOLE HOOPER HOLMES INC COM COMMON 439104100 9,525 1,526,500 SH SOLE HUGOTON RTY TR TEX UNIT BEN INT UNIT BEN INT 444717102 9,067 911,300 SH SOLE ICO INC. COMMON 449293307 589 44,890 SH SOLE INSITUFORM TECHNOLOGIES INC COMMON 457667103 14,477 849,100 SH SOLE INTER PARFUMS INC COM COMMON 458334109 7,681 964,975 SH SOLE INTERLINQ SOFTWARE CP COM COMMON 458753100 1,869 911,800 SH SOLE KEYNOTE SYSTEMS INC COMMON 493308100 3,040 400,000 SH SOLE KROLL INC COMMON 501049100 13,102 1,150,300 SH SOLE MAPICS INC COM COMMON 564910107 9,686 1,723,400 SH SOLE MEDQUIST INC COMMON 584949101 15,302 608,448 SH SOLE METRO ONE TELECOMM COM COMMON 59163f105 6,519 281,000 SH SOLE MOBIUS MGMT SYS COM COMMON 606925105 5,385 1,923,100 SH SOLE NATIONAL RESEARCH CORP COM COMMON 637372103 3,781 661,600 SH SOLE OPINION RESH CORP COM COMMON 683755102 3,588 664,389 SH SOLE ORPHAN MEDICAL INC COMMON 687303107 4,594 624,996 SH SOLE OSCA INC COMMON 687836106 10,732 692,400 SH SOLE PACTIV CORPORATION COMMON 695257105 11,628 802,500 SH SOLE PC-TEL INC CMN COMMON 69325q105 11,418 1,522,400 SH SOLE PEDIATRIC SVCS OF AMERICA COMMON 705323103 3,034 436,500 SH SOLE PEGASUS SOLUTIONS INC CMN COMMON 705906105 10,184 1,215,300 SH SOLE PRIDE INTERNATIONAL COMMON 74153q102 6,926 666,000 SH SOLE QUALITY SYS INC COM COMMON 747582104 6,028 576,800 SH SOLE RADCOM LTD ORD COMMON m81865103 1,101 1,100,840 SH SOLE RANGE RESOURCES CORPORATION COMMON 75281a109 12,691 2,671,700 SH SOLE SI TECHNOLOGIES INC COM COMMON 783978109 681 524,000 SH SOLE SOUTHWESTERN ENERGY CO COM COMMON 845467109 14,019 1,183,000 SH SOLE SPECTRUM CONTROL INC COMMON 847615101 5,074 1,077,186 SH SOLE SPORTS AUTHORITY COMMON 849176102 3,884 983,300 SH SOLE STANCORP FINANCIAL CORP, INC. COMMON 852891100 19,007 392,700 SH SOLE THE CATO CORPORATION CLASS A CMN CLASS A COMMON 149205106 12,178 814,050 SH SOLE TIMBERLINE SOFTWARE CP COM COMMON 887134104 6,728 1,225,500 SH SOLE TRICO MARINE SVCS INC COM COMMON 896106101 6,983 1,179,500 SH SOLE U S PHYSICAL THERAPY COM COMMON 90337l108 16,930 1,043,150 SH SOLE UNIVERSAL ELECTRS INC COMMON 913483103 5,266 349,200 SH SOLE VIRTUAL CMNTYS INC COM COMMON 92825d101 3 258,900 SH SOLE VISIONICS CORP DEL COMMON 9.28E+105 279 23,500 SH SOLE VISX INC DEL COM COMMON 92844s105 10,575 799,300 SH SOLE WEBHIRE INC COM COMMON 94768w203 1,220 413,440 SH SOLE AEROSPACE CV 055381af4 325 500,000 SH SOLE AGNICO EAGLE MINES LTD CV 008474aa6 5,160 6,000,000 SH SOLE AMAZON COM INC CONV SUB NTS CV 023135af3 4,686 12,250,000 SH SOLE AMERITRADE HOLDINGS CORP CV 03072hab5 7,470 10,094,000 SH SOLE BROADBAND TECHNOLOGIES INC CV 111309ac4 18 1,750,000 SH SOLE CENTRAL GARDEN & PET CO CV 153527ac0 7,755 10,071,000 SH SOLE CONEXANT SYSTEMS INC SUB NOTE CONV CV 207142af7 4,770 9,000,000 SH SOLE E TRADE GROUP INC CONV SUB NOTE CV 269246ab0 15,635 26,500,000 SH SOLE INTEGRAT PROCESS EQUIP CV BD CV 45812kad0 2,951 8,555,000 SH SOLE LECHTERS INC CVT SUB DEB 5% 09/27/2001 SEP CV u52323aa7 68 6,835,000 SH SOLE NABI INC CV 628716AB8 1,593 1,790,000 SH SOLE NTL INC / NTL COMMUNICATIONS CORP SR NT CONV CV 62941aab5 8,400 21,000,000 SH SOLE TRANSWITCH CORP CV 894065ab7 2,720 4,000,000 SH SOLE VIROPHARMA INC CV 928241ac2 4,253 8,100,000 SH SOLE - -------------------------------------------------------------------------------------- COLUMN 1 COLUMN 7 COLUMN 8 - -------------------------------------------------------------------------------------- VOTING AUTHORITY OTHER ------------------------------- NAME OF ISSUER MGRS SOLE SHARED NONE - -------------------------------------------------------------------------------------- # OF EACH TYPE 3TEC ENERGY CORP COM NEW 620,300 90,500 ADEPT TECHNOLOGY INC 632,700 128,700 ADTRAN INC 281,300 36,100 ALDILA INC COM 1,323,050 197,000 ALLIANCE SEMICONDUCTOR CORP 883,461 110,239 AMCOL INTERNATIONAL CORP 1,038,900 210,600 AMERICA SVC GROUP INC COM 427,800 56,400 CALIFORNIA MICRO DEVIC COM 704,900 95,600 CASCADE CORP COM 641,700 122,500 COLUMBUS MCKINNON CORP-N.Y. 548,600 102,000 COMTECH TELECOMMUNICAT COM NEW 466,507 65,273 CONRAD INDS INC COM 650,100 99,900 CONSOLIDATED GRAPHICS INC 476,215 59,885 CORNELL COMPANIES INC CMN 490,700 64,600 DAVOX CORP 718,600 146,700 DITECH COMMUNICATIONS CORP 614,000 84,600 ENNIS BUSINESS FORMS INC 1,219,100 159,000 FAMOUS DAVE'S OF AMERICA 148,700 30,600 FILENET CORP 243,700 31,300 FIRST YRS INC COM 445,200 91,300 GALILEO INTERNATIONAL, INC. 775,700 99,400 HERBALIFE INTERNATIONAL CL-B 586,100 120,100 HOOPER HOLMES INC COM 1,350,400 176,100 HUGOTON RTY TR TEX UNIT BEN INT 911,300 ICO INC. 44,890 INSITUFORM TECHNOLOGIES INC 752,700 96,400 INTER PARFUMS INC COM 808,825 156,150 INTERLINQ SOFTWARE CP COM 711,212 200,588 KEYNOTE SYSTEMS INC 354,400 45,600 KROLL INC 966,600 183,700 MAPICS INC COM 1,510,800 212,600 MEDQUIST INC 547,748 60,700 METRO ONE TELECOMM COM 249,100 31,900 MOBIUS MGMT SYS COM 1,684,699 238,401 NATIONAL RESEARCH CORP COM 536,640 124,960 OPINION RESH CORP COM 572,807 91,582 ORPHAN MEDICAL INC 526,049 98,947 OSCA INC 610,800 81,600 PACTIV CORPORATION 711,600 90,900 PC-TEL INC CMN 1,272,283 250,117 PEDIATRIC SVCS OF AMERICA 363,800 72,700 PEGASUS SOLUTIONS INC CMN 1,077,300 138,000 PRIDE INTERNATIONAL 590,218 75,782 QUALITY SYS INC COM 507,200 69,600 RADCOM LTD ORD 941,840 159,000 RANGE RESOURCES CORPORATION 2,370,330 301,370 SI TECHNOLOGIES INC COM 524,000 SOUTHWESTERN ENERGY CO COM 1,045,089 137,911 SPECTRUM CONTROL INC 961,686 115,500 SPORTS AUTHORITY 871,600 111,700 STANCORP FINANCIAL CORP, INC. 343,300 49,400 THE CATO CORPORATION CLASS A CMN CLASS A 696,250 117,800 TIMBERLINE SOFTWARE CP COM 1,058,730 166,770 TRICO MARINE SVCS INC COM 1,046,000 133,500 U S PHYSICAL THERAPY COM 922,500 120,650 UNIVERSAL ELECTRS INC 308,167 41,033 VIRTUAL CMNTYS INC COM 258,900 VISIONICS CORP DEL 20,800 2,700 VISX INC DEL COM 707,100 92,200 WEBHIRE INC COM 341,060 72,380 AEROSPACE 442,900 57,100 AGNICO EAGLE MINES LTD 5,125,000 875,000 AMAZON COM INC CONV SUB NTS 10,755,400 1,494,600 AMERITRADE HOLDINGS CORP 8,960,000 1,134,000 BROADBAND TECHNOLOGIES INC 1,750,000 CENTRAL GARDEN & PET CO 8,931,000 1,140,000 CONEXANT SYSTEMS INC SUB NOTE CONV 7,820,200 1,179,800 E TRADE GROUP INC CONV SUB NOTE 22,603,400 3,896,600 INTEGRAT PROCESS EQUIP CV BD 7,487,687 1,067,313 LECHTERS INC CVT SUB DEB 5% 09/27/2001 SEP 5,641,300 1,193,700 NABI INC 1,584,000 206,000 NTL INC / NTL COMMUNICATIONS CORP SR NT CONV 18,667,906 2,332,094 TRANSWITCH CORP 3,496,700 503,300 VIROPHARMA INC 8,100,000
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