13F-HR 1 shufrorose12312003.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: March 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 9, 2004 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: 12/31/03 RUN DATE: 02/09/04 11:17 A.M. REPORT SUMMARY: NUMBER OF OTHER INCLUDED MANAGERS: 0 FORM 13F INFORMATION TABLE ENTRY TOTAL: 207 FORM 13F INFORMATION TABLE VALUE TOTAL: $676,094,136.75 LIST OF OTHER INCLUDED MANAGERS: NO. 13F FILE NUMBER NAME Shufro, Rose & CO LLC Page: 1 Form 13F Information Table As of Date: 12/31/2003 - 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 2,373,589 2,353,000 PRN SOLE 2,353,000 STANDARD COML CV 7.25% 3-31-07 CONV BND 853258AA9 3,326,063 3,285,000 PRN SOLE 3,285,000 DOMINION RES 9.5% CONV PFD CONV PFD 25746U208 709,900 12,400 SH SOLE 12,400 STATE STREET 6.75% SPACES CONV PFD 857477202 285,502 1,175 SH SOLE 1,175 ABBOTT LABORATORIES COM 002824100 8,491,918 182,230 SH SOLE 182,230 ADAPTEC COM 00651F108 2,836,858 321,275 SH SOLE 321,275 ADVANCED DIGITAL INFORMATION COM 007525108 154,000 11,000 SH SOLE 11,000 AGILENT TECHNOLOGIES COM 00846U101 483,162 16,524 SH SOLE 16,524 AGRIUM INC COM 008916108 15,153,734 920,640 SH SOLE 920,640 ALASKA PACIFIC BANCSHARES COM 011757101 324,000 16,200 SH SOLE 16,200 ALLEGHANY CORP COM 017175100 7,864,485 35,346 SH SOLE 35,346 ALLOY INC COM 019855105 1,413,473 271,300 SH SOLE 271,300 AMERICAN EXPRESS COM 025816109 2,190,848 45,425 SH SOLE 45,425 APPLICA COM 03815A106 320,720 42,200 SH SOLE 42,200 APPLIED MATERIALS COM 038222105 4,116,881 183,380 SH SOLE 183,380 APRIA HEALTH GROUP COM 037933108 418,794 14,710 SH SOLE 14,710 ASCENTIAL SOFTWARE COM 04362P207 299,492 11,550 SH SOLE 11,550 ASYST TECHNOLOGIES COM 04648X107 2,501,436 144,175 SH SOLE 144,175 AT&T WIRELESS SERVICES COM 00209A106 119,914 15,008 SH SOLE 15,008 ATI TECHNOLOGIES COM 001941103 347,760 23,000 SH SOLE 23,000 AUTOMATIC DATA PROCESSING COM 053015103 774,574 19,555 SH SOLE 19,555 BALLYS TOTAL FITNESS COM 05873K108 441,000 63,000 SH SOLE 63,000 BANKNORTH GROUP COM 06646R107 2,049,390 63,000 SH SOLE 63,000 BANTA CORP COM 066821109 3,325,050 82,100 SH SOLE 82,100 BEARINGPOINT COM 074002106 771,885 76,500 SH SOLE 76,500 BELLSOUTH COM 079860102 690,888 24,413 SH SOLE 24,413 BERKSHIRE BANCORP COM 084597103 385,100 7,702 SH SOLE 7,702 BERKSHIRE HATHAWAY A SHARES COM 084670108 2,106,250 25 SH SOLE 25 BERKSHIRE HATHAWAY B SHARES COM 084670207 6,756,000 2,400 SH SOLE 2,400 BIG LOTS COM 089302103 10,310,705 725,595 SH SOLE 725,595 BLOCKBUSTER INC COM 093679108 787,108 43,850 SH SOLE 43,850 BOEING CO COM 097023105 230,295 5,465 SH SOLE 5,465 BONGIOVI ENTERTAINMENT COM 098086101 950 38,000 SH SOLE 38,000 BORLAND SOFTWARE COM 099849101 269,035 27,650 SH SOLE 27,650 BOSTON ACOUSTICS COM 100534106 1,315,695 119,500 SH SOLE 119,500 BP PLC COM 055622104 1,553,193 31,473 SH SOLE 31,473 BRINKER INTERNATIONAL COM 109641100 437,712 13,200 SH SOLE 13,200 BRISTOL-MYERS SQUIBB COM 110122108 2,924,693 102,262 SH SOLE 102,262 BROOKS AUTOMATION COM 114340102 4,853,626 200,812 SH SOLE 200,812 CARNIVAL CRUISE LINES COM 143658300 1,101,316 27,720 SH SOLE 27,720 CARRIAGE SERVICES COM 143905107 279,720 75,600 SH SOLE 75,600 CATERPILLAR COM 149123101 338,639 4,079 SH SOLE 4,079 CH ENERGY GROUP COM 12541M102 995,030 21,216 SH SOLE 21,216 CHARMING SHOPPES COM 161133103 3,437,100 636,500 SH SOLE 636,500 CHEVRONTEXACO COM 166764100 2,475,678 28,657 SH SOLE 28,657 CISCO SYSTEMS COM 17275R102 437,657 18,018 SH SOLE 18,018 CITIGROUP COM 172967101 1,720,694 35,449 SH SOLE 35,449 COCA-COLA COM 191216100 251,974 4,965 SH SOLE 4,965 COMCAST NEW CLASS A COM 20030N101 441,773 13,440 SH SOLE 13,440 COMFORT SYSTEMS USA COM 199908104 99,736 18,200 SH SOLE 18,200 CONCERTO SOFTWARE COM 20602T106 4,834,948 403,585 SH SOLE 403,585 Shufro, Rose & CO LLC Page: 2 Form 13F Information Table As of Date: 12/31/2003 - 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 CONCORD CAMERA COM 206156101 898,175 97,100 SH SOLE 97,100 CONSOLIDATED EDISON COM 209115104 370,015 8,603 SH SOLE 8,603 COOLBRANDS INTL SUB VTG SHS COM 21639P208 372,666 28,500 SH SOLE 28,500 CORNING COM 219350105 2,815,745 269,966 SH SOLE 269,966 COVANSYS CORP COM 22281W103 2,999,700 272,700 SH SOLE 272,700 CRAFTMADE INTERNATIONAL COM 22413E104 1,788,938 68,176 SH SOLE 68,176 CREDENCE SYSTEMS COM 225302108 11,145,401 846,915 SH SOLE 846,915 CYBERSOURCE CORP COM 23251J106 51,600 10,000 SH SOLE 10,000 DEL MONTE FOODS COM 24522P103 6,190,080 595,200 SH SOLE 595,200 DEPARTMENT 56 COM 249509100 7,981,372 609,265 SH SOLE 609,265 DIAMOND OFFSHORE COM 25271C102 4,279,822 208,670 SH SOLE 208,670 DISNEY WALT COM 254687106 12,555,436 538,167 SH SOLE 538,167 DOW CHEMICAL COM 260543103 213,337 5,132 SH SOLE 5,132 DUKE ENERGY COM 264399106 524,543 25,650 SH SOLE 25,650 DUPONT COM 263534109 34,570,176 753,327 SH SOLE 753,327 EL PASO ELECTRIC COM 283677854 9,852,968 738,050 SH SOLE 738,050 EMERSON ELECTRIC COM 291011104 211,409 3,265 SH SOLE 3,265 ETHAN ALLEN INTERIORS COM 297602104 12,254,130 292,601 SH SOLE 292,601 EXXON MOBIL COM 30231G102 27,874,711 679,871 SH SOLE 679,871 FEDERAL SIGNAL COM 313855108 2,606,976 148,800 SH SOLE 148,800 FIRST CONSULTING GROUP COM 31986R103 101,340 18,000 SH SOLE 18,000 FIRST DATA COM 319963104 1,075,325 26,170 SH SOLE 26,170 FIRST NATIONAL BANK ALASKA COM 32112J106 4,329,195 1,937 SH SOLE 1,937 FLEETBOSTON FINANCIAL COM 339030108 783,648 17,953 SH SOLE 17,953 FLEXTRONICS INTERNATIONAL LTD COM Y2573F102 15,728,026 1,059,840 SH SOLE 1,059,840 FORD MOTOR CO COM 345370860 302,848 18,928 SH SOLE 18,928 FOSSIL INC COM 349882100 2,356,761 84,140 SH SOLE 84,140 FRANKLIN CE LTD COM 125151100 460,320 219,200 SH SOLE 219,200 FRANKS NURSERY & CRAFTS COM 355361106 8,000 10,000 SH SOLE 10,000 FREEMARKETS INC COM 356602102 501,750 75,000 SH SOLE 75,000 FRESH BRANDS COM 35803U108 126,500 11,500 SH SOLE 11,500 GARTNER GROUP CL A COM 366651107 113,100 10,000 SH SOLE 10,000 GENENCOR INTERNATIONAL COM 368709101 837,900 53,200 SH SOLE 53,200 GENERAL ELECTRIC COM 369604103 55,167,697 1,780,752 SH SOLE 1,780,752 GENERAL MOTORS COM 370442105 260,966 4,887 SH SOLE 4,887 GERMANY FUND COM 374143105 3,958,635 518,825 SH SOLE 518,825 GIGA TRONICS COM 375175106 36,600 18,300 SH SOLE 18,300 GLATFELTER COM 377316104 2,200,587 176,754 SH SOLE 176,754 GLOBAL INDUSTRIES COM 379336100 7,058,075 1,370,500 SH SOLE 1,370,500 GREAT LAKES CHEMICAL COM 390568103 2,080,171 76,505 SH SOLE 76,505 GREATER CHINA FUND COM 39167B102 219,880 11,500 SH SOLE 11,500 GSI LUMONICS COM 36229U102 1,205,248 102,400 SH SOLE 102,400 H & Q LIFE SCIENCES COM 404053100 238,792 15,396 SH SOLE 15,396 HANSON PLC COM 411349103 4,684,155 128,333 SH SOLE 128,333 HEWLETT PACKARD COM 428236103 13,592,084 591,732 SH SOLE 591,732 HOME DEPOT COM 437076102 4,187,997 118,005 SH SOLE 118,005 HORIZON OFFSHORE COM 44043J105 564,080 128,200 SH SOLE 128,200 HUNTCO CLASS A COM 445661101 14 14,200 SH SOLE 14,200 HYBRIDON INC COM 44860M801 54,150 47,500 SH SOLE 47,500 IGEN INTERNATIONAL COM 449536101 483,062 8,200 SH SOLE 8,200 INPUT/OUTPUT COM 457652105 471,746 104,600 SH SOLE 104,600 Shufro, Rose & CO LLC Page: 3 Form 13F Information Table As of Date: 12/31/2003 - 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 INSIGHTFUL COM 45770X100 23,052 11,300 SH SOLE 11,300 INTEL COM 458140100 910,487 28,276 SH SOLE 28,276 INTERPOOL INC COM 46062R108 5,778,105 398,490 SH SOLE 398,490 INTL BUSINESS MACHINES COM 459200101 6,425,690 69,332 SH SOLE 69,332 INTERNATIONAL PAPER COM 460146103 771,152 17,888 SH SOLE 17,888 JAPAN EQUITY FUND COM 471057109 1,889,256 282,400 SH SOLE 282,400 JOHNSON & JOHNSON COM 478160104 2,421,666 46,877 SH SOLE 46,877 KEMET CORP COM 488360108 4,817,169 351,875 SH SOLE 351,875 KIMBERLY-CLARK COM 494368103 2,672,818 45,233 SH SOLE 45,233 KIRBY CORP COM 497266106 6,663,824 191,050 SH SOLE 191,050 KREISLER MANUFACTURING COM 500773106 83,845 16,769 SH SOLE 16,769 LADISH CO COM 505754200 105,459 13,002 SH SOLE 13,002 LAZARE KAPLAN INTL COM 521078105 1,928,625 277,500 SH SOLE 277,500 LENNOX INTERNATIONAL COM 526107107 221,108 13,240 SH SOLE 13,240 LIBERTY MEDIA COM 530718105 523,374 44,018 SH SOLE 44,018 LINENS N THINGS COM 535679104 9,357,136 311,075 SH SOLE 311,075 LSI LOGIC COM 502161102 1,894,632 213,600 SH SOLE 213,600 LUCENT TECHNOLOGIES COM 549463107 66,496 23,414 SH SOLE 23,414 M & T BANK COM 55261F104 10,188,009 103,642 SH SOLE 103,642 MAKITA CORP COM 560877300 116,567 11,700 SH SOLE 11,700 MANITOWOC CO COM 563571108 4,100,460 131,425 SH SOLE 131,425 MATTSON TECHNOLOGY COM 577223100 185,744 15,200 SH SOLE 15,200 MELLON FINANCIAL COM 58551A108 1,479,661 46,081 SH SOLE 46,081 MERCK & CO COM 589331107 4,822,033 104,373 SH SOLE 104,373 MERRILL LYNCH COM 590188108 6,896,302 117,584 SH SOLE 117,584 MFRI INC COM 552721102 686,956 263,000 SH SOLE 263,000 MICHAELS STORES COM 594087108 762,450 17,250 SH SOLE 17,250 MICROSOFT COM 594918104 1,052,964 38,234 SH SOLE 38,234 MIDWAY GAMES COM 598148104 77,988 20,100 SH SOLE 20,100 MILLEA HOLDINGS COM 60032R106 6,493,990 96,350 SH SOLE 96,350 MONACO COACH COM 60886R103 4,783,324 200,980 SH SOLE 200,980 MONMOUTH REAL ESTATE INVT CORP COM 609720107 169,455 19,500 SH SOLE 19,500 MONY GROUP COM 615337102 4,233,537 135,300 SH SOLE 135,300 J P MORGAN CHASE & CO COM 46625H100 13,861,461 377,388 SH SOLE 377,388 MOVADO GROUP COM 624580106 6,297,266 223,070 SH SOLE 223,070 MSC SOFTWARE COM 553531104 315,630 33,400 SH SOLE 33,400 NASDAQ 100 SHARES COM 631100104 373,788 10,252 SH SOLE 10,252 NEOMAGIC CORP COM 640497103 954,684 345,900 SH SOLE 345,900 NETWORK EQUIPMENT TECHNOLOGIES COM 641208103 2,955,700 268,700 SH SOLE 268,700 NEW GERMANY FUND COM 644465106 3,339,050 467,000 SH SOLE 467,000 NEW PLAN EXCEL REALTY TRUST COM 648053106 395,954 16,050 SH SOLE 16,050 NORTHROP GRUMMAN COM 666807102 6,591,620 68,950 SH SOLE 68,950 OCE NV ADR COM 674627203 243,840 16,000 SH SOLE 16,000 ON ASSIGNMENT COM 682159108 979,480 188,000 SH SOLE 188,000 PARAMETRIC TECHNOLOGY COM 699173100 1,339,600 340,000 SH SOLE 340,000 PARK ELECTROCHEMICAL COM 700416209 3,132,866 118,266 SH SOLE 118,266 PEABODY ENERGY COM 704549104 11,124,683 266,715 SH SOLE 266,715 PEPSICO INC COM 713448108 1,848,343 39,647 SH SOLE 39,647 PERKINELMER COM 714046109 4,746,314 278,050 SH SOLE 278,050 PFIZER INC COM 717081103 7,160,154 202,665 SH SOLE 202,665 PRIME HOSPITALITY CORP COM 741917108 142,800 14,000 SH SOLE 14,000 Shufro, Rose & CO LLC Page: 4 Form 13F Information Table As of Date: 12/31/2003 - 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 PROCTER & GAMBLE COM 742718109 249,700 2,500 SH SOLE 2,500 REGAL-BELOIT COM 758750103 4,475,900 203,450 SH SOLE 203,450 REGIS COM 758932107 1,777,412 44,975 SH SOLE 44,975 REPUBLIC FIRST BANCORP COM 760416107 179,383 14,764 SH SOLE 14,764 ROBOTIC VISION SYSTEMS COM 771074309 140,864 44,020 SH SOLE 44,020 ROYAL DUTCH PETROLEUM COM 780257804 689,452 13,160 SH SOLE 13,160 SAFECO COM 786429100 8,517,884 218,800 SH SOLE 218,800 SAFEWAY COM 786514208 324,158 14,795 SH SOLE 14,795 SBC COMMUNICATIONS COM 78387G103 1,599,864 61,368 SH SOLE 61,368 SCIENCE DYNAMICS COM 808631105 2,957 32,850 SH SOLE 32,850 SCM MICROSYSTEMS COM 784018103 131,240 17,000 SH SOLE 17,000 SERVICE CORP INTL COM 817565104 246,862 45,800 SH SOLE 45,800 SIFCO INDUSTRIES COM 826546103 190,226 45,400 SH SOLE 45,400 SMART & FINAL COM 831683107 182,448 18,100 SH SOLE 18,100 SOTHEBYS HOLDINGS COM 835898107 1,183,707 86,655 SH SOLE 86,655 SPARTON CORP COM 847235108 283,581 28,217 SH SOLE 28,217 STARRETT L S COM 855668109 1,419,635 86,300 SH SOLE 86,300 STEIN MART COM 858375108 322,184 39,100 SH SOLE 39,100 STOLT OFFSHORE COM 861567105 30,848 12,800 SH SOLE 12,800 SONOCO PRODUCTS CO COM 835495102 3,771,907 153,205 SH SOLE 153,205 SWIFT ENERGY COM 870738101 1,829,910 108,600 SH SOLE 108,600 SWISS HELVETIA FUND COM 870875101 8,585,630 664,522 SH SOLE 664,522 SYMBOL TECHNOLOGIES COM 871508107 211,125 12,500 SH SOLE 12,500 SYMMETRICOM INC COM 871543104 5,540,990 761,125 SH SOLE 761,125 SYSCO CORP COM 871829107 261,206 7,016 SH SOLE 7,016 TASTY BAKING COM 876553306 412,488 40,800 SH SOLE 40,800 TECUMSEH PRODUCTS CLASS A COM 878895200 4,788,758 98,880 SH SOLE 98,880 TECUMSEH PRODUCTS CLASS B COM 878895101 590,000 12,500 SH SOLE 12,500 TELEFLEX COM 879369106 6,002,586 124,200 SH SOLE 124,200 TELLABS COM 879664100 9,186,888 1,089,785 SH SOLE 1,089,785 TERADYNE COM 880770102 564,990 22,200 SH SOLE 22,200 TEXAS INSTRUMENTS COM 882508104 260,542 8,868 SH SOLE 8,868 TIME WARNER COM 887317105 1,566,227 87,061 SH SOLE 87,061 TRANSACTION SYSTEMS ARCHITECTS COM 893416107 261,377 11,550 SH SOLE 11,550 TRANSOCEAN COM G90078109 27,642,449 1,151,289 SH SOLE 1,151,289 TRENWICK GROUP LTD BERMUDA COM G9032C109 2,206 88,225 SH SOLE 88,225 TRINITY INDUSTRIES COM 896522109 767,916 24,900 SH SOLE 24,900 TRIZETTO GROUP COM 896882107 138,675 21,500 SH SOLE 21,500 TWIN DISC COM 901476101 4,826,008 253,600 SH SOLE 253,600 UNION PACIFIC COM 907818108 14,247,360 205,057 SH SOLE 205,057 UNITED RETAIL GROUP COM 911380103 56,832 19,200 SH SOLE 19,200 USEC INC COM 90333E108 7,741,020 921,550 SH SOLE 921,550 VARIAN INC COM 922206107 14,987,121 359,145 SH SOLE 359,145 VERIZON COMMUNICATIONS COM 92343V104 477,614 13,615 SH SOLE 13,615 VIRBAC CORP COM 927649103 133,455 20,500 SH SOLE 20,500 VISHAY INTERTECHNOLOGY COM 928298108 254,190 11,100 SH SOLE 11,100 VITESSE SEMICONDUCTOR COM 928497106 1,162,260 198,000 SH SOLE 198,000 VODAFONE GROUP PLC NEW COM 92857W100 1,353,237 54,043 SH SOLE 54,043 WAL-MART STORES COM 931142103 1,023,335 19,290 SH SOLE 19,290 WASHINGTON MUTUAL COM 939322103 1,508,392 37,597 SH SOLE 37,597 WINN-DIXIE STORES COM 974280109 300,490 30,200 SH SOLE 30,200 Shufro, Rose & CO LLC Page: 5 Form 13F Information Table As of Date: 12/31/2003 - 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 WYETH COM 983024100 959,964 22,614 SH SOLE 22,614 YUM BRANDS COM 988498101 995,330 28,934 SH SOLE 28,934 3M COMPANY COM 88579Y101 450,999 5,304 SH SOLE 5,304 Line Count: 207