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Penn Capital Management Inc – ‘13F-HR’ for 12/31/99

On:  Tuesday, 9/5/00, at 10:52am ET   ·   For:  12/31/99   ·   Accession #:  1114951-0-6   ·   File #:  28-05903

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  As Of                Filer                Filing    For·On·As Docs:Size

 9/05/00  Penn Capital Management Inc       13F-HR     12/31/99    1:13K

Quarterly Holdings or Combination Report by an Institutional Money Manager   —   Form 13F
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 13F-HR      Quarterly Holdings or Combination Report by an        20±    92K 
                          Institutional Money Manager                            



UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 12/31/1999 Check here if Amendment [ ] ; Amendment Number: _____ This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Name: Penn Capital Management Address: 52 Haddonfield-Berlin Road Cherry Hill, NJ 08034 FORM 13F File Number : 28- Waiting for the # 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: Dennis Whelan Title: Controller Phone: (856) 354-1533 ext 15 Signature, Place, and Date of Signing Dennis Whelan Cherry Hill NJ 3/30/00 Report Type (Check only one) [ X ] 13F HOLDING REPORT. (Check here if all holdings of this reporting manager are reported in this report. [ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [ ] 13F COMBINATION REPORT> (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) List of Other Manager Reporting for this Manager: [If there are no entries in this list, omit this section.] Form 13F File Number Name 28 - ____________ None [Repeat as necessary.] Form 13F SUMMARY PAGE Report Summary: Number4 of Other Included Managers: 0 Form 13F Information Table Entry Total: 100,042 Form 13F Information Table Value Total: 100,042 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. [If there are no entries in this list, state "NONE" and omit the column heading and list entries.] No. Form 13F File Number Name ____ 28-_____________ None [repeat as necessary.] PENN CAPITAL MANAGEMENT PORTFOLIO APPRAISAL MASTER GROUP (all accounts included) December 31, 1999 Sec Market Type Security Cusip Value Quantity Code -------------------------------- --------- ---------------- --------------- ---- SMALL CAP EQUITIES ------------------ AK Steel Holding Corp 001547108 1,735,556 91,950 scus Adelphia Business Solutions 006847107 1,802,208 37,546 scus AirTran Holdings Inc 00949p108 319,906 70,600 scus Airgate PCS Inc 009367103 45,365 860 scus Argosy Gaming Corp 040228108 1,076,225 69,155 scus AudioVox Corp CL A 050757103 832,329 27,515 scus Aztar Corp 054802103 33,713 3,100 scus BE Aerospace Inc 073302101 2,891,531 342,700 scus Bankunited Financial Corp-CL A 06652b103 43,855 5,525 scus CCBT Financial Companies 12500Q102 107,010 6,960 scus Cadiz Inc. 127537108 145,018 15,265 scus Capital Gaming Inc Cl A 140180407 32 3,150 scus Caremark RX Inc 141705103 339,188 67,000 scus Champps Entertainment 158787101 38,500 11,000 scus Clearnet Communications Inc 184902104 6,630,594 192,890 scus Coastal Bancorp Inc 19041p105 223,563 12,775 scus Cornerstone Bancorp Inc 218925105 65,194 5,795 scus Dan River Inc-GA CL A 235774106 3,906,885 762,319 scus Datastream Systems Inc 238124101 515,567 20,990 scus Decorative Home Accents Inc CL 3 250 scus Direct Focus Inc 254931108 174,548 6,290 scus Dr Pepper Btlg Hldgs-Cl A 25612t103 268,875 10,755 scus Dr Pepper Btlg Hldgs-Cl B 8,000 2,000 scus Drypers Corp 262497308 839,697 348,965 scus Drypers Corp CL B 262497308 74,726 31,055 scus Duff & Phelps Credit Rating 26432f109 44,469 500 scus ESAT Telecom Group PLC-ADR 26883Y102 1,191,330 13,020 scus Echostar Communications - A 278762109 855,563 8,775 scus Exide Corp 302051107 1,629,416 196,020 scus First Essex Bancorp Inc 320103104 43,844 3,050 scus Grey Wolf Inc 397888108 970,931 337,715 scus Halsey Drug Co Inc 406369108 9,375 10,000 scus Haynes Holdings Inc Private 3,588,100 717,620 scus Hollywood Casino Corp CL A 436132203 219,938 51,000 scus Hudson City Bancorp 443683107 33,594 2,500 scus Interep National Radio Sales-A 45866V109 40,125 3,000 scus Ivax Corp 465823102 256,213 9,950 scus Jones International Networks L 480208000 1,875,000 150,000 scus Kensey Nash Corp 490057106 258,638 21,780 scus Laboratory Crp of America Hldg 50540r102 934,542 253,435 scus MECH Financial Inc 583492103 127,017 3,675 scus Marine Drilling Co Inc 568240204 558,806 24,905 scus Medquist Inc 584949101 620,016 24,020 scus Microcell Telecommunications I 59501t304 7,209,159 219,290 scus National Penn Bancshares Inc 637138108 1,189,683 47,351 scus Neuberger Berman Inc. 641234109 126,241 5,075 scus Norsat International Inc 656512100 76,250 5,000 scus Omnipoint REORG Corp 68212d102 2,168,234 17,975 scus Orckit Comm LTD 89,213 2,600 scus Packaged Ice Inc 695148106 97,500 30,000 scus Panera Bread Company-CL A 69840w108 101,525 13,100 scus Patterson Energy Inc 703414102 819,325 63,025 scus Pegasus Com CL A RSTD 70557g989 154,054 1,576 scus Pegasus Communications Corp 705904100 8,890,851 90,955 scus Pitcarin Properties 62,500 62,500 scus Players International Inc 253,343 30,825 scus Powertel Inc 73936c109 387,949 3,865 scus Premier National Bancorp 74053f107 302,338 16,398 scus Price Communications Corp 741437305 437,769 15,740 scus Pride International Inc 741932107 251,696 17,210 scus Primus Telecommunications GP 741929103 431,460 11,280 scus Provident Bank Shares 743859100 129,359 7,472 scus Quest Diagnostics Inc 74834L100 137,531 4,500 scus Raymond James Financial Inc 754730109 22,071 1,185 scus Risk Capital Holdings Inc 767711104 63,125 5,000 scus Safety-Kleen Corp 78648r203 235,300 20,800 scus Seacoast Banking FL A 811707108 773,304 27,015 scus Spanish Broadcasting Sys Cl A 846425882 337,094 8,375 scus Specialty Equipment Cos 847497203 235,425 9,835 scus Specialty Foods Corp 144A 16 3,150 scus Staten Island Bancorp Inc 857550107 94,500 5,250 scus Syratech Corp 871824108 13,035 1,738 scus Telespectrum Worldwide Inc 87951u109 509,758 71,545 scus Thermadyne Ind Cl B 2 2,000 scus Tropical Sportswear Intl 89708p102 769,566 47,725 scus United Bankshares Inc-W VA 909907107 146,234 6,125 scus Viatel Inc 925529208 413,181 7,705 scus Waste Systems International 94106p209 94,169 19,825 scus Waste Systems Intl Cl B 941060000 712,500 150,000 scus Webster Financial Corp 947890109 20,122 854 scus Warrants -------- Aladdin Gaming Wts 01071G114 675 67,500 wtus Allegiance Telecom Inc Wts Ex 01747t110 95,713 950 wtus American Tel Wts-New Exp 8-10- 35 3,500 wtus Clearnet Comm WTS 20,213 4,125 wtus Heartland Wireless 144A Wt-Exp 219 21,900 wtus Key Energy Serv Warrants 492914122 20,000 1,000 wtus McCaw Intl LTD Wt Ex-2007 3,000 1,000 wtus Waste System Intl Wts EX-2006 94106p167 2,813 3,750 wtus SMALL CAP SHORT STOCK --------------------- Galey & Lord Inc 36352k103 (3,875) (2,000) scus Revlon Inc 761525500 (59,531) (7,500) scus LARGE CAP EQUITIES ------------------ AT&T Corp 001957109 118,596 2,334 lcus AT&T Corp-Liberty Media A 001957208 745,096 13,115 lcus AXA Financial Inc 002451102 664,020 19,530 lcus Alliance Capital Mgmt-LP 018548107 121,097 4,045 lcus American Express Co 025816109 876,969 5,275 lcus American Home Prods Inc 026609107 322,831 8,225 lcus American Int'l Group 026874107 826,508 7,644 lcus Astoria Financial Corp 046265104 30,620 1,006 lcus At Home Corp 045919107 61,097 1,425 lcus Bank United Corp - Cl A 065412108 130,936 4,805 lcus Bank of New York Co Inc 064057102 144,000 3,600 lcus BankAmerica Corp 060505104 287,574 5,730 lcus Bellsouth Corp 079860102 374,500 8,000 lcus Bristol Myers Squibb Co 110122108 200,586 3,125 lcus Burlington Resources Inc 122014103 872,916 26,402 lcus Cable & Wireless HKT LTD 126828102 80,793 2,774 lcus Cable & Wireless PLC-SP ADR 126830207 184,223 3,480 lcus Capital One Financial Corp 14040h105 106,013 2,200 lcus Chase Manhattan Corp 16161a108 103,324 1,330 lcus Citigroup Inc 172967101 218,685 3,927 lcus Coca Cola Co 191216100 239,116 4,105 lcus Colgate-Palmolive Co 194162103 149,500 2,300 lcus Columbia/HCA Healthcare Corp 197677107 31,071 1,060 lcus Conoco Inc-CL A 208251306 510,840 20,640 lcus Cullen/Frost Bankers Inc 229899109 160,165 6,220 lcus Dayton-Hudson Corp 239753106 225,820 3,075 lcus Ericsson Tel - ADR 294821400 743,583 11,320 lcus Express Scripts Inc-CL A 302182100 320,320 5,005 lcus Exxon Mobil Corp 30231g102 156,873 1,947 lcus FDX Corporation 31304n107 446,833 10,915 lcus Federal Natl Mortgage Assoc 313586109 135,802 2,175 lcus First Union Corp 337358105 1,269,444 38,541 lcus Fleet Boston Financial Corp 339030108 189,443 5,442 lcus GTE Corp 362320103 263,551 3,735 lcus General Electric 369604103 164,809 1,065 lcus General Motors Corp - CL H 1,054,080 10,980 lcus Gilat Satellite Networks LTD 370442832 1,125,156 9,475 lcus Global Crossing Ltd 536,750 10,735 lcus Halliburton Co 406216101 252,166 6,265 lcus Harrah's Entertainment Inc 413619107 85,922 3,250 lcus Infinity Broadcasting Corp-A 45662s102 378,883 10,470 lcus Intl Business Machines 459200101 230,313 2,135 lcus John Hancock BK & Thrift Opp F 409735107 229,922 27,250 lcus Johnson & Johnson 478160104 205,150 2,200 lcus Lucent Technologies Inc 549463107 868,500 11,580 lcus MBNA Corp 55262L100 52,456 1,925 lcus McKesson HBOC, Inc 58155q103 276,300 12,280 lcus Mellon Bank Corp 58551a108 489,648 14,375 lcus Merchantile Bankshares Corp 587405101 149,308 4,675 lcus Merck & Co 409,844 6,100 lcus Mony Group Inc 615337102 148,564 5,090 lcus NTL Inc 629407107 501,495 4,020 lcus Nabors Industries Inc 629568106 4,613,467 149,122 lcus News Corp LTD ADR 652487703 445,039 11,635 lcus Nextel Comm - A 65332v103 123,750 1,200 lcus Nokia Oyj 654902204 214,945 1,125 lcus North Fork Bancorporation Inc 659424105 254,891 14,670 lcus Northern Telecom LTD 665815106 1,181,700 11,700 lcus Omnipoint Corp 68212d102 205,063 1,700 lcus PNC Financial Corp 693475105 466,805 10,490 lcus Park Place Entertainment 700690100 476,250 38,100 lcus Peoples Bank Bridgeport 710198102 37,919 1,795 lcus Procter & Gamble Co 742718109 186,256 1,700 lcus Quaker Oats Co 747402105 203,438 3,100 lcus Qwest Communications Intl 749121109 402,050 9,350 lcus R&B Falcon Corp 74912e101 299,450 22,600 lcus Regions Financial Corp 758940100 38,693 1,540 lcus Schlumberger Ltd 260,420 4,640 lcus Smith International Inc 832110100 368,184 7,410 lcus Sprint Corp (FON Group) 852061100 656,297 9,750 lcus Sprint Corp (PCS Group) 852061506 911,738 8,895 lcus Summit Bancorp 866005101 410,773 13,413 lcus Suntrust Banks Inc 867914103 248,000 3,604 lcus T Rowe Price Associates Inc 741477103 110,997 3,005 lcus TV Guide Inc - CL A 87307q109 681,550 15,850 lcus Tandy Corp 875382103 59,025 1,200 lcus Telebras-Spons ADR 879287308 32,188 250 lcus Telebras-Sponsored ADR 228 1,425 lcus Telefonica De Espana ADR 879382208 520,163 6,600 lcus Telefonos De Mexico - Cl L ADR 879403780 160,313 1,425 lcus Telephone & Data Sys 879433100 309,960 2,460 lcus Telewest Communications PLC 87956p105 112,986 2,045 lcus Texaco Inc. 881694103 29,872 550 lcus Time-Warner Inc 887315109 673,229 9,310 lcus U.S. Bancorp 902973106 79,319 3,331 lcus United Parcel Service CL B 911312106 34,500 500 lcus Vodafone Airtouch 92857t107 63,113 1,275 lcus Wal-Mart Stores Inc 931142103 900,008 13,020 lcus Washington Mutual Inc 939322103 127,745 4,937 lcus Wells Fargo & Co. 949746101 107,159 2,650 lcus Westamerica Bancorp 957090103 6,984 250 lcus Western Wireless Corp Cl A 95988E204 100,125 1,500 lcus Westpoint Stevens Inc 961238102 1,561,525 89,230 lcus Williams Communications Grp 969455104 592,495 20,475 lcus Witney Holding Corp 966612103 91,915 2,480 lcus

Dates Referenced Herein

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Filed on:9/5/00None on these Dates
For Period End:12/31/99
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