13F-HR 1 b41996hre13f-hr.txt HIGH ROCK CAPITAL LLC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: December 31, 2001 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: High Rock Capital LLC Address: 28 State Street 18th Floor Boston, MA 02109 Form 13F File Number: 28-5139 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 C. Wilner Title: Vice President Phone: (617) 747-5806 Signature, Place, and Date of Signing: /s/ Steven C. Wilner ---------------------- Boston, Massachusetts February 13, 2002 High Rock Asset Management LLC is the parent company and sole member of High Rock Capital LLC. In accordance with 17 CFR 240.13f-1(b), High Rock Asset Management LLC is deemed to exercise "investment discretion" with respect to all accounts with which High Rock Capital LLC exercises "investment discretion". Report Type (Check only one.): [X] 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).) [ ] 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: FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 Form 13F Information Table Entry Total: 253 Form 13F Information Table Value Total (in thousands): $2,166,172 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. 13F File Number Name 01 28-5143 High Rock Asset Management LLC

HIGH ROCK CAPITAL LLC /ADV 13F-HR