13F-HR 1 sec13f.txt 13F- KAPLAN ASSOCIATES UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: June 30, 2002 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 August 5, 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 ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 3COM CORP COM 885535104 6761 1536695 SH SOLE 1306250 230445 3M COM 88579Y101 256 2084 SH SOLE 2084 ABBOTT LABORATORIES COM 002824100 2814 74740 SH SOLE 4300 70440 ABM INDS INC COM 000957100 330 19000 SH SOLE 19000 ALLEGHANY CORP COM 017175100 1280 6700 SH SOLE 6700 ALLIED CAPITAL CORP COM 01903Q108 267 11800 SH SOLE 3000 8800 ALLTEL CORP COM COM 020039103 358 7611 SH SOLE 7611 AMERICAN CAPITAL COM 024937104 9591 349150 SH SOLE 307025 42325 AMERICAN INT'L GROUP COM 026874107 4913 72008 SH SOLE 6093 65915 AMETEK INC COM 031100100 57626 1547020 SH SOLE 1237400 319020 ANDREW CORP COM 034425108 26590 1782175 SH SOLE 1336850 446025 ANSYS INC COM 03662q105 6750 335800 SH SOLE 236800 99000 AOL TIME WARNER COM 00184A105 4274 290549 SH SOLE 35250 255299 APOGEE ENTERPRISES COM 037598109 3247 226100 SH SOLE 219300 6800 APPLEBEES INTL COM 037899101 39544 1723059 SH SOLE 1162049 578035 APTARGROUP COM 038336103 52225 1698380 SH SOLE 1304490 405290 ARGOSY GAMING COM 040228108 8879 312630 SH SOLE 260250 52380 ARROW ELECTRS COM 042735100 52940 2551315 SH SOLE 1845350 720015 ARVINMERITOR INC COM 043353101 27415 1142275 SH SOLE 855925 302300 ASSOCIATED BANC-CORP COM 045487105 22913 607599 SH SOLE 521832 87994 AT&T CORP COM WIRLES GRP COM 00209A106 109 18660 SH SOLE 939 17721 ATMOS ENERGY COM 049560105 1191 50800 SH SOLE 50000 800 BANK NEW YORK COM 064057102 203 6000 SH SOLE 6000 BANKNORTH GROUP INC COM 06646R107 22997 883838 SH SOLE 650828 248410 BANTA CORP COM 066821109 60353 1681140 SH SOLE 1292725 389165 BECTON DICKINSON COM 075887109 3615 104925 SH SOLE 19100 85825 BELLSOUTH CORP COM 079860102 3703 117550 SH SOLE 15400 102150 BLACK & DECKER COM 091797100 7696 159660 SH SOLE 79200 80560 BORG WARNER INC COM 099724106 347 6000 SH SOLE 6000 BOSTON BEER CL A COM 100557107 636 40000 SH SOLE 40000 BRISTOL MYERS SQUIBB COM 110122108 2210 85995 SH SOLE 5600 80395 BROWN TOM INC COM 115660201 55546 1959301 SH SOLE 1507400 465051 C&D TECHNOLOGIES COM 124661109 40215 2231698 SH SOLE 1649500 595448 CAMBREX CORP COM 132011107 45982 1146690 SH SOLE 795150 351740 CATERPILLAR INC COM 149123101 6022 123025 SH SOLE 10000 113025 CEDAR FAIR L P COM 150185106 449 18900 SH SOLE 18900 CENTEX CORP COM 152312104 23612 408585 SH SOLE 331025 78835 CHARTER ONE FINANCIAL COM 160903100 9149 266126 SH SOLE 115611 150515 CHEVRON TEXACO COM 166764100 903 10198 SH SOLE 10198 CHIQUITA BRANDS COM 170032809 22252 1242425 SH SOLE 1140850 102175 CISCO SYS COM 17275R102 157 11240 SH SOLE 11240 CITIGROUP COM 173034109 677 17470 SH SOLE 5000 12470 COLUMBIA BKG SYS COM 197236102 1347 104349 SH SOLE 97734 6615 COMMSCOPE COM 203372107 20178 1614265 SH SOLE 1254115 373550 CONAGRA COM 205887102 7879 284950 SH SOLE 117800 167150 COOPER INDS INC COM G24182100 2671 67975 SH SOLE 51000 16975 CORNING COM 219350105 88 24900 SH SOLE 17000 7900 CPI CORPORATION COM 125902106 341 17500 SH SOLE 16500 1000 CRANE CO COM 224399105 32865 1294917 SH SOLE 994122 303462 DATASCOPE CORP COM 238113104 17947 649300 SH SOLE 559725 90425 DEAN FOODS COM 242370104 74262 1990925 SH SOLE 1493075 512150 DENTSPLY INTERNATIONAL COM 249030107 51591 1397764 SH SOLE 996625 413139 DIEBOLD COM 253651103 39530 1061491 SH SOLE 710901 357140 DUN & BRADSTREET COM 26483E100 10762 325625 SH SOLE 282350 43275 EMERSON ELEC COM 291011104 1026 19175 SH SOLE 6700 12475 ENPRO INDS INC COM COM 29355X107 246 46940 SH SOLE 37650 9790 EOG RES INC COM COM 26875P101 5044 127050 SH SOLE 97700 29350 EQUITY INCOME FD UT 1 MIDCAP COM 16 12199 SH SOLE 12199 EQUITY INCOME FD UT 2 S&P 500 COM 60 33385 SH SOLE 33385 ESCO TECHNOLOGIES INC COM 296315104 1033 29500 SH SOLE 29500 ESTERLINE TECHNOLOGIES COM 297425100 30650 1350205 SH SOLE 951650 410455 EXXON MOBIL CORP COM 30231G102 754 18436 SH SOLE 18436 FANNIE MAE COM 313586109 7111 96420 SH SOLE 6500 89920 FERRO CORP COM 315405100 40398 1339885 SH SOLE 1064485 279450 FIDELITY NATIONAL INC. COM 316326107 6361 201290 SH SOLE 152455 48835 FIRST INDUSTRIAL REALTY TRUST COM 32054k103 9425 286900 SH SOLE 189550 99500 FIRSTMERIT CORP COM 337915102 42879 1554704 SH SOLE 1200379 364575 FLEET BOSTON COM 339030108 304 9400 SH SOLE 9400 FOOT LOCKER INC COM 344849104 25803 1785700 SH SOLE 1650550 139950 FOREST LABORATORIES COM 345838106 414 5850 SH SOLE 5850 FURNITURE BRANDS COM 360921100 15347 507350 SH SOLE 457000 50350 GANNETT COM 364730101 5691 74985 SH SOLE 12100 62885 GENERAL DYNAMICS COM 369550108 287 2700 SH SOLE 2700 GENERAL ELEC COM 369604103 6389 219915 SH SOLE 14300 205615 GENUINE PARTS COMPANY COM 372460105 2418 69350 SH SOLE 55800 13550 GOODRICH B F CO COM 382388106 6366 233025 SH SOLE 188275 47250 GRANITE CONSTR COM 387328107 17407 688025 SH SOLE 513075 175650 GROUP 1 AUTOMOTIVE COM 398905109 41670 1092275 SH SOLE 735750 356525 HCC INSURANCE HOLDINGS COM 404132102 45871 1740835 SH SOLE 1354250 387635 HEALTH CARE REIT COM 42217K106 229 7650 SH SOLE 7650 HON INDS INC COM 438092108 30013 1102597 SH SOLE 798777 313320 HORMEL FOODS COM 440452100 958 40000 SH SOLE 40000 HUTTON TEL TR UT1ST TXFREE10 COM 447900101 26 10000 SH SOLE 10000 INNOVEX COM 457647105 199 50000 SH SOLE 50000 INTEL CORP COM 458140100 386 21140 SH SOLE 21140 INTERPOOL INC COM 46062R108 2135 123700 SH SOLE 117000 6700 INTERTAN INC COM 461120107 773 69300 SH SOLE 67600 1700 ITT INDS COM 450911102 13795 195400 SH SOLE 136200 59200 JOHNSON & JOHNSON COM 478160104 1856 35508 SH SOLE 3400 32108 JOURNAL REGISTER COM 481138105 28078 1396925 SH SOLE 1037575 380150 JP MORGAN CHASE & CO. COM 46625H100 1270 37427 SH SOLE 370 37057 KEMET CORP COM 488360108 1836 102800 SH SOLE 100000 2800 KERR MCGEE CORP COM 492386107 474 8850 SH SOLE 100 8750 KEY PRODUCTION COM 493138101 12762 654475 SH SOLE 390650 275325 KIRBY CORPORATION COM 497266106 4345 177700 SH SOLE 161600 16100 KNIGHT RIDDER INC COM 499040103 12299 195380 SH SOLE 136295 59160 LANDSTAR SYS INC COM 515098101 22548 211021 SH SOLE 127700 83321 LEAR CORPORATION COM 521865105 21907 473660 SH SOLE 282700 191060 LENNAR CORP COM 526057104 63021 1029760 SH SOLE 766150 268760 LEXINGTON CORPORATE PROPERTIES COM 529043101 481 29150 SH SOLE 29150 LINCARE HLDGS INC COM 532791100 10379 321325 SH SOLE 291125 30200 LSI LOGIC CORP COM 502161102 907 103600 SH SOLE 24500 79100 LUCENT TECHNOLOGIES COM 549463107 20 12288 SH SOLE 6000 6288 MACK-CALI REALTY COM 554489104 42495 1208975 SH SOLE 847650 370625 MAGNUM HUNTER RESOURCES INC COM 55972F203 896 113500 SH SOLE 107250 6250 MANITOWOC COM 563571108 42627 1201088 SH SOLE 939463 274675 MAY DEPT STORES COM 577778103 2241 68057 SH SOLE 2400 65657 MAYTAG CORP COM 578592107 3071 72015 SH SOLE 17600 54415 MCGRAW-HILL COMPANIES COM 580645109 6455 108130 SH SOLE 7800 100330 MERCANTILE BANKSHARES COM 587405101 208 5075 SH SOLE 5000 75 MERCK & CO COM 589331107 2825 55780 SH SOLE 5000 50780 MERRILL LYNCH COM 590188108 5991 147930 SH SOLE 11900 136030 MUELLER INDS COM 624756102 5070 159700 SH SOLE 152200 17200 NCI BUILDING SYS COM 628852105 14366 807074 SH SOLE 621137 185937 NICOR COM 654086107 1089 23800 SH SOLE 600 23200 NORFOLK SOUTHERN COM 655844108 423 18100 SH SOLE 18100 NORTH FORK BANCORP COM 659424105 611 15350 SH SOLE 12000 3350 NOVARTIS A G ADR COM 66987V109 6596 150500 SH SOLE 18650 131850 OMNICOM GROUP COM 681919106 1258 27460 SH SOLE 6000 21460 OUTBACK STEAKHOUSE COM 689899102 30470 868100 SH SOLE 653075 215100 OXFORD HEALTH PLANS COM 691471106 85945 1849875 SH SOLE 1346300 515850 PARK ELECTROCHEMICAL COM 700416209 32383 1221990 SH SOLE 918175 311015 PENTAIR INC COM 709631105 50781 1056177 SH SOLE 794627 267500 PERKIN ELMER COM 714046109 1678 151848 SH SOLE 150000 1848 PEROT SYSTEMS CORP COM 714265105 26756 2456950 SH SOLE 1965400 492650 PFIZER INC COM 717081103 940 26869 SH SOLE 1200 25669 PIER 1 IMPORTS COM 720279108 46604 2219245 SH SOLE 1814050 409645 PLUM CREEK TIMBER COM 729251108 718 23400 SH SOLE 23400 POWELL INDS INC COM 739128106 1807 74500 SH SOLE 71000 3500 PPG INDS COM 693506107 9607 155200 SH SOLE 50050 105150 PRIDE INTERNATIONAL COM 74153Q102 21029 1342850 SH SOLE 1064750 302600 PROCTER & GAMBLE COM 742718109 550 6158 SH SOLE 6158 PROSPERITY BANCSHARES COM 743606105 10388 570175 SH SOLE 471250 99225 RADIAN GROUP COM 750236101 24437 500250 SH SOLE 437650 62675 RADIOSHACK CORPORATION COM 750438103 5692 189350 SH SOLE 84100 105250 RAVEN INDS INC COM 754212108 3866 143200 SH SOLE 135900 7300 RAYOVAC COM 755081106 40106 2164393 SH SOLE 1693725 490668 RELIANCE STEEL & ALUM COM 759509102 23376 766414 SH SOLE 559075 216839 RENAISSANCE RE HLDGS COM G7496G103 78873 2155003 SH SOLE 1625513 544265 REPUBLIC BANCORP COM 760282103 33118 2216733 SH SOLE 1535552 681181 REYNOLDS & REYNOLDS COM 761695105 74212 2655170 SH SOLE 1902570 756300 RLI CORP COM COM 749607107 1867 36600 SH SOLE 17300 19300 ROBBINS & MYERS COM 770196103 19990 761530 SH SOLE 520900 242930 ROSS STORES COM 778296103 99067 2431103 SH SOLE 1766688 678515 ROYAL DUTCH PETROLEUM COMPANY COM 780257804 227 4110 SH SOLE 4110 ROYCE VALUE TR COM 780910105 459 27709 SH SOLE 27709 SAFECO CORP COM 786429100 414 13400 SH SOLE 13400 SAFEWAY INC COM 786514208 4686 160525 SH SOLE 20400 140125 SANMINA CORP COM 800907107 1786 283030 SH SOLE 161800 121230 SBC COMMUNICATIONS COM 78387G103 752 24665 SH SOLE 3157 21508 SCOTTS CO COM 810186106 45523 1002700 SH SOLE 784150 227000 SHELL TRANS&TRAD PLC COM 822703609 1977 43926 SH SOLE 6000 37926 SKY FINL GROUP COM 83080p103 8240 389600 SH SOLE 335200 54400 SMITHFIELD FOODS COM 832248108 51235 2762021 SH SOLE 2064975 709096 SOUTHTRUST CORP COM 844730101 2082 79690 SH SOLE 15600 64090 SOVEREIGN BANCORP INC COM 845905108 76823 5138660 SH SOLE 3940755 1234355 ST PAUL COS INC COM 792860108 3247 83438 SH SOLE 49900 33538 STANLEY WKS COM 854616109 1325 32300 SH SOLE 17100 15200 TEREX CORP COM 880779103 5997 266650 SH SOLE 252450 14200 TEXTRON INC COM 883203101 3611 77000 SH SOLE 47500 29500 TIDEWATER COM 886423102 1792 54440 SH SOLE 26250 28190 TRICO MARINE SVCS COM 896106101 110 16200 SH SOLE 16200 UNION PLANTERS COM 908068109 4024 124320 SH SOLE 72900 51420 UNITED STATIONERS INC COM 913004107 13306 437700 SH SOLE 415025 22675 UNIZAN FINANCIAL CORP COM 91528W101 2935 137100 SH SOLE 111000 26100 UNOCAL CORP COM 915289102 6906 186950 SH SOLE 74200 112750 VALASSIS COMMUNICATNS COM 918866104 67437 1847600 SH SOLE 1397450 461675 VERIZON COMMUNICATIONS COM 92343V104 261 6500 SH SOLE 6500 VINTAGE PETROLEUM COM 927460105 32186 2704704 SH SOLE 2048450 661854 VISHAY INTERTECHNOLOGY COM 928298108 4931 224150 SH SOLE 97075 127275 VITAL SIGNS INC COM 928469105 16091 445125 SH SOLE 398450 58725 WARWICK VALLEY TEL COM 936750108 340 5600 SH SOLE 5600 WAUSAU-MOSINEE PAPER COM 943315101 4966 412100 SH SOLE 392400 19700 WEBSTER FINANCIAL CORPCOMMON COM 947890109 17494 457485 SH SOLE 400650 56835 WILSONS LEATHER EXPERT COM 972463103 5673 405200 SH SOLE 289600 115600 WYETH COM COM 349 6815 SH SOLE 800 6015 INVESCO COMBNTIN ST&BD EQUITY MUT 46128W109 144 13150.870SH SOLE 13150.870