-----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, CWsaT4oUApPSp+hpmqIxoxUvIYCSTVgwAEU90Et9dmnUrQfPVHNpUjbmDGlkFdSe h+OVcoq+g4UWEIUyLf4AEg== 0000928204-01-500007.txt : 20020410 0000928204-01-500007.hdr.sgml : 20020410 ACCESSION NUMBER: 0000928204-01-500007 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010930 FILED AS OF DATE: 20011113 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HARRIS WILLIAM INVESTORS INC CENTRAL INDEX KEY: 0000928204 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: IL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-04436 FILM NUMBER: 1782756 BUSINESS ADDRESS: STREET 1: 2 NORTH LASALLE STREET STE 400 CITY: CHICAGO STATE: IL ZIP: 60602 BUSINESS PHONE: 3126210590 MAIL ADDRESS: STREET 2: 2 NORTH LASALLE ST STE 400 CITY: CHICAGO STATE: IL ZIP: 60602 13F-HR 1 filing9-01.txt 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 30th, 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: William Harris Investors, Inc. Address: 2 North LaSalle Street, Suite 400 Chicago, IL 60602 Form 13F File Number: 28-4436 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: Gary Neumayer Title: Treasurer & Compliance Officer Phone: (312) 621-0590 Signature, Place, and Date of Signing: /s/Gary Neumayer Chicago, IL 11/09/01 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).) List of Other Managers Reporting for this Manager: NONE FORM 13F INFORMATION TABLE TITLE OF VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MNGRS SOLE SHARED NONE - ------------------------------ -------- --------- -------- -------- --- ---- ------- -------- ------ -------- ----- ACE, LTD COM G0070K103 7795 270000 SH SOLE 270000 ADELPHIA COMMUNICATIONS CORP CL A 006848105 6598 297200 SH SOLE 297200 ADSTAR.COM, INC COM 00737P104 116 88251 SH SOLE 88251 AEROGEN, INC COM 007779101 367 74074 SH SOLE 74074 ALTAREX CORP COM 020927208 59 42875 SH SOLE 42875 ALTEON, INC COM 02144G107 71 25000 SH SOLE 25000 APTARGROUP, INC COM 038336103 17830 560696 SH SOLE 560696 ARCHSTONE CMNTYS TR COM 039581103 16955 649598 SH SOLE 649598 ASTRO COMM COM 046376109 2337 1558266 SH SOLE 1558266 AT&T LATIN AMERICA CORP COM 04649a106 65 37000 SH SOLE 37000 ATHEROGENICS, INC COM 047439104 72 16000 SH SOLE 16000 AUTOINFO, INC COM 052777109 3 65000 SH SOLE 65000 AXYS PHARMACEUTICALS, INC COM 054635107 967 316940 SH SOLE 316940 BOSTON BIOMEDICA, INC COM 100560101 176 70900 SH SOLE 70900 BURLINGTON RESOURCES, INC COM 122014103 2378 69500 SH SOLE 69500 CADIZ LAND CO COM 127549103 2413 281590 SH SOLE 281590 CAMDEN PROPERTY TRUST COM 133131102 705 19000 SH SOLE 19000 CARRAMERICA REALTY CORP COM 144418100 3032 101200 SH SOLE 101200 CDW COMPUTER CENTERS COM 125129106 1990 55000 SH SOLE 55000 CENTERPOINT PROPERTIES TRUST COM 151895109 6141 128610 SH SOLE 128610 CHART HOUSE ENTERPRISES COM 160902102 62 62300 SH SOLE 62300 CHECKPOINT SYS, INC COM 162825103 1422 130125 SH SOLE 130125 CLEAR CHANNEL COMM COM 184502102 994 25000 SH SOLE 25000 COMCAST CORP COM 200300200 6995 195000 SH SOLE 195000 COMPLETE MANAGEMENT, INC COM 20452C104 2 763740 SH SOLE 763740 COMPLETE WELL CTRS, INC WT 20452H111 0 14000 SH SOLE 14000 CORVAS INTERNATIONAL INC COM 221005101 63 11000 SH SOLE 11000 CURATIVE HEALTH SERVICES COM 231264102 807 89200 SH SOLE 89200 CYGNUS, INC COM 232560102 56 10000 SH SOLE 10000 CYLINK CORPORATION COM 232565101 99 79000 SH SOLE 79000 DELPHI FIN'L GROUP, INC CL A 247131105 862 25505 SH SOLE 25505 DEVON ENERGY COM 25179M103 4644 135000 SH SOLE 135000 DOLLAR TREE STORES COM 256747106 6290 333000 SH SOLE 333000 DUN & BRADSTREET COM 26483E100 1784 63700 SH SOLE 63700 E-DENTIST.COM COM 26841e107 5 10680 SH SOLE 10680 ECI TELECOM LTD COM 268258100 866 346350 SH SOLE 346350 EGL, INC COM 268484102 571 64400 SH SOLE 64400 ENTERCOM COMM CORP CL A 293639100 850 25000 SH SOLE 25000 EQUITY OFFICE PPTYS TRUST COM 294741103 3498 109298 SH SOLE 109298 EQUITY RESIDENTIAL PPTYS TR COM 29476L107 3775 64635 SH SOLE 64635 ESCO TECHNOLOGIES, INC COM 269030102 4494 180500 SH SOLE 180500 ESPERION THERAPEUTICS COM 29664r106 1187 156334 SH SOLE 159334 EXELIXIS PHARM COM 30161Q104 5771 503571 SH SOLE 503571 EXPRESS SCRIPTS COM 302182100 4149 75000 SH SOLE 75000 FOREST CITY ENT, INC CL A 345550107 24492 510252 SH SOLE 510252 FOREST CITY ENT, INC CL B 345550305 15565 321256 SH SOLE 321256 GENAISSANCE PHARMACEUTICAL COM 36867W105 173 44400 SH SOLE 44400 GENERAL DATACOMM INDS, INC COM 369487103 19 194250 SH SOLE 194250 GENERAL MOTORS CORP CL H 370442832 1380 103521 SH SOLE 103521 GENTA, INC COM 37245M207 191 18500 SH SOLE 18500 GENZYME BIOSURGERY COM 372917708 4568 1171371 SH SOLE 1171371 GENZYME CORP COM 372917104 21380 470722 SH SOLE 470722 GENZYME MOLECULAR COM 372917500 4409 568845 SH SOLE 568845 GENZYME TRANSGENICS CORP COM 37246E105 1264 328200 SH SOLE 328200 GUILFORD PHARMACEUTICAL, INC COM 401829106 86 10000 SH SOLE 10000 HENRY SCHEIN INC COM 806407102 2316 60000 SH SOLE 60000 HUBBELL, INC CL B 443510201 1362 46692 SH SOLE 46692 HYDRIL COMPANY COM 448774109 4197 301300 SH SOLE 301300 ILEX ONCOLOGY, INC COM 451923106 16252 618900 SH SOLE 618900 IMMUNEX CORP COM 452528102 3882 207800 SH SOLE 207800 IMMUNOGEN INC COM 45253H101 434 48000 SH SOLE 48000 INSIGHT COMMUNICATIONS COM 45768V108 1536 83500 SH SOLE 83500 INTERTAN COM 461120107 6541 833300 SH SOLE 833300 INTRABIOTIC PHARM COM 46116T100 1240 953950 SH SOLE 953950 IRON MOUNTAIN COM 46284P104 3399 82000 SH SOLE 82000 JP MORGAN CHASE & CO COM 46625H100 3893 114000 SH SOLE 114000 KADANT, INC COM 48282T104 603 46715 SH SOLE 46715 KNIGHT TRANSPORTATION COM 499064103 2585 135000 SH SOLE 135000 LABOR READY, INC COM 505401208 32 10000 SH SOLE 10000 LAMAR ADVERTISING COM 512815101 1819 60000 SH SOLE 60000 LIBERTY MEDIA CORP CL A 530718105 2540 200000 SH SOLE 200000 LITTLE SWITZERLAND COM 537528101 1068 717100 SH SOLE 717100 LORUS THERAPEUTICS, INC COM 544191109 10 17000 SH SOLE 17000 MANOR CARE, INC COM 564055101 2669 95000 SH SOLE 95000 MICROCIDE PHARM, INC COM 595018102 44 14000 SH SOLE 14000 NAVIGANT CONSULTING COM 63935N107 5669 1528000 SH SOLE 1528000 NEOFORMA COM 640475109 426 60800 SH SOLE 60800 OFFICE DEPOT COM 676220106 12281 903000 SH SOLE 903000 OLD REPUBLIC INTL, INC COM 680223104 2629 100316 SH SOLE 100316 OMEGA ORTHO, INC WT 681973111 0 30000 SH SOLE 30000 ORTHOFIX INTL N V COM N6748L102 8687 304800 SH SOLE 304800 PETSMART COM 716768106 12891 1831100 SH SOLE 1831100 PETSMART SB NT CV 716768ab2 1498 1500000 PRN SOLE 1500000 PITTSTON BRINKS GROUP COM 725701106 4785 264381 SH SOLE 264381 PLANETCAD, INC COM 72704Y103 7 35124 SH SOLE 35124 PRENTISS PPTYS TR COM 740706106 7912 287700 SH SOLE 287700 PROLOGIS TRUST COM 743410102 13699 649245 SH SOLE 649245 PROTEIN DESIGN LABS COM 74369L103 8483 179600 SH SOLE 179600 RADIANCE MEDICAL SYSTEMS COM 750241101 1043 772571 SH SOLE 772571 RECOTON CORP COM 756268108 906 73400 SH SOLE 73400 REGENCY CENTERS CORP COM 758849103 2227 86496 SH SOLE 86496 REHABCARE GROUP, INC COM 759148109 2676 61500 SH SOLE 61500 RIBOZYME PHARM, INC COM 762567105 329 47000 SH SOLE 47000 RIVIERA TOOL CO COM 769648106 252 179800 SH SOLE 179800 ROBERT HALF INTL COM 770323103 1801 90000 SH SOLE 90000 ROWAN COMPANIES COM 779382100 3231 261000 SH SOLE 261000 RUSS BERRIE & CO, INC COM 782233100 1596 60000 SH SOLE 60000 SCHOOL SPECIALTY COM 807863105 7307 239100 SH SOLE 239100 SECURITY CAP GROUP COM 81413p105 6246 6575 SH SOLE 6575 SECURITY CAP GROUP CL B 81413p204 30622 1636652 SH SOLE 1636652 SHEFFIELD PHARM, INC COM 82123D309 103 30000 SH SOLE 30000 SIX FLAGS INC COM 83001P109 1529 125000 SH SOLE 125000 SPEIZMAN INDS, INC COM 847805108 103 132500 SH SOLE 132500 SPSS, INC COM 78462k102 4024 233800 SH SOLE 233800 STANCORP FIN'L GROUP, INC COM 852891100 810 16742 SH SOLE 16742 STAPLES, INC. COM 855030102 1159 86800 SH SOLE 86800 SUPERIOR FINANCIAL COM 868159104 701 47500 SH SOLE 47500 SYNAPTIC PHARM CORP COM 87156R109 137 29375 SH SOLE 29375 TEVA PHARM INDS LTD ADR 881624209 11777 194822 SH SOLE 194822 TEXAS INSTRUMENTS COM 882508104 4703 188270 SH SOLE 188270 THERMO ELECTRON CORP COM 883556102 7182 397871 SH SOLE 397871 THERMO FIBERGEN RT 88355U117 11 380800 SH SOLE 380800 THERMO FIBERGEN, INC COM 88355U109 4821 380800 SH SOLE 380800 TOYS R US COM 892335100 2602 151000 SH SOLE 151000 TTI TEAM TELECOM COM M88258104 1243 103150 SH SOLE 103150 TWEETER HOME ENTERTAINMENT COM 901167106 1057 77500 SH SOLE 77500 UNITED FIRE & CASUALTY CO COM 910331107 957 37300 SH SOLE 37300 VALENTIS INC COM 91913E104 43 14500 SH SOLE 14500 VARSITY BRANDS, INC COM 92227P108 206 109100 SH SOLE 109100 VERAMARK TECH, INC COM 923351100 24 35000 SH SOLE 35000 VERSUS TECHNOLOGY, INC COM 925313108 398 3460000 SH SOLE 3460000 VIAD CORP COM 92552R109 7286 379900 SH SOLE 379900 WACHOVIA CORP COM 929903102 4061 131000 SH SOLE 131000 WADDELL & REED COM 930059100 7410 285000 SH SOLE 285000 WAYPOINT FINANCIAL CORP COM 946756103 480 36300 SH SOLE 36300 WEBSTER FINANCIAL CORP COM 947890109 2037 61800 SH SOLE 61800 WHOLE FOODS MKT, INC COM 966837106 19543 622200 SH SOLE 622200 WILLIAMS SONOMA COM 969904101 2381 100000 SH SOLE 100000 XOMA LTD COM G9825R107 253 30000 SH SOLE 30000
Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: None Form 13F Information Table Entry Total: 129 Form 13F Information Table Value Total: $473,509 (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. No. Form 13F File Number Name NONE -----END PRIVACY-ENHANCED MESSAGE-----