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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, 2000
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 16th day
of August 2000.
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: 156
Form 13F Information Table Value Total: 433,815,899 (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
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APPLETON PARTNERS, INC.
DISCRETIONARY OWNERSHIP FOR 13F
AS OF SEPTEMBER 30, 2000
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<CAPTION>
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 1,560,518 53,124 X X
ABBOTT LABS COMMON 002824100 4,013,086 84,375 X X
ADOBE SYSTEMS COMMON 00724F101 341,550 2,200 X X
AGILENT TECHNOLOGIES INC COMMON 00846U101 1,693,335 34,602 X X
ALLIANCE CAPITAL MGMT HOLDING COMMON 01855A101 675,685 13,480 X X
ALLSTATE CORP COMMON 020002101 347,500 10,000 X X
AMERICA ONLINE INC COMMON 02364J104 772,925 14,380 X X
AMERICAN EXPRESS CO COMMON 025816109 3,562,987 58,650 X X
AMERICAN HOME PRODS CORP COMMON 026609107 3,355,492 59,455 X X
AMERICAN INTL GROUP INC COMMON 026874107 8,454,947 88,360 X X
AMGEN INC COMMON 031162100 1,066,974 15,280 X X
ANADARKO PETE CORP COMMON 032511107 242,513 3,649 X X
ANALOG DEVICES COMMON 032654105 546,150 6,600 X X
ATLAS CONSOLIDATED MNG & DEV-B COMMON 049249303 230 76,533 X X
AUTOMATIC DATA PROCESSING COMMON 053015103 491,866 7,355 X X
AVERY DENNISON CORP COMMON 053611109 208,687 4,500 X X
BP AMOCO PLC ADR COMMON 055622104 882,662 16,654 X X
BANK OF AMERICA CORP COMMON 060505104 205,520 3,924 X X
BATTLE MOUNTAIN BMG 6.000% 01/ CONVERT 071593AA5 35,500 50,000 X X
BELLSOUTH CORP COMMON 079860102 1,123,713 27,746 X X
BERKSHIRE HATHAWAY INC CL B COMMON 084670207 654,120 316 X X
BEST BUY INC COMMON 086516101 836,669 13,150 X X
BIOMET INC COMMON 090613100 236,250 6,750 X X
BANK OF NY CAP TRUST 7.8% PREF PREFERR 096564208 216,562 9,000 X X
BOEING CO COMMON 097023105 596,501 9,506 X X
BOSTON SCIENTIFIC CORP COMMON 101137107 1,376,641 83,750 X X
BRISTOL MYERS SQUIBB CO COMMON 110122108 3,707,888 64,485 X X
CVS CORP COMMON 126650100 4,889,072 105,567 X X
</TABLE>
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<TABLE>
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
CALPINE CORP COMMON 131347106 334,050 3,200 X X
CARLISLE COS INC COMMON 142339100 203,350 4,900 X X
CHASE MANHATTAN CORP COMMON 16161A108 259,481 5,618 X X
CHEVRON CORP COMMON 166751107 636,817 7,470 X X
CISCO SYS INC COMMON 17275R102 14,269,583 258,273 X X
CITIGROUP COMMON 172967101 2,739,185 50,667 X X
COASTAL CORP COMMON 190441105 318,738 4,300 X X
COCA COLA CO COMMON 191216100 3,061,146 55,531 X X
CORNING INC COMMON 219350105 297,000 3,000 X X
COVAD COMMUNICATIONS COMMON 222814204 180,763 13,515 X X
DELL COMPUTER CORP COMMON 247025109 1,620,738 52,600 X X
DELTA AIRLINES 8.125% (7/01/39 PREFERR 247361405 243,031 10,100 X X
DIGITAL LIGHTWAVE INC COMMON 253855100 3,184,606 43,850 X X
DISNEY (WALT) COMPANY COMMON 254687106 2,015,584 52,695 X X
DU PONT E I DE NEMOURS COMMON 263534109 234,704 5,742 X X
E M C CORP COMMON 268648102 16,758,785 168,430 X X
EATON VANCE MUNI BOND FUND CLA MUTUAL 277911749 547,396 55,971 X X
ELAN CORP PLC ADR COMMON 284131208 210,787 3,850 X X
EMERSON ELEC CO COMMON 291011104 360,192 5,376 X X
ENERGAS RES INC COMMON 29265E108 7,000 20,000 X X
ENRON CORP COMMON 293561106 8,035,418 91,686 X X
EXXON MOBIL CORPORATION COMMON 30231G102 14,796,765 166,059 X X
FANNIE MAE COMMON 313586109 417,560 5,840 X X
FIRST SEC CORP COMMON 336294103 1,133,083 69,461 X X
FIRST UNION CORP COMMON 337358105 262,167 8,145 X X
FLEETBOSTON FINANCIAL CORP COMMON 339030108 7,720,752 197,968 X X
GANNETT INC COMMON 364730101 298,708 5,636 X X
GENERAL ELECTRIC COMMON 369604103 24,861,861 430,043 X X
GENERAL MTRS CORP COMMON 370442105 236,795 3,643 X X
GENERAL MOTORS CL H COMMON 370442832 3,903,788 104,997 X X
GILLETTE CO COMMON 375766102 2,883,416 93,390 X X
HALLIBURTON CO COMMON 406216101 3,739,804 76,420 X X
HARLEY DAVIDSON INC COMMON 412822108 521,837 10,900 X X
HARRIS CAPITAL CORP PFD SER A PREFERR 414567206 209,000 9,500 X X
HEWLETT PACKARD CO COMMON 428236103 8,896,387 91,245 X X
HOME DEPOT INC COMMON 437076102 7,693,248 145,327 X X
HONEYWELL INT'L INC COMMON 438516106 548,839 15,406 X X
HUDSON UNITED BANCORP COMMON 444165104 391,391 14,168 X X
ILLINOIS TOOL WKS COMMON 452308109 1,748,999 31,302 X X
INTEL CORP COMMON 458140100 18,438,663 443,637 X X
</TABLE>
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<TABLE>
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
I B M COMMON 459200101 1,894,465 16,821 X X
JABIL CIRCUIT INC COMMON 466313103 454,000 8,000 X X
JOHNSON & JOHNSON COMMON 478160104 3,742,282 39,838 X X
JUNIPER NETWORKS INC COMMON 48203R104 904,212 4,130 X X
KEYCORP NEW COMMON 493267108 291,802 11,528 X X
LILLY, ELI AND COMPANY COMMON 532457108 4,693,081 57,850 X X
LUCENT TECHNOLOGIES INC COMMON 549463107 5,539,288 181,616 X X
MGIC INVESTMENT CORP COMMON 552848103 378,975 6,200 X X
MFS EMERGING GROWTH-CL B SM CA MUTUAL 552985202 276,651 4,465 X X
MARSH & MCLENNAN COS INC COMMON 571748102 295,369 2,225 X X
MASCO CORP COMMON 574599106 245,384 13,175 X X
MASCOTECH INC 4.500% 12/15/03 CONVERT 574670AB1 50,400 72,000 X X
MCDONALDS CORP COMMON 580135101 1,700,160 56,320 X X
MCGRAW-HILL COMPANIES INC COMMON 580645109 961,256 15,123 X X
MEDIAONE FIN TR 9.040% PFD (SE PREFERR 584458202 216,075 8,600 X X
MEDTRONIC INC COMMON 585055106 2,613,941 50,450 X X
MERCK & CO INC COMMON 589331107 10,505,885 141,137 X X
MERRILL LYNCH & CO COMMON 590188108 5,844,300 88,550 X X
MERRILL LYNCH MUN BD FD MUTUAL 590193108 112,279 15,132 X X
MERRILL LYNCH PFD CAP TR II 8. PREFERR 59021C203 259,794 10,550 X X
ML CAPITAL TRUST 7.280% PFD PREFERR 59021K205 698,100 31,200 X X
MICROSOFT CORP COMMON 594918104 6,158,811 102,115 X X
MINNESOTA MNG & MFG CO COMMON 604059105 423,184 4,644 X X
MORGAN J.P. & CO INC COMMON 616880100 1,313,862 8,042 X X
MORGAN STANLEY DEAN WITTER COMMON 617446448 376,540 4,118 X X
MOTOROLA INC COMMON 620076109 840,750 28,500 X X
NINE WEST GROUP 5.500% 07/15/0 CONVERT 65440DAC6 126,750 150,000 X X
NOKIA CORP ADR COMMON 654902204 740,000 18,500 X X
NORTEL NETWORKS CORP COMMON 656568102 11,264,837 189,325 X X
NORTHERN TR CORP COMMON 665859104 711,000 8,000 X X
OFFICE DEPOT COMMON 676220106 183,984 23,550 X X
OMNICOM GROUP COMMON 681919106 2,087,836 28,625 X X
ORACLE SYS CORP COMMON 68389X105 5,006,925 63,580 X X
PNC FINANCIAL CORP COMMON 693475105 689,000 10,600 X X
PARKER DRILLING CO 5.500% 08/0 CONVERT 701081AD3 84,750 100,000 X X
PEPSICO INC COMMON 713448108 1,605,400 34,900 X X
PFIZER INC COMMON 717081103 7,089,724 157,830 X X
PHARMACIA CORP COMMON 71713U102 868,325 14,427 X X
PHILIP MORRIS COS COMMON 718154107 903,731 30,700 X X
PROCTER & GAMBLE COMPANY COMMON 742718109 2,496,487 37,261 X X
</TABLE>
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<TABLE>
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
PUTNAM VOYAGER FUND CL A MUTUAL 747012102 259,841 8,604 X X
QUANTUM CORP 7.000% 08/01/04 CONVERT 747906AC9 1,809,300 2,220,000 X X
QWEST COMMUNICATIONS COMMON 749121109 1,944,683 40,409 X X
T. ROWE PRICE INTL FUND MUTUAL 77956H203 1,007,366 59,998 X X
ROYAL DUTCH PETRO COMMON 780257804 756,651 12,624 X X
SBC COMMUNICATIONS INC COMMON 78387G103 2,593,999 52,010 X X
SANMINA CORP COMMON 800907107 23,936,823 255,667 X X
SARA LEE CORP COMMON 803111103 739,598 36,411 X X
SCHERING PLOUGH CORP COMMON 806605101 1,161,734 24,950 X X
SCHLUMBERGER LTD COMMON 806857108 3,943,592 47,910 X X
SCUDDER INTL FD INC COM MUTUAL 811165109 260,269 4,810 X X
SCUDDER INTL FD INC GRTR EURP MUTUAL 811165406 877,192 27,550 X X
SEA CONTAINERS LTD CL A COMMON 811371707 934,831 40,100 X X
SHELL TRANS & TRADING LTD COMMON 822703609 261,816 5,350 X X
SOFTWARE.COM COMMON 83402P104 215,366 1,187 X X
STAPLES INC COMMON 855030102 667,167 47,025 X X
STATE STREET CORP COMMON 857477103 4,453,193 34,229 X X
STOCKER & YALE INC COMMON 86126T203 3,833,544 98,296 X X
SUN MICROSYSTEMS INC COMMON 866810104 34,671,715 296,974 X X
SYMANTEC CORP COMMON 871503108 7,665,592 174,218 X X
SYMBOL TECHNOLOGIES COMMON 871508107 245,273 6,825 X X
TDS CAPITAL 8.500% PREFERRED S PREFERR 87235W202 313,090 13,100 X X
TMP WORLDWIDE COMMON 872941109 901,600 11,200 X X
TARGET CORP COMMON 87612E106 923,525 36,040 X X
TELLABS INC COMMON 879664100 1,168,920 24,480 X X
TENNESSEE VALLEY AUTH QIDS96A7 PREFERR 880591201 221,950 9,200 X X
TERADYNE INC COMMON 880770102 8,313,620 237,532 X X
TEVA PHARMACEUTICAL INDS LTD A COMMON 881624209 387,894 5,300 X X
TEXACO INC COMMON 881694103 491,085 9,354 X X
TEXAS INSTRUMENTS COMMON 882508104 4,741,053 100,075 X X
TIME WARNER INC COMMON 887315109 3,025,105 38,620 X X
TRANSCANADA PIPE 8.25% PFD (10 PREFERR 893526723 320,625 13,500 X X
TRIBUNE CO COMMON 896047107 10,236,257 234,642 X X
TYCO INTL COMMON 902124106 490,634 9,458 X X
UNION PAC CORP COMMON 907818108 202,475 5,200 X X
UNITED TECHNOLOGIES CORP COMMON 913017109 492,285 7,096 X X
UNITED HEALTH GROUP INC COMMON 91324P102 246,875 2,500 X X
VERISIGN INC COMMON 92343E102 506,406 2,500 X X
VERIZON COMMUNICATIONS COMMON 92343V104 1,519,097 31,362 X X
VIACOM INC CLASS B COMMON 925524308 619,808 10,595 X X
</TABLE>
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<TABLE>
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
VODAFONE GROUP PLC SPONS ADR COMMON 92857W100 320,050 8,650 X X
WAL MART STORES INC COMMON 931142103 899,360 18,688 X X
WELLS FARGO COMPANY COMMON 949746101 874,926 19,046 X X
WILLIAMS COS INC COMMON 969457100 396,305 9,380 X X
WORLDCOM INC COMMON 98157D106 6,818,276 224,470 X X
TRANSOCEAN SEDCO FOREX INC COMMON G90078109 378,600 6,458 X X
FLEXTRONICS INTL LTD COMMON Y2573F102 15,788,778 192,253 X X
PACIFIC CENTURY CYBERWORKS COMMON Y6801N100 11,200 10,000 X X
433,815,899 10,398,725
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