-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Kh2sLpA3eSTxOkqN8HRcDITN8QA1qGgjjvH8DT2U1z/HBQF8Xr1w3W9sV2OWFWMr KpHJqSJv2MBfooW5bYA+Jw== 0001017918-03-000078.txt : 20031114 0001017918-03-000078.hdr.sgml : 20031114 20031114165637 ACCESSION NUMBER: 0001017918-03-000078 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030930 FILED AS OF DATE: 20031114 EFFECTIVENESS DATE: 20031114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: BAMCO INC /NY/ CENTRAL INDEX KEY: 0001017918 IRS NUMBER: 133390015 STATE OF INCORPORATION: NY FISCAL YEAR END: 0228 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-04011 FILM NUMBER: 031005603 BUSINESS ADDRESS: STREET 1: 767 FIFTH AVENUE STREET 2: 49TH FL CITY: NEW YORK STATE: NY ZIP: 10153 BUSINESS PHONE: 2125832000 MAIL ADDRESS: STREET 1: 767 FIFTH AVENUE STREET 2: 49TH FL CITY: NEW YORK STATE: NY ZIP: 10153 13F-HR/A 1 body13f-093003.txt SCHEDULE 13F FOR QUARTER END- SEPTEMBER 2003 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F/Amendment Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2003 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: BAMCO, INC. Address: 767 Fifth Avenue, 49th floor New York, NY 10153 Form 13F File Number: 28-2116 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: Ronald Baron Title: Chief Executive Officer and Chairman Phone: (212) 583-2000 Signature, Place, and Dating of Signing: /s/ Ronald Baron New York, NY November 14, 2003 - ---------------- ------------- ------------------ Report Type (Check only one.): [ ] 13F HOLDINGS 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).) [X] 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 Managers Reporting for this Manager: [If there are no entries in this list, omit this section.] Form 13F File Number Name 28-1678 BARON CAPITAL MANAGEMENT, INC. Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 Form 13F Information Table Entry Total: 181 Form 13F Information Table Value Total: 5755982 (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. No. Form 13F File Number Name 01 28-1678 BARON CAPITAL MANAGEMENT, INC. FORM 13F INFORMATION TABLE
ITEM 1: ITEM 2: ITEM 3: ITEM 4: ITEM 5: ITEM 6: ITEM 7: ITEM 8: - --------------------------------- ------- ---------- ------- ------------------ ------- -------- -------------------------- TITLE OF VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (X1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - --------------------------------- ------- ---------- ------- --------- --- ---- ------- -------- -------- -------- ---- 1800-FLOWERS.COM CL A 68243Q106 1128 150000 SH Defined 150000 24/7 REAL MEDIA INC. COM 901314104 624 500000 SH Defined 500000 99 CENTS ONLY STORES COM 65440K106 100075 3094450 SH Defined 01 3065950 28500 ACCENTURE LTD. BERMUDA CL A G1150G111 1117 50000 SH Defined 50000 ACTUANT CORP CL A NEW 00508X203 8422 150000 SH Defined 150000 ADVENT SOFTWARE INC. COM 007974108 8142 506000 SH Defined 500000 6000 AEROPOSTALE COM 007865108 10820 400000 SH Defined 400000 ALEXANDER'S INC. COM 014752109 47941 454420 SH Defined 01 446920 7500 AMAZON.COM INC. COM 023135106 1934 40000 SH Defined 40000 AMC ENTERTAINMENT INC COM 001669100 12060 900000 SH Defined 900000 AMERICAN TOWER CORP. CL A 029912201 71873 7081100 SH Defined 01 6796100 285000 AMERIGROUP CORP COM 03073T102 44304 992700 SH Defined 01 976700 16000 AMERITRADE HOLDINGS CORP NEW COM 03074K100 3600 320000 SH Defined 320000 AMSURG CORP. COM 03232P405 5773 175000 SH Defined 175000 ANTEON INTL CORP COM 03674E108 35248 1151900 SH Defined 01 1132400 19500 ANTHEM INC COM 03674B104 45264 634573 SH Defined 01 632980 1593 AOL TIME WARNER INC. COM 00184A105 1889 125000 SH Defined 125000 APOLLO GROUP INC. CL A 037604105 229098 3469600 SH Defined 01 48000 3413600 8000 ARBITRON INC. COM 03875Q108 27596 781750 SH Defined 01 773750 8000 ARCH CAPITAL GRP LTD ORD G0450A105 122929 3724000 SH Defined 01 30000 3545500 148500 AUTOBYTEL INC. COM 05275N106 952 100000 SH Defined 100000 AXIS CAPITAL HOLDINGS SHS G0692U109 42709 1711800 SH Defined 01 40000 1540000 131800 BARRA INC. COM 068313105 1044 27800 SH Defined 17800 10000 BLACKROCK INC. CL A 09247X101 19600 400000 SH Defined 400000 BROOKFIELD HOMES CORP COM 112723101 14003 755700 SH Defined 750700 5000 BROWN & BROWN INC COM 115236101 15584 506300 SH Defined 01 506300 C.H. ROBINSON WORLDWIDE INC. COM 12541W100 35673 958700 SH Defined 01 27500 868200 63000 CALIFORNIA PIZZA KITCHEN INC. COM 13054D109 12902 741500 SH Defined 01 723800 17700 CAPITALSOURCE INC. COM 14055X102 21696 1239800 SH Defined 01 1214800 25000 CAREER EDUCATION CORP. COM 141665109 109862 2425200 SH Defined 01 2385200 40000 CAREMARK RX INC COM 141705103 12430 550000 SH Defined 550000 CASUAL MALE RETAIL GROUP INC. COM 148711104 14483 2907353 SH Defined 2907353 CENTENE CORPORATION DEL COM 15135B101 54018 1777500 SH Defined 01 1743500 34000 CHARLES RIVER LABS INTL INC. COM 159864107 101047 3292500 SH Defined 01 3181500 111000 CHARLES SCHWAB CORP NEW COM 808513105 145300 12199819 SH Defined 01 115000 12072819 12000 CHECKFREE CORP. NEW COM 162813109 19472 973600 SH Defined 01 949600 24000 CHEESECAKE FACTORY INC. COM 163072101 126783 3505200 SH Defined 01 3424200 81000 CHICAGO MERCANTILE HOLDINGS INC CL A 167760107 71803 1043500 SH Defined 01 15000 982500 46000 CHICO'S FAS INC. COM 168615102 44791 1461850 SH Defined 01 35000 1402850 24000 CHOICE HOTELS INT'L INC. COM 169905106 82292 2835700 SH Defined 01 25000 2795700 15000 CHOICEPOINT INC COM 170388102 325881 9727776 SH Defined 01 225000 9285876 216900 CKE RESTAURANTS INC. COM 12561E105 6450 1000000 SH Defined 1000000 CLAIRES STORES INC. COM 179584107 5832 174300 SH Defined 01 174300 COMCAST CORP. NEW CL A SPL 20030N200 6469 219000 SH Defined 125000 94000 COMMUNITY HEALTH SYS INC. NEW COM 203668108 18510 853000 SH Defined 01 853000 CORPORATE EXEC BOARD CO COM 21988R102 12911 275000 SH Defined 275000 CORRECTIONS CORP OF AMER COM NEW 22025Y407 4251 212821 SH Defined 01 212821 COSTAR GROUP INC COM 22160N109 1300 50000 SH Defined 50000 COX COMMUNICATIONS INC. NEW CL A 224044107 2213 70000 SH Defined 70000 COX RADIO INC. CL A 224051102 17021 778274 SH Defined 01 774274 4000 CROWN CASTLE INT'L CORP COM 228227104 7622 810000 SH Defined 800000 10000 CTI MOLECULAR IMAGING INC. COM 22943D105 14562 985900 SH Defined 01 955900 30000 CUMULUS MEDIA INC. CL A 231082108 23033 1350900 SH Defined 01 1315900 35000 DELL INC. COM 24702R101 4458 133500 SH Defined 65000 68500 DENTSPLY INTL INC. NEW COM 249030107 20981 467900 SH Defined 01 467900 DEVRY INC. DEL COM 251893103 57548 2432300 SH Defined 01 2409300 23000 DIGITAL THEATER SYSTEMS INC COM 25389G102 21050 739100 SH Defined 01 722100 17000 DOLLAR TREE STORES INC. COM 256747106 116875 3488800 SH Defined 01 3480300 8500 DREXLER TECH CORP COM 261876106 8061 575000 SH Defined 575000 DRUGSTORE.COM INC. COM 262241102 765 100000 SH Defined 100000 EBAY INC COM 278642103 5244 98000 SH Defined 50000 48000 E*TRADE GROUP INC. COM 269246104 5139 555000 SH Defined 320000 235000 E-LOAN INC. COM 26861P107 363 100000 SH Defined 100000 EDUCATION MGMT CORP COM 28139T101 73870 1280900 SH Defined 01 1268400 12500 EDWARDS LIFESCIENCES CORP. COM 28176E108 23849 880700 SH Defined 01 862700 18000 ELECTRONIC ARTS INC. COM 285512109 16232 176000 SH Defined 150000 26000 ENDURANCE SPCLTY HLDGS LTD. SHS G30397106 31412 1075750 SH Defined 01 1064250 11500 ENTRAVISION COMMUNICATIONS CORP CL A 29382R107 4750 500000 SH Defined 500000 EQUITY MARKETING INC. COM 294724109 7549 500000 SH Defined 500000 ESPEED INC CL A 296643109 2487 110000 SH Defined 110000 ETHAN ALLEN INTERIORS INC. COM 297602104 81144 2254004 SH Defined 01 2232004 22000 EXTENDED STAY AMERICA INC. COM 30224P101 47979 3213600 SH Defined 01 3173600 40000 FAIR ISAAC CORP. COM 303250104 96111 1630101 SH Defined 01 1584101 46000 FEDERATED INVESTORS INC PA CL B 314211103 17357 626600 SH Defined 01 626600 FLEXTRONICS INTL LTD. ORD Y2573F102 2481 175000 SH Defined 175000 FLIR SYSTEMS INC. COM 302445101 21421 836092 SH Defined 836092 FMC TECHNOLOGIES INC. COM 30249U101 6426 300000 SH Defined 300000 FOUR SEASONS HOTELS INC. LTD VTG SHS 35100E104 98479 1977102 SH Defined 01 1933602 43500 FREEMARKETS INC. COM 356602102 4669 600000 SH Defined 570000 30000 FTI CONSULTING INC COM 302941109 13880 800000 SH Defined 800000 GABELLI ASSET MGMT INC. CL A 36239Y102 23482 658500 SH Defined 01 642500 16000 GETTY IMAGES INC COM 374276103 23937 680800 SH Defined 01 587800 93000 GRAY TELEVISION INC. COM 389375106 38072 3259607 SH Defined 01 3240107 19500 GTECH HOLDINGS CORP. COM 400518106 1285 30000 SH Defined 30000 H&R BLOCK INC. COM 093671105 14239 330000 SH Defined 330000 HARRIS INTERACTIVE INC. COM 414549105 880 125000 SH Defined 125000 HARTE-HANKS INC. COM 416196103 6915 375000 SH Defined 375000 HENRY SCHEIN INC. COM 806407102 15008 264700 SH Defined 01 264700 HEWITT ASSOCS INC. COM 42822Q100 43712 1795150 SH Defined 01 1770150 25000 HOMESTORE INC. COM 437852106 1939 700000 SH Defined 700000 HOT TOPIC INC COM 441339108 18595 825000 SH Defined 825000 HOVNANIAN ENTERPRISES INC. CL A 442487203 28535 443300 SH Defined 01 431300 12000 IDINE REWARDS NETWORK INC COM 45168A100 2112 130000 SH Defined 130000 IMMUCOR INC. COM 452526106 23261 863100 SH Defined 01 863100 INAMED CORP. COM 453235103 35539 483850 SH Defined 01 476850 7000 INFORMATION HOLDINGS INC. COM 456727106 28342 1415000 SH Defined 1380000 35000 INTEL CORPORATION COM 458140100 1926 70000 SH Defined 70000 INTERACTIVE DATA CORP COM 45840J107 19750 1250000 SH Defined 1250000 INTERACTIVECORP COM 45840Q101 5999 181500 SH Defined 120000 61500 INTERNATIONAL GAME TECH COM 459902102 14188 504000 SH Defined 01 70000 434000 INTUIT COM 461202103 14713 305000 SH Defined 305000 IPASS INC COM 46261V108 616 26200 SH Defined 26200 IRON MOUNTAIN INC PA COM 462846106 34313 955800 SH Defined 01 955800 IVILLAGE INC COM 46588H105 1554 700000 SH Defined 700000 JEFFERIES GROUP INC. NEW COM 472319102 46420 1614605 SH Defined 01 1518205 96400 JETBLUE AIRWAYS CORP COM 477143101 71024 1164900 SH Defined 01 1110850 54050 KENNETH COLE PROD INC. CL A 193294105 15666 600000 SH Defined 600000 KERZNER INTERNATIONAL LTD SHS P6065Y107 193297 5432732 SH Defined 01 135000 5173232 124500 KRISPY KREME DOUGHNUTS INC. COM 501014104 134176 3485100 SH Defined 01 50000 3337100 98000 KROLL INC COM 501049100 5580 300000 SH Defined 300000 KRONOS INC. COM 501052104 24130 456054 SH Defined 01 450054 6000 LIBBEY INC COM 529898108 21287 765447 SH Defined 01 751747 13700 LIN TV CORP CL A 532774106 75503 3551400 SH Defined 01 3385900 165500 LINCARE HOLDINGS INC COM 532791100 9895 270000 SH Defined 270000 LNR PROPERTY CORP COM 501940100 21294 520000 SH Defined 01 520000 MANOR CARE INC. NEW COM 564055101 132474 4415806 SH Defined 01 4288806 127000 MARKETWATCH.COM INC COM 570619106 1045 125000 SH Defined 125000 MONSTER WORLDWIDE INC. COM 611742107 3022 120000 SH Defined 120000 MOODY'S CORP COM 615369105 7696 140000 SH Defined 140000 MOORE WALLACE INC COM 615857109 9940 700000 SH Defined 700000 NBTY INC. COM 628782104 19847 850000 SH Defined 850000 NETFLIX COM INC. COM 64110L106 1680 50000 SH Defined 50000 NETRATINGS INC. COM 64116M108 1167 125000 SH Defined 125000 NUVEEN INVESTMENTS INC CL A 67090F106 6982 253900 SH Defined 01 253900 NVR INC COM 62944T105 34082 73060 SH Defined 01 73060 ODYSSEY HEALTHCARE INC. COM 67611V101 46307 1552875 SH Defined 01 1525875 27000 ONLINE RESOURCES CORP COM 68273G101 352 50000 SH Defined 50000 OVERTURE SERVICES INC COM 69039R100 1060 40000 SH Defined 40000 OXFORD INDUSTRIES INC. COM 691497309 9630 150000 SH Defined 150000 PANERA BREAD CO CL A 69840W108 41597 1015550 SH Defined 01 1002050 13500 PEETS COFFEE & TEA INC. COM 705560100 6354 325000 SH Defined 325000 PEP BOYS MANNY MOE & JACK COM 713278109 1989 130000 SH Defined 130000 PETCO ANIMAL SUPPLIES NEW COM NEW 716016209 54441 1744900 SH Defined 01 1722900 22000 POLO RALPH LAUREN CORP CL A 731572103 46468 1732602 SH Defined 01 10000 1699602 23000 PREMCOR INC. COM NEW 74045Q104 30570 1319400 SH Defined 01 1289400 30000 PRICELINE.COM INC NEW COM 741503403 2406 83000 SH Defined 83000 PROQUEST COMPANY COM 74346P102 30876 1174000 SH Defined 1150000 24000 QUIKSILVER INC COM 74838C106 15152 950000 SH Defined 950000 R H DONNELLEY CORP NEW COM NEW 74955W307 21619 535000 SH Defined 525000 10000 RADIO ONE INC CL A 75040P108 9372 637521 SH Defined 01 637521 RADIO ONE INC CL D NONVTG 75040P405 55099 3837000 SH Defined 01 3794500 42500 RALCORP HLDGS INC NEW COM 751028101 5429 196000 SH Defined 180000 16000 REGAL ENTERTAINMENT GROUP CL A 758766109 6696 360000 SH Defined 360000 RESEARCH IN MOTION LTD COM 760975102 955 25000 SH Defined 25000 RESTORATION HARDWARE INC. DEL COM 760981100 6681 1150000 SH Defined 1150000 REYNOLDS & REYNOLDS CO. CL A 761695105 15227 552700 SH Defined 01 552700 ROBERT HALF INTL INC. COM 770323103 40484 2076100 SH Defined 01 2065100 11000 RYANAIR HOLDINGS PLC SPON ADR 783513104 10935 270000 SH Defined 270000 SAGA COMMUNICATIONS CL A 786598102 77789 4020100 SH Defined 01 20000 3957100 43000 SBA COMMUNICATIONS CORP COM 78388J106 1600 500000 SH Defined 500000 SEACOR SMIT INC. COM 811904101 52101 1440440 SH Defined 01 1424740 15700 SELECT MEDICAL CORP. COM 816196109 2880 100000 SH Defined 100000 SKILLSOFT PLC SPON ADR 830928107 14460 1941000 SH Defined 1701000 240000 SKYWEST INC COM 830879102 12124 700000 SH Defined 700000 SMART & FINAL INC. COM 831683107 4106 656900 SH Defined 01 649300 7600 SONY CORP ADR NEW 835699307 1218 35000 SH Defined 35000 SOTHEBY'S HOLDINGS INC. CL A 835898107 13261 1289950 SH Defined 01 19822 1270128 SOUTHERN UNION CO. NEW COM 844030106 73364 4315543 SH Defined 01 4262418 53125 SPANISH BROADCSTNG SYS INC. CL A 846425882 3729 438700 SH Defined 01 438700 SPORTS CLUB INC COM 84917P100 1275 500000 SH Defined 500000 STAMPS.COM INC. COM 852857101 582 100000 SH Defined 100000 STATION CASINOS INC COM 857689103 44159 1443100 SH Defined 01 1399100 44000
ITEM 1: ITEM 2: ITEM 3: ITEM 4: ITEM 5: ITEM 6: ITEM 7: ITEM 8: - --------------------------------- ------- ---------- ------- ------------------ ------- -------- -------------------------- TITLE OF VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (X1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - --------------------------------- ------- ---------- ------- --------- --- ---- ------- -------- -------- -------- ---- STRAYER EDUCATION INC. COM 863236105 65100 673150 SH Defined 01 664150 9000 SYMYX TECHNOLOGIES COM 87155S108 45206 2098700 SH Defined 01 2053200 45500 TAKE-TWO INTERACTIVE SFTWR COM 874054109 16502 482950 SH Defined 01 464950 18000 UNITED SURGICAL PARTNERS INT COM 913016309 77715 2746100 SH Defined 01 2672700 73400 UNIV. OF PHOENIX ONLINE-APOLLO COM 037604204 111100 1668666 SH Defined 01 45000 1554800 68866 UNIVISION COMMUNICATIONS INC. CL A 914906102 18116 567365 SH Defined 01 558565 8800 VAIL RESORTS INC. COM 91879Q109 124727 8722150 SH Defined 01 8665550 56600 VIASYS HEALTHCARE INC COM NEW 92553Q209 28205 1396300 SH Defined 01 1361300 35000 WEBMD CORP COM 94769M105 1338 150000 SH Defined 150000 WEIGHT WATCHERS INTL INC NEW COM 948626106 58190 1398800 SH Defined 01 40000 1294000 64800 WELLCHOICE INC COM 949475107 2465 81800 SH Defined 01 81800 WESTWOOD ONE INC. COM 961815107 9812 325000 SH Defined 325000 WHOLE FOODS MARKET INC. COM 966837106 34487 625000 SH Defined 625000 WYNN RESORTS LTD. COM 983134107 146403 8152785 SH Defined 01 235000 7685985 231800 XTO ENERGY INC. COM 98385X106 44153 2103526 SH Defined 01 2099027 4499 YAHOO INC. COM 984332106 1061 30000 SH Defined 30000 ZIMMER HOLDINGS INC. COM 98956P102 11020 200000 SH Defined 200000 - -------------------- * 01 Manager only owns this security.
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