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Previous: MURDOCK GROUP CAREER SATISFACTION CORP, 10QSB, 1999-05-20 |
Next: SCHOOL SPECIALTY INC, POS AM, 1999-05-20 |
<PAGE>
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 March 31, 1999
If amended report check here: _____
Name of Institutional Investment Manager:
Appleton Partners, Inc. S.E.C. File Number 28-6694
- --------------------------------------------------------
Business Address:
45 Milk Street Boston MA 02109
- -----------------------------------------------------
Street City State Zip
Name, Phone no. and Title of Person Duly Authorized to Submit this Report:
Douglas C. Chamberlain, President (617)338-0700
- -----------------------------------------------------
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 19th day
of May, 1999.
Appleton Partners, Inc.
---------------------------------------
(Name of Institutional Investment Mgr.)
s/ Douglas C. Chamberlain
---------------------------------------
By: Douglas C. Chamberlain
<PAGE>
Form 13F Summary Page
Report Summary:
Number of Other Included Managers: None
Form 13F Information Table Entry Total: 169
Form 13F Information Table Value Total: 298,054,740 (thousands)
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
<PAGE>
APPLETON PARTNERS, INC.
DISCRETIONARY OWNERSHIP FOR 13F
AS OF MARCH 31, 1999
<TABLE>
<CAPTION>
TITLE FAIR SHARES OR
OF CUSIP MARKET PRINCIPAL
NAME OF ISSUER CLASS NUMBER VALUE AMOUNT
----------------- ----- ------ ----- ------
<S> <C> <C> <C> <C>
BATTLE MOUNTAIN BMG 6.000% 01/ CONVERT 001504657 35,500 50,000
AT&T CORP COMMON 001957109 2,282,478 42,897
AT&T CAP CORP PFD 8.125% 12/15 PREFERR 00206J308 260,625 10,000
ABBOTT LABS COMMON 002824100 5,913,823 126,330
ABN AMRO CAP 7.5% PREFERRED PREFERR 00371Q202 227,250 9,000
ABN AMRO CAP FUNDING TRUST PFD PREFERR 00371T206 495,000 19,800
THERMO ELECTRON CONV 4.250% 01 CONVERT 006207588 22,000 25,000
AETNA INC PFD CL C 6.25% CONVERT 008117202 1,351,797 17,875
ALLIANCE CAP MGMT LP COMMON 018548107 334,125 13,200
ALLIED SIGNAL INC COMMON 019512102 2,233,408 45,406
ALLSTATE CORP COMMON 020002101 271,965 7,338
ALZA CORP 5.000% 05/01/06 CONVERT 022615AD0 23,200 20,000
AMERICA ONLINE INC COMMON 02364J104 455,700 3,100
AMERICAN HOME PRODS CORP COMMON 026609107 4,964,024 76,077
AMERICAN INTL GROUP INC COMMON 026874107 4,638,634 38,455
AMERITECH CORP NEW COMMON 030954101 2,252,734 39,093
AMGEN INC COMMON 031162100 584,025 7,800
ARVIN INDS INC COMMON 043339100 235,813 7,000
ATLANTIC RICHFIELD COMPANY COMMON 048825103 328,916 4,498
AUTOMATIC DATA PROCESSING COMMON 053015103 219,287 5,300
AVERY DENNISON CORP COMMON 053611109 230,000 4,000
BFC CONSTR CORP COMMON 054938105 68,125 10,000
BP AMOCO ADS COMMON 055622104 272,498 2,698
BMC SOFTWARE INC COMMON 055921100 1,196,415 32,281
BALL CORP COMMON 058498106 216,335 4,609
BANKAMERICA CORP NEW COMMON 06605F102 299,450 4,240
BANKBOSTON CORP. COMMON 06605R106 6,295,385 145,348
BEAR STEARNS CAP PFD 7.500% 12 PREFERR 07383J209 213,562 8,500
<CAPTION>
INVESTMENT VOTING
DISCRETION AUTHORITY
SHARED
SOLE SHARED OTHER SOLE SHARE NONE
NAME OF ISSUER (A) (B) (C) (A) (B) (C)
----------------- ---- ------ ------ ---- ----- ----
<S> <C> <C> <C> <C> <C> <C>
BATTLE MOUNTAIN BMG 6.000% 01/ X X
AT&T CORP X X
AT&T CAP CORP PFD 8.125% 12/15 X X
ABBOTT LABS X X
ABN AMRO CAP 7.5% PREFERRED X X
ABN AMRO CAP FUNDING TRUST PFD X X
THERMO ELECTRON CONV 4.250% 01 X X
AETNA INC PFD CL C 6.25% X X
ALLIANCE CAP MGMT LP X X
ALLIED SIGNAL INC X X
ALLSTATE CORP X X
ALZA CORP 5.000% 05/01/06 X X
AMERICA ONLINE INC X X
AMERICAN HOME PRODS CORP X X
AMERICAN INTL GROUP INC X X
AMERITECH CORP NEW X X
AMGEN INC X X
ARVIN INDS INC X X
ATLANTIC RICHFIELD COMPANY X X
AUTOMATIC DATA PROCESSING X X
AVERY DENNISON CORP X X
BFC CONSTR CORP X X
BP AMOCO ADS X X
BMC SOFTWARE INC X X
BALL CORP X X
BANKAMERICA CORP NEW X X
BANKBOSTON CORP. X X
BEAR STEARNS CAP PFD 7.500% 12 X X
</TABLE>
<PAGE>
<TABLE>
<S> <C> <C> <C> <C> <C> <C>
BECTON DICKINSON & CO COM COMMON 075887109 321,825 8,400 X X
BELL ATLANTIC CORP COMMON 077853109 449,474 8,696 X X
BELLSOUTH CORP COMMON 079860102 549,497 13,716 X X
BEST BUY INC COM COMMON 086516101 416,000 8,000 X X
BANK OF NY CAP TRUST 7.8% PREF PREFERR 096564208 279,450 10,800 X X
BOEING CO COMMON 097023105 313,004 9,206 X X
BOSTON SCIENTIFIC CORP COM COMMON 101137107 5,724,062 140,900 X X
BRISTOL MYERS SQUIBB CO COMMON 110122108 4,145,553 64,648 X X
CBS CORPORATION COMMON 12490K107 322,419 7,900 X X
CNB FINL CORP PA COMMON 126128107 459,405 13,612 X X
CVS CORP COMMON 126650100 3,980,120 83,792 X X
CARLISLE COS INC COMMON 142339100 229,075 4,900 X X
CHEVRON CORP COMMON 166751107 279,917 3,154 X X
CISCO SYS INC COMMON 17275R102 6,741,709 61,533 X X
CINTAS CORP COMMON 172908105 236,657 3,620 X X
CITIGROUP INC. COMMON 172967101 869,147 13,607 X X
COCA COLA CO COMMON 191216100 3,269,017 53,263 X X
COLGATE PALMOLIVE CO COMMON 194162103 738,300 8,025 X X
COMPAQ COMPUTER CORP COMMON 204493100 826,949 26,097 X X
CONAGRA INC COMMON 205887102 433,062 16,900 X X
CONSECO INC COMMON 208464107 1,410,277 45,677 X X
DAYTON HUDSON CORP COMMON 239753106 1,012,034 15,190 X X
DISNEY WALT PRODTNS COMMON 254687106 2,124,063 68,243 X X
DU PONT E I DE NEMOURS COMMON 263534109 413,986 7,130 X X
ENERGAS RES INC COMMON 29265E108 7,000 20,000 X X
EQUIFAX INC COMMON 294429105 1,181,331 34,366 X X
EXXON CORP. COMMON 302290101 5,029,554 71,278 X X
FANNIE MAE COMMON 313586109 4,853,455 70,086 X X
FINOVA GROUP INC COM COMMON 317928109 648,437 12,500 X X
FIRST SEC CORP DEL COMMON 336294103 5,650,413 292,578 X X
FIRST TENN NATL CORP COMMON 337162101 757,771 20,690 X X
FIRST UN CORP COMMON 337358105 425,095 7,955 X X
FLEET FINL GROUP INC NEW COMMON 338915101 334,712 8,896 X X
GTE CORP COMMON 362320103 958,562 15,844 X X
GENERAL ELECTRIC COMMON 369604103 15,810,414 142,919 X X
GENERAL MTRS CORP COMMON 370442105 815,886 9,378 X X
HUGHES ELECTRIC CORP. COMMON 370442832 1,328,473 26,339 X X
GILLETTE CO COMMON 375766102 8,355,427 140,575 X X
GULF EXPLORATION CONSULTANTS I COMMON 402275101 40,000 40,000 X X
</TABLE>
<PAGE>
<TABLE>
<S> <C> <C> <C> <C> <C> <C>
HALLIBURTON CO COMMON 406216101 1,376,375 35,750 X X
HARCOURT GEN INC COMMON 41163G101 207,383 4,680 X X
HARLEY DAVIDSON INC COMMON 412822108 349,988 6,100 X X
HARRIS CAPITAL CORP PFD SER A PREFERR 414567206 239,875 9,500 X X
HARTFORD LIFE CAP 7.2% PFD PREFERR 416590206 265,781 10,500 X X
HEALTH MGMT ASSOC INC NEW CL A COMMON 421933102 1,391,410 114,167 X X
HEINZ H J CO COMMON 423074103 1,172,531 24,750 X X
HEWLETT PACKARD CO COMMON 428236103 5,953,124 87,788 X X
ILLINOIS TOOL WKS COMMON 452308109 3,052,912 49,340 X X
INTEL CORP COMMON 458140100 12,129,173 204,066 X X
I B M COMMON 459200101 1,182,612 6,672 X X
JOHNSON & JOHNSON COMMON 478160104 3,279,606 35,076 X X
KROGER CO COMMON 501044101 1,431,013 23,900 X X
LILLY, ELI AND COMPANY COMMON 532457108 3,102,181 36,550 X X
LUCENT TECHNOLOGIES INC COMMON 549463107 8,486,910 157,165 X X
MCI WORLDCOM COMMON 55268B106 12,306,379 138,957 X X
MASCO CORP COM COMMON 574599106 666,135 23,580 X X
MASCOTECH INC 4.500% 12/15/03 CONVERT 574670AB1 66,555 87,000 X X
MCDONALDS CORP COMMON 580135101 896,281 19,780 X X
MEDIAONE FIN TR 9.040% PFD (SE PREFERR 584458202 292,531 11,500 X X
MEDTRONIC INC COMMON 585055106 1,692,656 23,550 X X
MERCK & CO INC COMMON 589331107 10,014,103 124,981 X X
MERRILL LYNCH & CO INC COM COMMON 590188108 4,688,376 52,976 X X
MERRILL LYNCH PFD CAP TR II 8. PREFERR 59021C203 388,109 14,750 X X
MERRILL LYNCH CAP PFD 7.12% PREFERR 59021G204 287,500 11,500 X X
ML CAPITAL TRUST 7.2800% PFD PREFERR 59021K205 893,200 35,200 X X
MICROSOFT CORP COMMON 594918104 9,543,091 106,478 X X
MICRON TECH 7.000% 07/01/04 CONVERT 595112AB9 355,100 335,000 X X
MINNESOTA MNG & MFG CO COMMON 604059105 334,930 4,734 X X
MOBIL CORP COMMON 607059102 2,824,888 32,101 X X
MONSANTO CO COMMON 611662107 713,272 15,527 X X
MORGAN J.P. & CO INC COMMON 616880100 911,371 7,387 X X
MORGAN STANLEY DEAN WITTER DIS COMMON 617446448 235,753 2,359 X X
MOTOROLA CP TR 6.680% 03/31/29 PREFERR 620074203 250,687 10,500 X X
NATL RURAL UTILITY PFD 7.375% PREFERR 637432402 251,875 10,000 X X
NINE WEST GROUP 5.500% 07/15/0 CONVERT 65440DAC6 126,750 150,000 X X
NORTHERN TR CORP COMMON 665859104 355,250 4,000 X X
OFFICE DEPOT INC COM COMMON 676220106 1,055,737 42,300 X X
OMNICOM GROUP COMMON 681919106 2,342,169 29,300 X X
</TABLE>
<PAGE>
<TABLE>
<S> <C> <C> <C> <C> <C> <C>
ORACLE SYS CORP COMMON 68389X105 2,218,797 84,125 X X
PPG INDS INC COMMON 693506107 257,326 5,021 X X
PARKER DRILLING CO 5.500% 08/0 CONVERT 701081AD3 59,750 100,000 X X
PEOPLESOFT INC COMMON 712713106 441,763 30,206 X X
PEPSICO INC COMMON 713448108 4,537,795 115,797 X X
PFIZER INC COMMON 717081103 6,198,656 44,675 X X
PHILIP MORRIS COS INS COMMON 718154107 1,771,655 50,349 X X
PITNEY BOWES INC COMMON 724479100 370,005 5,804 X X
PROCTER & GAMBLE COMPANY COMMON 742718109 5,911,018 60,355 X X
QUAKER OATS CO COMMON 747402105 423,300 6,800 X X
QUANTUM CORP COMMON 747906105 770,400 42,800 X X
QUANTUM CORP 7.000% 08/01/04 CONVERT 747906AC9 2,202,100 2,440,000 X X
QWEST COMMUNICATIONS INTL INCO COMMON 749121109 428,669 5,946 X X
ROYAL DUTCH PETRO-NY SHARES COMMON 780257804 365,248 7,024 X X
SBC COMMUNICATIONS INC COMMON 78387G103 654,396 13,868 X X
SANMINA CORP COMMON 800907107 8,988,750 141,000 X X
SARA LEE CORP COMMON 803111103 1,073,903 43,390 X X
SCHERING PLOUGH CORP COMMON 806605101 486,200 8,800 X X
SCHLUMBERGER COMMON 806857108 1,986,910 33,012 X X
SCUDDER INTL FD INC COM MUTUAL 811165109 443,120 8,850 X X
SEARS ROEBUCK PFD 6.95 PREFERR 812404309 201,000 8,000 X X
SERVICE CORP INTL COMMON 817565104 184,025 12,914 X X
SHELL TRANS & TRADING LTD COMMON 822703609 390,000 9,600 X X
SMITHKLINE BEECHAM PLC ADR RPS COMMON 832378301 558,129 7,806 X X
SOUTHDOWN INC COM COMMON 841297104 1,380,359 25,711 X X
STAPLES INC COMMON 855030102 1,513,795 46,047 X X
STATE STREET CORP COMMON 857477103 2,730,782 33,201 X X
STOCKER & YALE SDCV 7.250% 05/ CONVERT 8612669C0 450,000 450,000 X X
STOCKER & YALE INC NEW COMMON 86126T203 71,869 44,227 X X
SUN MICROSYSTEMS INC COMMON 866810104 13,096,295 209,436 X X
SUNGARD DATA SYS INC COM COMMON 867363103 604,000 15,100 X X
SYMANTEC CORP COM COMMON 871503108 3,034,607 179,165 X X
TDS CAPITAL 8.500% PREFERRED S PREFERR 87235W202 390,000 15,600 X X
TELLABS INC COMMON 879664100 1,498,116 15,326 X X
TENNESSEE VALLEY AUTH QIDS96A7 PREFERR 880591201 285,600 11,200 X X
TEXACO INC COMMON 881694103 539,352 9,504 X X
TEXAS INSTRS INC COMMON 882508104 307,675 3,100 X X
THERMO ELECTRON CORP COMMON 883556102 217,041 16,003 X X
TIME WARNER INC COMMON 887315109 2,349,913 33,185 X X
</TABLE>
<PAGE>
<TABLE>
<S> <C> <C> <C> <C> <C> <C>
TRANSCANADA PIPE 8.25% PFD (10 PREFERR 893526723 433,500 17,000 X X
TRIBUNE CO COMMON 896047107 7,741,060 118,297 X X
UNION PAC CORP COMMON 907818108 289,097 5,410 X X
UNITED STATES FILTER CORP COMMON 911843209 381,281 12,450 X X
U S FILTER CORP 4.500% 12/15/0 CONVERT 911843AF7 2,258,900 2,305,000 X X
U S WEST INC NEW COM COMMON 91273H101 703,919 12,784 X X
WAL MART STORES INC COMMON 931142103 521,044 11,304 X X
WARNER LAMBERT CO COMMON 934488107 607,512 9,170 X X
WASTE MANAGEMENT INC COMMON 94106L109 347,412 7,829 X X
WELLS FARGO NEW COMMON 949746101 612,016 17,455 X X
WILLIAMS COS INC COMMON 969457100 996,150 25,219 X X
WINSTAR COMMUNICATIONS INC COM COMMON 975515107 301,653 8,300 X X
XEROX CORP COMMON 984121103 691,699 13,270 X X
TOTAL 298,054,740
</TABLE>
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