13F-HR 1 sec13f.txt THIRD QUARTER 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, 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 November 4, 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 6848 1738065 SH SOLE 1459850 278215 3M COM 88579Y101 229 2084 SH SOLE 2084 ABBOTT LABORATORIES COM 002824100 3007 74440 SH SOLE 4300 70140 ABM INDS INC COM 000957100 268 19000 SH SOLE 19000 ALLIED CAPITAL CORP COM 01903Q108 258 11800 SH SOLE 3000 8800 ALLTEL CORP COM COM 020039103 301 7511 SH SOLE 7511 AMERICAN CAPITAL COM 024937104 8299 440475 SH SOLE 372175 68500 AMERICAN INT'L GROUP COM 026874107 3874 70818 SH SOLE 6093 64725 AMETEK INC COM 031100100 46246 1588114 SH SOLE 1273825 323339 ANDREW CORP COM 034425108 12350 1885550 SH SOLE 1432300 453450 ANSYS INC COM 03662q105 5376 312000 SH SOLE 215000 97000 AOL TIME WARNER COM 00184A105 3414 291810 SH SOLE 35250 256560 APOGEE ENTERPRISES COM 037598109 2535 231700 SH SOLE 224300 7400 APPLEBEES INTL COM 037899101 38934 1776197 SH SOLE 1207699 584998 APTARGROUP COM 038336103 47226 1757571 SH SOLE 1356765 411956 ARGOSY GAMING COM 040228108 7408 322655 SH SOLE 268450 54205 ARROW ELECTRS COM 042735100 33849 2680040 SH SOLE 1965250 728440 ARVINMERITOR INC COM 043353101 21468 1148000 SH SOLE 866725 296625 ASSOCIATED BANC-CORP COM 045487105 19297 608149 SH SOLE 526817 83559 AT&T CORP COM WIRLES GRP COM 00209A106 70 16957 SH SOLE 939 16018 ATMOS ENERGY COM 049560105 1092 50800 SH SOLE 50000 800 AUTOMATIC DATA PROCESS COM 053015103 6333 182140 SH SOLE 15700 166440 BANKNORTH GROUP INC COM 06646R107 22467 945988 SH SOLE 705928 255060 BANTA CORP COM 066821109 58997 1661901 SH SOLE 1276750 385551 BB&T CORP COM 054937107 245 7000 SH SOLE 7000 BECTON DICKINSON COM 075887109 2971 104625 SH SOLE 19100 85525 BELLSOUTH CORP COM 079860102 2140 116550 SH SOLE 15400 101150 BJS WHOLESALE CLUB COM 05548J106 6229 327690 SH SOLE 282450 45240 BLACK & DECKER COM 091797100 6857 163540 SH SOLE 83700 79940 BORG WARNER INC COM 099724106 697 14050 SH SOLE 13900 150 BRISTOL MYERS SQUIBB COM 110122108 2075 87195 SH SOLE 5600 81595 BROWN TOM INC COM 115660201 45578 1990301 SH SOLE 1532950 470101 C&D TECHNOLOGIES COM 124661109 32945 2247303 SH SOLE 1667550 592553 CAMBREX CORP COM 132011107 43423 1179967 SH SOLE 824925 355042 CATERPILLAR INC COM 149123101 4142 111275 SH SOLE 10000 101275 CEDAR FAIR L P COM 150185106 442 18900 SH SOLE 18900 CENTEX CORP COM 152312104 15883 358135 SH SOLE 288375 71035 CHARTER ONE FINANCIAL COM 160903100 8431 283682 SH SOLE 129477 154206 CHEVRON TEXACO COM 166764100 706 10198 SH SOLE 10198 CHIQUITA BRANDS COM 170032809 20607 1333775 SH SOLE 1224375 110000 CISCO SYS COM 17275R102 115 11000 SH SOLE 11000 CITIGROUP COM 173034109 535 18057 SH SOLE 5000 13057 COLUMBIA BKG SYS COM 197236102 1155 104349 SH SOLE 97734 6615 COMMSCOPE COM 203372107 10048 1482065 SH SOLE 1249615 245850 CONAGRA COM 205887102 7065 284300 SH SOLE 128800 155500 COOPER COMPANIES INC COM 216648402 8314 158360 SH SOLE 155500 2860 COOPER INDS INC COM G24182100 2486 81925 SH SOLE 59900 22025 CORNING COM 219350105 40 24900 SH SOLE 17000 7900 CPI CORPORATION COM 125902106 241 17500 SH SOLE 16500 1000 CRANE CO COM 224399105 26889 1360772 SH SOLE 1048892 314547 DATASCOPE CORP COM 238113104 18218 673250 SH SOLE 581300 92450 DEAN FOODS COM 242370104 77683 1952825 SH SOLE 1467325 497300 DENTSPLY INTERNATIONAL COM 249030107 46243 1151189 SH SOLE 881250 277939 DIEBOLD COM 253651103 26574 807240 SH SOLE 539700 273640 DUN & BRADSTREET COM 26483E100 10203 303575 SH SOLE 261650 41925 EMERSON ELEC COM 291011104 834 18975 SH SOLE 6700 12275 EOG RES INC COM COM 26875P101 5014 139430 SH SOLE 106100 33330 EQUITY INCOME FD UT 1 MIDCAP COM 14 12199 SH SOLE 12199 EQUITY INCOME FD UT 2 S&P 500 COM 50 33385 SH SOLE 33385 ESCO TECHNOLOGIES INC COM 296315104 2108 65257 SH SOLE 65000 257 ESTERLINE TECHNOLOGIES COM 297425100 22472 1350505 SH SOLE 951050 411355 EXXON MOBIL CORP COM 30231G102 534 16736 SH SOLE 16736 FANNIE MAE COM 313586109 5675 95320 SH SOLE 6500 88820 FERRO CORP COM 315405100 32367 1401160 SH SOLE 1119835 284975 FIDELITY NATIONAL INC. COM 316326107 5998 208710 SH SOLE 162265 46445 FIRST INDUSTRIAL REALTY TRUST COM 32054k103 8879 286500 SH SOLE 188750 99900 FIRST STATE BANCORP COM 336453105 493 20000 SH SOLE 20000 FIRSTMERIT CORP COM 337915102 34081 1591068 SH SOLE 1232704 368214 FOOT LOCKER INC COM 344849104 17348 1736550 SH SOLE 1618400 122950 FOREST LABORATORIES COM 345838106 480 5850 SH SOLE 5850 FURNITURE BRANDS COM 360921100 12022 523850 SH SOLE 473200 50650 GALLAGHER ARTHUR J &CO COM 363576109 8596 348725 SH SOLE 294625 54100 GANNETT COM 364730101 5337 73935 SH SOLE 12100 61835 GENERAL DYNAMICS COM 369550108 220 2700 SH SOLE 2700 GENERAL ELEC COM 369604103 5580 226365 SH SOLE 14300 212065 GENUINE PARTS COMPANY COM 372460105 2284 74550 SH SOLE 64600 9950 GRANITE CONSTR COM 387328107 13657 828675 SH SOLE 642825 186050 GROUP 1 AUTOMOTIVE COM 398905109 25611 1145910 SH SOLE 782900 363010 HCC INSURANCE HOLDINGS COM 404132102 43199 1799220 SH SOLE 1399800 400020 HEALTH CARE REIT COM 42217K106 209 7650 SH SOLE 7650 HON INDS INC COM 438092108 26465 1039870 SH SOLE 743250 306120 HUTTON TEL TR UT1ST TXFREE10 COM 447900101 18 10000 SH SOLE 10000 INNOVEX COM 457647105 118 50000 SH SOLE 50000 INTEL CORP COM 458140100 299 21560 SH SOLE 300 21260 INTERPOOL INC COM 46062R108 1482 123300 SH SOLE 117000 6300 ITT INDS COM 450911102 11715 187950 SH SOLE 132400 55550 JOHNSON & JOHNSON COM 478160104 1896 35063 SH SOLE 3500 31563 JOURNAL REGISTER COM 481138105 29505 1565275 SH SOLE 1197150 388475 JP MORGAN CHASE & CO. COM 46625H100 707 37247 SH SOLE 370 36877 KERR MCGEE CORP COM 492386107 384 8850 SH SOLE 100 8750 KEY PRODUCTION COM 493138101 10639 656725 SH SOLE 395950 272275 KIRBY CORPORATION COM 497266106 4201 185700 SH SOLE 168900 16800 KNIGHT RIDDER INC COM 499040103 11210 198720 SH SOLE 139795 59000 LANDSTAR SYS INC COM 515098101 20612 420442 SH SOLE 254150 166292 LEAR CORPORATION COM 521865105 21113 506920 SH SOLE 300725 206295 LENNAR CORP COM 526057104 61500 1102540 SH SOLE 826350 281140 LEXINGTON CORPORATE PROPERTIES COM 529043101 620 38500 SH SOLE 38500 LINCARE HLDGS INC COM 532791100 11663 375725 SH SOLE 323575 52150 LSI LOGIC CORP COM 502161102 647 101950 SH SOLE 24500 77450 LUCENT TECHNOLOGIES COM 549463107 11 14288 SH SOLE 6000 8288 MACK-CALI REALTY COM 554489104 35773 1113375 SH SOLE 759500 362825 MAGNUM HUNTER RESOURCES INC COM 55972F203 525 100000 SH SOLE 93750 6250 MANITOWOC COM 563571108 33608 1228808 SH SOLE 965563 275945 MAY DEPT STORES COM 577778103 1517 66632 SH SOLE 2400 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INC COM 709631105 39230 1055427 SH SOLE 796577 264800 PERKIN ELMER COM 714046109 826 151600 SH SOLE 150000 1600 PEROT SYSTEMS CORP COM 714265105 48240 5187125 SH SOLE 3997450 1218375 PFIZER INC COM 717081103 898 30929 SH SOLE 1400 29529 PIER 1 IMPORTS COM 720279108 42583 2232995 SH SOLE 1828000 408895 PLUM CREEK TIMBER COM 729251108 549 24300 SH SOLE 24300 POWELL INDS INC COM 739128106 2240 119150 SH SOLE 114100 5050 PPG INDS COM 693506107 7122 159330 SH SOLE 55150 104180 PRIDE INTERNATIONAL COM 74153Q102 19029 1463750 SH SOLE 1177500 309950 PRIME HOSPITALITY CORP COM 741917108 3810 464575 SH SOLE 356300 108275 PROCTER & GAMBLE COM 742718109 524 5858 SH SOLE 5858 PROSPERITY BANCSHARES COM 743606105 9428 553625 SH SOLE 462600 91325 RADIAN GROUP COM 750236101 13498 413275 SH SOLE 359475 53875 RADIOSHACK CORPORATION COM 750438103 3705 184700 SH SOLE 84100 100600 RAVEN INDS INC COM 754212108 4245 159000 SH SOLE 152200 6800 RAYOVAC COM 755081106 27100 2221343 SH SOLE 1749075 491768 RELIANCE STEEL & ALUM COM 759509102 15978 731264 SH SOLE 524075 216689 RENAISSANCE RE HLDGS COM G7496G103 78049 2065338 SH SOLE 1582638 497175 REPUBLIC BANCORP COM 760282103 28173 2167126 SH SOLE 1531986 635140 REYNOLDS & REYNOLDS COM 761695105 60908 2714250 SH SOLE 1954670 762930 RLI CORP COM COM 749607107 1964 36600 SH SOLE 17300 19300 ROBBINS & MYERS COM 770196103 13992 750245 SH SOLE 523700 228845 ROSS STORES COM 778296103 83739 2349578 SH SOLE 1722863 637715 ROYCE VALUE TR COM 780910105 353 28075 SH SOLE 28075 SAFECO CORP COM 786429100 410 12900 SH SOLE 12900 SAFEWAY INC COM 786514208 3667 164425 SH SOLE 20400 144025 SANMINA CORP COM 800907107 958 345830 SH SOLE 164300 181530 SBC COMMUNICATIONS COM 78387G103 490 24402 SH SOLE 3157 21245 SCIENTIFIC ATLANTA INC COM 808655104 1470 117500 SH SOLE 109200 8300 SCOTTS CO COM 810186106 42271 1013925 SH SOLE 795325 226800 SHELL TRANS&TRAD PLC COM 822703609 1576 44126 SH SOLE 6000 38126 SKY FINL GROUP COM 83080p103 8804 442200 SH SOLE 373600 68600 SMITHFIELD FOODS COM 832248108 45109 2873161 SH SOLE 2157075 727736 SOUTHTRUST CORP COM 844730101 1894 78090 SH SOLE 15600 62490 SOVEREIGN BANCORP INC COM 845905108 64047 4964905 SH SOLE 3832205 1168250 SPX CORP COM 784635104 2620 25970 SH SOLE 22550 3420 ST PAUL COS INC COM 792860108 2739 95368 SH SOLE 59900 35468 STANLEY WKS COM 854616109 1037 31750 SH SOLE 17100 14650 TEREX CORP COM 880779103 4744 280700 SH SOLE 267450 13250 TEXTRON INC COM 883203101 2897 84950 SH SOLE 56000 28950 TIDEWATER COM 886423102 1448 53640 SH SOLE 26250 27390 TRICO MARINE SVCS COM 896106101 41 16200 SH SOLE 16200 UNION PLANTERS COM 908068109 3592 130820 SH SOLE 82200 48620 UNITED STATIONERS INC COM 913004107 12448 473290 SH SOLE 436650 36640 UNIZAN FINANCIAL CORP COM 91528W101 2629 137100 SH SOLE 111000 26100 UNOCAL CORP COM 915289102 3983 126900 SH SOLE 27300 99600 VALASSIS COMMUNICATNS COM 918866104 65742 1874585 SH SOLE 1424225 461635 VERIZON COMMUNICATIONS COM 92343V104 206 7516 SH SOLE 7516 VINTAGE PETROLEUM COM 927460105 29381 2720454 SH SOLE 2066950 658604 VISHAY INTERTECHNOLOGY COM 928298108 2228 253140 SH SOLE 125175 128165 VITAL SIGNS INC COM 928469105 13189 443925 SH SOLE 397600 58375 WARWICK VALLEY TEL COM 936750108 833 15000 SH SOLE 15000 WAUSAU-MOSINEE PAPER COM 943315101 3789 411400 SH SOLE 392400 19000 WEBSTER FINANCIAL CORPCOMMON COM 947890109 15476 460879 SH SOLE 400050 60829 WILSONS LEATHER EXPERT COM 972463103 80 11200 SH SOLE 11000 200 WYETH COM COM 217 6815 SH SOLE 800 6015 INVESCO COMBNTIN ST&BD EQUITY MUT 46128W109 100 11134.235SH SOLE 11134.235