13F-HR 1 srec123100.txt 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, 2000 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 February 14, 2001 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. FORM 13F SUMMARY PAGE AS OF DATE: 12/31/00 RUN DATE: 2/14/01 11:17 A.M. REPORT SUMMARY: NUMBER OF OTHER INCLUDED MANAGERS: 0 FORM 13F INFORMATION TABLE ENTRY TOTAL: 227 FORM 13F INFORMATION TABLE VALUE TOTAL: $707,709,585.33 LIST OF OTHER INCLUDED MANAGERS: NO. 13F FILE NUMBER NAME Shufro, Rose & CO LLC Page: 1 Form 13F Information Table As of Date: 12/31/2000 - Voting Authority - Title Name of Issuer of Class - CUSIP - Value Shares/ SH/ Put/ Invstmt/ Shared None (X $1000) Prn Amt Prn Call Dscretn - Managers - Sole IRT PROPERTY CV 7.30% 8-15-03 CONV BND 450058AA0 2,190,769 2,291,000 PRN SOLE 2,291,000 INGERSOLL-RAND CONVERTIBLE PFD CONV PFD 456867209 875,964 41,100 SH SOLE 41,100 ABBOTT LABORATORIES COM 002824100 11,786,176 243,325 SH SOLE 243,325 AGILENT TECHNOLOGIES COM 00846U101 2,944,291 53,777 SH SOLE 53,777 AGRIUM INC COM 008916108 13,663,260 934,240 SH SOLE 934,240 AIRBORNE COM 009269101 225,225 23,100 SH SOLE 23,100 ALBERTSONS INC COM 013104104 593,600 22,400 SH SOLE 22,400 ALEXANDER & BALDWIN COM 014482103 3,205,125 122,100 SH SOLE 122,100 ALLEGHANY CORP COM 017175100 2,137,200 10,400 SH SOLE 10,400 ALLSTATE COM 020002101 622,559 14,291 SH SOLE 14,291 AMERICAN HOME PRODUCTS COM 026609107 19,997,151 314,668 SH SOLE 314,668 AMERICAN INTERNATIONAL GROUP COM 026874107 1,690,947 17,156 SH SOLE 17,156 APARTMENT INVESTMENT & MGMT COM 03748R101 411,989 8,250 SH SOLE 8,250 APRIA HEALTH GROUP COM 037933108 522,113 17,550 SH SOLE 17,550 ARROW ELECTRONICS COM 042735100 3,140,878 109,725 SH SOLE 109,725 ARVINMERITOR COM 043353101 2,200,494 193,450 SH SOLE 193,450 AT & T CORP COM 001957109 724,079 41,823 SH SOLE 41,823 AT&T LIBERTY MEDIA GROUP COM 001957208 150,983 11,132 SH SOLE 11,132 AUTODESK COM 052769106 4,933,021 183,125 SH SOLE 183,125 AUTOTOTE COM 053323101 955,903 324,035 SH SOLE 324,035 AVANT CORP COM 053487104 1,768,651 96,579 SH SOLE 96,579 AVAYA COM 053499109 205,600 19,936 SH SOLE 19,936 AVT COM 002420107 264,251 53,180 SH SOLE 53,180 BALDWIN TECHNOLOGY COM 058264102 942,750 628,500 SH SOLE 628,500 BARNES & NOBLE COM 067774109 1,200,662 45,308 SH SOLE 45,308 BEA SYSTEMS COM 073325102 222,133 3,300 SH SOLE 3,300 BELLSOUTH COM 079860102 918,441 22,435 SH SOLE 22,435 BERKLEY W R COM 084423102 221,784 4,700 SH SOLE 4,700 BERKSHIRE HATHAWAY B SHARES COM 084670207 8,194,274 3,481 SH SOLE 3,481 BETHLEHEM STEEL COM 087509105 320,250 183,000 SH SOLE 183,000 BOEING CO COM 097023105 270,600 4,100 SH SOLE 4,100 BOMBAY COM 097924104 3,136,130 1,618,230 SH SOLE 1,618,230 BRAZILIAN EQUITY FUND COM 105884100 432,822 80,525 SH SOLE 80,525 BRISTOL-MYERS SQUIBB COM 110122108 14,149,219 191,366 SH SOLE 191,366 BP AMOCO PLC COM 055622104 2,131,874 44,530 SH SOLE 44,530 CAMBRIDGE TECHNOLOGY PARTNERS COM 132524109 131,250 50,000 SH SOLE 50,000 CARNIVAL CRUISE LINES COM 143658102 1,968,180 63,875 SH SOLE 63,875 CASH AMERICA INTL COM 14754D100 1,260,438 288,100 SH SOLE 288,100 CATERPILLAR COM 149123101 376,801 7,964 SH SOLE 7,964 CELLSTAR CORP COM 150925105 142,362 99,000 SH SOLE 99,000 CENTRAL SECURITIES COM 155123102 207,327 7,339 SH SOLE 7,339 CHARMING SHOPPES COM 161133103 2,271,600 378,600 SH SOLE 378,600 CH ENERGY GROUP COM 12541M102 5,757,535 128,660 SH SOLE 128,660 CHEVRON COM 166751107 2,254,917 26,705 SH SOLE 26,705 CIRRUS LOGIC COM 172755100 206,250 11,000 SH SOLE 11,000 CITIGROUP COM 172967101 1,557,677 30,505 SH SOLE 30,505 CITIZENS COMMUNICATIONS COM 177342201 12,191,576 928,882 SH SOLE 928,882 CLARE C P COM 12615K107 457,781 122,075 SH SOLE 122,075 COCA-COLA CO COM 191216100 478,668 7,855 SH SOLE 7,855 COMCAST CLASS A SPECIAL COM 200300200 532,855 12,763 SH SOLE 12,763 COMPAQ COMPUTER COM 204493100 670,478 44,550 SH SOLE 44,550 - Voting Authority - Title Name of Issuer of Class - CUSIP - Value Shares/ SH/ Put/ Invstmt/ Shared None (X $1000) Prn Amt Prn Call Dscretn - Managers - Sole COMSHARE COM 205912108 69,563 26,500 SH SOLE 26,500 CONSOLIDATED STORES COM 210149100 150,238 14,140 SH SOLE 14,140 CONSOLIDATED TOMOKA LAND COM 210226106 5,143,063 433,100 SH SOLE 433,100 CONTIFINANCIAL COM 21075V107 964 96,400 SH SOLE 96,400 CORNING COM 219350105 6,711,265 127,076 SH SOLE 127,076 CPAC COM 126145101 414,663 67,700 SH SOLE 67,700 CRAFTMADE INTERNATIONAL COM 22413E104 1,776,592 251,535 SH SOLE 251,535 CROWN CORK & SEAL COM 228255105 292,983 39,390 SH SOLE 39,390 CUMMINS ENGINE COM 231021106 1,041,398 27,450 SH SOLE 27,450 DAVOX COM 239208101 4,652,895 477,220 SH SOLE 477,220 DEPARTMENT 56 COM 249509100 2,840,673 247,015 SH SOLE 247,015 DIAGNOSTIC PRODUCTS COM 252450101 1,168,975 21,400 SH SOLE 21,400 DIGI INTERNATIONAL COM 253798102 520,013 84,900 SH SOLE 84,900 DISNEY WALT COM 254687106 10,122,860 349,812 SH SOLE 349,812 DONNELLY CORP CLASS A COM 257870105 2,905,980 220,150 SH SOLE 220,150 DONNELLEY R H COM 74955W307 263,796 10,850 SH SOLE 10,850 DUPONT COM 263534109 32,147,567 665,402 SH SOLE 665,402 ELECTRONICS FOR IMAGING COM 286082102 139,380 10,000 SH SOLE 10,000 EL PASO ELECTRIC CO NEW COM 283677854 2,031,678 153,915 SH SOLE 153,915 EMC CORP COM 268648102 214,130 3,220 SH SOLE 3,220 EMERSON ELECTRIC COM 291011104 346,777 4,400 SH SOLE 4,400 ENRON COM 293561106 207,148 2,492 SH SOLE 2,492 ETHAN ALLEN INTERIORS COM 297602104 8,750,736 261,216 SH SOLE 261,216 EXXON MOBIL COM 30231G102 43,444,918 499,723 SH SOLE 499,723 FINANCIAL FEDERAL COM 317492106 4,285,563 179,500 SH SOLE 179,500 FIRST DATA COM 319963104 1,363,302 25,875 SH SOLE 25,875 FIRST NATIONAL BANK ANCHORAGE COM 322387101 960,750 1,098 SH SOLE 1,098 FIRST TENNESSEE NATIONAL COM 337162101 575,866 19,900 SH SOLE 19,900 FLEETWOOD ENTERPRISES COM 339099103 3,000,900 285,800 SH SOLE 285,800 FORD MOTOR CO DEL COM 345370860 522,433 22,290 SH SOLE 22,290 FRANKLIN CE LTD COM 125151100 177,930 34,718 SH SOLE 34,718 FRIEDE GOLDMAN HALTER COM 358430106 137,176 38,500 SH SOLE 38,500 GANNETT CO COM 364730101 14,654,139 232,373 SH SOLE 232,373 GENERAL DYNAMICS COM 369550108 257,400 3,300 SH SOLE 3,300 GENERAL ELECTRIC COM 369604103 84,761,719 1,768,153 SH SOLE 1,768,153 GENERAL MOTORS COM 370442105 4,434,662 87,060 SH SOLE 87,060 GENUINE PARTS COM 372460105 474,003 18,100 SH SOLE 18,100 GENZYME CORP COM 372917104 283,305 3,150 SH SOLE 3,150 GERMANY FUND COM 374143105 825,550 86,900 SH SOLE 86,900 GLATFELTER (P H) COM 377316104 5,575,272 447,813 SH SOLE 447,813 GOODYEAR TIRE & RUBBER COM 382550101 2,897,292 126,024 SH SOLE 126,024 GOODYS FAMILY CLOTHING COM 382588101 918,626 204,139 SH SOLE 204,139 GTSI CORP COM 383750106 112,717 35,715 SH SOLE 35,715 GREAT LAKES CHEMICAL COM 390568103 509,847 13,710 SH SOLE 13,710 HANSON INDUSTRIES ADR COM 411352404 6,159,109 179,828 SH SOLE 179,828 HARTMARX CORP COM 417119104 892,050 375,600 SH SOLE 375,600 HEWLETT PACKARD COM 428236103 12,793,115 405,320 SH SOLE 405,320 HOLLINGER COM 435569108 6,797,754 428,205 SH SOLE 428,205 HOLOGIC COM 436440101 71,194 13,400 SH SOLE 13,400 HOME DEPOT COM 437076102 6,020,079 131,765 SH SOLE 131,765 HONEYWELL INTL COM 438516106 231,124 4,885 SH SOLE 4,885 Shufro, Rose & CO LLC Page: 3 Form 13F Information Table As of Date: 12/31/2000 - Voting Authority - Title Name of Issuer of Class - CUSIP - Value Shares/ SH/ Put/ Invstmt/ Shared None (X $1000) Prn Amt Prn Call Dscretn - Managers - Sole H & Q LIFE SCIENCES INVESTORS COM 404053100 413,924 19,031 SH SOLE 19,031 HUDSON UNITED BANCORP COM 444165104 1,171,062 55,930 SH SOLE 55,930 HUNTCO INC COM 445661101 71,429 76,150 SH SOLE 76,150 INPUT/OUTPUT COM 457652105 7,545,844 740,660 SH SOLE 740,660 INPRISE CORP COM 45766C102 3,773,486 682,243 SH SOLE 682,243 INSTEEL INDUSTRIES COM 45774W108 272,313 150,200 SH SOLE 150,200 INTEGRALVISION COM 45811H106 18,244 38,900 SH SOLE 38,900 INTEGRATED DEVICE TECHNOLOGY COM 458118106 1,779,806 53,730 SH SOLE 53,730 INTEL COM 458140100 329,241 10,884 SH SOLE 10,884 INTL BUSINESS MACHINES COM 459200101 5,962,495 70,147 SH SOLE 70,147 INTERNATIONAL PAPER COM 460146103 967,431 23,704 SH SOLE 23,704 IOMEGA CORP COM 462030107 1,330,712 394,870 SH SOLE 394,870 JAPAN OTC EQUITY FUND COM 471091108 503,388 88,500 SH SOLE 88,500 JOHNSON & JOHNSON COM 478160104 1,750,034 16,657 SH SOLE 16,657 KENT ELECTRONICS COM 490553104 3,301,667 200,101 SH SOLE 200,101 KIMBERLY-CLARK COM 494368103 557,744 7,890 SH SOLE 7,890 KIRBY CORP COM 497266106 2,648,100 126,100 SH SOLE 126,100 LACLEDE GAS COM 505588103 1,977,525 84,600 SH SOLE 84,600 LACROSSE FOOTWEAR COM 505688101 256,875 82,200 SH SOLE 82,200 LAFARGE CORP COM 505862102 1,658,475 70,200 SH SOLE 70,200 LANDRYS SEAFOOD RESTAURANTS COM 51508L103 113,094 11,380 SH SOLE 11,380 LAZARE KAPLAN INTL COM 521078105 1,559,986 308,115 SH SOLE 308,115 LENNOX INTERNATIONAL COM 526107107 131,130 16,920 SH SOLE 16,920 LINENS N THINGS COM 535679104 1,530,011 55,385 SH SOLE 55,385 LUCENT TECHNOLOGIES COM 549463107 7,825,181 579,643 SH SOLE 579,643 MATTEL INC COM 577081102 318,763 22,075 SH SOLE 22,075 MAXWELL SHOE COM 577766108 440,750 41,000 SH SOLE 41,000 MELLON FINANCIAL COM 58551A108 2,804,159 57,009 SH SOLE 57,009 MENTOR GRAPHICS COM 587200106 1,408,255 51,325 SH SOLE 51,325 MERCK & CO COM 589331107 4,558,601 48,690 SH SOLE 48,690 MEREDITH CORP COM 589433101 3,347,552 104,000 SH SOLE 104,000 MERRILL LYNCH COM 590188108 725,384 10,638 SH SOLE 10,638 METATEC INTERNATIONAL COM 591398102 12,000 12,000 SH SOLE 12,000 MFRI INC COM 552721102 388,682 170,400 SH SOLE 170,400 MICROSOFT COM 594918104 422,255 9,707 SH SOLE 9,707 MILBROOK PRESS COM 600179105 388,000 194,000 SH SOLE 194,000 MILLENNIUM CHEMICALS COM 599903101 878,011 48,442 SH SOLE 48,442 MINNESOTA MINING & MFG COM 604059105 1,824,129 15,138 SH SOLE 15,138 MONACO COACH COM 60886R103 268,858 15,200 SH SOLE 15,200 MOORE MEDICAL COM 615799103 82,875 17,000 SH SOLE 17,000 MORGAN J P & CO COM 616880100 22,409,031 135,402 SH SOLE 135,402 MOTOROLA COM 620076109 579,454 28,615 SH SOLE 28,615 MOVADO GROUP COM 624580106 1,420,156 93,125 SH SOLE 93,125 M & T BANK COM 55261F104 13,843,032 203,574 SH SOLE 203,574 NAM TAI ELECTRONICS COM 629865205 292,343 19,170 SH SOLE 19,170 NEOMAGIC CORP COM 640497103 105,400 35,500 SH SOLE 35,500 NETWORK EQUIPMENT TECHNOLOGIES COM 641208103 2,893,173 449,390 SH SOLE 449,390 NEW GERMANY FUND COM 644465106 3,508,953 395,375 SH SOLE 395,375 NEW PLAN EXCEL REALTY TRUST COM 648053106 267,750 20,400 SH SOLE 20,400 NOKIA SPONSORED ADR COM 654902204 230,550 5,300 SH SOLE 5,300 NORFOLK SOUTHERN COM 655844108 865,345 65,000 SH SOLE 65,000 Shufro, Rose & CO LLC Page: 4 Form 13F Information Table As of Date: 12/31/2000 - Voting Authority - Title Name of Issuer of Class - CUSIP - Value Shares/ SH/ Put/ Invstmt/ Shared None (X $1000) Prn Amt Prn Call Dscretn - Managers - Sole NZ CORP COM 629497108 619,680 206,560 SH SOLE 206,560 OAK TECHNOLOGY COM 671802106 2,084,599 239,940 SH SOLE 239,940 OCEAN ENERGY COM 67481E106 4,420,548 254,420 SH SOLE 254,420 OFFSHORE LOGISTICS COM 676255102 2,049,658 95,125 SH SOLE 95,125 OLD REPUBLIC COM 680223104 1,632,000 51,000 SH SOLE 51,000 ORTHOLOGIC CORP COM 68750J107 90,706 31,550 SH SOLE 31,550 PACIFIC CENTURY CYBERWORKS HK COM Y6801N134 6,998 10,800 SH SOLE 10,800 PALM COM 696642107 2,648,625 93,548 SH SOLE 93,548 PAREXEL INTERNATIONAL COM 699462107 1,803,338 166,775 SH SOLE 166,775 PEPSICO INC COM 713448108 2,254,720 45,492 SH SOLE 45,492 PETSMART COM 716768106 386,041 134,275 SH SOLE 134,275 PFIZER INC COM 717081103 10,136,238 220,353 SH SOLE 220,353 PHARMACIA COM 71713U102 1,770,464 29,024 SH SOLE 29,024 PHILIP MORRIS COM 718154107 650,584 14,786 SH SOLE 14,786 PIONEER STANDARD ELECTRONICS COM 723877106 1,882,650 171,150 SH SOLE 171,150 PITNEY BOWES COM 724479100 7,470,681 225,530 SH SOLE 225,530 PREVIO COM 74138B105 203,175 60,200 SH SOLE 60,200 PROCTER & GAMBLE COM 742718109 321,204 4,095 SH SOLE 4,095 QUAKER OATS CO COM 747402105 389,500 4,000 SH SOLE 4,000 REGAL BELOIT COM 758750103 2,642,594 154,900 SH SOLE 154,900 RELIANT ENERGY COM 75952J108 371,626 8,580 SH SOLE 8,580 RITE AID COM 767754104 41,717 17,565 SH SOLE 17,565 ROCKWELL INTERNATIONAL COM 773903109 2,382,203 50,020 SH SOLE 50,020 ROYAL DUTCH PETROLEUM COM 780257804 409,224 6,757 SH SOLE 6,757 ROYCE VALUE TRUST COM 780910105 3,566,821 247,044 SH SOLE 247,044 SAMUELS JEWELERS COM 796060101 65,396 41,840 SH SOLE 41,840 SARA LEE COM 803111103 13,736,195 559,223 SH SOLE 559,223 SBC COMMUNICATIONS COM 78387G103 2,837,353 59,421 SH SOLE 59,421 SCHERING-PLOUGH COM 806605101 447,077 7,878 SH SOLE 7,878 SCHLUMBERGER LTD COM 806857108 1,098,748 13,745 SH SOLE 13,745 SCHNITZER STEEL INDUSTRIES COM 806882106 1,067,300 82,100 SH SOLE 82,100 SCHULMAN A COM 808194104 3,797,703 330,235 SH SOLE 330,235 SENSIENT TECHNOLOGIES COM 81725T100 2,033,850 89,400 SH SOLE 89,400 SHERWIN WILLIAMS COM 824348106 668,350 25,400 SH SOLE 25,400 SPARTAN MOTORS COM 846819100 137,234 81,300 SH SOLE 81,300 SPARTON CORP COM 847235108 171,200 42,800 SH SOLE 42,800 SPEEDFAM IPEC COM 847705100 1,926,397 317,730 SH SOLE 317,730 STARRETT L S COM 855668109 4,486,150 190,900 SH SOLE 190,900 STEWART & STEVENSON SERVICES COM 860342104 3,927,619 173,000 SH SOLE 173,000 SUMMIT BANCORP COM 866005101 850,829 22,280 SH SOLE 22,280 SUNOCO COM 86764P109 4,892,677 145,235 SH SOLE 145,235 SWISS ARMY BRANDS COM 870827102 1,625,400 270,900 SH SOLE 270,900 SWISS HELVETIA FUND COM 870875101 4,351,581 300,109 SH SOLE 300,109 SYMMETRICOM COM 871543104 802,766 82,335 SH SOLE 82,335 SYNALLOY COM 871565107 266,000 56,000 SH SOLE 56,000 TBC CORP COM 872180104 511,056 112,000 SH SOLE 112,000 TECUMSEH PRODUCTS CL B COM 878895101 331,100 8,600 SH SOLE 8,600 TECUMSEH PRODUCTS CL A COM 878895200 5,326,965 127,020 SH SOLE 127,020 TEJON RANCH COM 879080109 3,570,944 185,600 SH SOLE 185,600 TEJON RANCH RIGHTS COM 879080117 2,784 185,600 SH SOLE 185,600 TIME WARNER COM 887315109 2,531,812 48,465 SH SOLE 48,465 Shufro, Rose & CO LLC Page: 5 Form 13F Information Table As of Date: 12/31/2000 - Voting Authority - Title Name of Issuer of Class - CUSIP - Value Shares/ SH/ Put/ Invstmt/ Shared None (X $1000) Prn Amt Prn Call Dscretn - Managers - Sole TIMKEN ROLLER BEARING COM 887389104 3,556,039 235,110 SH SOLE 235,110 TJX COMPANIES COM 872540109 403,346 14,535 SH SOLE 14,535 TOOTSIE ROLL INDUSTRIES COM 890516107 481,865 10,461 SH SOLE 10,461 TRACTOR SUPPLY COM 892356106 242,250 28,500 SH SOLE 28,500 TRANSMEDIA NETWORK COM 893767301 54,000 18,000 SH SOLE 18,000 TRENWICK GROUP LTD COM G9032C109 6,045,191 243,630 SH SOLE 243,630 TRICON GLOBAL RESTAURANTS COM 895953107 690,756 20,932 SH SOLE 20,932 TUPPERWARE COM 899896104 4,424,439 216,481 SH SOLE 216,481 TWIN DISC COM 901476101 2,741,313 190,700 SH SOLE 190,700 UNIFI COM 904677101 324,449 36,300 SH SOLE 36,300 UNION PACIFIC COM 907818108 13,470,674 265,432 SH SOLE 265,432 USEC INC COM 90333E108 743,130 172,300 SH SOLE 172,300 UTAH MEDICAL PRODUCTS COM 917488108 634,988 84,665 SH SOLE 84,665 VARIAN INSTRUMENTS COM 922206107 606,363 17,900 SH SOLE 17,900 VARIAN MEDICAL SYSTEMS COM 92220P105 9,818,196 144,517 SH SOLE 144,517 VERIZON COMMUNICATIONS COM 92343V104 729,569 14,555 SH SOLE 14,555 VISTEON COM 92839U107 1,420,078 123,485 SH SOLE 123,485 VODAFONE GROUP PLC NEW COM 92857W100 2,161,135 60,345 SH SOLE 60,345 WACHOVIA CORP COM 929771103 1,996,594 34,350 SH SOLE 34,350 WAL-MART STORES COM 931142103 1,216,563 22,900 SH SOLE 22,900 WEIRTON STEEL COM 948774104 421,807 354,460 SH SOLE 354,460 WORLDCOM COM 98157D106 8,733,886 623,849 SH SOLE 623,849 3COM COM 885535104 492,235 57,910 SH SOLE 57,910 Line Count: 227