13F-HR 1 shufrorose06302003.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: June 30, 2003 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 August 14, 2003 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: 06/30/2003 RUN DATE: 08/14/2003 11:17 A.M. REPORT SUMMARY: NUMBER OF OTHER INCLUDED MANAGERS: 0 FORM 13F INFORMATION TABLE ENTRY TOTAL: 212 FORM 13F INFORMATION TABLE VALUE TOTAL: $581,962,485.78 LIST OF OTHER INCLUDED MANAGERS: NO. 13F FILE NUMBER NAME Shufro, Rose & CO LLC Page: 1 Form 13F Information Table As of Date: 6/30/2003 - 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 RICHARDSON EL 8.25% 6-15-06 CONV BND 763165AC1 2,220,000 2,368,000 PRN SOLE 2,368,000 STANDARD COML CV 7.25% 3-31-07 CONV BND 853258AA9 3,363,388 3,355,000 PRN SOLE 3,355,000 DOMINION RES 9.5% CONV PFD CONV PFD 25746U208 748,792 12,700 SH SOLE 12,700 STATE STREET 6.75% SPACES CONV PFD 857477202 1,067,394 5,155 SH SOLE 5,155 ABBOTT LABORATORIES COM 002824100 8,178,832 186,902 SH SOLE 186,902 ADAPTEC COM 00651F108 2,118,300 272,275 SH SOLE 272,275 ADVANCED DIGITAL INFORMATION COM 007525108 394,605 39,500 SH SOLE 39,500 AGILENT TECHNOLOGIES COM 00846U101 352,135 18,012 SH SOLE 18,012 AGRIUM INC COM 008916108 10,751,102 980,940 SH SOLE 980,940 ALLEGHANY CORP COM 017175100 6,860,529 35,919 SH SOLE 35,919 ALLMERICA FINANCIAL COM 019754100 2,665,758 148,180 SH SOLE 148,180 AMERICAN EXPRESS COM 025816109 2,030,294 48,560 SH SOLE 48,560 AMERICAN POWER CONVERSION COM 029066107 155,900 10,000 SH SOLE 10,000 AOL TIME WARNER COM 00184A105 1,408,116 87,515 SH SOLE 87,515 APPLIED MATERIALS COM 038222105 2,932,990 184,930 SH SOLE 184,930 APRIA HEALTH GROUP COM 037933108 375,315 15,085 SH SOLE 15,085 ASCENTIAL SOFTWARE NEW COM 04362P207 2,118,294 128,850 SH SOLE 128,850 ASYST TECHNOLOGIES COM 04648X107 2,954,639 441,650 SH SOLE 441,650 AT&T WIRELESS SERVICES COM 00209A106 149,594 18,221 SH SOLE 18,221 ATI TECHNOLOGIES COM 001941103 332,520 32,600 SH SOLE 32,600 AUDIOVOX CLASS A COM 050757103 436,410 39,000 SH SOLE 39,000 AUTODESK COM 052769106 161,600 10,000 SH SOLE 10,000 AUTOMATIC DATA PROCESSING COM 053015103 663,317 19,590 SH SOLE 19,590 AVNET COM 053807103 271,796 21,435 SH SOLE 21,435 BANTA CORP COM 066821109 4,412,031 136,300 SH SOLE 136,300 BELLSOUTH COM 079860102 738,796 27,743 SH SOLE 27,743 BERKSHIRE BANCORP COM 084597103 273,036 7,702 SH SOLE 7,702 BERKSHIRE HATHAWAY B SHARES COM 084670207 5,895,180 2,426 SH SOLE 2,426 BIG LOTS COM 089302103 10,526,346 699,890 SH SOLE 699,890 BLOCKBUSTER INC COM 093679108 765,833 45,450 SH SOLE 45,450 BOEING CO COM 097023105 213,093 6,209 SH SOLE 6,209 BOMBAY STORES COM 097924104 1,321,309 124,300 SH SOLE 124,300 BORLAND SOFTWARE COM 099849101 272,095 27,850 SH SOLE 27,850 BOSTON ACOUSTICS COM 100534106 1,142,896 118,300 SH SOLE 118,300 BP PLC COM 055622104 1,709,248 40,677 SH SOLE 40,677 BRISTOL-MYERS SQUIBB COM 110122108 7,339,242 270,322 SH SOLE 270,322 BROOKS AUTOMATION COM 114340102 2,299,888 202,812 SH SOLE 202,812 BROOKTROUT INC COM 114580103 186,288 24,000 SH SOLE 24,000 CARNIVAL CRUISE LINES COM 143658300 1,440,518 44,310 SH SOLE 44,310 CATERPILLAR COM 149123101 204,773 3,679 SH SOLE 3,679 CELLSTAR NEW COM 150925204 56,828 14,460 SH SOLE 14,460 CH ENERGY GROUP COM 12541M102 1,906,470 42,366 SH SOLE 42,366 CHARMING SHOPPES COM 161133103 3,268,272 657,600 SH SOLE 657,600 CHEVRONTEXACO COM 166764100 1,919,942 26,592 SH SOLE 26,592 CIRRUS LOGIC COM 172755100 44,220 11,000 SH SOLE 11,000 CISCO SYSTEMS COM 17275R102 270,428 16,203 SH SOLE 16,203 CITIGROUP COM 172967101 1,776,970 41,518 SH SOLE 41,518 COCA-COLA COM 191216100 220,680 4,755 SH SOLE 4,755 COHU INC COM 192576106 156,000 10,000 SH SOLE 10,000 COMCAST NEW CLASS A COM 20030N101 525,434 17,410 SH SOLE 17,410 COMFORT SYSTEMS USA COM 199908104 47,340 18,000 SH SOLE 18,000 Shufro, Rose & CO LLC Page: 2 Form 13F Information Table As of Date: 6/30/2003 - 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 CONCERTO SOFTWARE COM 20602T106 6,500,225 707,315 SH SOLE 707,315 CONCORD CAMERA COM 206156101 891,922 125,800 SH SOLE 125,800 CONSOLIDATED EDISON COM 209115104 307,418 7,103 SH SOLE 7,103 CONSUMERS FINANCIAL CORP COM 210520102 5,850 19,500 SH SOLE 19,500 COOLBRANDS INTL SUB VTG SHS COM 21639P208 398,280 40,000 SH SOLE 40,000 CORNING COM 219350105 2,037,726 275,741 SH SOLE 275,741 COVANSYS CORP COM 22281W103 886,309 288,700 SH SOLE 288,700 CRAFTMADE INTERNATIONAL COM 22413E104 2,776,412 154,168 SH SOLE 154,168 CREDENCE SYSTEMS COM 225302108 6,551,164 773,455 SH SOLE 773,455 DEL MONTE FOODS COM 24522P103 1,967,696 222,590 SH SOLE 222,590 DEPARTMENT 56 COM 249509100 9,197,847 599,990 SH SOLE 599,990 DISNEY WALT COM 254687106 10,860,881 549,918 SH SOLE 549,918 DUKE ENERGY COM 264399106 1,245,878 62,450 SH SOLE 62,450 DUPONT COM 263534109 30,190,541 725,037 SH SOLE 725,037 EL PASO ELECTRIC COM 283677854 8,654,427 701,900 SH SOLE 701,900 ETHAN ALLEN INTERIORS COM 297602104 10,456,619 297,401 SH SOLE 297,401 EXXON MOBIL COM 30231G102 26,354,277 733,898 SH SOLE 733,898 FIRST DATA COM 319963104 752,965 18,170 SH SOLE 18,170 FIRST NATIONAL BANK ALASKA COM 32112J106 2,877,675 1,887 SH SOLE 1,887 FLEETBOSTON FINANCIAL COM 339030108 578,157 19,460 SH SOLE 19,460 FLEXTRONICS INTERNATIONAL LTD COM Y2573F102 9,644,569 928,255 SH SOLE 928,255 FORD MOTOR CO COM 345370860 229,592 20,891 SH SOLE 20,891 FRANKLIN CE LTD COM 125151100 443,101 198,700 SH SOLE 198,700 FRESH BRANDS COM 35803U108 159,850 11,500 SH SOLE 11,500 GARTNER GROUP CL A COM 366651107 75,800 10,000 SH SOLE 10,000 GENENCOR INTERNATIONAL COM 368709101 1,647,000 100,000 SH SOLE 100,000 GENERAL ELECTRIC COM 369604103 51,688,759 1,802,258 SH SOLE 1,802,258 GENERAL MOTORS COM 370442105 1,110,384 30,844 SH SOLE 30,844 GERMANY FUND COM 374143105 2,757,838 501,425 SH SOLE 501,425 GIGA TRONICS COM 375175106 28,199 16,300 SH SOLE 16,300 GLATFELTER COM 377316104 2,829,109 191,804 SH SOLE 191,804 GLENAYRE TECHNOLOGIES COM 377899109 324,279 236,700 SH SOLE 236,700 GLOBAL INDUSTRIES COM 379336100 262,208 54,400 SH SOLE 54,400 GREAT LAKES CHEMICAL COM 390568103 5,340,006 261,765 SH SOLE 261,765 GREATER CHINA FUND COM 39167B102 193,695 18,500 SH SOLE 18,500 GSI LUMONICS COM 36229U102 757,576 112,400 SH SOLE 112,400 GUIDANT COM 401698105 6,913,743 155,750 SH SOLE 155,750 H & Q LIFE SCIENCES COM 404053100 230,478 15,396 SH SOLE 15,396 HANSON INDUSTRIES ADR COM 411352404 3,745,665 132,543 SH SOLE 132,543 HEWLETT PACKARD COM 428236103 6,878,047 322,913 SH SOLE 322,913 HOME DEPOT COM 437076102 4,103,833 123,908 SH SOLE 123,908 HORIZON OFFSHORE COM 44043J105 573,198 115,100 SH SOLE 115,100 HUDSON UNITED BANCORP COM 444165104 1,703,470 49,882 SH SOLE 49,882 HUNTCO CLASS A COM 445661101 0 14,200 SH SOLE 14,200 IGEN INTERNATIONAL COM 449536101 496,120 15,800 SH SOLE 15,800 INTEL COM 458140100 687,791 33,051 SH SOLE 33,051 INTERPOOL INC COM 46062R108 2,112,433 128,650 SH SOLE 128,650 INTL BUSINESS MACHINES COM 459200101 5,994,285 72,658 SH SOLE 72,658 INTERNATIONAL PAPER COM 460146103 639,138 17,888 SH SOLE 17,888 INTERNATIONAL RECTIFIER COM 460254105 455,940 17,000 SH SOLE 17,000 JAPAN SMALLER CAP FUND COM 47109U104 1,646,557 199,100 SH SOLE 199,100 Shufro, Rose & CO LLC Page: 3 Form 13F Information Table As of Date: 6/30/2003 - 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 JAPAN EQUITY FUND COM 471057109 2,467,378 447,800 SH SOLE 447,800 JOHNSON & JOHNSON COM 478160104 690,298 13,352 SH SOLE 13,352 KEMET CORP COM 488360108 1,913,950 189,500 SH SOLE 189,500 KIMBERLY-CLARK COM 494368103 2,456,993 47,123 SH SOLE 47,123 KIRBY CORP COM 497266106 7,814,220 277,100 SH SOLE 277,100 KREISLER MANUFACTURING CORP COM 500773106 75,691 15,769 SH SOLE 15,769 LABOR READY COM 505401208 236,610 33,000 SH SOLE 33,000 LAZARE KAPLAN INTL COM 521078105 1,731,951 293,800 SH SOLE 293,800 LENNOX INTERNATIONAL COM 526107107 170,399 13,240 SH SOLE 13,240 LIBERTY MEDIA COM 530718105 500,987 43,338 SH SOLE 43,338 LINENS N THINGS COM 535679104 7,618,711 322,690 SH SOLE 322,690 LOUISIANA PACIFIC COM 546347105 111,652 10,300 SH SOLE 10,300 LSI LOGIC COM 502161102 1,485,384 209,800 SH SOLE 209,800 LUCENT TECHNOLOGIES COM 549463107 52,579 25,901 SH SOLE 25,901 M & T BANK COM 55261F104 8,897,422 105,645 SH SOLE 105,645 MACROMEDIA INC COM 556100105 252,480 12,000 SH SOLE 12,000 MATTSON TECHNOLOGY COM 577223100 1,442,876 466,950 SH SOLE 466,950 MELLON FINANCIAL COM 58551A108 1,358,612 48,959 SH SOLE 48,959 MERCK & CO COM 589331107 7,167,425 118,372 SH SOLE 118,372 MERRILL LYNCH COM 590188108 6,384,424 136,770 SH SOLE 136,770 MFRI INC COM 552721102 650,715 276,900 SH SOLE 276,900 MICHAELS STORES COM 594087108 656,535 17,250 SH SOLE 17,250 MICROSOFT COM 594918104 1,118,850 43,688 SH SOLE 43,688 MIDWAY GAMES COM 598148104 63,525 17,500 SH SOLE 17,500 MILBROOK PRESS COM 600179105 358,930 276,100 SH SOLE 276,100 MILLEA HOLDINGS COM 60032R106 6,387,767 166,175 SH SOLE 166,175 MIPS TECHNOLOGIES INC COM 604567107 48,640 19,000 SH SOLE 19,000 MONACO COACH COM 60886R103 5,377,841 350,805 SH SOLE 350,805 MONMOUTH REAL ESTATE INVT CORP COM 609720107 136,890 19,500 SH SOLE 19,500 MONY GROUP COM 615337102 6,356,158 235,850 SH SOLE 235,850 MORGAN CHASE J P & CO COM 46625H100 14,726,385 430,848 SH SOLE 430,848 MOTOROLA COM 620076109 169,797 18,006 SH SOLE 18,006 MOVADO GROUP COM 624580106 5,192,704 238,745 SH SOLE 238,745 MSC SOFTWARE COM 553531104 225,116 33,400 SH SOLE 33,400 NASDAQ 100 SHARES COM 631100104 205,217 6,852 SH SOLE 6,852 NEOMAGIC CORP COM 640497103 524,210 338,200 SH SOLE 338,200 NETWORK EQUIPMENT TECHNOLOGIES COM 641208103 2,796,408 332,115 SH SOLE 332,115 NEW GERMANY FUND COM 644465106 2,304,282 467,400 SH SOLE 467,400 NEW PLAN EXCEL REALTY TRUST COM 648053106 342,668 16,050 SH SOLE 16,050 NOVELL COM 670006105 140,522 45,624 SH SOLE 45,624 OAK TECHNOLOGY COM 671802106 120,164 19,350 SH SOLE 19,350 OCE NV ADR COM 674627203 163,200 16,000 SH SOLE 16,000 OFFICEMAX INC COM 67622M108 1,036,210 158,200 SH SOLE 158,200 ON ASSIGNMENT INC COM 682159108 752,000 188,000 SH SOLE 188,000 PARAMETRIC TECHNOLOGY COM 699173100 494,100 162,000 SH SOLE 162,000 PARK ELECTROCHEMICAL COM 700416209 2,365,392 118,566 SH SOLE 118,566 PEABODY ENERGY COM 704549104 9,525,452 283,580 SH SOLE 283,580 PEPSICO INC COM 713448108 1,902,776 42,759 SH SOLE 42,759 PERKINELMER COM 714046109 5,342,329 386,845 SH SOLE 386,845 PETSMART COM 716768106 258,385 15,500 SH SOLE 15,500 PFIZER INC COM 717081103 7,092,614 207,690 SH SOLE 207,690 Shufro, Rose & CO LLC Page: 4 Form 13F Information Table As of Date: 6/30/2003 - 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 PRIME HOSPITALITY CORP COM 741917108 93,940 14,000 SH SOLE 14,000 PROCTER & GAMBLE COM 742718109 222,950 2,500 SH SOLE 2,500 REGAL BELOIT COM 758750103 3,551,645 185,950 SH SOLE 185,950 REGIS CORPORATION COM 758932107 1,331,216 45,825 SH SOLE 45,825 REPUBLIC FIRST BANCORP COM 760416107 95,160 12,000 SH SOLE 12,000 ROBOTIC VISION SYSTEMS COM 771074101 69,005 186,500 SH SOLE 186,500 ROYAL DUTCH PETROLEUM COM 780257804 543,589 11,660 SH SOLE 11,660 ROYCE VALUE TRUST COM 780910105 1,389,629 93,014 SH SOLE 93,014 SAFEWAY COM 786514208 323,166 15,795 SH SOLE 15,795 SARA LEE COM 803111103 442,374 23,518 SH SOLE 23,518 SBC COMMUNICATIONS COM 78387G103 1,545,647 60,495 SH SOLE 60,495 SCHLUMBERGER LTD COM 806857108 554,666 11,660 SH SOLE 11,660 SCIENCE DYNAMICS COM 808631105 2,091 34,850 SH SOLE 34,850 SCIENTIFIC GAMES CLASS A COM 80874P109 1,143,134 121,610 SH SOLE 121,610 SCM MICROSYSTEMS COM 784018103 103,740 19,000 SH SOLE 19,000 SERVICE CORP INTL COM 817565104 176,085 45,500 SH SOLE 45,500 SIFCO INDUSTRIES COM 826546103 91,254 45,400 SH SOLE 45,400 SIMPLETECH COM 828823104 72,180 18,000 SH SOLE 18,000 SIRIUS SATELLITE RADIO COM 82966U103 17,745 10,500 SH SOLE 10,500 SMART & FINAL INC COM 831683107 83,340 18,000 SH SOLE 18,000 SOLECTRON CORP COM 834182107 48,250 12,901 SH SOLE 12,901 SOTHEBYS HOLDINGS COM 835898107 983,456 132,185 SH SOLE 132,185 SPARTON CORP COM 847235108 443,048 50,925 SH SOLE 50,925 STARRETT L S COM 855668109 1,842,785 142,300 SH SOLE 142,300 STEIN MART COM 858375108 173,710 29,000 SH SOLE 29,000 STEWART & STEVENSON SERVICES COM 860342104 4,443,075 282,100 SH SOLE 282,100 STOLT OFFSHORE COM 861567105 21,060 13,500 SH SOLE 13,500 SWIFT ENERGY COM 870738101 1,218,800 110,800 SH SOLE 110,800 SWISS HELVETIA FUND COM 870875101 6,169,601 590,392 SH SOLE 590,392 SYMBOL TECHNOLOGIES COM 871508107 162,625 12,500 SH SOLE 12,500 SYMMETRICOM INC COM 871543104 3,224,870 732,925 SH SOLE 732,925 TECUMSEH PRODUCTS CLASS A COM 878895200 4,303,362 112,330 SH SOLE 112,330 TECUMSEH PRODUCTS CLASS B COM 878895101 462,250 12,500 SH SOLE 12,500 TELEFLEX COM 879369106 5,335,770 125,400 SH SOLE 125,400 TELLABS COM 879664100 3,914,242 595,775 SH SOLE 595,775 TERADYNE COM 880770102 593,733 34,300 SH SOLE 34,300 TEXAS INSTRUMENTS COM 882508104 186,613 10,603 SH SOLE 10,603 TIMBERLINE SOFTWARE COM 887134104 95,370 17,000 SH SOLE 17,000 TRANSACTION SYSTEMS ARCHITECTS COM 893416107 3,739,904 417,400 SH SOLE 417,400 TRANSOCEAN COM G90078109 15,832,329 720,634 SH SOLE 720,634 TRENWICK GROUP LTD BERMUDA COM G9032C109 30,660 102,200 SH SOLE 102,200 TRINITY INDUSTRIES COM 896522109 6,481,739 350,175 SH SOLE 350,175 TWIN DISC COM 901476101 3,649,285 257,900 SH SOLE 257,900 UNION PACIFIC COM 907818108 11,991,690 206,682 SH SOLE 206,682 USEC INC COM 90333E108 5,869,949 836,175 SH SOLE 836,175 VARIAN INC COM 922206107 10,953,283 318,910 SH SOLE 318,910 VERIZON COMMUNICATIONS COM 92343V104 587,213 14,885 SH SOLE 14,885 VIRBAC CORP COM 927649103 124,230 20,500 SH SOLE 20,500 VISHAY INTERTECHNOLOGY COM 928298108 146,520 11,100 SH SOLE 11,100 VISTEON COM 92839U107 1,019,226 148,359 SH SOLE 148,359 VITESSE SEMICONDUCTOR COM 928497106 1,515,360 308,000 SH SOLE 308,000 Shufro, Rose & CO LLC Page: 5 Form 13F Information Table As of Date: 6/30/2003 - 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 VODAFONE GROUP PLC NEW COM 92857W100 1,094,112 55,680 SH SOLE 55,680 WAL-MART STORES COM 931142103 1,014,363 18,900 SH SOLE 18,900 WASHINGTON MUTUAL COM 939322103 1,447,441 35,047 SH SOLE 35,047 WYETH COM 983024100 1,066,508 23,414 SH SOLE 23,414 XCEL ENERGY COM 98389B100 226,442 15,056 SH SOLE 15,056 YUM BRANDS COM 988498101 888,987 30,074 SH SOLE 30,074 3COM COM 885535104 48,789 10,425 SH SOLE 10,425 3M COMPANY COM 88579Y101 283,756 2,200 SH SOLE 2,200 Line Count: 212