-----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, HbK2hO0hCTWk3X2E2fG5J6SvGCnevRRvVLxmFUhCp0rZb8MUXR6Q61SKveXMxjyj YtN7tr1p3rIEN+/k01AVxQ== 0000898374-02-000001.txt : 20031216 0000898374-02-000001.hdr.sgml : 20031216 20020206153507 ACCESSION NUMBER: 0000898374-02-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20011231 FILED AS OF DATE: 20020206 FILER: COMPANY DATA: COMPANY CONFORMED NAME: KAPLAN J L ASSOCIATES LLC CENTRAL INDEX KEY: 0000898374 IRS NUMBER: 042678019 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-03755 FILM NUMBER: 02528666 BUSINESS ADDRESS: STREET 1: 222 BERKELEY STREET STREET 2: SUITE 2010 CITY: BOSTON STATE: MA ZIP: 02116 BUSINESS PHONE: 6175421655 MAIL ADDRESS: STREET 1: 222 BERKELEY STREET STREET 2: SUITE 2010 CITY: BOSTON STATE: MA ZIP: 02116 FORMER COMPANY: FORMER CONFORMED NAME: JL KAPLAN ASSOCIATES /MA DATE OF NAME CHANGE: 19980209 13F-HR 1 sec13f.txt 13F-HR JL KAPLAN ASSOCIATES, LLC UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: December 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: J.L. Kaplan Associates, LLC 222 Berkeley Street, Suite 2010 Boston, MA 02116 13F File Number: 28-3472 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: James L. Kaplan Title: President Phone: 617-542-1655 Signature, Place, and Date of Signing: Boston, MA February 6, 2002 Report Type (check only one): [x ] 13F HOLDINGS REPORT [ ] 13F NOTICE [ ] 13F COMBINATION REPORT. List other managers reporting for this manager: I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 0 Form 13F Information Table Value Total: 0 List of Other Included Managers: No. 13F File Number Name None. FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- ABBOTT LABORATORIES COM 002824100 4460 80000 SH SOLE 5100 74900 ABM INDS INC COM 000957100 298 9500 SH SOLE 1500 8000 ALLTEL CORP COM COM 020039103 470 7611 SH SOLE 7611 AMERICAN HOME PRODUCTS COM 026609107 339 5520 SH SOLE 800 4720 AMERICAN INT'L GROUP COM 026874107 5714 71963 SH SOLE 6935 65028 AMETEK INC COM 031100100 43355 1359513 SH SOLE 1070427 298336 ANDREW CORP COM 034425108 29279 1337536 SH SOLE 948250 389786 ANSYS INC COM 03662q105 6505 263900 SH SOLE 152800 111100 APPLEBEES INTL COM 037899101 37047 1083258 SH SOLE 724450 369808 APTARGROUP COM 038336103 57809 1650271 SH SOLE 1269196 392475 ARROW ELECTRS COM 042735100 69903 2337888 SH SOLE 1662850 688938 ARVINMERITOR INC COM 043353101 24254 1234945 SH SOLE 930884 320161 ASSOCIATED BANC-CORP COM 045487105 16685 472793 SH SOLE 403625 71193 ASTEC INDS INC COM 046224101 2243 155100 SH SOLE 50200 104900 AT&T CORP COM WIRLES GRP COM 00209A106 893 62147 SH SOLE 10580 51567 ATMOS ENERGY COM 049560105 1063 50000 SH SOLE 50000 BANKNORTH GROUP INC COM 06646R107 16787 745429 SH SOLE 540004 208625 BANTA CORP COM 066821109 51008 1727900 SH SOLE 1323650 404850 BECTON DICKINSON COM 075887109 3652 110175 SH SOLE 21500 88675 BELLSOUTH CORP COM 079860102 4566 119675 SH SOLE 16400 103275 BENCHMARK ELECTRS INC COM COM 08160H101 2842 149907 SH SOLE 126950 22957 BLACK & DECKER COM 091797100 5814 154100 SH SOLE 79150 74950 BOSTON BEER CL A COM 100557107 969 56500 SH SOLE 55000 1500 BRISTOL MYERS SQUIBB COM 110122108 3763 73790 SH SOLE 3900 69890 BROWN TOM INC COM 115660201 48108 1781101 SH SOLE 1367600 426451 C&D TECHNOLOGIES COM 124661109 50831 2224573 SH SOLE 1632800 604823 CAMBREX CORP COM 132011107 46904 1075780 SH SOLE 725600 350380 CATERPILLAR INC COM 149123101 6334 121225 SH SOLE 11300 109925 CEDAR FAIR L P COM 150185106 469 18900 SH SOLE 18900 CENTEX CORP COM COM 152312104 16712 292736 SH SOLE 235900 56836 CHARTER ONE FINANCIAL COM 160903100 11674 429969 SH SOLE 282474 147495 CHESAPEAKE CORP. COM 165159104 2709 97400 SH SOLE 94500 2900 CHEVRON TEXACO COM 166764100 914 10198 SH SOLE 10198 CITIGROUP COM 173034109 899 17812 SH SOLE 5000 12812 COACHMEN INDS COM 189873102 494 41200 SH SOLE 18063 23137 COLUMBIA BKG SYS COM 197236102 1297 99380 SH SOLE 93080 6300 COMMSCOPE COM 203372107 31449 1478575 SH SOLE 1159750 332225 CONAGRA COM 205887102 6711 282350 SH SOLE 116100 166250 CRANE CO COM 224399105 22012 858497 SH SOLE 619535 241412 DEAN FOODS COM 242370104 70444 1032910 SH SOLE 775260 264725 DENTSPLY INTERNATIONAL COM 249030107 55238 1100355 SH SOLE 806910 301445 DIEBOLD COM 253651103 68749 1700026 SH SOLE 1240271 467405 DUN & BRADSTREET COM 26483E100 12243 346825 SH SOLE 309000 37825 EMERSON ELEC COM 291011104 1219 21350 SH SOLE 8200 13150 EOG RES INC COM COM 26875P101 3651 93350 SH SOLE 75200 18150 ESTERLINE TECHNOLOGIES COM 297425100 21517 1343980 SH SOLE 940850 415030 EXXON MOBIL CORP COM 30231G102 557 14167 SH SOLE 14167 FANNIE MAE COM 313586109 7971 100260 SH SOLE 7300 92960 FEDERAL SIGNAL COM 313855108 34871 1565830 SH SOLE 1171900 393930 FERRO CORP COM 315405100 35417 1372756 SH SOLE 1081000 295606 FIRST INDUSTRIAL REALTY TRUST COM 32054k103 8931 287175 SH SOLE 185900 103275 FIRSTMERIT CORP COM 337915102 41493 1531655 SH SOLE 1181530 360375 FLEET BOSTON COM 339030108 3838 105144 SH SOLE 18800 86344 FOREST LABORATORIES COM 345838106 479 5850 SH SOLE 5850 FURNITURE BRANDS COM 360921100 19375 605090 SH SOLE 543190 61900 GANNETT COM 364730101 5382 80060 SH SOLE 15500 64560 GENERAL ELEC COM 369604103 980 24454 SH SOLE 24454 GENUINE PARTS COMPANY COM 372460105 2529 68900 SH SOLE 53300 15600 GOODRICH B F CO COM 382388106 5938 223050 SH SOLE 172700 52750 GRACO INC COM 384109104 3968 101625 SH SOLE 62250 39375 GROUP 1 AUTOMOTIVE COM 398905109 31280 1097165 SH SOLE 726600 370565 HEALTH CARE REIT COM 42217K106 203 8350 SH SOLE 8350 HON INDS INC COM 438092108 33654 1217148 SH SOLE 907553 319095 HORMEL FOODS COM 440452100 1075 40000 SH SOLE 40000 HUTTON TEL TR UT1ST TXFREE10 COM 447900101 36 10000 SH SOLE 10000 IBM COM 459200101 349 2886 SH SOLE 2886 INNOVEX COM 457647105 169 50000 SH SOLE 50000 INTEL CORP COM 458140100 514 16340 SH SOLE 16340 INTERPOOL INC COM 46062R108 1272 66100 SH SOLE 66100 INTERTAN INC COM 461120107 870 69300 SH SOLE 67600 1700 ITT INDS COM 450911102 11004 217900 SH SOLE 148950 68950 JACK IN THE BOX INC COM 466367109 1111 40330 SH SOLE 27900 12430 JOHNSON & JOHNSON COM 478160104 1879 31800 SH SOLE 4200 27600 JOURNAL REGISTER COM 481138105 26639 1266111 SH SOLE 924550 362361 JP MORGAN CHASE & CO. COM 46625H100 1425 39202 SH SOLE 370 38832 KEMET CORP COM 488360108 1203 67800 SH SOLE 65000 2800 KERR MCGEE CORP COM 492386107 480 8750 SH SOLE 100 8650 KEY PRODUCTION COM 493138101 10776 633875 SH SOLE 371400 273975 KNIGHT RIDDER INC COM 499040103 12671 195156 SH SOLE 132301 62855 KNIGHT/TRIMARK COM 499063105 183 16600 SH SOLE 10000 6600 LANDSTAR SYS INC COM 515098101 15869 218846 SH SOLE 133400 85446 LEAR CORPORATION COM 521865105 15014 393650 SH SOLE 213000 180650 LEXINGTON CORPORATE PROPERTIES COM 529043101 461 29750 SH SOLE 29750 LONGS DRUG STORES INC COM 543162101 34303 1467189 SH SOLE 1093900 389039 LSI LOGIC CORP COM 502161102 1610 102000 SH SOLE 28600 73400 MACK-CALI REALTY COM 554489104 35784 1153568 SH SOLE 802200 360318 MANITOWOC COM 563571108 38039 1223110 SH SOLE 937863 298172 MASSEY ENERGY COMPANY COM 576206106 1037 50000 SH SOLE 50000 MAY DEPT STORES COM 577778103 5194 140457 SH SOLE 58800 81657 MAYTAG CORP COM 578592107 20237 652175 SH SOLE 391150 263125 MCGRAW-HILL COMPANIES COM 580645109 6746 110630 SH SOLE 10250 100380 MELLON BK CORP COM 585509102 203 5400 SH SOLE 5400 MERCANTILE BANKSHARES COM 587405101 218 5075 SH SOLE 5000 75 MERCK & CO COM 589331107 2970 50505 SH SOLE 5000 45505 MICROSOFT CORP COM 594918104 263 3969 SH SOLE 3969 MINNESOTA MNG & MFG COM 604059105 246 2084 SH SOLE 2084 MUELLER INDS COM 624756102 2800 84200 SH SOLE 84200 NAUTICA ENTERPRISES COM 639089101 384 30000 SH SOLE 30000 NCI BUILDING SYS COM 628852105 12377 699250 SH SOLE 531000 168250 NICOR COM 654086107 1012 24300 SH SOLE 1100 23200 NORFOLK SOUTHERN COM 655844108 716 39050 SH SOLE 2700 36350 NORTH FORK BANCORP COM 659424105 2965 92700 SH SOLE 70900 21800 NOVARTIS A G ADR COM 66987V109 5251 143875 SH SOLE 19950 123925 OMNICOM GROUP COM 681919106 2817 31533 SH SOLE 6000 25533 OUTBACK STEAKHOUSE COM 689899102 32537 949975 SH SOLE 711350 238625 OXFORD HEALTH PLANS COM 691471106 57604 1911214 SH SOLE 1409250 514214 PARK ELECTROCHEMICAL COM 700416209 32321 1224265 SH SOLE 917450 314015 PENTAIR INC COM 709631105 47168 1291922 SH SOLE 1000122 299500 PFIZER INC COM 717081103 1075 26969 SH SOLE 100 26869 PIER 1 IMPORTS COM 720279108 54922 3167339 SH SOLE 2501553 672636 PLUM CREEK TIMBER COM 729251108 629 22200 SH SOLE 22200 PPG INDS COM 693506107 7761 150050 SH SOLE 50600 99450 PRIDE INTERNATIONAL COM 74153Q102 18358 1215750 SH SOLE 944050 296200 PRIZE ENERGY CORP COM 74267L106 1050 45400 SH SOLE 45400 PROCTER & GAMBLE COM 742718109 487 6158 SH SOLE 6158 PROSPERITY BANCSHARES COM 743606105 7521 278675 SH SOLE 224300 54375 QUIXOTE CORP COM 749056107 570 30000 SH SOLE 21300 8700 RADIAN GROUP COM 750236101 21375 497675 SH SOLE 432300 65375 RADIOSHACK CORPORATION COM 750438103 5660 188050 SH SOLE 83050 105000 RAYOVAC COM 755081106 29983 1703568 SH SOLE 1249425 473893 RELIANCE STEEL & ALUM COM 759509102 20429 778239 SH SOLE 563025 224714 RENAISSANCE RE HLDGS COM G7496G103 71009 744333 SH SOLE 565866 183342 REPUBLIC BANCORP COM 760282103 31199 2252636 SH SOLE 1559524 693112 REYNOLDS & REYNOLDS COM 761695105 62284 2568420 SH SOLE 1813885 758085 RLI CORP COM COM 749607107 1647 36600 SH SOLE 22900 13700 ROBBINS & MYERS COM 770196103 16001 683505 SH SOLE 468100 217705 ROCKWELL INTL COM 773903109 186 10400 SH SOLE 9000 1400 ROSS STORES COM 778296103 81349 2535830 SH SOLE 1851145 698635 ROYAL DUTCH PETE COM 780257705 206 4210 SH SOLE 4210 ROYCE VALUE TR COM 780910105 441 28065 SH SOLE 28065 SAFECO CORP COM 786429100 445 14300 SH SOLE 14300 SBC COMMUNICATIONS COM 78387G103 1030 26284 SH SOLE 3157 23127 SCOTTS CO COM 810186106 47352 994800 SH SOLE 777800 225450 SHELL TRANS&TRAD PLC COM 822703609 1911 46108 SH SOLE 6300 39808 SMITHFIELD FOODS COM 832248108 43814 1987946 SH SOLE 1484700 515096 SOUTHTRUST CORP COM 844730101 2118 85850 SH SOLE 19500 66350 SOVEREIGN BANCORP INC COM 845905108 63612 5197090 SH SOLE 4031360 1201830 SPARTAN STORES INC COM 846822104 899 75200 SH SOLE 75000 200 ST PAUL COS INC COM 792860108 3418 77738 SH SOLE 47500 30238 STANLEY WKS COM COM 854616109 1583 34000 SH SOLE 18400 15600 STEWART&STEVENSON COM 860342104 34832 1851785 SH SOLE 1423900 436385 TERADYNE INC COM 880770102 4605 152800 SH SOLE 71300 81500 TEREX CORP COM 880779103 1499 85450 SH SOLE 84100 1350 TEXTRON INC COM COM 883203101 2529 61000 SH SOLE 40100 20900 TIDEWATER COM 886423102 2398 70740 SH SOLE 37150 33590 TOWER AUTOMOTIVE COM 891707101 7871 871675 SH SOLE 674800 196875 TRICO MARINE SVCS COM 896106101 984 130350 SH SOLE 12500 117850 TRINITY INDS COM 896522109 18300 673525 SH SOLE 476000 197525 UNB CORP OHIO COM 903056109 2342 126250 SH SOLE 107750 18500 UNION PLANTERS COM 908068109 1064 23580 SH SOLE 1900 21680 UNITED STATIONERS INC COM 913004107 5091 151300 SH SOLE 147500 3800 UNOCAL CORP COM 915289102 6707 185950 SH SOLE 73900 112050 VALASSIS COMMUNICATNS COM 918866104 61906 1737955 SH SOLE 1308120 441235 VERIZON COMMUNICATIONS COM 313 6600 SH SOLE 6600 VINTAGE PETROLEUM COM 927460105 39010 2699654 SH SOLE 2037200 667804 VISHAY INTERTECHNOLOGY COM 928298108 6249 320450 SH SOLE 170000 150450 VITAL SIGNS INC COM 928469105 15350 439814 SH SOLE 384650 67064 WAUSAU-MOSINEE PAPER COM 943315101 4689 387500 SH SOLE 358300 29200 WEBSTER FINANCIAL CORPCOMMON COM 947890109 6224 197400 SH SOLE 197400 WILSONS LEATHER EXPERT COM 972463103 4933 432350 SH SOLE 327950 104400 WOODWARD GOVERNOR CO COM 980745103 3775 64800 SH SOLE 64800 INVESCO COMBNTIN ST&BD EQUITY MUT 46128W109 177 14712.245SH SOLE 14712.245
-----END PRIVACY-ENHANCED MESSAGE-----