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FORM 13F
INFORMATION REQUIRED OF INSTITUTIONAL INVESTMENT
MANAGERS PURSUANT TO SECTION 13(f) OF THE SECURITIES
EXCHANGE ACT OF 1934 AND RULES THEREUNDER
Securities and Exchange Commission
Washington, D.C. 20524
Report of the Calendar Quarter Ending September 30, 1999
If amended report check here: _____
Name of Institutional Investment Manager:
Appleton Partners, Inc. S.E.C. File Number 28-6694
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Business Address:
45 Milk Street Boston MA 02109
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Street City State Zip
Name, Phone no. and Title of Person Duly Authorized to Submit this Report:
Douglas C. Chamberlain, President (617)338-0700
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ATTENTION - Intentional misstatements of omissions of facts constitute Federal
Criminal Violations. Sec 18 U.S.C. 1991 and 15 U.S.C. 78ff(a).
The institutional investment manager submitting this Form and its
attachments and the person by whom it is signed represent hereby that all
information contained therein is true, correct and complete. It is understood
that all required items, statements and schedules are considered integral parts
of this Form and that the submission of any amendment represents that all
unamended items, statements and schedules remain true, correct and complete as
previously submitted.
Pursuant to the requirements of Securities Exchange Act of 1934, the
undersigned institutional investment manager has caused this report to be signed
on its behalf in the City of Boston and State of Massachusetts on the 19/th/ day
of May, 1999.
Appleton Partners, Inc.
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(Name of Institutional Investment
Mgr.)
/s/ Douglas C. Chamberlain
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By: Douglas C. Chamberlain
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Form 13F Summary Page
Report Summary:
Number of Other Included Managers: None
Form 13F Information Table Entry Total: 137
Form 13F Information Table Value Total: 305,274,623
List of Other Included Managers:
Provide a numbered list of the names(s) and Form 13F file number(s) of all
institutional investment managers with respect to which this report is filed,
other than the manger filing this report.
NONE
(If there are no entries in this list, state "NONE" and omit the column headings
and list entries.)
No. Form 13F file number Name
____ ____________________ _________________
2
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APPLETON PARTNERS, INC.
DISCRETIONARY OWNERSHIP FOR 13F
AS OF SEPTEMBER 30, 1999
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INVESTMENT VOTING
DISCRETION AUTHORITY
TITLE FAIR SHARES OR SHARED
OF CUSIP MARKET PRINCIPAL SOLE SHARED OTHER SOLE SHARED NONE
NAME OF ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C) (A) (B) (C)
---------------- ------ -------- ---------- -------- --- --------- ----- ----- ----- ---
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
AT&T CORP COMMON 001957109 1,460,513 33,575 X X
ABBOTT LABS COMMON 002824100 4,680,591 127,580 X X
ABN AMRO CAP FUNDING TRUST PFD PREFERR 00371T206 390,487 17,800 X X
THERMO ELECTRON CONV 4.250% 01 CONVERT 006207588 21,250 25,000 X X
ALLIANCE CAP MGMT LP COMMON 018548107 369,858 13,480 X X
ALLIED SIGNAL INC COMMON 019512102 2,745,497 45,806 X X
ALZA CORP 5.000% 05/01/06 CONVERT 022615AD0 24,175 20,000 X X
AMERICA ONLINE INC COMMON 02364J104 468,281 4,500 X X
AMERICAN EXPRESS CO COMMON 025816109 211,410 1,566 X X
AMERICAN HOME PRODS CORP COMMON 026609107 2,511,372 60,515 X X
AMERICAN INTL GROUP INC COMMON 026874107 4,055,287 46,646 X X
AMERITECH CORP NEW COMMON 030954101 2,118,245 31,734 X X
AMGEN INC COMMON 031162100 635,700 7,800 X X
AT HOME CORP COM SER A COMMON 045919107 1,045,468 25,230 X X
ATLANTIC RICHFIELD COMPANY COMMON 048825103 379,581 4,283 X X
AUTOMATIC DATA PROCESSING COMMON 053015103 379,312 8,500 X X
AVERY DENNISON CORP COMMON 053611109 211,000 4,000 X X
BP AMOCO P L C ADR SPONSORED COMMON 055622104 298,972 5,396 X X
BMC SOFTWARE INC COMMON 055921100 2,053,844 28,700 X X
BANK OF AMERICA CORP COMMON 060505104 257,388 4,622 X X
BANKBOSTON CORP. COMMON 06605R106 6,325,463 145,832 X X
BATTLE MOUNTAIN BMG 6.000% 01/ CONVERT 071593AA5 35,500 50,000 X X
BELL ATLANTIC CORP COMMON 077853109 498,247 7,402 X X
BELLSOUTH CORP COMMON 079860102 563,580 12,524 X X
BEST BUY INC COM COMMON 086516101 353,400 5,700 X X
BANK OF NY CAP TRUST 7.8% PREF PREFERR 096564208 268,650 10,800 X X
BOEING CO COMMON 097023105 486,181 11,406 X X
BOSTON SCIENTIFIC CORP COM COMMON 101137107 3,210,075 129,700 X X
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<S> <C> <C> <C> <C> <C> <C>
BRISTOL MYERS SQUIBB CO COMMON 110122108 4,170,690 61,788 X X
CBS CORPORATION COMMON 12490K107 365,375 7,900 X X
CVS CORP COMMON 126650100 3,746,261 91,792 X X
CHEVRON CORP COMMON 166751107 314,086 3,539 X X
CISCO SYS INC COMMON 17275R102 10,157,260 148,146 X X
CITIGROUP INC. COMMON 172967101 884,840 20,110 X X
COCA COLA CO COMMON 191216100 2,520,097 52,230 X X
COMPAQ COMPUTER CORP COMMON 204493100 206,424 9,024 X X
DAYTON HUDSON CORP COMMON 239753106 1,311,765 21,840 X X
DELTA AIRLINES 8.125% (7/01/39 PREFERR 247361405 317,687 13,000 X X
DISNEY WALT PRODTNS COMMON 254687106 1,518,582 58,407 X X
DU PONT E I DE NEMOURS COMMON 263534109 374,616 6,192 X X
EMERSON ELEC CO COMMON 291011104 244,915 3,876 X X
ENERGAS RES INC COMMON 29265E108 7,000 20,000 X X
EQUIFAX INC COMMON 294429105 863,888 30,716 X X
EXXON CORP. COMMON 302290101 5,341,736 70,286 X X
FANNIE MAE COMMON 313586109 4,587,847 73,186 X X
FIRST SEC CORP DEL COMMON 336294103 6,455,468 271,452 X X
FIRST TENN NATL CORP COMMON 337162101 563,625 20,040 X X
FIRST UN CORP COMMON 337358105 283,397 7,955 X X
FLEET FINL GROUP INC NEW COMMON 338915101 325,816 8,896 X X
GTE CORP COMMON 362320103 1,137,673 14,799 X X
GENERAL ELECTRIC COMMON 369604103 16,358,542 137,974 X X
GENERAL MTRS CORP COMMON 370442105 329,352 5,233 X X
HUGHES ELECTRIC CORP. COMMON 370442832 1,702,558 29,739 X X
GILLETTE CO COMMON 375766102 4,874,681 143,637 X X
GULF EXPLORATION CONSULTANTS I COMMON 402275101 40,000 40,000 X X
HALLIBURTON CO COMMON 406216101 1,529,300 37,300 X X
HARLEY DAVIDSON INC COMMON 412822108 305,381 6,100 X X
HARRIS CAPITAL CORP PFD SER A PREFERR 414567206 212,563 9,500 X X
HEINZ H J CO COMMON 423074103 387,215 9,005 X X
HEWLETT PACKARD CO COMMON 428236103 7,218,073 79,538 X X
HOME DEPOT INC COMMON 437076102 384,300 5,600 X X
ILLINOIS TOOL WKS COMMON 452308109 3,983,427 53,424 X X
INTEL CORP COMMON 458140100 14,388,981 193,628 X X
I B M COMMON 459200101 1,554,124 12,844 X X
JOHNSON & JOHNSON COMMON 478160104 3,204,232 34,876 X X
KROGER CO COMMON 501044101 1,045,762 47,400 X X
LILLY, ELI AND COMPANY COMMON 532457108 2,917,322 45,450 X X
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<S> <C> <C> <C> <C> <C> <C>
LUCENT TECHNOLOGIES INC COMMON 549463107 9,940,407 153,224 X X
MCI WORLDCOM COMMON 55268B106 9,987,894 138,962 X X
MFS EMERGING GROWTH-CL B SM CA MUTUAL 552985202 212,147 4,441 X X
MASCO CORP COM COMMON 574599106 730,980 23,580 X X
MASCOTECH INC 4.500% 12/15/03 CONVERT 574670AB1 65,576 87,000 X X
MCDONALDS CORP COMMON 580135101 2,114,276 48,885 X X
MEDIAONE GROUP INC COM COMMON 58440J104 2,785,784 40,780 X X
MEDIAONE FIN TR 9.040% PFD (SE PREFERR 584458202 252,500 10,000 X X
MEDTRONIC INC COMMON 585055106 1,671,438 47,000 X X
MERCK & CO INC COMMON 589331107 7,945,753 122,596 X X
MERRILL LYNCH & CO INC COM COMMON 590188108 3,169,994 47,050 X X
MERRILL LYNCH PFD CAP TR II 8. PREFERR 59021C203 365,063 14,750 X X
ML CAPITAL TRUST 7.2800% PFD PREFERR 59021K205 841,806 36,700 X X
MICROSOFT CORP COMMON 594918104 9,301,312 102,706 X X
MICRON TECH 7.000% 07/01/04 CONVERT 595112AB9 62,562 50,000 X X
MINNESOTA MNG & MFG CO COMMON 604059105 387,516 4,034 X X
MOBIL CORP COMMON 607059102 5,204,040 51,653 X X
MONSANTO CO COMMON 611662107 525,570 14,727 X X
MORGAN J.P. & CO INC COMMON 616880100 843,965 7,387 X X
MORGAN STANLEY DEAN WITTER DIS COMMON 617446448 210,393 2,359 X X
NINE WEST GROUP 5.500% 07/15/0 CONVERT 65440DAC6 126,750 150,000 X X
NORTEL NETWORKS CORP COM COMMON 656569100 3,422,100 67,100 X X
NORTHERN TR CORP COMMON 665859104 334,000 4,000 X X
OFFICE DEPOT INC COM COMMON 676220106 428,400 40,800 X X
OMNICOM GROUP COMMON 681919106 2,530,041 31,950 X X
ORACLE SYS CORP COMMON 68389X105 796,250 17,500 X X
PPG INDS INC COMMON 693506107 205,080 3,418 X X
PARKER DRILLING CO 5.500% 08/0 CONVERT 701081AD3 75,625 100,000 X X
PEPSICO INC COMMON 713448108 2,983,571 97,822 X X
PFIZER INC COMMON 717081103 5,211,741 145,275 X X
PHILIP MORRIS COS INS COMMON 718154107 1,731,563 50,649 X X
PITNEY BOWES INC COMMON 724479100 335,400 5,504 X X
PROCTER & GAMBLE COMPANY COMMON 742718109 5,347,406 57,039 X X
QUAKER OATS CO COMMON 747402105 420,750 6,800 X X
QUANTUM CORP DSSG COM COMMON 747906204 257,344 18,300 X X
QUANTUM CORP 7.000% 08/01/04 CONVERT 747906AC9 2,151,600 2,445,000 X X
ROYAL DUTCH PETRO-NY SHARES COMMON 780257804 438,480 7,424 X X
SBC COMMUNICATIONS INC COMMON 78387G103 715,590 14,014 X X
SALOMON BROS HI YIELD BOND FD- MUTUAL 79549D848 101,526 10,870 X X
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<S> <C> <C> <C> <C> <C> <C>
SANMINA CORP COMMON 800907107 10,348,906 133,750 X X
SARA LEE CORP COMMON 803111103 1,014,241 43,390 X X
SCHERING PLOUGH CORP COMMON 806605101 418,800 9,600 X X
SCHLUMBERGER LTD COMMON 806857108 1,987,582 31,897 X X
SCUDDER INTL FD INC COM MUTUAL 811165109 521,546 9,310 X X
SCUDDER INTL FD INC GRTR EURP MUTUAL 811165406 520,257 19,078 X X
SEA CONTAINERS LTD CL A COMMON 811371707 1,097,600 39,200 X X
SHELL TRANS & TRADING LTD COMMON 822703609 436,800 9,600 X X
SPRINT CORP COMMON 852061100 217,000 4,000 X X
STAPLES INC COMMON 855030102 1,162,999 53,318 X X
STATE STREET CORP COMMON 857477103 2,139,152 33,101 X X
STOCKER & YALE SDCV 7.250% 05/ CONVERT 8612669C0 350,000 350,000 X X
STOCKER & YALE INC NEW COMMON 86126T203 66,341 44,227 X X
SUN MICROSYSTEMS INC COMMON 866810104 15,665,850 168,450 X X
SYMANTEC CORP COM COMMON 871503108 5,059,005 140,650 X X
TDS CAPITAL 8.500% PREFERRED S PREFERR 87235W202 365,625 15,600 X X
TELLABS INC COMMON 879664100 1,417,744 24,900 X X
TENNESSEE VALLEY AUTH QIDS96A7 PREFERR 880591201 256,100 10,400 X X
TEXACO INC COMMON 881694103 726,190 11,504 X X
TEXAS INSTRS INC COMMON 882508104 991,112 12,050 X X
TIME WARNER INC COMMON 887315109 2,407,826 39,635 X X
TRANSCANADA PIPE 8.25% PFD (10 PREFERR 893526723 368,125 15,500 X X
TRIBUNE CO COMMON 896047107 11,467,077 230,494 X X
UNION PAC CORP COMMON 907818108 259,537 5,400 X X
U S FILTER CORP 4.500% 12/15/0 CONVERT 911843AF7 24,500 25,000 X X
U S WEST INC NEW COM COMMON 91273H101 752,654 13,190 X X
VODAFONE GROUP PLC ADR SPONSOR COMMON 92857T107 261,763 5,505 X X
WAL MART STORES INC COMMON 931142103 780,215 16,404 X X
WARNER LAMBERT CO COMMON 934488107 608,659 9,170 X X
WELLS FARGO NEW COMMON 949746101 734,251 18,530 X X
XEROX CORP COMMON 984121103 556,511 13,270 X X
TOTAL 305,274,623
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