13F-HR 1 sf13.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 13-F FORM 13F COVER PAGE REPORT FOR THE CALENDAR YEAR OR QUARTER ENDED: (March 31, 2007) CHECK HERE IF AMENDMENT ( ); AMENDMENT NUMBER: THIS AMENDMENT (CHECK ONLY ONE.): ( ) IS A RESTATEMENT. ( ) ADDS NEW HOLDINGS ENTRIES INSTITUTIONAL INVESTMENT MANAGER FILINGS THIS REPORT: NAME: WILLIAM D. WITTER, INC. ADDRESS: 153 EAST 53RD STREET, 51ST FLOOR NEW YORK, NY 10022 13F FILE NUMBER: 801-12695 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, LIST, AND TABLES, ARE CONSIDERED INTEGRAL PARTS OF THIS FORM. PERSON SIGNING THIS REPORT ON BEHALF OF REPORTING MANAGER: NAME: MICHAEL D. WITTER TITLE: CEO PHONE: (212) 753-7878 SIGNATURE, PLACE, AND DATE OF SIGNING: WILLIAM D. WITTER NEW YORK, NY (May 8, 2007) REPORT TYPE (CHECK ONLY ONE): (X) 13F HOLDING 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. SEC13F.LNS WILLIAM D. WITTER INC. FORM 13F SUMMARY PAGE AS OF DATE: 03/31/07 RUN DATE: 05/08/07 1:40 P.M. REPORT SUMMARY: NUMBER OF OTHER INCLUDED MANAGERS: 0 FORM 13F INFORMATION TABLE ENTRY TOTAL: 196 FORM 13F INFORMATION TABLE VALUE TOTAL: $131,064,000 LIST OF OTHER INCLUDED MANAGERS: NO. 13F FILE NUMBER WILLIAM D. WITTER INC. RUN DATE: 05/08/07 1:40 P.M. FORM 13F INFORMATION TABLE AS OF DATE: 03/31/07 VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 3D SYS CORP DEL NEW COM 88554D205 3375 154030 SH SOLE 100930 0 53100 AAR CORP COM 000361105 606 22000 SH SOLE 0 0 22000 ABM INDS INC COM COM 000957100 238 9000 SH SOLE 6000 0 3000 ACACIA RESH CORP AR ACACIA COM COM 003881307 623 39400 SH SOLE 35300 0 4100 ACCESS INTEGRATED TECHNLGS ICL COM 004329108 77 14200 SH SOLE 12200 0 2000 ACTIVISION INC NEW COM 004930202 230 12132 SH SOLE 10666 0 1466 ACUSPHERE INC COM 00511R870 223 80700 SH SOLE 70200 0 10500 ADOBE SYS INC COM 00724F101 1285 30806 SH SOLE 30806 0 0 AEROVOX INC COM 00808M105 0 19000 SH SOLE 12500 0 6500 ALASKA AIR GROUP INC COM 011659109 549 14400 SH SOLE 3400 0 11000 ALLEGHENY ENERGY INC COM COM 017361106 703 14300 SH SOLE 6300 0 8000 AMERICAN TELECOM SER WARRANT 0 WTS 03015P119 12 14500 SH SOLE 12400 0 2100 AMERICAN VANGUARD CORP COM 030371108 812 47500 SH SOLE 36100 0 11400 AMETEK INC NEW COM 031100100 1135 32850 SH SOLE 0 0 32850 AP PHARMA INC COM 00202J104 46 44700 SH SOLE 0 0 44700 ARMOR HLDGS INC COM COM 042260109 788 11705 SH SOLE 10905 0 800 ATWOOD OCEANICS INC COM 050095108 1878 32000 SH SOLE 19400 0 12600 BERKSHIRE HATHAWAY INC COM 084670108 2398 22 SH SOLE 9 0 13 BLACKROCK MUNIYIELD N Y INSDPF PFD 09255E201 200 8 SH SOLE 8 0 0 BREEZE-EASTERN CORP COM 106764103 1259 123400 SH SOLE 33100 0 90300 BROOKE CORP COM 112502109 348 28900 SH SOLE 25400 0 3500 BULLION RIV GOLD CORP COM 120255104 38 56400 SH SOLE 49000 0 7400 BULLION RIV GOLD CORP WARRANTS WTS 120255WTS 0 169200 SH SOLE 147000 0 22200 BULLION RIV GOLD CORP (RESTRIC COM 120255RES 115 169200 SH SOLE 147000 0 22200 BUSINESS OBJECTS S A ADR SPONS COM 12328X107 282 7800 SH SOLE 6600 0 1200 CABOT CORP COM 127055101 594 12450 SH SOLE 10250 0 2200 CACI INTL INC CL A COM 127190304 1054 22500 SH SOLE 22500 0 0 CALAMOS STRATEGIC TOTL RETN PF PFD 128125606 500 20 SH SOLE 20 0 0 CAMECO CORP COM 13321L108 2375 58000 SH SOLE 48000 0 10000 CAPTARIS INC COM 14071N104 232 40000 SH SOLE 2000 0 38000 CARRIAGE SVCS INC COM 143905107 193 23900 SH SOLE 0 0 23900 CASCADE BANCORP COM COM 147154108 227 8749 SH SOLE 7843 0 906 CASTLE BRANDS INC COM 148435100 204 29500 SH SOLE 25600 0 3900 CERADYNE INC CALIF COM 156710105 2762 50458 SH SOLE 48108 0 2350 CHESAPEAKE ENERGY CORP COM 165167107 1875 60710 SH SOLE 58610 0 2100 CHURCH & DWIGHT CO COM 171340102 317 6300 SH SOLE 6300 0 0 CIMAREX ENERGY CO COM 171798101 244 6600 SH SOLE 900 0 5700 CLEARPOINT BUSINESS RES INC CO COM 185061108 66 10800 SH SOLE 9200 0 1600 CMS ENERGY CORP COM 125896100 1011 56800 SH SOLE 56800 0 0 COINSTAR INC COM COM 19259P300 671 21450 SH SOLE 21450 0 0 COMPUTER SCIENCES CORP COM 205363104 282 5400 SH SOLE 5400 0 0 CONCEPTUS INC COM COM 206016107 958 47875 SH SOLE 46100 0 1775 CONSOLIDATED GRAPHICS INC COM 209341106 1078 14560 SH SOLE 14560 0 0 CORE LABORATORIES N V ADR COM N22717107 201 2400 SH SOLE 2400 0 0 COSI INC COM COM 22122P101 105 18900 SH SOLE 16600 0 2300 CYTYC CORP COM 232946103 1378 40275 SH SOLE 34650 0 5625 DAWSON GEOPHYSICAL CO COM 239359102 495 10000 SH SOLE 0 0 10000 DEAN FOODS CO NEW COM 242370104 351 7500 SH SOLE 5300 0 2200 DEARBORN BANCORP INC COM COM 24242R108 275 15750 SH SOLE 13650 0 2100 DEVON ENERGY CORP NEW COM 25179M103 403 5816 SH SOLE 5816 0 0 DG FASTCHANNEL INC COM COM 23326R109 171 10300 SH SOLE 8600 0 1700 DJO INCORPORATED COM COM 23325G104 511 13490 SH SOLE 12790 0 700 DOVER CORP COM 260003108 234 4800 SH SOLE 4800 0 0 DST SYS INC COM 233326107 1316 17500 SH SOLE 15300 0 2200 EARTHLINK INC COM COM 270321102 95 12900 SH SOLE 11400 0 1500 EATOCLAIMS INC COM COM 278578109 27 208200 SH SOLE 176900 0 31300 EMERSON ELEC CO COM 291011104 419 9730 SH SOLE 9730 0 0 ENERGY INFRASTRUCTURE ACQUI CO COM 29269P109 103 10700 SH SOLE 9100 0 1600 ENERGY INFRASTRUCTURE ACQUI WT WTS 29269P117 9 10700 SH SOLE 9100 0 1600 ENTEGRIS INC COM COM 29362U104 761 71098 SH SOLE 69462 0 1636 ENTERRA ENERGY TR TR UNIT COM 29381P102 51 9300 SH SOLE 9300 0 0 ENTERRA ENERGY UNITS RESTRICTE COM 29381PRES 6 1100 SH SOLE 0 0 1100 ENTRUST INC COM 293848107 705 175000 SH SOLE 148500 0 26500 EPICOR SOFTWARE CORP COM COM 29426L108 754 54215 SH SOLE 51615 0 2600 ESCHELON TELECOM INC COM 296290109 621 21500 SH SOLE 18900 0 2600 EVANS & SUTHERLAND COMPUTER(PH COM 299096107 434 137803 SH SOLE 137803 0 0 EVERCORE PARTNERS CL A COM 29977A105 415 13300 SH SOLE 11700 0 1600 EVEREST RE GROUP COM G3223R108 654 6800 SH SOLE 0 0 6800 EXXON MOBIL CORP COM 30231G102 380 5030 SH SOLE 4530 0 500 FARO TECHNOLOGIES INC COM COM 311642102 1637 56700 SH SOLE 47700 0 9000 FIRSTENERGY CORP COM COM 337932107 325 4900 SH SOLE 3800 0 1100 FLIR SYSTEM INC COM 302445101 1057 29639 SH SOLE 29639 0 0 FSI INTL INC COM COM 302633102 537 121400 SH SOLE 0 0 121400 FUELCELL ENERGY INC COM COM 35952H106 2116 269210 SH SOLE 259910 0 9300 GENERAL ELEC CO COM 369604103 472 13355 SH SOLE 12655 0 700 GLENAYRE TECHNOLOGIES INC COM 377899109 158 72800 SH SOLE 53300 0 19500 GLOBAL-TECH APPLIANCES INC ORD COM G39320109 339 105200 SH SOLE 0 0 105200 HANMI FINL CORP COM 410495105 229 12025 SH SOLE 10625 0 1400 HARRIS STRATEX NETWORKS INC COM 41457P106 1289 67150 SH SOLE 0 0 67150 HARTMARX CORP COM 417119104 266 36000 SH SOLE 0 0 36000 HIGHLAND HOSPITALITY CORP COM COM 430141101 231 13000 SH SOLE 1000 0 12000 HIMC CORP COM COM 40420G102 63 196800 SH SOLE 150000 0 46800 HMS HLDGS CORP COM 40425J101 778 35510 SH SOLE 33310 0 2200 IKANOS COMMUNICATIONS COM COM 45173E105 114 14700 SH SOLE 11000 0 3700 INTEGRAL SYS INC MD COM 45810H107 411 17000 SH SOLE 0 0 17000 INTEGRYS ENERGY GROUP INC COM 45822P105 966 17400 SH SOLE 17400 0 0 INTEL CORP COM 458140100 477 24925 SH SOLE 23225 0 1700 INTRALASE CORP COM 461169104 902 36090 SH SOLE 33715 0 2375 INTUITIVE SURGICAL INC COM NEW COM 46120E602 687 5650 SH SOLE 5150 0 500 IOMEGA CORP COM 462030305 668 178100 SH SOLE 97800 0 80300 IRIDIAN TECHNOLOGIES PFD SERIE PFD 462991662 0 59973 SH SOLE 59973 0 0 IRIDIAN TECHNOLOGIES "RESTRICT PFD 462994914 0 81693 SH SOLE 81693 0 0 IRIS INTERNATIONAL INC COM 46270W105 482 34525 SH SOLE 27525 0 7000 IRONCLAD PERFORMANCE WEAR COCO COM 463013102 61 134800 SH SOLE 117200 0 17600 KENEXA CORP COM 488879107 2028 65140 SH SOLE 60540 0 4600 KINTERA INC LEGEND REMOVED MAR COM 49720PRES 71 41900 SH SOLE 37900 0 4000 KLA-TENCOR CORP COM 482480100 698 13100 SH SOLE 11300 0 1800 LABORATORY CORP AMER HLDGS COM 50540R409 726 10000 SH SOLE 10000 0 0 LEHMAN BROTHERS HLDGS INC COM 524908100 1640 23400 SH SOLE 17400 0 6000 LIFECELL CORP COM 531927101 633 25335 SH SOLE 24535 0 800 LIFETIME BRANDS INC COM COM 53222Q103 873 41775 SH SOLE 39975 0 1800 LIONS GATE ENTMT CORP COM NEW COM 535919203 2323 203448 SH SOLE 192248 0 11200 LUNA INNOVATIONS COM 550351100 99 29100 SH SOLE 24700 0 4400 MATHSTAR INC COM COM 576801203 62 22600 SH SOLE 19600 0 3000 MAXIMUS COM 577933104 731 21200 SH SOLE 21200 0 0 MCCORMICK & CO INC NON VOTING COM 579780206 300 7800 SH SOLE 5800 0 2000 MDU RESOURCES GROUP INC COM 552690109 1380 48000 SH SOLE 0 0 48000 MEDECISION INC COM 58406P102 105 16200 SH SOLE 13800 0 2400 MEDICAL NUTRITION USA INC COM COM 58461X107 243 56500 SH SOLE 45500 0 11000 MEMC ELECTR MATLS INC COM COM 552715104 2735 45155 SH SOLE 42755 0 2400 MERCK & CO INC COM 589331107 234 5300 SH SOLE 4800 0 500 MESA AIR GROUP INC COM COM 590479101 75 10000 SH SOLE 10000 0 0 METROPOLITAN HLTH NTWRKSINC COM 592142103 665 332400 SH SOLE 0 0 332400 MKS INSTRS INC COM 55306N104 401 15721 SH SOLE 0 0 15721 MOBILITY ELECTRONICS INC COM 60741U101 47 15100 SH SOLE 10900 0 4200 NAPCO SEC SYS INC COM 630402105 257 48414 SH SOLE 0 0 48414 NATUS MED INC DEL COM 639050103 640 36000 SH SOLE 20000 0 16000 NEKTAR THERAPEUTICS COM 640268108 146 11200 SH SOLE 11200 0 0 NESS TECHNOLOGIES INC COM 64104X108 359 28100 SH SOLE 24700 0 3400 NETWORK-1 SEC SOLUTIONS INC CO COM 64121N109 62 36500 SH SOLE 31100 0 5400 NEWPARK RES INC COM PAR $.01NE COM 651718504 214 30300 SH SOLE 27100 0 3200 NEXMED INC WTS EXPIRE 06/18/20 WTS 652990458 0 140000 SH SOLE 140000 0 0 NUANCE COMMUNICATIONS INC COM COM 67020Y100 816 53310 SH SOLE 47710 0 5600 NUVASIVE INC COM 670704105 451 18985 SH SOLE 18985 0 0 NUVEEN N Y INVT QUALITY MUN PF PFD 67062X200 200 8 SH SOLE 8 0 0 OMI CORP COM COM Y6476W104 770 28650 SH SOLE 25100 0 3550 ON ASSIGNMENT INC COM 682159108 298 24000 SH SOLE 0 0 24000 OPENTV CORP CL A COM G67543101 170 69200 SH SOLE 61900 0 7300 ORACLE CORP COM 68389X105 3818 210600 SH SOLE 98700 0 111900 ORIENT EXPRESS HOTELS COM G67743107 281 4700 SH SOLE 4700 0 0 OXFORD INDS INC COM COM 691497309 548 11080 SH SOLE 10480 0 600 PACIFIC SUNWEAR CALIF INC COM 694873100 588 28245 SH SOLE 26645 0 1600 PARAMETRIC TECHNOLOGY CORP COM COM 699173209 393 20660 SH SOLE 18900 0 1760 PEOPLESUPPORT INC COM 712714302 199 17400 SH SOLE 17400 0 0 PETSMART INC COM 716768106 264 8000 SH SOLE 6800 0 1200 PFIZER INC COM 717081103 213 8450 SH SOLE 8250 0 200 PGT INC COM 69336V101 162 13500 SH SOLE 11500 0 2000 PHILLIPS VAN HEUSEN CORP COM COM 718592108 1150 19555 SH SOLE 18355 0 1200 PHOENIX TECHNOLOGIES LTD COM 719153108 113 18000 SH SOLE 0 0 18000 PIMCO HIGH INCOME FD PFD F AUC PFD 722014602 500 20 SH SOLE 20 0 0 PIONEER NAT RES CO COM 723787107 410 9500 SH SOLE 6500 0 3000 PLAYTEX PRODS INC COM COM 72813P100 223 16400 SH SOLE 11400 0 5000 POKERTEK INC COM 730864105 248 25025 SH SOLE 19900 0 5125 PRECISION CASTPARTS CORP COM 740189105 2120 20375 SH SOLE 16100 0 4275 PROSPECT ENERGY CORP COM 74348T102 230 13400 SH SOLE 11400 0 2000 QUEPASA COM INC COM NEW COM 74833W206 895 132000 SH SOLE 99500 0 32500 QUEPASA COM INC RESTRICTED COM 74833WXXX 926 136500 SH SOLE 136500 0 0 RANCHER ENERGY CORP COM COM 75188R106 290 218395 SH SOLE 218395 0 0 RANCHER ENERGY CORP WARRANTS E WTS 75188RWTS 0 2300000 SH SOLE 1840000 0 460000 RANCHER ENERGY CORP. RESTRICTE COM 75188XXXX 3059 2300000 SH SOLE 1840000 0 460000 ROO GROUP INC NEW COM 776349201 455 157535 SH SOLE 157535 0 0 ROO GROUP INC NEW RESTRICTED COM 776349RES 569 196941 SH SOLE 177407 0 19534 ROPER INDS INC NEW COM COM 776696106 209 3800 SH SOLE 2800 0 1000 RYANAIR HOLDINGS PLC-ADR COM 783513104 1209 27000 SH SOLE 0 0 27000 SAKS INC COM COM 79377W108 441 21175 SH SOLE 21175 0 0 SALIX PHARMACEUTICALS INC COM COM 795435106 1112 88290 SH SOLE 80690 0 7600 SECURE COMPUTING CORP COM 813705100 1733 225100 SH SOLE 169100 0 56000 SIERRA HEALTH SVCS INC COM COM 826322109 271 6580 SH SOLE 5980 0 600 SIRONA DENTAL SYSTEMS INC COM COM 82966C103 1034 30015 SH SOLE 27915 0 2100 SKYWEST INC COM 830879102 233 8700 SH SOLE 0 0 8700 SMITH INTL INC COM 832110100 865 18000 SH SOLE 0 0 18000 SOUTH JERSEY INDS INC COM COM 838518108 1458 38310 SH SOLE 38310 0 0 SOUTHERN UN CO NEW COM COM 844030106 1734 57050 SH SOLE 52950 0 4100 SOUTHWESTERN ENERGY CO COM COM 845467109 684 16700 SH SOLE 0 0 16700 SPDR TR UNIT SER 1 COM 78462F103 412 2900 SH SOLE 2900 0 0 STARWOOD HOTELS&RESORTS WRLDCO COM 85590A401 227 3500 SH SOLE 3500 0 0 SUNOPTA INC COM COM 8676EP108 867 72890 SH SOLE 68590 0 4300 SYNAPTICS INC COM 87157D109 376 14685 SH SOLE 14685 0 0 TECHWELL INC COM 87874D101 264 21200 SH SOLE 18000 0 3200 TEJON RANCH CO COM 879080109 237 5000 SH SOLE 5000 0 0 TESCO CORP COM COM 88157K101 412 15500 SH SOLE 13900 0 1600 TESSERA TECHNOLOGIES INC COM COM 88164L100 609 15325 SH SOLE 13725 0 1600 TEXAS ROADHOUSE INC CL A COM 882681109 485 34005 SH SOLE 34005 0 0 TGC INDS INC COM 872417308 372 45173 SH SOLE 39661 0 5513 THERMAGE INC COM COM 88343R101 100 11000 SH SOLE 9300 0 1700 TVI CORP NEW COM COM 872916101 52 34200 SH SOLE 31000 0 3200 TWEEN BRANDS INC COM 901166108 643 18000 SH SOLE 16900 0 1100 TXU CORP COM 873168108 468 7300 SH SOLE 7300 0 0 U S BANCORP COM 902973304 220 6300 SH SOLE 4300 0 2000 ULTIMATE SOFTWARE GROUP INC CO COM 90385D107 674 25734 SH SOLE 25734 0 0 ULTRA PETE CORP COM 903914109 1802 33925 SH SOLE 27375 0 6550 ULTRATECH INC COM 904034105 320 23516 SH SOLE 22916 0 600 URANIUM RES INC COM COM 916901507 11818 1450062 SH SOLE 1450062 0 0 VALLEY NATL BANCORP COM COM 919794107 232 9200 SH SOLE 6700 0 2500 VEECO INSTRS INC DEL COM 922417100 345 17700 SH SOLE 8700 0 9000 VICOR CORP COM 925815102 382 38100 SH SOLE 34050 0 4050 VIGNETTE CORP COMMON NEW COM 926734401 1814 97691 SH SOLE 62515 0 35176 VION PHARMACEUTICALS INC COM 927624106 24 14014 SH SOLE 14014 0 0 WESCO FINL CORP COM 950817106 258 560 SH SOLE 560 0 0 WILLIAMS COS INC COM 969457100 285 10000 SH SOLE 10000 0 0 WILLIAMS SCOTSMAN INTL INC COM 96950G102 240 12200 SH SOLE 10800 0 1400 WIN ENERGY CORP 144A STOCK FRN 972637201 263 153900 SH SOLE 150000 0 3900 WIN ENERGY WARRANTS EXP 7/19/0 FRN 972637110 7 76950 SH SOLE 75000 0 1950 WIRELESS RONIN TECHNOLOGIES COM 97652A203 146 16400 SH SOLE 14000 0 2400 WOLVERINE WORLD WIDE INC COM 978097103 374 13105 SH SOLE 11905 0 1200 WORLD WRESTLING ENTMT INC CL A COM 98156Q108 245 15000 SH SOLE 11000 0 4000