13F-HR 1 g64983e13f-hr.txt FIRST CAROLINA INVESTORS 1 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: First Carolina Investors, Inc. ------------------------------------------------- Address: 1130 East Third Street ------------------------------------------------- Charlotte, NC 28204 ------------------------------------------------- ------------------------------------------------- Form 13F File Number: 28-05173 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: Brent D. Baird ------------------------------------------------- Title: Chairman ------------------------------------------------- Phone: (716) 849-1484 ------------------------------------------------- Signature, Place, and Date of Signing: /s/Brent D. Baird Buffalo, New York 10/31/00 ------------------------- --------------------------- ----------------------- [Signature] [City, State] [Date] 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).) 2 Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 ------------------ Form 13F Information Table Entry Total: 16 ------------------ Form 13F Information Table Value Total: $ 96,752 ----------------- (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. [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] NONE 3 FORM 13F INFORMATION TABLE
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ------------------------ ----------------- --------- -------- -------------------- ---------- ---------- ------------------- VOTING AUTHORITY VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER ------------------- NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ------------------------ ----------------- --------- -------- --------- ---- ----- ---------- ---------- ---- ------- ------ Acme Elec Corp Com 004644100 8711 1,010,000 Sole X ---------------------------------------------------------------------------------------------------------------------------- Barrister Global Svcs Network Com New 068659200 140 159,810 Sole X ---------------------------------------------------------------------------------------------------------------------------- Bell Inds Inc Com 078107109 245 108,900 Sole X ---------------------------------------------------------------------------------------------------------------------------- Ecology & Environment Inc Cl A 278878103 3002 425,000 Sole X ---------------------------------------------------------------------------------------------------------------------------- Exolon ESK Co Com 302101100 582 64,700 Sole X ---------------------------------------------------------------------------------------------------------------------------- First Un Real Est Eq&Mtg Invts Sh Ben Int 337400105 3565 1,296,400 Sole X ---------------------------------------------------------------------------------------------------------------------------- First Un Real Est Eq&Mtg Invts Pfd Conv Ser A 337400303 944 44,400 Sole X ---------------------------------------------------------------------------------------------------------------------------- Imperial Pkg Corp Com 453077109 1055 62,500 Sole X ---------------------------------------------------------------------------------------------------------------------------- M&T BK Corp Com 55261F104 63750 125,000 Sole X ---------------------------------------------------------------------------------------------------------------------------- Marine Trans Corp Com 567912100 1905 635,000 Sole X ---------------------------------------------------------------------------------------------------------------------------- Merchants Group Inc Com 588539106 2379 135,000 Sole X ---------------------------------------------------------------------------------------------------------------------------- Morgan Energy Inc Sub Db CV 8.75%08 616457AC1 85 $95,000 Sole X ---------------------------------------------------------------------------------------------------------------------------- Price Enterprises Inc Com New 741444202 77 17,000 Sole X ---------------------------------------------------------------------------------------------------------------------------- Sizeler Ppty Invs Inc Sub Db Conv 8%03 830137AA3 2718 $3,041,000 Sole X ---------------------------------------------------------------------------------------------------------------------------- Three Rivs Bancorp Inc Com 88562Q107 2781 347,600 Sole X ---------------------------------------------------------------------------------------------------------------------------- Todd Shipyards Corp Del Com 889039103 4813 700,000 Sole X ----------------------------------------------------------------------------------------------------------------------------