13F-HR 1 shufrorose06302004.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, 2004 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 July 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: 06/30/04 RUN DATE: 07/09/04 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: $715,641,983.20 LIST OF OTHER INCLUDED MANAGERS: NO. 13F FILE NUMBER NAME Shufro, Rose & CO LLC Page: 1 Form 13F Information Table As of Date: 6/30/2004 - 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 2,323,000 2,323,000 PRN SOLE 2,323,000 CONSTELLATION CV PFD 5.75% CONV PFD 21036P306 1,005,188 30,525 SH SOLE 30,525 DOMINION RES 9.5% CONV PFD CONV PFD 25746U208 633,760 11,650 SH SOLE 11,650 ABBOTT LABORATORIES COM 002824100 7,965,890 195,434 SH SOLE 195,434 ADAPTEC COM 00651F108 2,698,529 318,975 SH SOLE 318,975 AGILENT TECHNOLOGIES COM 00846U101 468,773 16,010 SH SOLE 16,010 AGRIUM INC COM 008916108 14,250,852 979,440 SH SOLE 979,440 ALASKA PACIFIC BANCSHARES COM 011757101 410,320 22,300 SH SOLE 22,300 ALLEGHANY CORP COM 017175100 8,398,481 29,263 SH SOLE 29,263 ALLEGHENY ENERGY COM 017361106 2,764,554 179,400 SH SOLE 179,400 ALLOY INC COM 019855105 3,269,033 531,550 SH SOLE 531,550 AMERICAN EXPRESS COM 025816109 2,277,419 44,325 SH SOLE 44,325 AMERICAN POWER CONVERSION COM 029066107 5,687,594 289,445 SH SOLE 289,445 AMGEN INC COM 031162100 219,371 4,020 SH SOLE 4,020 APPLE COMPUTER COM 037833100 253,812 7,800 SH SOLE 7,800 APPLICA COM 03815A106 307,050 34,500 SH SOLE 34,500 APPLIED MATERIALS COM 038222105 3,566,524 181,780 SH SOLE 181,780 APRIA HEALTH GROUP COM 037933108 420,742 14,660 SH SOLE 14,660 ASYST TECHNOLOGIES COM 04648X107 1,173,849 113,525 SH SOLE 113,525 AUTOMATIC DATA PROCESSING COM 053015103 442,253 10,560 SH SOLE 10,560 AVON PRODUCTS COM 054303102 221,472 4,800 SH SOLE 4,800 BALLYS TOTAL FITNESS COM 05873K108 642,500 128,500 SH SOLE 128,500 BANKNORTH GROUP COM 06646R107 2,007,264 61,800 SH SOLE 61,800 BANK OF AMERICA COM 060505104 997,416 11,787 SH SOLE 11,787 BEARINGPOINT COM 074002106 883,452 99,600 SH SOLE 99,600 BELLSOUTH COM 079860102 625,531 23,857 SH SOLE 23,857 BERKSHIRE BANCORP COM 084597202 398,475 23,100 SH SOLE 23,100 BERKSHIRE HATHAWAY A SHARES COM 084670108 1,867,950 21 SH SOLE 21 BERKSHIRE HATHAWAY B SHARES COM 084670207 7,050,630 2,386 SH SOLE 2,386 BIG LOTS COM 089302103 12,468,063 862,245 SH SOLE 862,245 BJS WHOLESALE CLUB COM 05548J106 1,500,000 60,000 SH SOLE 60,000 BOEING CO COM 097023105 279,207 5,465 SH SOLE 5,465 BORLAND SOFTWARE COM 099849101 220,740 26,000 SH SOLE 26,000 BOSTON ACOUSTICS COM 100534106 1,550,538 135,300 SH SOLE 135,300 BP PLC COM 055622104 1,488,710 27,790 SH SOLE 27,790 BRISTOL-MYERS SQUIBB COM 110122108 1,817,018 74,164 SH SOLE 74,164 BROOKS AUTOMATION COM 114340102 4,046,362 200,812 SH SOLE 200,812 CARNIVAL CRUISE LINES COM 143658300 1,255,840 26,720 SH SOLE 26,720 CARRIAGE SERVICES COM 143905107 379,008 75,200 SH SOLE 75,200 CATERPILLAR COM 149123101 316,966 3,990 SH SOLE 3,990 CBRL GROUP COM 12489V106 14,038,910 455,070 SH SOLE 455,070 CHARMING SHOPPES COM 161133103 5,626,793 630,100 SH SOLE 630,100 CHEVRONTEXACO COM 166764100 2,836,852 30,144 SH SOLE 30,144 CISCO SYSTEMS COM 17275R102 517,276 21,826 SH SOLE 21,826 CITIGROUP COM 172967101 1,843,586 39,647 SH SOLE 39,647 COCA-COLA COM 191216100 219,840 4,355 SH SOLE 4,355 COINSTAR INC COM 19259P300 7,771,338 353,725 SH SOLE 353,725 COMCAST NEW CLASS A COM 20030N101 396,148 14,133 SH SOLE 14,133 COMPUTER NETWORK TECHNOLOGY COM 204925101 610,980 102,000 SH SOLE 102,000 CONCORD CAMERA COM 206156101 320,430 97,100 SH SOLE 97,100 CONSOLIDATED EDISON COM 209115104 278,439 7,003 SH SOLE 7,003 Shufro, Rose & CO LLC Page: 2 Form 13F Information Table As of Date: 6/30/2004 - 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 CONVERGYS CORP COM 212485106 585,200 38,000 SH SOLE 38,000 COOLBRANDS INTL SUB VTG SHS COM 21639P208 448,593 27,400 SH SOLE 27,400 CORNING COM 219350105 3,580,608 274,166 SH SOLE 274,166 CORVIS COM 221009103 38,070 27,000 SH SOLE 27,000 CRAFTMADE INTERNATIONAL COM 22413E104 1,372,991 69,343 SH SOLE 69,343 CRAY COM 225223106 76,130 11,500 SH SOLE 11,500 CREDENCE SYSTEMS COM 225302108 12,995,667 941,715 SH SOLE 941,715 DATA I/O CORP COM 237690102 99,755 35,500 SH SOLE 35,500 DEL MONTE FOODS COM 24522P103 6,709,664 660,400 SH SOLE 660,400 DEPARTMENT 56 COM 249509100 9,938,698 645,370 SH SOLE 645,370 DIAMOND OFFSHORE COM 25271C102 5,691,319 238,830 SH SOLE 238,830 DISNEY WALT COM 254687106 12,904,567 506,260 SH SOLE 506,260 DOLLAR TREE STORES COM 256747106 274,300 10,000 SH SOLE 10,000 DUKE ENERGY COM 264399106 425,076 20,950 SH SOLE 20,950 DUPONT COM 263534109 29,534,902 664,901 SH SOLE 664,901 EL PASO ELECTRIC COM 283677854 12,087,976 782,900 SH SOLE 782,900 ETHAN ALLEN INTERIORS COM 297602104 10,398,136 289,561 SH SOLE 289,561 EXXON MOBIL COM 30231G102 24,587,907 553,657 SH SOLE 553,657 FEDERAL SIGNAL COM 313855108 2,753,350 147,950 SH SOLE 147,950 FIRST CONSULTING GROUP COM 31986R103 1,121,940 203,250 SH SOLE 203,250 FIRST DATA COM 319963104 1,138,376 25,570 SH SOLE 25,570 FIRST NATIONAL BANK ALASKA COM 32112J106 6,268,350 2,882 SH SOLE 2,882 FIRST NIAGARA FINANCIAL COM 33582V108 6,525,600 543,800 SH SOLE 543,800 FLEXTRONICS INTERNATIONAL LTD COM Y2573F102 16,474,596 1,032,890 SH SOLE 1,032,890 FORD MOTOR CO COM 345370860 259,555 16,585 SH SOLE 16,585 FOSSIL INC COM 349882100 3,386,085 124,260 SH SOLE 124,260 FRANKLIN CE LTD COM 125151100 225,750 60,200 SH SOLE 60,200 FRANKS NURSERY & CRAFTS COM 355361106 6,300 10,000 SH SOLE 10,000 FRESH BRANDS COM 35803U108 88,435 11,500 SH SOLE 11,500 GARTNER GROUP CL A COM 366651107 132,200 10,000 SH SOLE 10,000 GENENCOR INTERNATIONAL COM 368709101 870,884 53,200 SH SOLE 53,200 GENERAL ELECTRIC COM 369604103 54,956,394 1,696,185 SH SOLE 1,696,185 GENERAL MOTORS COM 370442105 227,080 4,874 SH SOLE 4,874 GENESCO COM 371532102 862,495 36,500 SH SOLE 36,500 GERMANY FUND COM 374143105 4,781,556 670,625 SH SOLE 670,625 GIGA TRONICS COM 375175106 33,485 18,100 SH SOLE 18,100 GLATFELTER COM 377316104 502,008 35,654 SH SOLE 35,654 GLOBAL INDUSTRIES COM 379336100 8,904,324 1,556,700 SH SOLE 1,556,700 H & Q LIFE SCIENCES COM 404053100 240,486 15,396 SH SOLE 15,396 HANSON PLC COM 411349103 4,279,945 123,555 SH SOLE 123,555 HEALTH FITNESS COM 42217V102 16,900 10,000 SH SOLE 10,000 HEWLETT PACKARD COM 428236103 12,862,222 609,584 SH SOLE 609,584 HOME DEPOT COM 437076102 3,867,037 109,859 SH SOLE 109,859 HORIZON OFFSHORE COM 44043J105 96,921 97,900 SH SOLE 97,900 HOSPIRA INC COM 441060100 480,157 17,397 SH SOLE 17,397 HUMAN GENOME SCIENCES COM 444903108 122,138 10,502 SH SOLE 10,502 HUNTCO CLASS A COM 445661101 14 14,200 SH SOLE 14,200 HYBRIDON INC COM 44860M801 30,875 47,500 SH SOLE 47,500 INPUT/OUTPUT COM 457652105 866,305 104,500 SH SOLE 104,500 INTEL COM 458140100 822,535 29,802 SH SOLE 29,802 INTERPOOL INC COM 46062R108 6,939,663 419,315 SH SOLE 419,315 Shufro, Rose & CO LLC Page: 3 Form 13F Information Table As of Date: 6/30/2004 - 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 INTL BUSINESS MACHINES COM 459200101 5,617,447 63,726 SH SOLE 63,726 INTERNATIONAL PAPER COM 460146103 795,437 17,795 SH SOLE 17,795 JAMESON INNS COM 470457102 27,229 12,600 SH SOLE 12,600 JAPAN EQUITY FUND COM 471057109 5,153,709 794,100 SH SOLE 794,100 JOHNSON & JOHNSON COM 478160104 4,276,089 76,770 SH SOLE 76,770 KEMET CORP COM 488360108 4,923,133 402,875 SH SOLE 402,875 KIMBERLY-CLARK COM 494368103 2,572,812 39,053 SH SOLE 39,053 KIRBY CORP COM 497266106 6,579,935 169,150 SH SOLE 169,150 KREISLER MANUFACTURING COM 500773106 120,737 16,769 SH SOLE 16,769 KULICKE & SOFFA INDUSTRIES COM 501242101 120,560 11,000 SH SOLE 11,000 LADISH CO COM 505754200 85,765 10,090 SH SOLE 10,090 LAZARE KAPLAN INTL COM 521078105 2,319,525 274,500 SH SOLE 274,500 LENNOX INTERNATIONAL COM 526107107 233,038 12,875 SH SOLE 12,875 LIBERTY MEDIA COM 530718105 7,344,246 816,935 SH SOLE 816,935 LIBERTY MEDIA INTL A COM 530719103 1,445,490 38,962 SH SOLE 38,962 LINENS N THINGS COM 535679104 9,856,220 336,275 SH SOLE 336,275 LSI LOGIC COM 502161102 1,646,682 216,100 SH SOLE 216,100 LUCENT TECHNOLOGIES COM 549463107 166,989 44,177 SH SOLE 44,177 M & T BANK COM 55261F104 11,716,271 134,207 SH SOLE 134,207 MAKITA CORP COM 560877300 627,683 41,025 SH SOLE 41,025 MANITOWOC CO COM 563571108 2,957,644 87,375 SH SOLE 87,375 MAXTOR CORP COM 577729205 102,765 15,500 SH SOLE 15,500 MAYORS JEWELERS COM 578462103 49,280 64,000 SH SOLE 64,000 MELLON FINANCIAL COM 58551A108 1,409,248 48,048 SH SOLE 48,048 MERCK & CO COM 589331107 4,859,203 102,299 SH SOLE 102,299 MERRILL LYNCH COM 590188108 5,279,892 97,812 SH SOLE 97,812 METLIFE COM 59156R108 4,154,872 115,896 SH SOLE 115,896 MFRI INC COM 552721102 946,204 287,600 SH SOLE 287,600 MFS CHARTER INCOME TRUST COM 552727109 723,044 86,800 SH SOLE 86,800 MICHAELS STORES COM 594087108 679,250 12,350 SH SOLE 12,350 MICROSOFT COM 594918104 1,303,336 45,635 SH SOLE 45,635 MILLEA HOLDINGS COM 60032R106 3,664,269 49,000 SH SOLE 49,000 MONMOUTH REAL ESTATE INVT CORP COM 609720107 151,905 19,500 SH SOLE 19,500 J P MORGAN CHASE & CO COM 46625H100 18,274,046 471,345 SH SOLE 471,345 MORGAN STANLEY ASIA PACIFIC FD COM 61744U106 1,481,625 131,700 SH SOLE 131,700 MOVADO GROUP COM 624580106 7,547,565 437,540 SH SOLE 437,540 MSC SOFTWARE COM 553531104 298,930 33,400 SH SOLE 33,400 NASDAQ 100 SHARES COM 631100104 373,342 9,882 SH SOLE 9,882 NEOMAGIC CORP COM 640497103 1,229,600 424,000 SH SOLE 424,000 NETWORK EQUIPMENT TECHNOLOGIES COM 641208103 1,751,136 214,600 SH SOLE 214,600 NEWALLIANCE BANCSHARES COM 650203102 635,431 45,518 SH SOLE 45,518 NEW GERMANY FUND COM 644465106 3,712,020 475,900 SH SOLE 475,900 NEW PLAN EXCEL REALTY TRUST COM 648053106 359,744 15,400 SH SOLE 15,400 NORTHROP GRUMMAN COM 666807102 8,111,385 151,050 SH SOLE 151,050 NUANCE COMMUNICATIONS COM 669967101 843,600 185,000 SH SOLE 185,000 ON ASSIGNMENT COM 682159108 1,020,110 172,900 SH SOLE 172,900 PARAMETRIC TECHNOLOGY COM 699173100 1,703,150 340,630 SH SOLE 340,630 PARK ELECTROCHEMICAL COM 700416209 2,525,000 100,000 SH SOLE 100,000 PEPSICO INC COM 713448108 2,048,625 38,022 SH SOLE 38,022 PERKINELMER COM 714046109 5,019,018 250,450 SH SOLE 250,450 PFIZER INC COM 717081103 5,894,035 171,938 SH SOLE 171,938 Shufro, Rose & CO LLC Page: 4 Form 13F Information Table As of Date: 6/30/2004 - 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 PHOENIX TECHNOLOGIES LTD COM 719153108 1,987,257 284,300 SH SOLE 284,300 PRIME HOSPITALITY CORP COM 741917108 148,680 14,000 SH SOLE 14,000 PROCTER & GAMBLE COM 742718109 272,200 5,000 SH SOLE 5,000 QUANTA SERVICES COM 74762E102 398,080 64,000 SH SOLE 64,000 REGAL-BELOIT COM 758750103 5,043,003 226,550 SH SOLE 226,550 REGIS COM 758932107 1,871,665 41,975 SH SOLE 41,975 RENT A CENTER COM 76009N100 514,796 17,200 SH SOLE 17,200 REPUBLIC FIRST BANCORP COM 760416107 191,046 14,764 SH SOLE 14,764 ROBOTIC VISION SYSTEMS COM 771074309 117,533 44,520 SH SOLE 44,520 ROYAL DUTCH PETROLEUM COM 780257804 499,132 9,660 SH SOLE 9,660 SAFECO COM 786429100 11,033,440 250,760 SH SOLE 250,760 SAFEWAY COM 786514208 202,720 8,000 SH SOLE 8,000 SBC COMMUNICATIONS COM 78387G103 1,119,186 46,152 SH SOLE 46,152 SCIENCE DYNAMICS COM 808631105 5,142 42,850 SH SOLE 42,850 SCM MICROSYSTEMS COM 784018103 110,500 17,000 SH SOLE 17,000 SHAW GROUP COM 820280105 1,819,348 179,600 SH SOLE 179,600 SIFCO INDUSTRIES COM 826546103 165,710 45,400 SH SOLE 45,400 SILICON GRAPHICS COM 827056102 44,000 20,000 SH SOLE 20,000 SPARTON CORP COM 847235108 249,720 28,217 SH SOLE 28,217 STARRETT L S COM 855668109 658,920 40,800 SH SOLE 40,800 STOLT OFFSHORE COM 861567105 52,124 16,600 SH SOLE 16,600 SONOCO PRODUCTS COM 835495102 11,027,093 432,435 SH SOLE 432,435 SWIFT ENERGY COM 870738101 1,061,086 48,100 SH SOLE 48,100 SWISS HELVETIA FUND COM 870875101 8,839,844 678,422 SH SOLE 678,422 SYMMETRICOM INC COM 871543104 6,480,313 728,125 SH SOLE 728,125 SYSCO CORP COM 871829107 251,664 7,016 SH SOLE 7,016 TASTY BAKING COM 876553306 366,272 38,800 SH SOLE 38,800 TECUMSEH PRODUCTS CLASS A COM 878895200 2,404,672 58,380 SH SOLE 58,380 TELEFLEX COM 879369106 6,544,074 130,490 SH SOLE 130,490 TELLABS COM 879664100 7,618,090 871,635 SH SOLE 871,635 TERADYNE COM 880770102 295,100 13,000 SH SOLE 13,000 TEXAS INSTRUMENTS COM 882508104 240,470 9,945 SH SOLE 9,945 TIME WARNER COM 887317105 1,608,236 91,481 SH SOLE 91,481 TRANSMETA CORP COM 89376R109 77,526 35,400 SH SOLE 35,400 TRANSOCEAN COM G90078109 33,190,678 1,146,879 SH SOLE 1,146,879 TRIZETTO GROUP COM 896882107 881,050 131,500 SH SOLE 131,500 TWIN DISC COM 901476101 3,916,200 160,500 SH SOLE 160,500 UNION PACIFIC COM 907818108 15,671,079 263,601 SH SOLE 263,601 UNITED RETAIL GROUP COM 911380103 42,752 16,700 SH SOLE 16,700 USEC INC COM 90333E108 719,798 82,075 SH SOLE 82,075 VARIAN INC COM 922206107 15,474,825 367,137 SH SOLE 367,137 VERIZON COMMUNICATIONS COM 92343V104 596,447 16,481 SH SOLE 16,481 VIRBAC CORP COM 927649103 144,550 59,000 SH SOLE 59,000 VITESSE SEMICONDUCTOR COM 928497106 2,411,696 494,200 SH SOLE 494,200 VODAFONE GROUP PLC NEW COM 92857W100 1,063,673 48,130 SH SOLE 48,130 WAL-MART STORES COM 931142103 878,982 16,660 SH SOLE 16,660 WASHINGTON MUTUAL COM 939322103 1,573,344 40,718 SH SOLE 40,718 WATSON PHARMACEUTICALS COM 942683103 2,106,270 78,300 SH SOLE 78,300 WEBMD CORP COM 94769M105 123,956 13,300 SH SOLE 13,300 WHITEHALL JEWELLERS COM 965063100 1,009,800 135,000 SH SOLE 135,000 WILSONS LEATHER EXPERTS COM 972463103 147,820 38,000 SH SOLE 38,000 Shufro, Rose & CO LLC Page: 5 Form 13F Information Table As of Date: 6/30/2004 - 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 1,323,962 36,614 SH SOLE 36,614 YUM BRANDS COM 988498101 922,535 24,786 SH SOLE 24,786 3M COMPANY COM 88579Y101 477,413 5,304 SH SOLE 5,304 Line Count: 207