-----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, BR1NHRLO9rgJcMnsz8jYALnTbEzGRR5SbmD07lAhf3c2Lb2EXRMFtjlias32g3GR Me7S7FfYYik7vmP2GKpI/w== 0001017918-01-500029.txt : 20020410 0001017918-01-500029.hdr.sgml : 20020410 ACCESSION NUMBER: 0001017918-01-500029 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010930 FILED AS OF DATE: 20011114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: BAMCO INC /NY/ CENTRAL INDEX KEY: 0001017918 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 133390015 STATE OF INCORPORATION: NY FISCAL YEAR END: 0228 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-04011 FILM NUMBER: 1791279 BUSINESS ADDRESS: STREET 1: 767 FIFTH AVENUE STREET 2: 49TH FL CITY: NEW YORK STATE: NY ZIP: 10153 BUSINESS PHONE: 2125832000 MAIL ADDRESS: STREET 1: 767 FIFTH AVENUE STREET 2: 49TH FL CITY: NEW YORK STATE: NY ZIP: 10153 13F-HR 1 body-13f.txt 13F REPORT FOR QUARTER ENDING 09/30/01 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 30,2001 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: BAMCO, INC. Address: 767 Fifth Avenue, 49th floor New York, NY 10153 Form 13F File Number: 28-2116 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: Ronald Baron Title: Chief Executive Officer and Chairman Phone: (212) 583-2000 Signature, Place, and Dating of Signing: /s/ Ronald Baron New York, NY November 14, 2001 - ---------------- ------------- ------------------ Report Type (Check only one.): [ ] 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).) [X] 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: [If there are no entries in this list, omit this section.] Form 13F File Number Name 28-1678 BARON CAPITAL MANAGEMENT, INC. Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 Form 13F Information Table Entry Total: 142 Form 13F Information Table Value Total: 4676228 (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 01 28-1678 BARON CAPITAL MANAGEMENT, INC. FORM 13F INFORMATION TABLE
ITEM 1: ITEM 2: ITEM 3: ITEM 4: ITEM 5: ITEM 6: ITEM 7: ITEM 8: - --------------------------------- ------- ---------- ------- ------------------ ------- -------- -------------------------- TITLE OF VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (X1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - --------------------------------- ------- ---------- ------- --------- --- ---- ------- -------- -------- -------- ---- ACCENTURE LTD. CL A G1150G111 2359 185000 SH DEFINED 185000 ACCLAIM ENTERTAINMENT INC. COM $0.02 004325205 1340 500000 SH DEFINED 500000 ALEXANDER'S INC. COM 014752109 31273 513520 SH DEFINED 01 513520 AMAZON.COM INC. COM 023135106 149 25000 SH DEFINED 25000 AMC ENTERTAINMENT INC. COM 001669100 11182 1065000 SH DEFINED 1065000 AMERICAN TOWER CORPORATION CL A 029912201 50748 3653590 SH DEFINED 01 100000 3553590 AMSURG CORPORATION COM 03232P405 28492 1034200 SH DEFINED 01 1034200 AOL TIME WARNER INC. COM 00184A105 3641 110000 SH DEFINED 110000 APOLLO GROUP INC. CL A 037604105 262822 6253205 SH DEFINED 01 370000 5883205 LIBERTY MEDIA GROUP SER A 530718105 952 75000 SH DEFINED 75000 BLACKROCK INC. CL A 09247X101 17865 404000 SH DEFINED 01 404000 BROCADE COMM SYSTEMS INC COM 111621108 210 15000 SH DEFINED 15000 CALIFORNIA PIZZA KITCHEN INC. COM 13054D109 30378 1917800 SH DEFINED 01 1917800 CAREER EDUCATION CORP COM 141665109 61435 1117000 SH DEFINED 01 1117000 CASELLA WASTE SYSTEMS INC. CL A 147448104 8069 725000 SH DEFINED 725000 CATALINA MARKETING CORP. COM 148867104 28268 1009580 SH DEFINED 01 1009580 CELESTICA INC. SUB VTG SH 15101Q108 2320 85000 SH DEFINED 85000 CELL GENESYS INC. COM 150921104 14066 879125 SH DEFINED 01 270000 609125 CENTRA SOFTWARE INC. COM 15234X103 171 20000 SH DEFINED 20000 CHARLES RIVER LABS INTL. INC. COM 159864107 26220 741300 SH DEFINED 01 741300 CHARLES SCHWAB CORPORATION COM 808513105 262029 22785107 SH DEFINED 01 3032000 19753107 CHECK POINT SOFTWARE TECH LTD. ORD M22465104 440 20000 SH DEFINED 20000 CHILES OFFSHORE INC. COM 16888M104 11912 589700 SH DEFINED 01 589700 CHOICE HOTELS INTERNATIONAL INC. COM 169905106 163093 9884401 SH DEFINED 01 700000 9184401 CHOICEPOINT INC. COM 170388102 345042 8286302 SH DEFINED 01 490000 7796302 CITIZENS COMMUNICATIONS CO. COM 17453B101 46784 4977020 SH DEFINED 01 4977020 CNET NETWORKS INC. COM 12613R104 215 50000 SH DEFINED 50000 COMCAST CORPORATION CL A SPEC 200300200 3228 90000 SH DEFINED 90000 COMMONWEALTH TELEPHONE ENTERPRISES COM 203349105 6339 172500 SH DEFINED 01 172500 COMMUNITY HEALTH SYSTEMS INC. COM 203668108 19212 646000 SH DEFINED 01 646000 CORPORATE EXECUTIVE BOARD CO. COM 21988R102 5216 200000 SH DEFINED 200000 COX RADIO INC. CL A 224051102 22876 1134174 SH DEFINED 01 1134174 DELL COMPUTER CORPORATION COM 247025109 1853 100000 SH DEFINED 100000 DEVRY INC. COM 251893103 233102 6493100 SH DEFINED 01 391900 6101200 DIGITALTHINK INC. COM 25388M100 386 50000 SH DEFINED 50000 DOLLAR TREE STORES INC. COM 256747106 118291 6308858 SH DEFINED 01 250000 6058858 DRUGSTORE.COM INC. COM 262241102 556 795000 SH DEFINED 795000 DVI INC. COM 233343102 55581 3271410 SH DEFINED 01 200000 3071410 EBAY INC. COM 278642103 1144 25000 SH DEFINED 25000 EDISON SCHOOLS INC. CL A 281033100 2712 179600 SH DEFINED 01 179600 EDUCATION MANAGEMENT CORP. COM 28139T101 90364 2976400 SH DEFINED 01 245000 2731400 ELECTRIC LIGHTWAVE INC. CL A 284895109 5 10000 SH DEFINED 01* 10000 ELECTRONIC ARTS INC. COM 285512109 1142 25000 SH DEFINED 25000 ENTERCOM COMMUNICATIONS CORP. CL A 293639100 13749 404369 SH DEFINED 01 404369 ENTRAVISION COMMUNICATIONS CORP. CL A 29382R107 2052 240000 SH DEFINED 240000 EQUITY MARKETING INC. COM 294724109 6350 500000 SH DEFINED 500000 ETHAN ALLEN INTERIORS INC. COM 297602104 109788 3992275 SH DEFINED 01 350000 3642275 EXPEDIA INC. COM 302125109 3522 145000 SH DEFINED 145000 EXTENDED STAY OF AMERICA INC. COM 30224P101 56121 3878461 SH DEFINED 01 3878461 FLEXTRONICS INTL LTD. ORD Y2573F102 3060 185000 SH DEFINED 185000 FOUR SEASONS HOTELS INC. LTD VTG SH 35100E104 43708 1166480 SH DEFINED 01 1166480 FREEMARKETS INC. COM 356602102 1534 145000 SH DEFINED 145000 FTI CONSULTING INC COM 302941109 8126 276400 SH DEFINED 01 276400 GABELLI ASSET MANAGEMENT INC. CL A 36239Y102 25644 696100 SH DEFINED 01 696100 GEMSTAR-TV GUIDE INTERNATIONAL INC COM 36866W106 1971 100000 SH DEFINED 100000 GETTY IMAGES INC. COM 374276103 6608 599060 SH DEFINED 01 599060 GOTO.COM INC COM 38348T107 2728 220000 SH DEFINED 220000 HARTE-HANKS INC. COM 416196103 13200 610000 SH DEFINED 610000 HEALTHSOUTH CORPORATION COM 421924101 7398 455000 SH DEFINED 455000 HEIDRICK & STRUGGLES INTL INC. COM 422819102 8474 593800 SH DEFINED 01 593800 HISPANIC BROADCASTING CORP. CL A 43357B104 23910 1485088 SH DEFINED 01 1485088 HOTEL RESERVATIONS NTWK INC. CL A 441451101 3527 155100 SH DEFINED 155100 INDUSTRIE NATUZZI SP.A. ADR 456478106 37421 3417400 SH DEFINED 01 60000 3357400 INSIGHT COMMUNICATIONS INC. CL A 45768V108 975 53000 SH DEFINED 01 53000 INTERACTIVE DATA CORP COM 45840J107 4192 320000 SH DEFINED 320000 INTERNATIONAL GAME TECHNOLOGY COM 459902102 574 13500 SH DEFINED 01* 13500 INTRAWEST CORP. COM 460915200 7629 573200 SH DEFINED 01 573200 INTUIT COM 461202103 895 25000 SH DEFINED 25000 IRON MOUNTAIN INC. (PA) COM 462846106 29461 710750 SH DEFINED 01 710750
ITEM 1: ITEM 2: ITEM 3: ITEM 4: ITEM 5: ITEM 6: ITEM 7: ITEM 8: - --------------------------------- ------- ---------- ------- ------------------ ------- -------- -------------------------- TITLE OF VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (X1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - --------------------------------- ------- ---------- ------- --------- --- ---- ------- -------- -------- -------- ---- JABIL CIRCUIT INC. COM 466313103 537 30000 SH DEFINED 30000 KENNETH COLE PRODUCTIONS INC CL A 193294105 8349 660000 SH DEFINED 01 660000 KRISPY KREME DOUGHNUTS INC. COM 501014104 38674 1306540 SH DEFINED 01 160000 1146540 KRONOS INC. COM 501052104 18992 462665 SH DEFINED 01 462665 LIBBEY INC. COM 529898108 120879 3748200 SH DEFINED 01 3748200 LIBERTY LIVEWIRE CORP. CL A 530709104 1689 251000 SH DEFINED 251000 LNR PROPERTY CORP. COM 501940100 12130 405000 SH DEFINED 405000 MANOR CARE INC. COM 564055101 144061 5126720 SH DEFINED 01 650000 4476720 MEDALLION FINANCIAL CORP. COM 583928106 3586 434700 SH DEFINED 01 434700 MEDIACOM COMMUNICATIONS CORP. CL A 58446K105 5087 390400 SH DEFINED 01 390400 METRO GOLDWYN MAYER INC. COM 591610100 11017 650000 SH DEFINED 650000 MGM MIRAGE INC. COM 552953101 2387 106200 SH DEFINED 01 106200 MILLIPORE CORPORATION COM 601073109 17735 335000 SH DEFINED 335000 MORTONS RESTAURANT GROUP INC. COM 619429103 613 70100 SH DEFINED 70100 MOTIENT CORP. COM 619908106 146 1626275 SH DEFINED 01 355000 1271275 NOKIA CORP SPN ADR 654902204 1252 80000 SH DEFINED 80000 NTL INC. COM 629407107 21832 7042673 SH DEFINED 01 975000 6067673 O.M. GROUP INC. COM 670872100 185322 3369490 SH DEFINED 01 3369490 OMI CORPORATION COM Y6476W104 2749 650000 SH DEFINED 650000 OMNICARE INC. COM 681904108 6767 310000 SH DEFINED 01 310000 OUTBACK STEAKHOUSE INC. COM 689899102 2561 100000 SH DEFINED 100000 PENTON MEDIA INC. COM 709668107 976 275000 SH DEFINED 275000 POLO RALPH LAUREN CORP. CL A 731572103 188136 10033925 SH DEFINED 01 450000 9583925 PRICELINE.COM INC. COM 741503106 568 150000 SH DEFINED 150000 PROVINCE HEALTHCARE CO. COM 743977100 14733 401000 SH DEFINED 01 401000 RADIO ONE INC. CL A 75040P108 9245 799021 SH DEFINED 01 799021 RADIO ONE INC. CL D NO VT 75040P405 44917 3892300 SH DEFINED 01 3892300 RALCORP HOLDINGS INC. COM 751028101 1946 100000 SH DEFINED 100000 RECKSON ASSOCIATES REALTY CORP COM 75621K106 3622 150000 SH DEFINED 150000 RESEARCH IN MOTION LTD. COM 760975102 402 25000 SH DEFINED 25000 RESORTQUEST INTERNATIONAL INC. COM 761183102 2325 775000 SH DEFINED 775000 RESOURCES CONNECTION INC. COM 76122Q105 5636 310000 SH DEFINED 01 310000 RESTORATION HARDWARE INC. COM 760981100 715 250000 SH DEFINED 250000 RIGEL PHARMACEUTICALS INC. COM 766559108 4734 946800 SH DEFINED 01 125000 821800 ROBERT HALF INTERNATIONAL INC. COM 770323103 251540 12570710 SH DEFINED 01 830000 11740710 ROSS STORES INC. COM 778296103 7312 250000 SH DEFINED 250000 RURAL CELLULAR CORPORATION CL A 781904107 1215 50000 SH DEFINED 50000 SAGA COMMUNICATIONS INC. CL A 786598102 110808 6401396 SH DEFINED 01 757365 5644031 SBA COMMUNICATIONS CORP. COM 78388J106 9312 697500 SH DEFINED 01 697500 SEACOR SMIT INC. COM 811904101 89566 2508840 SH DEFINED 01 2508840 SIRIUS SATELLITE RADIO INC. COM 82966U103 600 167000 SH DEFINED 01 167000 SIX FLAGS INC. COM 83001P109 10579 865000 SH DEFINED 01 865000 SKILLSOFT CORPORATION COM 83066P101 2157 135000 SH DEFINED 135000 SMART & FINAL INC. COM 831683107 56906 5589946 SH DEFINED 01 5589946 SMARTFORCE PUBLIC LTD CO. SPON ADR 83170A206 13755 840800 SH DEFINED 01 50000 790800 SOTHEBY'S HOLDINGS INC. CL A 835898107 270367 22549350 SH DEFINED 01 839000 21710350 SOUTHERN UNION CO. COM 844030106 125544 5998289 SH DEFINED 01 137812 4414287 SPANISH BROADCASTING SYSTEMS INC. CL A 846425882 4077 575000 SH DEFINED 575000 SPORTS CLUB INC. COM 84917P100 1525 500000 SH DEFINED 500000 SPRINT CORP PCS COM SER 1 852061506 657 25000 SH DEFINED 25000 STATION CASINOS INC. COM 857689103 1470 175000 SH DEFINED 175000 STELMAR SHIPPING LTD. COM V8726M103 1744 125000 SH DEFINED 125000 SUN INTERNATIONAL HOTELS LTD. ORD P8797T133 98628 5449035 SH DEFINED 01 474001 4975034 TICKETMASTER CL B 88633P203 3622 350000 SH DEFINED 350000 TMP WORLDWIDE INC. COM 872941109 2271 80000 SH DEFINED 80000 TRAVELOCITY.COM INC. COM 893953109 665 50000 SH DEFINED 50000 TRIGON HEALTHCARE INC. COM 89618L100 28440 434200 SH DEFINED 01 434200 UNITED SURGICAL PARTNERS INTL. COM 913016309 37072 1808400 SH DEFINED 01 1808400 UNITEDGLOBAL.COM INC. CL A 913247508 928 400000 SH DEFINED 400000 UNIV. OF PHOENIX ONLINE-APOLLO COM 037604204 19825 640350 SH DEFINED 01 640350 UNIVISION COMMUNICATIONS INC. CL A 914906102 6206 270400 SH DEFINED 01 270400 USA NETWORKS INC. COM 902984103 899 50000 SH DEFINED 50000 VAIL RESORTS INC. COM 91879Q109 161631 11828150 SH DEFINED 01 133000 1674700 VENTAS INC. COM 92276F100 13562 1250000 SH DEFINED 1250000 VERISIGN INC. COM 92343E102 1257 30000 SH DEFINED 30000 VIAD CORPORATION COM 92552R109 11508 600000 SH DEFINED 600000 WESTWOOD ONE INC. COM 961815107 28464 1279300 SH DEFINED 01 1279300 XM SATELLITE RADIO HOLDINGS INC. CL A 983759101 11618 2217214 SH DEFINED 01 2217214 XTO ENERGY CORP. COM 98385X106 10079 722500 SH DEFINED 01 722500 - -------------------- * 01 Manager only owns this security.
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