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<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 June 30, 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>
TRADOCS: 1075017.1 (n1hl01!.doc)
Form 13F Summary Page
Report Summary:
Number of Other Included Managers: None
Form 13F Information Table Entry Total: 160
Form 13F Information Table Value Total: 315,800,640 (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 JUNE 30, 1999
<TABLE>
<CAPTION>
INVESTMENT
DISCRETION
TITLE FAIR SHARES OR SHARED
OF CUSIP MARKET PRINCIPAL SOLE SHARED OTHER
NAME OF ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C)
------------------------------ ------ -------- ---------- -------- --------- --------- ------
<S> <C> <C> <C> <C> <C> <C> <C>
BATTLE MOUNTAIN BMG 6.000% 01/ CONVERT 001504657 35,500 50,000 X
AT&T CORP COMMON 001957109 2,394,189 42,897 X
AT&T CAP CORP PFD 8.125% 12/15 PREFERR 00206J308 251,445 10,000 X
ABBOTT LABS COMMON 002824100 5,766,255 127,080 X
ABN AMRO CAP 7.5% PREFERRED PREFERR 00371Q202 220,500 9,000 X
ABN AMRO CAP FUNDING TRUST PFD PREFERR 00371T206 465,300 19,800 X
THERMO ELECTRON CONV 4.250% 01 CONVERT 006207588 22,000 25,000 X
AETNA INC PFD CL C 6.25% CONVERT 008117202 1,319,794 17,775 X
ALLIANCE CAP MGMT LP COMMON 018548107 435,573 13,480 X
ALLIED SIGNAL INC COMMON 019512102 2,885,778 45,806 X
ALLSTATE CORP COMMON 020002101 263,251 7,338 X
ALZA CORP 5.000% 05/01/06 CONVERT 022615AD0 27,425 20,000 X
AMERICA ONLINE INC COMMON 02364J104 407,000 3,700 X
AMERICAN HOME PRODS CORP COMMON 026609107 4,287,462 74,727 X
AMERICAN INTL GROUP INC COMMON 026874107 4,329,996 46,162 X
AMERITECH CORP NEW COMMON 030954101 2,718,986 36,993 X
AMGEN INC COMMON 031162100 474,825 7,800 X
ARVIN INDS INC COMMON 043339100 204,525 5,400 X
AT HOME CORP COM SER A COMMON 045919107 1,377,564 25,540 X
ATLANTIC RICHFIELD COMPANY COMMON 048825103 375,864 4,498 X
AUTOMATIC DATA PROCESSING COMMON 053015103 338,800 7,700 X
AVERY DENNISON CORP COMMON 053611109 241,500 4,000 X
BFC CONSTR CORP COMMON 054938105 75,625 10,000 X
BP AMOCO P L C ADR SPONSORED COMMON 055622104 292,733 2,698 X
<CAPTION>
VOTING
AUTHORITY
SOLE SHARED NONE
NAME OF ISSUER (A) (B) (C)
------------------------------ ---- ------ ----
<S> <C> <C> <C>
BATTLE MOUNTAIN BMG 6.000% 01/ X
AT&T CORP X
AT&T CAP CORP PFD 8.125% 12/15 X
ABBOTT LABS X
ABN AMRO CAP 7.5% PREFERRED X
ABN AMRO CAP FUNDING TRUST PFD X
THERMO ELECTRON CONV 4.250% 01 X
AETNA INC PFD CL C 6.25% X
ALLIANCE CAP MGMT LP X
ALLIED SIGNAL INC X
ALLSTATE CORP X
ALZA CORP 5.000% 05/01/06 X
AMERICA ONLINE INC X
AMERICAN HOME PRODS CORP X
AMERICAN INTL GROUP INC X
AMERITECH CORP NEW X
AMGEN INC X
ARVIN INDS INC X
AT HOME CORP COM SER A X
ATLANTIC RICHFIELD COMPANY X
AUTOMATIC DATA PROCESSING X
AVERY DENNISON CORP X
BFC CONSTR CORP X
BP AMOCO P L C ADR SPONSORED X
</TABLE>
<PAGE>
<TABLE>
<S> <C> <C> <C> <C> <C> <C>
BMC SOFTWARE INC COMMON 055921100 1,648,674 30,531 X X
BANK OF AMERICA COMMON 060505104 301,901 4,118 X X
BANKBOSTON CORP. COMMON 06605R106 7,277,541 142,348 X X
BEAR STEARNS CAP PFD 7.500% 12 PREFERR 07383J209 207,187 8,500 X X
BECTON DICKINSON & CO COM COMMON 075887109 252,000 8,400 X X
BELL ATLANTIC CORP COMMON 077853109 576,346 8,816 X X
BELLSOUTH CORP COMMON 079860102 577,669 12,524 X X
BEST BUY INC COM COMMON 086516101 216,000 3,200 X X
BANK OF NY CAP TRUST 7.8% PREF PREFERR 096564208 274,050 10,800 X X
BOEING CO COMMON 097023105 493,064 11,206 X X
BOSTON SCIENTIFIC CORP COM COMMON 101137107 6,107,313 139,000 X X
BRISTOL MYERS SQUIBB CO COMMON 110122108 4,539,556 64,448 X X
CBS CORPORATION COMMON 12490K107 344,144 7,900 X X
CNB FINL CORP PA COMMON 126128107 410,061 13,612 X X
CVS CORP COMMON 126650100 4,389,469 86,492 X X
CARLISLE COS INC COMMON 142339100 235,813 4,900 X X
CHEVRON CORP COMMON 166751107 330,247 3,474 X X
CISCO SYS INC COMMON 17275R102 8,713,692 135,096 X X
CITIGROUP INC. COMMON 172967101 955,225 20,110 X X
COCA COLA CO COMMON 191216100 3,271,740 52,770 X X
COLGATE PALMOLIVE CO COMMON 194162103 829,862 16,850 X X
COMPAQ COMPUTER CORP COMMON 204493100 201,889 8,523 X X
CONAGRA INC COMMON 205887102 449,962 16,900 X X
CONSECO INC COMMON 208464107 1,193,972 39,227 X X
DAYTON HUDSON CORP COMMON 239753106 1,273,350 19,590 X X
DISNEY WALT PRODTNS COMMON 254687106 1,956,378 63,493 X X
DU PONT E I DE NEMOURS COMMON 263534109 487,068 7,130 X X
EMERSON ELEC CO COMMON 291011104 243,946 3,876 X X
ENERGAS RES INC COMMON 29265E108 7,000 20,000 X X
EQUIFAX INC COMMON 294429105 1,203,240 33,716 X X
EXXON CORP. COMMON 302290101 5,516,597 71,528 X X
FANNIE MAE COMMON 313586109 4,861,857 71,236 X X
FINOVA GROUP INC COM COMMON 317928109 663,075 12,600 X X
FIRST SEC CORP DEL COMMON 336294103 7,534,707 276,503 X X
FIRST TENN NATL CORP COMMON 337162101 777,361 20,290 X X
</TABLE>
<PAGE>
<TABLE>
<S> <C> <C> <C> <C> <C> <C>
FIRST UN CORP COMMON 337358105 374,879 7,955 X X
FLEET FINL GROUP INC NEW COMMON 338915101 394,760 8,896 X X
GTE CORP COMMON 362320103 1,116,947 14,794 X X
GENERAL ELECTRIC COMMON 369604103 16,101,144 142,488 X X
GENERAL MTRS CORP COMMON 370442105 618,948 9,378 X X
HUGHES ELECTRIC CORP. COMMON 370442832 1,660,599 29,489 X X
GILLETTE CO COMMON 375766102 5,796,375 141,375 X X
GULF EXPLORATION CONSULTANTS I COMMON 402275101 40,000 40,000 X X
HALLIBURTON CO COMMON 406216101 1,687,825 37,300 X X
HARCOURT GEN INC COMMON 41163G101 241,312 4,680 X X
HARLEY DAVIDSON INC COMMON 412822108 331,688 6,100 X X
HARRIS CAPITAL CORP PFD SER A PREFERR 414567206 230,375 9,500 X X
HARTFORD LIFE CAP 7.2% PFD PREFERR 416590206 252,656 10,500 X X
HEALTH MGMT ASSOC INC NEW CL A COMMON 421933102 1,201,691 106,817 X X
HEINZ H J CO COMMON 423074103 998,991 19,930 X X
HEWLETT PACKARD CO COMMON 428236103 8,496,069 84,538 X X
HOME DEPOT INC COMMON 437076102 231,975 3,600 X X
ILLINOIS TOOL WKS COMMON 452308109 4,281,247 52,370 X X
INTEL CORP COMMON 458140100 11,924,157 200,406 X X
I B M COMMON 459200101 1,711,787 13,244 X X
INVESTMENT TECHNOLOGY GRP NECO COMMON 46145F105 216,330 6,734 X X
JOHNSON & JOHNSON COMMON 478160104 3,457,048 35,276 X X
KROGER CO COMMON 501044101 1,346,588 48,200 X X
LILLY, ELI AND COMPANY COMMON 532457108 3,130,013 43,700 X X
LUCENT TECHNOLOGIES INC COMMON 549463107 10,676,975 158,324 X X
MCI WORLDCOM COMMON 55268B106 11,727,048 136,262 X X
MASCO CORP COM COMMON 574599106 680,872 23,580 X X
MASCOTECH INC 4.500% 12/15/03 CONVERT 574670AB1 66,011 87,000 X X
MCDONALDS CORP COMMON 580135101 783,842 19,060 X X
MEDIAONE GROUP INC COM COMMON 58440J104 2,940,044 39,530 X X
MEDIAONE FIN TR 9.040% PFD (SE PREFERR 584458202 307,625 11,500 X X
MEDTRONIC INC COMMON 585055106 1,833,956 23,550 X X
MERCK & CO INC COMMON 589331107 9,212,770 125,131 X X
MERRILL LYNCH & CO INC COM COMMON 590188108 4,128,117 51,926 X X
MERRILL LYNCH PFD CAP TR II 8. PREFERR 59021C203 378,891 14,750 X X
</TABLE>
<PAGE>
<TABLE>
<S> <C> <C> <C> <C> <C> <C>
MERRILL LYNCH CAP PFD 7.12% PREFERR 59021G204 255,062 10,600 X X
ML CAPITAL TRUST 7.2800% PFD PREFERR 59021K205 860,200 35,200 X X
MICROSOFT CORP COMMON 594918104 9,720,950 107,786 X X
MICRON TECH 7.000% 07/01/04 CONVERT 595112AB9 338,350 335,000 X X
MINNESOTA MNG & MFG CO COMMON 604059105 342,012 3,934 X X
MOBIL CORP COMMON 607059102 3,076,161 31,151 X X
MONSANTO CO COMMON 611662107 598,462 15,127 X X
MORGAN J.P. & CO INC COMMON 616880100 1,037,874 7,387 X X
MORGAN STANLEY DEAN WITTER DIS COMMON 61744644B 242,092 2,359 X X
MOTOROLA CP TR 6.680% 03/31/29 PREFERR 620074203 245,437 10,500 X X
NATL RURAL UTILITY PFD 7.375% PREFERR 637432402 205,275 8,400 X X
NINE WEST GROUP 5.500% 07/15/0 CONVERT 65440DAC6 126,750 150,000 X X
NORTHERN TR CORP COMMON 665859104 388,000 4,000 X X
OFFICE DEPOT INC COM COMMON 676220106 949,791 43,050 X X
OMNICOM GROUP COMMON 681919106 2,384,000 29,800 X X
ORACLE SYS CORP COMMON 68389X105 649,687 17,500 X X
PPG INDS INC COMMON 693506107 237,490 4,021 X X
PARKER DRILLING CO 5.500% 08/0 CONVERT 701081AD3 68,000 100,000 X X
PEOPLESOFT INC COMMON 712713106 479,654 27,806 X X
PEPSICO INC COMMON 713448108 4,146,642 107,183 X X
PFIZER INC COMMON 717081103 5,120,275 140,925 X X
PHILIP MORRIS COS INS COMMON 718154107 2,131,907 53,049 X X
PITNEY BOWES INC COMMON 724479100 372,907 5,804 X X
PROCTER & GAMBLE COMPANY COMMON 742718109 5,241,563 58,729 X X
PROVIDENT CAP TRUST 8.750 6/30 PREFERR 74386E207 212,500 8,500 X X
QUAKER OATS CO COMMON 747402105 451,350 6,800 X X
QUANTUM CORP COMMON 747906105 598,300 24,800 X X
QUANTUM CORP 7.000% 08/01/04 CONVERT 747906AC9 2,160,500 2,320,000 X X
QWEST COMMUNICATIONS INTL INCO COMMON 749121109 214,642 6,492 X X
ROYAL DUTCH PETRO-NY SHARES COMMON 780257804 423,196 7,024 X X
SBC COMMUNICATIONS INC COMMON 78387G103 804,344 13,868 X X
SANMINA CORP COMMON 800907107 10,709,756 141,150 X X
SARA LEE CORP COMMON 803111103 984,411 43,390 X X
SCHERING PLOUGH CORP COMMON 806605101 462,000 8,800 X X
SCHLUMBERGER COMMON 806857108 2,041,949 32,062 X X
</TABLE>
<PAGE>
<TABLE>
<S> <C> <C> <C> <C> <C> <C>
SCUDDER INTL FD INC COM MUTUAL 811165109 477,137 9,310 X X
SCUDDER INTL FD INC GRTR EURP MUTUAL 811165406 306,049 11,584 X X
SEA CONTAINERS LTD CL A COMMON 811371707 1,305,581 38,900 X X
SERVICE CORP INTL COMMON 817565104 219,719 11,414 X X
SHELL TRANS & TRADING LTD COMMON 822703609 445,200 9,600 X X
SOUTHDOWN INC COM COMMON 841297104 1,569,049 24,421 X X
SPRINT CORP COMMON 852061100 212,000 4,000 X X
STAPLES INC COMMON 855030102 1,402,923 45,347 X X
STATE STREET CORP COMMON 857477103 2,825,998 33,101 X X
STOCKER & YALE SDCV 7.250% 05/ CONVERT 8612669CD 450,000 450,000 X X
STOCKER & YALE INC NEW COMMON 86126T203 74,633 44,227 X X
SUN MICROSYSTEMS INC COMMON 866810104 14,661,834 212,876 X X
SUNGARD DATA SYS INC COM COMMON 867363103 520,950 15,100 X X
SYMANTEC CORP COM COMMON 871503108 4,359,607 170,965 X X
TDS CAPITAL 8.500% PREFERRED S PREFERR 87235W202 390,000 15,600 X X
TELLABS INC COMMON 879664100 1,834,457 27,152 X X
TENNESSEE VALLEY AUTH QIDS96A7 PREFERR 880591201 270,675 10,800 X X
TEXACO INC COMMON 881694103 717,562 11,504 X X
TEXAS INSTRS INC COMMON 882508104 846,000 5,875 X X
THERMO ELECTRON CORP COMMON 883556102 293,976 14,653 X X
TIME WARNER INC COMMON 887315109 2,831,286 38,985 X X
TRANSCANADA PIPE 8.25% PFD (10 PREFERR 893526723 427,125 17,000 X X
TRIBUNE CO COMMON 896047107 10,437,314 119,797 X X
UNION PAC CORP COMMON 907818108 314,887 5,400 X X
U S WEST INC NEW COM COMMON 91273H101 786,956 13,395 X X
WAL MART STORES INC COMMON 931142103 545,418 11,304 X X
WARNER LAMBERT CO COMMON 934488107 633,876 9,170 X X
WASTE MANAGEMENT INC COMMON 94106L109 420,809 7,829 X X
WELLS FARGO NEW COMMON 949746101 770,782 18,030 X X
WINSTAR COMMUNICATIONS INC COM COMMON 975515107 258,375 5,300 X X
XEROX CORP COMMON 984121103 795,572 13,470 X X
TOTAL 315,800,640
</TABLE>
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