-----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, ANrwhIa0J+fbjeY3SNkWild8GEJ8MSwTmmMs+q2mwqFJXcVplCHB3CNhLP+Yod/q Mmbw80vjCuBJDFXb1TraKA== 0000908195-99-000002.txt : 19990518 0000908195-99-000002.hdr.sgml : 19990518 ACCESSION NUMBER: 0000908195-99-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990331 FILED AS OF DATE: 19990517 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SHUFRO ROSE EHRMAN CENTRAL INDEX KEY: 0000908195 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 133729829 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: SEC FILE NUMBER: 028-04541 FILM NUMBER: 99625165 BUSINESS ADDRESS: STREET 1: 745 FIFTH AVENUE STREET 2: 26TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10151-2600 BUSINESS PHONE: 2127545100 MAIL ADDRESS: STREET 1: 745 FIFTH AVENUE STREET 2: 26TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10151-2600 13F-HR 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: March 31, 1999 Check here if Amendment (); Amendment Number: This Amendment (Check only one): ( ) is a restatement. (X) adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Shufro Rose & Co, LLC Address: 745 Fifth Avenue 26th Floor New York, NY 10151 13F File Number:28-792 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: Steven J. Glass Title: Managing Director Phone: 212-754-5100 Signature, Place, and Date of Signing: Steven J. Glass New York, NY May 14, 1999 Report Type (Check only one): (X) 13F HOLDINGS REPORT ( ) 13F NOTICE ( ) 13F COMBINATION REPORT I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934. SHUFRO ROSE & CO LLC PAGE 1 FORM 13F INFORMATION TABLE AS OF DATE: 03/31/99 VALUE SHARES/ SH/ PUT/ INVSTMT -----VOTING AUTHORITY----- NAME OF ISSUER -TITLE OF CLASS- --CUSIP-- (x$1000) PRN AMT PRN CALL DSCRETN -MANAGERS- SOLE SHARED NONE PARK ELECTROCHM 5.5% 3-1-CONV PFD 700416AB6 3201 3700000 PRN SOLE 3700000 AIRTOUCH COMM 6% CONV PFD 00949T209 272 3450 SH SOLE 3450 INGERSOLL-RAND CONV PFD 456867209 1506 59650 SH SOLE 59650 MERRILL LYNCH 7.25% CONV PFD 590188769 1606 21700 SH SOLE 21700 ABBOTT LABORATORIES COM 002824100 229 4890 SH SOLE 4890 ACME METALS COM 004724100 7 26300 SH SOLE 26300 ACME UNITED COM 004816104 109 43500 SH SOLE 43500 AGRIUM INC COM 008916108 10122 1101689 SH SOLE 1101689 AIRTOUCH COMMUNICATIONS COM 00949T100 2298 23786 SH SOLE 23786 ALBANY INTERNATIONAL COM 012348108 3229 172197 SH SOLE 172197 ALDILA INC COM 014384101 42 22540 SH SOLE 22540 ALEXANDER & BALDWIN COM 014482103 4049 206300 SH SOLE 206300 ALLEN TELECOM COM 018091108 1919 295300 SH SOLE 295300 ALLSTATE COM 020002101 408 11002 SH SOLE 11002 AMERICAN EXPRESS COM 025816109 313 2660 SH SOLE 2660 AMERICAN HOME PRODUCTS COM 026609107 4081 62537 SH SOLE 62537 AMERICAN INTERNATIONAL GRCOM 026874107 253 2098 SH SOLE 2098 AMERITECH CORP COM 030954101 1243 21483 SH SOLE 21483 AMWAY JAPAN COM 03234J100 120 27474 SH SOLE 27474 APARTMENT INVESTMENT & MGCOM 03748R101 272 7500 SH SOLE 7500 APRIA HEALTH GROUP COM 037933108 294 24790 SH SOLE 24790 ARROW ELECTRONICS COM 042735100 165 11000 SH SOLE 11000 ASSOCIATES FIRST CAPITAL COM 046008108 412 9154 SH SOLE 9154 ASTROSYSTEMS COM 046465100 383 133200 SH SOLE 133200 AT & T CORP COM 001957109 1891 23687 SH SOLE 23687 ATLANTIC RICHFIELD COM 048825103 365 5000 SH SOLE 5000 AUDIOVOX CL A COM 050757103 447 67500 SH SOLE 67500 AUTOTOTE COM 053323101 505 278590 SH SOLE 278590 AVNET COM 053807103 1135 31000 SH SOLE 31000 BAKER HUGHES COM 057224107 5636 231805 SH SOLE 231805 BALDWIN TECHNOLOGY COM 058264102 2726 948200 SH SOLE 948200 BELL ATLANTIC COM 077853109 1109 21465 SH SOLE 21465 BELLSOUTH COM 079860102 1140 28442 SH SOLE 28442 BERKLEY W R COM 084423102 6662 271900 SH SOLE 271900 BETHLEHEM STEEL COM 087509105 5386 652818 SH SOLE 652818 BHC COMMUNICATIONS COM 055448104 3398 27850 SH SOLE 27850 BOMBAY COM 097924104 7902 1975460 SH SOLE 1975460 BP AMOCO COM 055622104 3321 32901 SH SOLE 32901 BRIDGFORD FOOD CORP COM 108763103 416 39380 SH SOLE 39380 BRISTOL-MYERS SQUIBB COM 110122108 3074 47798 SH SOLE 47798 BURLINGTON RESOURCES COM 122014103 3481 87150 SH SOLE 87150 CAERE CORP COM 127646107 246 23450 SH SOLE 23450 CALGON CARBON COM 129603106 288 55500 SH SOLE 55500 CARNIVAL CRUISE LINES COM 143658102 2042 42050 SH SOLE 42050 CASE CORP COM 14743R103 2720 107205 SH SOLE 107205 CASH AMERICA INTL COM 14754D100 7048 547450 SH SOLE 547450 CATERPILLAR COM 149123101 588 12800 SH SOLE 12800 CENTRAL HUDSON GAS & ELECCOM 153609102 5523 154220 SH SOLE 154220 CHARMING SHOPPES COM 161133103 1829 472000 SH SOLE 472000 CHEVRON COM 166751107 2664 30118 SH SOLE 30118 CHRIS-CRAFT INDUSTRIES CLCOM 170520506 243 4576 SH SOLE 4576 CITIGROUP COM 172967101 636 9962 SH SOLE 9962 CITIZENS UTILITIES COM 177342201 7461 962760 SH SOLE 962760 CLARE C P COM 12615K107 45 12500 SH SOLE 12500 COAST DISTRIBUTION SYSTEMCOM 190345108 54 22700 SH SOLE 22700 COCA-COLA CO COM 191216100 687 11200 SH SOLE 11200 COGNEX CORP COM 192422103 343 14485 SH SOLE 14485 COLD METAL PRODUCTS COM 192861102 83 47440 SH SOLE 47440 COMCAST CLASS A SPECIAL COM 200300200 412 6550 SH SOLE 6550 COMMERCIAL METALS COM 201723103 1184 59200 SH SOLE 59200 COMMUNICATIONS SYSTEMS COM 203900105 220 23125 SH SOLE 23125 COMPAQ COMPUTER COM 204493100 1803 56900 SH SOLE 56900 CONSOLIDATED EDISON COM 209115104 486 10730 SH SOLE 10730 CONTIFINANCIAL CORP COM 21075V107 12167 1707715 SH SOLE 1707715 CORNING COM 219350105 15443 257375 SH SOLE 257375 CORRPRO COMPANIES COM 220317101 609 53500 SH SOLE 53500 CPAC COM 126145101 1038 140700 SH SOLE 140700 CRAFTMADE INTERNATIONAL COM 22413E104 3801 253410 SH SOLE 253410 CROWN CORK & SEAL COM 228255105 7244 253600 SH SOLE 253600 CUMMINS ENGINE COM 231021106 2425 68190 SH SOLE 68190 DATRON SYSTEMS COM 238173108 1243 198900 SH SOLE 198900 DAY RUNNER COM 239545106 3193 263315 SH SOLE 263315 DEPARTMENT 56 COM 249509100 15467 508140 SH SOLE 508140 DISNEY WALT COM 254687106 610 19592 SH SOLE 19592 DONNELLY CORP CLASS A COM 257870105 3297 251200 SH SOLE 251200 DOW CHEMICAL COM 260543103 1129 12115 SH SOLE 12115 DUPONT COM 263534109 38672 666031 SH SOLE 666031 DURBAN ROODEPOORT DEEP COM 266597301 21 10000 SH SOLE 10000 EASTGROUP PROPERTIES COM 277276101 964 59800 SH SOLE 59800 EDISON BROTHERS STORES COM 280875303 9 29100 SH SOLE 29100 EDISON INTERNATIONAL COM 281020107 288 12962 SH SOLE 12962 ENVIRONMENTAL ELEMENTS COM 293940102 76 25300 SH SOLE 25300 EXXON CORP COM 302290101 32880 465971 SH SOLE 465971 FIRST DATA COM 319963104 1089 25475 SH SOLE 25475 FIRST TENNESSEE NATIONAL COM 337162101 419 11450 SH SOLE 11450 FIRSTAR CORP WIS COM 33763V109 408 4560 SH SOLE 4560 FORD MOTOR COMPANY COM 345370100 1003 17678 SH SOLE 17678 FORTUNE BRANDS COM 349631101 1087 28100 SH SOLE 28100 FOURTH SHIFT COM 351128103 608 113040 SH SOLE 113040 FRESH CHOICE COM 358032100 40 15500 SH SOLE 15500 GADZOOKS INC COM 362553109 168 22600 SH SOLE 22600 GALLAHER COM 363595109 658 28000 SH SOLE 28000 GAP INC COM 364760108 263 3900 SH SOLE 3900 GENERAL ELECTRIC COM 369604103 86658 783345 SH SOLE 783345 GENERAL MOTORS COM 370442105 771 8880 SH SOLE 8880 GENERAL NUTRITION COM 37047F103 2304 164600 SH SOLE 164600 GENEVA STEEL COM 372252106 32 51990 SH SOLE 51990 GERMANY FUND COM 374143105 1446 113400 SH SOLE 113400 GETTY PETROLEUM MARKETINGCOM 374292100 1024 356119 SH SOLE 356119 GETTY REALTY NEW COM 374297109 330 26384 SH SOLE 26384 GIANT CEMENT COM 374450104 5735 333635 SH SOLE 333635 GIGA TRONICS COM 375175106 65 26100 SH SOLE 26100 GLACIER WATER SERVICES COM 376395109 624 30450 SH SOLE 30450 GLATFELTER (P H) COM 377316104 1583 141511 SH SOLE 141511 GOODYEAR TIRE & RUBBER COM 382550101 721 14479 SH SOLE 14479 GOVERNMENT TECHNOLOGY SERCOM 383750106 2775 792980 SH SOLE 792980 GREAT TRAIN STORE COM 391330107 359 338100 SH SOLE 338100 GROUPE AB COM 39944Q109 1319 586030 SH SOLE 586030 GTE CORP COM 362320103 400 6606 SH SOLE 6606 GULF CANADA RESOURCES COM 40218L305 320 119100 SH SOLE 119100 HALLIBURTON CO COM 406216101 1733 45000 SH SOLE 45000 HANSON INDUSTRIES ADR COM 411352404 6786 154233 SH SOLE 154233 HARTARX COM 417119104 1403 287700 SH SOLE 287700 HEILIG MEYERS COM 422893107 151 29195 SH SOLE 29195 HEWLETT PACKARD COM 428236103 10476 154480 SH SOLE 154480 HOLLINGER COM 435569108 6858 505655 SH SOLE 505655 HOME DEPOT COM 437076102 6898 110809 SH SOLE 110809 H & Q LIFE SCIENCES COM 404053100 237 21573 SH SOLE 21573 HUBCO COM 404382103 808 24061 SH SOLE 24061 HUNTCO COM 445661101 1895 758025 SH SOLE 758025 HUNT CORP COM 445591100 593 60000 SH SOLE 60000 IMPERIAL SUGAR COM 453096109 147 24300 SH SOLE 24300 INSTEEL COM 45774W108 2272 403900 SH SOLE 403900 INTEGRATED DEVICE TECHNOLCOM 458118106 3516 650350 SH SOLE 650350 INTEL COM 458140100 394 3306 SH SOLE 3306 INTL BUSINESS MACHINES COM 459200101 7805 44033 SH SOLE 44033 INTL PAPER COM 460146103 1960 46449 SH SOLE 46449 INTERTAN COM 461120107 290 29700 SH SOLE 29700 JAPAN OTC EQUITY FUND COM 471091108 939 122150 SH SOLE 122150 JOHNSON & JOHNSON COM 478160104 2802 29906 SH SOLE 29906 KENT ELECTRONICS COM 490553104 1296 130385 SH SOLE 130385 KENTUCKY ELECTRIC STEEL COM 49127B100 92 27250 SH SOLE 27250 KEYSPAN ENERGY COM 49337K106 268 10676 SH SOLE 10676 KIMBERLY CLARK COM 494368103 388 8090 SH SOLE 8090 KIRBY CORP COM 497266106 3019 159400 SH SOLE 159400 LACLEDE GAS COM 505588103 2115 101000 SH SOLE 101000 LACROSSE FOOTWEAR COM 505688101 1618 258940 SH SOLE 258940 LAM RESEARCH COM 512807108 1954 67375 SH SOLE 67375 LAZARE KAPLAN INTL COM 521078105 288 41900 SH SOLE 41900 LODGENET ENTERTAINMENT COM 540211109 421 64200 SH SOLE 64200 LUCENT TECHNOLOGIES COM 549463107 1617 15008 SH SOLE 15008 M-SYSTEMS/FLASH DISK PIONCOM M7061C100 68 16000 SH SOLE 16000 MANPOWER INC COM 56418H100 2330 99700 SH SOLE 99700 MARCUM NATURAL GAS SVCS COM 566323309 29 17550 SH SOLE 17550 MATTEL INC COM 577081102 6269 252025 SH SOLE 252025 MCI WORLDCOM COM 55268B106 423 4779 SH SOLE 4779 MEDAR COM 584029102 134 82400 SH SOLE 82400 MEDIAONE GROUP COM 58440J104 305 4811 SH SOLE 4811 MELLON BANK COM 585509102 2014 28617 SH SOLE 28617 MENTOR GRAPHICS COM 587200106 6663 493540 SH SOLE 493540 MERCK & CO COM 589331107 4638 57845 SH SOLE 57845 MERITOR AUTOMOTIVE COM 59000G100 2824 182200 SH SOLE 182200 MERRILL LYNCH & CO COM 590188108 470 5319 SH SOLE 5319 MFRI INC COM 552721102 244 78000 SH SOLE 78000 MGI PROPERTIES COM 552885105 4875 178100 SH SOLE 178100 MGM GRAND COM 552953101 353 10495 SH SOLE 10495 MICHAELS STORES COM 594087108 2709 109740 SH SOLE 109740 MICROSOFT COM 594918104 403 4496 SH SOLE 4496 MIDAS MUFFLER SHOPS COM 595626102 10735 321650 SH SOLE 321650 MILLENNIUM CHEMICALS COM 599903101 2810 141364 SH SOLE 141364 MINNESOTA MINING & MFG COM 604059105 1638 23147 SH SOLE 23147 MOBIL CORP COM 607059102 9406 106887 SH SOLE 106887 MONSANTO CO COM 611662107 1896 41270 SH SOLE 41270 MOORE PRODUCTS COM 615836103 218 10529 SH SOLE 10529 MORGAN J P & CO COM 616880100 20547 166538 SH SOLE 166538 MOTOROLA COM 620076109 1897 25900 SH SOLE 25900 M & T BANK CORP COM 55261F104 17708 36968 SH SOLE 36968 NATIONAL STEEL COM 637844309 89 10800 SH SOLE 10800 NATIONAL WESTMINSTER BANKADR 638539403 204 1488 SH SOLE 1488 NATURAL WONDERS COM 639014109 55 12600 SH SOLE 12600 NEWELL RUBBERMAID COM 651192106 1534 32685 SH SOLE 32685 NEW GERMANY FUND COM 644465106 3273 274200 SH SOLE 274200 NEW MEXICO & ARIZONA LANDCOM 647072107 2211 305024 SH SOLE 305024 NEW PLAN EXCEL REALTY TRUCOM 648053106 386 20100 SH SOLE 20100 NEWMONT MINING COM 651639106 472 26950 SH SOLE 26950 NINE WEST COM 65440D102 747 30240 SH SOLE 30240 OCEAN ENERGY COM 674812201 1647 241700 SH SOLE 241700 OCEAN ENERGY NEW COM 67481E106 1071 164770 SH SOLE 164770 OLD REPUBLIC COM 680223104 568 31100 SH SOLE 31100 ORTHOLOGIC CORP COM 68750J107 105 35100 SH SOLE 35100 O'SULLIVAN INDUSTRIES COM 688609106 4796 347200 SH SOLE 347200 PALL CORPORATION COM 696429307 379 22900 SH SOLE 22900 PAXSON COMMUNICATIONS COM 704231109 2491 290850 SH SOLE 290850 PENNEY JC COM 708160106 7820 193090 SH SOLE 193090 PEPSICO INC COM 713448108 2002 51080 SH SOLE 51080 PERKIN-ELMER COM 714041100 843 8685 SH SOLE 8685 PETSMART COM 716768106 8711 1084695 SH SOLE 1084695 PFIZER INC COM 717081103 7153 51554 SH SOLE 51554 PHARMACIA & UPJOHN COM 716941109 302 4835 SH SOLE 4835 PHILIP MORRIS COM 718154107 3834 108964 SH SOLE 108964 PIONEER STANDARD ELECTRONCOM 723877106 1260 191950 SH SOLE 191950 POLAROID COM 731095105 2472 123190 SH SOLE 123190 PROCTER & GAMBLE COM 742718109 215 2200 SH SOLE 2200 PROVIDIAN COM 74406A102 3190 29000 SH SOLE 29000 QUAKER OATS CO COM 747402105 438 7000 SH SOLE 7000 RDO EQUIPMENT - CL A COM 749413100 232 25750 SH SOLE 25750 RELIANT ENERGY COM 75952J108 291 11180 SH SOLE 11180 ROLLINS INC COM 775711104 1574 93600 SH SOLE 93600 ROYAL DUTCH PETROLEUM COM 780257804 2170 41732 SH SOLE 41732 ROYCE VALUE TRUST COM 780910105 3709 327820 SH SOLE 327820 SAMUELS JEWELERS COM 796060101 810 185150 SH SOLE 185150 SANTA FE ENERGY RESOURCESCOM 802012104 251 34280 SH SOLE 34280 SARA LEE COM 803111103 344 13900 SH SOLE 13900 SBC COMMUNICATIONS COM 78387G103 2621 55628 SH SOLE 55628 SCHERING-PLOUGH COM 806605101 697 12600 SH SOLE 12600 SCHNITZER STEEL INDUSTRIECOM 806882106 1079 90875 SH SOLE 90875 SEARS ROEBUCK & CO COM 812387108 1183 26170 SH SOLE 26170 SKYTEL COMMUNICATIONS COM 607406105 172 10370 SH SOLE 10370 SMITHFIELD FOODS COM 832248108 287 12650 SH SOLE 12650 SOLUTIA COM 834376105 328 18869 SH SOLE 18869 SPARTAN MOTORS COM 846819100 1732 294850 SH SOLE 294850 STANDARD PACIFIC COM 85375C101 135 10500 SH SOLE 10500 STARWOOD HOTELS & RESORTSCOM 85590A203 223 7792 SH SOLE 7792 STEWART & STEVENSON SERVICOM 860342104 2569 334100 SH SOLE 334100 STRATEGIC DISTRIBUTION COM 862701208 150 74850 SH SOLE 74850 SUMMIT BANCORP COM 866005101 776 19892 SH SOLE 19892 SUNSOURCE INC COM 867948101 393 27800 SH SOLE 27800 SWISS ARMY BRANDS COM 870827102 2786 292330 SH SOLE 292330 SYNALLOY COM 871565107 846 123000 SH SOLE 123000 TECUMSEH PRODUCTS COM 878895200 4406 86500 SH SOLE 86500 TEJON RANCH COM 879080109 4274 257100 SH SOLE 257100 TIME WARNER COM 887315109 3720 52350 SH SOLE 52350 TMKEN ROLLER BEARING COM 887389104 6296 387450 SH SOLE 387450 TODAYS MAN COM 888910205 30 22630 SH SOLE 22630 TOOTSIE ROLL INDUSTRIES COM 890516107 3248 70522 SH SOLE 70522 TRICON GLOBAL RESTAURANTSCOM 895953107 349 4972 SH SOLE 4972 TSI INTERNATIONAL COM 872879101 415 8496 SH SOLE 8496 TUPPERWARE COM 899896104 8811 489500 SH SOLE 489500 TWIN DISC COM 901476101 909 47200 SH SOLE 47200 UNION PACIFIC COM 907818108 13817 258559 SH SOLE 258559 USEC INC COM 90333E108 6417 471000 SH SOLE 471000 U S WEST INC COM 91273H101 280 5077 SH SOLE 5077 UST INC COM 902911106 474 18135 SH SOLE 18135 UTAH MEDICAL PRODUCTS COM 917488108 541 92100 SH SOLE 92100 VARIAN ASSOCIATES COM 922204102 5093 131430 SH SOLE 131430 VARIAN INC COM 922206107 330 35000 SH SOLE 35000 VISHAY INTERTECHNOLOGY COM 928298108 558 38300 SH SOLE 38300 VISTA EYECARE COM 928352103 415 71430 SH SOLE 71430 WABASH NATIONAL COM 929566107 184 15800 SH SOLE 15800 WAL-MART STORES COM 931142103 1023 11100 SH SOLE 11100 WARNER-LAMBERT COM 934488107 2724 41155 SH SOLE 41155 WEIRTON STEEL COM 948774104 831 553800 SH SOLE 553800 WESTERN GAS RESOURCES COM 958259103 2808 374400 SH SOLE 374400 WHOLE FOODS MKT COM 966837106 211 6150 SH SOLE 6150 WYNNS INTERNATIONAL COM 983195108 1042 59736 SH SOLE 59736 XIRCOM COM 983922105 1129 44925 SH SOLE 44925 3COM COM 885535104 1688 72400 SH SOLE 72400 LINE COUNT: 255
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