-----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, Qp0V9gqGF/MmIcexhE8gI21Y1TaxY90ABWuhcewHocnVyAF2mwbeMPrURXWqfHGY jULVdjndRCYXK+OyBNqjJA== 0000950144-99-014348.txt : 19991229 0000950144-99-014348.hdr.sgml : 19991229 ACCESSION NUMBER: 0000950144-99-014348 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990930 FILED AS OF DATE: 19991228 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FIRST CAROLINA INVESTORS INC CENTRAL INDEX KEY: 0000811040 STANDARD INDUSTRIAL CLASSIFICATION: LAND SUBDIVIDERS & DEVELOPERS (NO CEMETERIES) [6552] IRS NUMBER: 561005066 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: SEC FILE NUMBER: 028-05173 FILM NUMBER: 99781618 BUSINESS ADDRESS: STREET 1: 1130 EAST THIRD SRREET SUITE 410 CITY: CHARLOTTE STATE: NC ZIP: 28204 BUSINESS PHONE: 7043730501 MAIL ADDRESS: STREET 1: P O BOX 33607 CITY: CHARLOTTE STATE: NC ZIP: 28233-3607 13F-HR 1 FIRST CAROLINA INVESTORS INC 1 OMB APPROVAL ----------------------------- OMB Number: 3235-0006 Expires: October 31, 2000 Estimated average burden hours per response: 24.7 ----------------------------- 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, 1999 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 December 28, 1999 - ----------------------- ---------------------------- ----------------- [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: 12 --------- Form 13F Information Table Value Total: $90,739 --------- (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 HOME - ------------------------ -------------- --------- -------- -------------------- ---------- -------- ------------------- Acme Elec Corp Com 004644100 5750 100,000 Sole X - ----------------------------------------------------------------------------------------------------------------------------------- Barrister Information Sys Corp Com New 068659200 3023 1,667,910 Sole X - ----------------------------------------------------------------------------------------------------------------------------------- Bell Inds Inc. Com 078107109 3091 706,400 Sole X - ----------------------------------------------------------------------------------------------------------------------------------- Ecology & Environment Inc. Cl A 278878103 2338 425,000 Sole X - ----------------------------------------------------------------------------------------------------------------------------------- Exolon ESK Co Com 302101100 971 64,700 Sole X - ----------------------------------------------------------------------------------------------------------------------------------- First Un Real Est Eq & Mtg Invts Sh Ben Int 337400105 6000 1,200,000 Sole X - ----------------------------------------------------------------------------------------------------------------------------------- M&T BK Corp Com 55261F104 57375 125,000 Sole X - ----------------------------------------------------------------------------------------------------------------------------------- Marine Trans Corp. Com 567912100 2100 700,000 Sole X - ----------------------------------------------------------------------------------------------------------------------------------- Merchants Group Inc. Com 588539106 3088 135,000 Sole X - ----------------------------------------------------------------------------------------------------------------------------------- Oglebay Norton Co Com 677007106 78 3,800 Sole X - ----------------------------------------------------------------------------------------------------------------------------------- Tandycrafts Inc Com 875386104 1894 606,011 Sole X - ----------------------------------------------------------------------------------------------------------------------------------- Todd Shipyards Corp Del Com 889039103 5031 700,000 Sole X - -----------------------------------------------------------------------------------------------------------------------------------
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