13F-HR 1 f093003.txt 13F REPORT FOR QUARTER-ENDED SEPTEMBER 30, 2003 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, 2003 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 13, 2003 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: 34 Form 13F Information Table Value Total: 84,489 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 MNGRS SOLE SHRD NNE GILAT SATELLITE NETWORKS SHS LTD NEW M51474118 702 157,111 SH SOLE 157,111 AK STL HLDG CORP COM 001547108 200 100,000 SH SOLE 100,000 AT&T CORP COM NEW 001957505 539 25,000 SH SOLE 25,000 ALDERWOODS GROUP INC COM 014383103 6,907 885,836 SH SOLE 885,836 ALLSTREAM INC CL A VTG SHS 02004C105 4,083 108,000 SH SOLE 108,000 ALLSTREAM INC CL B LT VTG SHS 02004C204 1,889 49,397 SH SOLE 49,397 AMERICAN DENTAL PARTNERS COM 025353103 611 66,100 SH SOLE 66,100 AMKOR TECHNOLOGY INC NOTE 5.750% 6/0 031652AN0 13,318 14,000 SH SOLE 14,000 BCE INC COM 05534B109 972 45,000 SH SOLE 45,000 BOYD GAMING CORP COM 103304101 153 10,000 SH SOLE 10,000 CALPINE CORP NOTE 4.000% 12/2 131347BA3 5,039 5,500 SH SOLE 5,500 CARRIAGE SVCS INC COM 143905107 744 220,000 SH SOLE 220,000 DOMTAR INC COM 257561100 423 37,500 SH SOLE 37,500 EL PASO CORP COM 28336L109 511 70,000 SH SOLE 70,000 ELAN FIN CORP LTD NOTE 12/1 284129AC7 593 1,000 SH SOLE 1,000 FRIENDLY ICE CREAM CORP NEW COM 358497105 587 73,700 SH SOLE 73,700 GILAT SATELLITE NETWORKS NOTE 4.000% LTD 10/0 375255AF3 514 1,711 SH SOLE 1,711 HAMMONS JOHN Q HOTELS INC CL A 408623106 326 51,000 SH SOLE 51,000 INTERNET CAP GROUP INC SUB NT CV 5.5%04 46059CAA4 27,977 43,722 SH SOLE 43,722 MTR GAMING GROUP INC COM 553769100 1,951 225,000 SH SOLE 225,000 MAIL-WELL INC COM 560321200 1,120 320,000 SH SOLE 320,000 MULTIMEDIA GAMES INC COM 625453105 1,456 40,000 SH SOLE 40,000 PG&E CORP COM 69331C108 598 25,000 SH SOLE 25,000 PENN NATL GAMING INC COM 707569109 533 25,000 SH SOLE 25,000 PINNACLE ENTMT INC COM 723456109 245 35,000 SH SOLE 35,000 PRIMEDIA INC COM 74157K101 627 220,000 SH SOLE 220,000 QWEST COMMUNICATIONS INTL IN COM 749121109 680 200,000 SH SOLE 200,000 RADIOLOGIX INC COM 75040K109 918 300,000 SH SOLE 300,000 REDBACK NETWORKS INC SB NT CV 5%07 757209AB7 3,746 9,000 SH SOLE 9,000 RES-CARE INC NOTE 6.000%12/0 760943AC4 4,584 4,500 SH SOLE 4,500 RES-CARE INC COM 760943100 667 86,668 SH SOLE 86,668 TRIKON TECHNOLOGIES INC COM NEW 896187408 457 75,000 SH SOLE 75,000 US ONCOLOGY INC COM 90338W103 366 50,000 SH SOLE 50,000 YOUBET COM INC COM 987413101 453 175,000 SH SOLE 175,000 GRAND TOTAL 84,489 3,754,745 3,754,745