13F-HR 1 f033101.txt 13F HOLDINGS REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: March 31, 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: 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 May 14, 2001 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: 28 Form 13F Information Table Value Total: 89,718 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. Form 13F Information Table NAME OF TITLE OF CUSIP VALUE SHARES/ SH/ PUT/ INVSTMT OTHR VOTING AUTHORITY ISSUER CLASS (X$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE ACTION PERFORMANCE SB NT CV COS INC 4.75% 05 004933AB3 1,384 2,500 SH SOLE 2,500 AMERISTAR CASINOS INC COM 03070Q101 352 54,000 SH SOLE 54,000 BOYD GAMING CORP COM 103304101 185 55,000 SH SOLE 55,000 DIGITAL IS INC DEL SUB NT CV 6% 05 25385NAA9 4,029 13,850 SH SOLE 13,850 EFFICIENT NETWORKS INC SB NT CV 5% 05 282056AB6 6,750 6,818 SH SOLE 6,818 FEDERAL MOGUL CORP PUT 313549957 490 1,470 SH SOLE 1,470 FORBES MEDI-TECH INC COM 344907100 135 65,700 SH SOLE 65,700 FRONTIER AIRLINES INC NEW COM 359065109 24,132 1,980,043 SH SOLE 1,980,043 INTERNET CAP GROUP INC SUB NT CV 5.5% 04 46059CAA4 8,805 32,405 SH SOLE 32,405 INTERNET CAP GROUP INC COM 46059C106 22 10,000 SH SOLE 10,000 LITTLEFIELD CORP COM 537590101 26 20,000 SH SOLE 20,000 LODGIAN INC COM 54021P106 134 116,890 SH SOLE 116,890 MARVEL ENTERPRISES COM 57383M108 390 205,138 SH SOLE 205,138 METRETEK TECH INC COM 59159Q107 1,106 600,000 SH SOLE 600,000 NCE PETROFUND 1 TR UNIT NEW 62885E307 1,299 350,000 SH SOLE 350,000 OWENS ILL INC COM NEW 690768403 255 30,000 SH SOLE 30,000 PTEK HLDGS INC COM 69366M104 2,152 819,660 SH SOLE 819,660 PACIFICARE HEALTH SYS DEL PUT 695112952 749 1,470 SH SOLE 1,470 PENN TRAFFIC CO NEW COM NEW 707832200 28,577 4,082,369 SH SOLE 4,082,369 PINNACLE ENTMT INC COM 723456109 158 15,000 SH SOLE 15,000 REDBACK NETWORKS INC SB NT CV 5% 07 757209AB7 3,533 6,000 SH SOLE 6,000 TVX GOLD INC NT LNKED CV 5% 02 87308KAA9 1,300 2,000 SH SOLE 2,000 TELIGENT INC PUT 87959Y953 208 470 SH SOLE 470 TRIKON TECHNOLOGIES INC COM NEW 896187408 2,957 292,098 SH SOLE 292,098 VENTAS INC COM 92276F100 179 21,000 SH SOLE 21,000 VISX INC DEL COM 92844S105 172 10,000 SH SOLE 10,000 WORLD ACCESS INC COM 98141A101 6 25,136 SH SOLE 25,136 XEROX CORP PUT 984121953 233 1,500 SH SOLE 1,500 GRAND TOTAL 89,718 8,820,517 8,820,517