-----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, MTdafBaqlxeFrZJlsVztqZ4fXSHVE1gZIzKWHitsK50oz6CgLkrUzNaLMXMGewjO n44wxZDZWcIceiGfKWoKWw== /in/edgar/work/0001010422-00-000058/0001010422-00-000058.txt : 20001116 0001010422-00-000058.hdr.sgml : 20001116 ACCESSION NUMBER: 0001010422-00-000058 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000930 FILED AS OF DATE: 20001115 FILER: COMPANY DATA: COMPANY CONFORMED NAME: DDJ CAPITAL MANAGEMENT LLC CENTRAL INDEX KEY: 0001010422 STANDARD INDUSTRIAL CLASSIFICATION: [ ] IRS NUMBER: 043300754 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: SEC FILE NUMBER: 028-06136 FILM NUMBER: 769921 BUSINESS ADDRESS: STREET 1: 141 LINDEN STREET STREET 2: SUITE 4 CITY: WELLESLEY STATE: MA ZIP: 02181 BUSINESS PHONE: 617-283-8500 MAIL ADDRESS: STREET 1: 141 LINDEN STREET SUITE 4 STREET 2: SUITE 4 CITY: WELLESLEY STATE: MA ZIP: 02181 13F-HR 1 0001.txt FORM 13F FOR QUARTER ENDED SEPTEMBER 30, 2000 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, 2000 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: DDJ Capital Management, LLC Address: 141 Linden Street, Suite 4 Wellesley, MA 02482-7910 Form 13F File Number: 28-6136 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: David J. Breazzano Title: Member Phone: 781-283-8500 Signature, Place, and Date of Signing: /s/ David J. Breazzano Wellesley, MA November 15, 2000 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: 35 Form 13F Information Table Value Total: 119,648 List of Other Included Managers: NONE 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. Column 1 Column Column Colu Colu Colum Column Colu 2 3 mn 4 mn 5 n 6 7 mn 8 Valu Shrs Pu Inves Other Name of Title CUSIP e or SH/P t/ tment Manage Sole Shar Non Issuer of (x$1 prn RN Ca discr rs ed e Class 000) amt ll etion Globalstar PUT G3930H 1,24 810 SH SOLE 810 Telecommunic 954 0 ations Ltd Action SB NT 004933 1,29 4,500 SH SOLE 4,500 Performance CV AB3 4 Cos Inc 4.75% 05 Albertsons COM 013104 242 11,500 SH SOLE 11,50 Inc. 104 0 Ameristar COM 03070Q 211 45,000 SH SOLE 45,00 Casinos Inc 101 0 Argosy COM 040228 181 10,000 SH SOLE 10,00 Gaming Co 108 0 Bank COM 063671 909 20,000 SH SOLE 20,00 Montreal Que 101 0 Barnes & COM 067774 246 12,500 SH SOLE 12,50 Noble Inc 109 0 Digital Is SUB NT 25385N 5,23 9,000 SH SOLE 9,000 Inc Del CV 6% AA9 3 05 Efficient SB NT 282056 3,25 5,100 SH SOLE 5,100 Networks Inc CV 5% AB6 1 05 Federal PUT 313549 265 1,270 SH SOLE 1,270 Mogul Corp 957 Forbes Medi- COM 344907 277 65,700 SH SOLE 65,70 Tech Inc 100 0 Friendly Ice COM 358497 138 37,500 SH SOLE 37,50 Cream Corp 105 0 New Frontier COM 359065 46,6 2,402, SH SOLE 2,402 Airlines Inc 109 97 400 ,400 New Harrahs COM 413619 275 10,000 SH SOLE 10,00 Entmt Inc 107 0 Hasbro Inc COM 418056 114 10,000 SH SOLE 10,00 107 0 Internet Cap SUB NT 46059C 11,1 21,650 SH SOLE 21,65 Group Inc CV 5.5% AA4 51 0 04 Littlefield COM 537590 40 20,000 SH SOLE 20,00 Corp 101 0 Lodgian Inc COM 54021P 255 88,550 SH SOLE 88,55 106 0 Marvel COM 57383M 667 205,13 SH SOLE 205,1 Enterprises 108 8 38 Metretek COM 59159Q 1,65 600,00 SH SOLE 600,0 Tech Inc 107 0 0 00 Mission West COM 605203 139 10,000 SH SOLE 10,00 PPTYS Inc 108 0 Mountain COM NEW 62426E 854 2,102, SH SOLE 2,102 Prov Mng Inc 402 151 ,151 NCS SB DB 628874 2,32 22,953 SH SOLE 22,95 Healthcare CV AC3 4 3 Inc 5.75%04 PTEK Hldgs COM 69366M 2,53 819,66 SH SOLE 819,6 Inc 104 6 0 60 Penn Traffic COM NEW 707832 26,4 3,463, SH SOLE 3,463 Co New 200 10 569 ,569 Seagram Ltd COM 811850 369 6,400 SH SOLE 6,400 106 Station COM 857689 143 10,000 SH SOLE 10,00 Casinos Inc 103 0 TVX Gold Inc NT 87308K 1,64 2,000 SH SOLE 2,000 LNKED AA9 0 CV 5% 02 Toronto COM NEW 891160 735 25,000 SH SOLE 25,00 Dominion BK 509 0 Ont Trikon COM NEW 896187 3,45 244,59 SH SOLE 244,5 Technologies 408 5 8 98 Inc UCAR Intl COM 90262K 159 12,500 SH SOLE 12,50 Inc 109 0 Ventas Inc COM 92276F 55 11,000 SH SOLE 11,00 100 0 WMS Inds Inc COM 929297 225 10,000 SH SOLE 10,00 109 0 Waste Sys COM NEW 94106P 6,13 5,450, SH SOLE 5,450 Intl Inc 209 2 534 ,534 World Access COM NEW 98141A 136 25,136 SH SOLE 25,13 Inc 101 6 Grand Total 119, 15,796 15,79 648 ,119 6,119
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