13F-HR 1 vantis13f3q2002.txt 1 vantis 13F 3Q 2002.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: September 30, 2002 ----------------- 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: Vantis Capital Management LLC ----------------------------------------------------- Address: 725 S. Figueroa Street, Suite 900 ----------------------------------------------------- Los Angeles, CA 90017 ----------------------------------------------------- 13F File Number: 28-10036 -------- 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: Erick Penarrieta ------------------------------------------------- Title: Controller ------------------------------------------------- Phone: (213) 817-2209 ------------------------------------------------- Signature, Place, and Date of Signing: /s/ Erick Penarrieta Los Angeles, CA 7/31/2002 ----------------------- ---------------- ----------- [Signature] [City, State] [Date] 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: [If there are no entries in this list, omit this section.] 13F File Number Name 28- -------------- ----------------------- [Repeat as necessary.] FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 ------------------ Form 13F Information Table Entry Total: 32 ------------------ Form 13F Information Table Value Total: 195,512 ------------------ (thousands) List of Other Included Managers: NONE Provide a numbered list of the name(s) and 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 headings and list entries.] No. 13F File Number Name 28- ----- -------------- ------------------- [Repeat as necessary.]

COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 ----------------------------------------------------------------------------------------- VALUE SHRS OR INVESTMENT NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT DISCRETION ----------------------------------------------------------------------------------------- ~~CDW~~ADVANCED ~~COMPUTER~~MED ~~CENTERS~~OPT ~~INC.~~ COM ~~125129106~~00763M108 ~~5,187~~190 ~~110~~20,~~800~~000 ~~110~~20,~~800~~000 CENTEX CORPORATION COM 152312104 65,~~132~~013 ~~106~~113,~~100~~045 ~~106~~113,~~100~~045 CITIGROUP INC COM 172967101 134,~~273~~778 ~~342~~161,~~530~~170 ~~342~~161,~~530~~170 CLEAR CHANNEL COMM. COM 184502102 41,~~803~~738 ~~150~~50,000 ~~150~~50,000 COACH INC COM 189754104 117,~~526~~652 ~~209~~298,~~950~~910 ~~209~~298,~~950~~910 CONCORD EFS INC COM 206197105 145,~~094~~528 ~~467~~348,~~610~~100 ~~467~~348,~~610~~100 ~~COSTCO WHSL CORP (NEW) COM 22160K105 12,958 335,515 335,515~~ D R HORTON INC COM 23331A109 73,~~143~~089 ~~274~~165,~~400~~888 ~~274~~165,~~400~~888 ELECTRONIC ARTS COM 285512109 1410,~~841~~724 ~~224~~162,~~700~~580 ~~224~~162,~~700~~580 ~~EXTENDED~~FLEXTRONICS ~~STAY~~INTL ~~AMERICA~~ COM ~~30224P101~~Y2573F102 61,~~114~~046 ~~376~~150,~~950~~000 ~~376~~150,~~950~~000 ~~GAP~~FOX ~~INC.~~ENTERTAINMENT-A COM ~~364760108~~35138T107 92,~~794~~423 ~~689~~110,~~750~~000 ~~689~~110,~~750~~000 ~~GILLETTE~~GAP ~~COMPANY~~INC. COM ~~375766102~~364760108 125,~~332~~816 ~~364~~536,~~100~~000 ~~364~~536,~~100~~000 GOLDMAN SACHS GROUP COM 38141G104 610,~~356~~664 86161,~~650~~505 86161,~~650~~505 INTUIT INC. COM 461202103 107,~~133~~909 ~~203~~173,~~800~~710 ~~203~~173,~~800~~710 INTEL CORP COM 458140100 1,111 80,000 80,000 JOHNSON & JOHNSON COM 478160104 1310,~~834~~625 ~~264~~196,~~711~~460 ~~264~~196,~~711~~460 LENNAR CORP. COM 526057104 138,~~525~~237 ~~221~~147,~~000~~665 ~~221~~147,~~000~~665 ~~ELI~~MERRILL ~~LILLY~~LYNCH & ~~COMPANY~~CO. COM ~~532457108~~590188108 81,~~604~~483 ~~152~~45,~~550~~000 ~~152~~45,~~550~~000 ~~LINCARE~~MICROSOFT ~~HOLDINGS~~CORP ~~INC~~ COM ~~532791100~~594918104 811,~~537~~786 ~~264~~269,~~300~~465 ~~264~~269,~~300~~465 ~~MICROSOFT~~MOODY'S CORP COM ~~594918104~~615369105 134,~~997~~517 ~~255~~93,~~885~~130 ~~255~~93,~~885~~130 ~~MOODY'S~~NASDAQ ~~CORP~~100 ~~COM~~SHARES ~~615369105~~US-ETFS ~~10,865~~US-ETFS ~~218~~631100104 8,~~400~~288 ~~218~~400,000 400,000 ~~NOVELLUS~~NEXEL ~~SYSTEMS~~COMMUNICATIONS INC. COM ~~670008101~~65332V103 62,~~919~~454 ~~203~~325,~~500~~000 ~~203~~325,~~500~~000 ~~PATTERSON~~PHARM ~~DENTAL~~HLDRS COUS-ETFS US-ETFS 71712A206 2,896 42,000 42,000 PROCTOR & GAMBLE COM ~~703412106~~742718109 108,~~499~~406 ~~208~~94,~~600~~050 ~~208~~94,~~600~~050 REGAL ENTERTAINMENT GROUP - A COM 758766109 53,~~678~~145 ~~243~~176,~~500~~785 ~~243~~176,~~500~~785 S&P DEPOSITORY RCPTS US-EFTS US-EFTS 78462F103 20,448 250,000 250,000 SEMI CONDUCTOR COM US-EFTS US-EFTS 816636203 3,752 195,000 195,000 TARGET CORP COM 87612E106 106,~~916~~158 ~~286~~208,~~500~~610 ~~286~~208,~~500~~610 TEXAS INSTRUMENTS INC COM 882508104 84,~~713~~806 ~~367~~325,~~650~~390 ~~367~~325,~~650~~390 UNIVISION COMMUNICATIONS INC COM 914906102 126,~~720~~175 ~~405~~270,~~100~~825 ~~405~~270,~~100~~825 VIACOM INC - CL B COM 925524308 9,~~794~~578 ~~220~~236,~~737~~207 ~~220~~236,~~737~~207 WASHINGTON MUTUAL INC COM 939322103 148,~~889~~993 ~~401~~285,~~200~~765 ~~401~~285,~~200~~675 WELLS FARGO & CO COM 949746101 6,084 126,330 126,330 Column Totals ~~284~~195,~~176~~512 COLUMN 1 COLUMN 7 COLUMN 8 ----------------------------------------------------------------------------------------------- OTHER VOTING AUTHORITY NAME OF ISSUER MANAGERS SOLE SHARED NONE ----------------------------------------------------------------------------------------------- ~~CDW~~ADVANCED ~~COMPUTER~~MED ~~CENTERS~~OPT ~~INC. 110~~20,~~800~~000 CENTEX CORPORATION ~~106~~113,~~100~~045 CITIGROUP INC. ~~342~~161,~~530~~170 CLEAR CHANNEL COMM. ~~150~~50,000 COACH INC. ~~209~~298,~~950~~910 CONCORD EFS INC. ~~467~~348,~~610~~100 ~~COSTCO WHSL CORP (NEW) 335,515~~ D R HORTON INC. ~~274~~165,~~400~~888 ELECTRONIC ARTS ~~224~~162,~~700~~580 ~~EXTENDED~~FLEXTRONICS ~~STAY~~INTL. ~~AMERICA~~150,000 ~~376~~FOX ENTERTAINMENT-A 110,~~950~~000 GAP INC. ~~689~~536,~~750~~000 ~~GILLETTE COMPANY 364,100~~ GOLDMAN SACHS 86GROUP 161,~~650~~505 INTUIT INC. ~~203~~173,~~800~~710 INTEL CORP 80,000 JOHNSON & JOHNSON ~~264~~196,~~711~~460 LENNAR CORP. ~~221~~147,~~000~~665 ~~ELI~~MERRILL ~~LILLY~~LYNCH & ~~COMPANY~~CO. ~~152~~45,~~550~~000 ~~LINCARE HOLDINGS INC 264,300~~ MICROSOFT CORP ~~255~~269,~~885~~465 MOODY'S CORP ~~218~~93,130 NASDAQ 100 SHARES US-ETFS 400,000 ~~NOVELLUS~~NEXEL ~~SYSTEMS~~COMMUNICATIONS ~~203~~INC. 325,~~500~~000 ~~PATTERSON~~PHARM ~~DENTAL~~HLDRS COUS-ETFS ~~208~~42,~~600~~000 PROCTOR & GAMBLE 94,050 REGAL ENTERTAINMENT GROUP - A ~~243~~176,~~500~~785 S&P DEPOSITORY RCPTS US-EFTS 250,000 SEMI CONDUCTOR COM US-EFTS 195,000 TARGET CORP ~~286~~208,~~500~~610 TEXAS INSTRUMENTS INC. ~~367~~325,~~650~~390 UNIVISION COMMUNICATIONS INC ~~405~~270,~~100~~825 VIACOM INC - CL B ~~220~~236,~~737~~207 WASHINGTON MUTUAL INC ~~401~~285,~~200~~675 WELLS FARGO & CO. 126,330

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