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Previous: BROADCOM CORP, 8-K, EX-99.1, 2000-08-16 |
Next: STANDISH AYER & WOOD INC/MA, 13F-HR, 2000-08-16 |
<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, 2000
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 16th day
of August 2000.
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: 167
Form 13F Information Table Value Total: 493,947,877 (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, 2000
<TABLE>
<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>
AT&T CORP COMMON 001957109 919,381 28,900 X X
ABBOTT LABS COMMON 002824100 3,982,773 89,375 X X
ADOBE SYSTEMS COMMON 00724F101 260,000 2,000 X X
ADVANCED MICRO DEVICES COMMON 007903107 301,275 3,900 X X
AGILENT TECHNOLOGIES INC COMMON 00846U101 3,001,773 40,702 X X
ALLIANCE CAPITAL MGMT HOLDING COMMON 01855A101 639,457 13,480 X X
ALLSTATE CORP COMMON 020002101 222,500 10,000 X X
ALZA CORP 5.000% 05/01/06 CONVERT 022615AD0 31,514 20,000 X X
AMERICA ONLINE INC COMMON 02364J104 672,548 12,780 X X
AMERICAN EXPRESS CO COMMON 025816109 1,984,659 38,075 X X
AMERICAN HOME PRODS CORP COMMON 026609107 3,639,856 61,955 X X
AMERICAN INTL GROUP INC COMMON 026874107 7,874,537 100,526 X X
AMERICAN PWR CONVERSION CORP COMMON 029066107 350,987 8,600 X X
AMGEN INC COMMON 031162100 1,038,295 14,780 X X
ANALOG DEVICES COMMON 032654105 395,200 5,200 X X
APPLE COMPUTER INC COMMON 037833100 303,775 5,800 X X
ATLAS CONS MNG & DEV CORP COMMON 049249303 299 76,533 X X
AUTOMATIC DATA PROCESSING COMMON 053015103 361,815 6,755 X X
AVERY DENNISON CORP COMMON 053611109 268,500 4,000 X X
BP AMOCO PLC ADR COMMON 055622104 1,185,841 20,942 X X
BANK OF AMERICA CORP COMMON 060505104 243,811 5,621 X X
BATTLE MOUNTAIN BMG 6.000% 01/ CONVERT 071593AA5 35,500 50,000 X X
BELL ATLANTIC CORP COMMON 077853109 674,209 13,236 X X
BELLSOUTH CORP COMMON 079860102 1,199,723 28,146 X X
BERKSHIRE HATHAWAY INC DEL CL COMMON 084670207 482,240 274 X X
BEST BUY INC COMMON 086516101 825,412 13,050 X X
BIOTECH HLDRS TR DEPOSITARY RC COMMON 09067D201 266,625 1,500 X X
BANK OF NY CAP TRUST 7.8% PREF PREFERR 096564208 207,562 9,000 X X
</TABLE>
<PAGE>
<TABLE>
<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>
BOEING CO COMMON 097023105 539,632 12,906 X X
BOSTON SCIENTIFIC CORP COMMON 101137107 3,537,203 161,240 X X
BRISTOL MYERS SQUIBB CO COMMON 110122108 3,805,123 65,324 X X
CVS CORP COMMON 126650100 4,946,680 123,667 X X
CALPINE CORP COMMON 131347106 208,000 3,200 X X
CARLISLE COS INC COMMON 142339100 220,500 4,900 X X
CHASE MANHATTAN CORP COMMON 16161A108 200,372 4,350 X X
CHEVRON CORP COMMON 166751107 388,504 4,574 X X
CISCO SYS INC COMMON 17275R102 19,659,118 309,288 X X
CITIGROUP COMMON 172967101 2,830,469 46,833 X X
COASTAL CORP COMMON 190441105 261,762 4,300 X X
COCA COLA CO COMMON 191216100 3,539,873 61,630 X X
COLGATE PALMOLIVE CO COMMON 194162103 200,581 3,350 X X
CORNING INC COMMON 219350105 215,900 800 X X
COVAD COMMUNICATIONS COMMON 222814204 217,929 13,515 X X
DELL COMPUTER CORP COMMON 247025109 2,802,281 56,827 X X
DELTA AIRLINES 8.125% (7/01/39 PREFERR 247361405 264,500 11,500 X X
DIGITAL LIGHTWAVE INC COMMON 253855100 5,189,025 51,600 X X
DISNEY (WALT) COMPANY COMMON 254687106 2,516,797 64,845 X X
DU PONT E I DE NEMOURS COMMON 263534109 283,322 6,446 X X
E M C CORP COMMON 268648102 14,312,760 185,880 X X
EMERSON ELEC CO COMMON 291011104 312,501 5,176 X X
ENERGAS RES INC COMMON 29265E108 7,000 20,000 X X
ENRON CORP COMMON 293561106 244,197 3,786 X X
EXXON MOBIL CORPORATION COMMON 30231G102 12,784,588 162,861 X X
FANNIE MAE COMMON 313586109 3,983,126 76,141 X X
FIRST SEC CORP COMMON 336294103 1,283,677 94,649 X X
FIRST UNION CORP COMMON 337358105 202,098 8,145 X X
FLEETBOSTON FINANCIAL CORP COMMON 339030108 7,340,872 215,908 X X
GTE CORP COMMON 362320103 1,017,788 16,350 X X
GANNETT INC COMMON 364730101 337,103 5,636 X X
GENERAL ELECTRIC COMMON 369604103 24,026,036 458,731 X X
GENERAL MTRS CORP COMMON 370442105 215,644 3,718 X X
GENERAL MOTORS CL H COMMON 370442832 3,087,455 105,554 X X
GILLETTE CO COMMON 375766102 4,164,201 119,190 X X
GULF EXPLORATION CONSULTANTS I COMMON 402275101 2,000 40,000 X X
HALLIBURTON CO COMMON 406216101 3,555,342 75,345 X X
HARLEY DAVIDSON INC COMMON 412822108 448,525 11,650 X X
HARRIS CAPITAL CORP PFD SER A PREFERR 414567206 199,500 9,500 X X
HEWLETT PACKARD CO COMMON 428236103 10,976,637 87,901 X X
</TABLE>
<PAGE>
<TABLE>
<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>
HOME DEPOT INC COMMON 437076102 7,799,089 156,177 X X
HONEYWELL INT'L INC COMMON 438516106 612,304 18,176 X X
HUDSON UNITED BANCORP COMMON 444165104 389,695 17,368 X X
ILLINOIS TOOL WKS COMMON 452308109 2,147,988 37,684 X X
INFINEON TECHNOLOGIES ADR COMMON 45662N103 261,525 3,300 X X
INGERSOLL-RAND COMPANY COMMON 456866102 230,874 5,736 X X
INTEL CORP COMMON 458140100 32,168,555 481,250 X X
I B M COMMON 459200101 1,794,415 16,378 X X
INVESTMENT TECHNOLOGY GRP NECO COMMON 46145F105 241,266 6,108 X X
JABIL CIRCUIT INC COMMON 466313103 397,000 8,000 X X
JOHNSON & JOHNSON COMMON 478160104 4,851,797 47,625 X X
JUNIPER NETWORKS INC COMMON 48203R104 601,173 4,130 X X
KEYCORP NEW COMMON 493267108 218,761 12,412 X X
LILLY, ELI AND COMPANY COMMON 532457108 6,074,897 60,825 X X
LUCENT TECHNOLOGIES INC COMMON 549463107 11,443,912 194,790 X X
MGIC INVESTMENT CORP COMMON 552848103 218,400 4,800 X X
MFS EMERGING GROWTH-CL B SM CA MUTUAL 552985202 298,083 4,465 X X
MARSH & MCLENNAN COS INC COMMON 571748102 220,154 2,108 X X
MASCO CORP COMMON 574599106 237,973 13,175 X X
MASCOTECH INC 4.500% 12/15/03 CONVERT 574670AB1 54,360 72,000 X X
MCDONALDS CORP COMMON 580135101 2,308,754 70,095 X X
MCGRAW-HILL COMPANIES INC COMMON 580645109 708,642 13,123 X X
MEDIAONE GROUP INC COMMON 58440J104 4,582,778 69,174 X X
MEDIAONE FIN TR 9.040% PFD (SE PREFERR 584458202 215,538 8,600 X X
MEDTRONIC INC COMMON 585055106 2,518,022 50,550 X X
MERCK & CO INC COMMON 589331107 11,243,416 146,733 X X
MERRILL LYNCH & CO COMMON 590188108 5,456,750 47,450 X X
MERRILL LYNCH MUN BD FD MUTUAL 590193108 111,372 15,132 X X
MERRILL LYNCH DRAGON FUND CLAS MUTUAL 59019U108 123,263 10,986 X X
MERRILL LYNCH PFD CAP TR II 8. PREFERR 59021C203 314,016 13,050 X X
ML CAPITAL TRUST 7.280% PFD PREFERR 59021K205 676,650 31,200 X X
MICROSOFT CORP COMMON 594918104 9,891,840 123,648 X X
MINNESOTA MNG & MFG CO COMMON 604059105 384,001 4,644 X X
MORGAN J.P. & CO INC COMMON 616880100 822,634 7,470 X X
MORGAN STANLEY DEAN WITTER COMMON 617446448 342,823 4,118 X X
MOTOROLA INC COMMON 620076109 859,500 28,650 X X
NINE WEST GROUP 5.500% 07/15/0 CONVERT 65440DAC6 126,750 150,000 X X
NOKIA CORP ADR COMMON 654902204 743,428 14,850 X X
NORTEL NETWORKS CORP COMMON 656568102 13,266,358 192,615 X X
NORTHERN TR CORP COMMON 665859104 520,500 8,000 X X
</TABLE>
<PAGE>
<TABLE>
<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>
OMNICOM GROUP COMMON 681919106 4,031,859 45,270 X X
ORACLE SYS CORP COMMON 68389X105 4,468,342 53,155 X X
PARKER DRILLING CO 5.500% 08/0 CONVERT 701081AD3 82,000 100,000 X X
PEPSICO INC COMMON 713448108 1,844,156 41,500 X X
PFIZER INC COMMON 717081103 8,921,856 185,872 X X
PHARMACIA CORP COMMON 71713U102 1,180,232 22,834 X X
PHILIP MORRIS COS COMMON 718154107 929,687 35,000 X X
PITNEY BOWES INC COMMON 724479100 202,000 5,050 X X
PROCTER & GAMBLE COMPANY COMMON 742718109 2,780,117 48,561 X X
PUTNAM VOYAGER FUND CL A MUTUAL 747012102 268,789 8,604 X X
QUANTUM CORP 7.000% 08/01/04 CONVERT 747906AC9 1,944,000 2,430,000 X X
QWEST COMMUNICATIONS COMMON 749121109 346,421 6,972 X X
T. ROWE PRICE INTL FUND MUTUAL 77956H203 1,096,163 59,998 X X
ROYAL DUTCH PETRO COMMON 780257804 678,665 11,024 X X
SBC COMMUNICATIONS INC COMMON 78387G103 2,962,193 68,490 X X
SANMINA CORP COMMON 800907107 24,298,843 284,197 X X
SARA LEE CORP COMMON 803111103 740,849 38,611 X X
SCHERING PLOUGH CORP COMMON 806605101 1,158,975 22,950 X X
SCHLUMBERGER LTD COMMON 806857108 3,739,459 50,110 X X
SCUDDER INTL FD INC COM MUTUAL 811165109 309,908 4,810 X X
SCUDDER INTL FD INC GRTR EURP MUTUAL 811165406 843,350 24,681 X X
SEA CONTAINERS LTD CL A COMMON 811371707 904,150 42,800 X X
SHELL TRANS & TRADING LTD COMMON 822703609 267,166 5,350 X X
SIGMA ALDRICH CORP COMMON 826552101 239,850 8,200 X X
SOFTWARE.COM COMMON 83402P104 251,568 1,937 X X
SPRINT CORP COMMON 852061100 204,000 4,000 X X
STAPLES INC COMMON 855030102 825,176 53,670 X X
STATE STREET CORP COMMON 857477103 3,646,323 34,379 X X
STOCKER & YALE INC COMMON 86126T203 2,937,538 117,796 X X
STRYKER CORP COMMON 863667101 201,250 4,600 X X
SUN MICROSYSTEMS INC COMMON 866810104 30,417,139 334,484 X X
SYMANTEC CORP COMMON 871503108 9,744,241 180,658 X X
SYMBOL TECHNOLOGIES COMMON 871508107 368,550 6,825 X X
TDS CAPITAL 8.500% PREFERRED S PREFERR 87235W202 299,200 13,600 X X
TMP WORLDWIDE COMMON 872941109 826,700 11,200 X X
TARGET CORP COMMON 87612E106 1,423,610 49,090 X X
TELLABS INC COMMON 879664100 1,969,631 28,780 X X
TENNESSEE VALLEY AUTH QIDS96A7 PREFERR 880591201 216,775 9,200 X X
TERADYNE INC COMMON 880770102 8,791,482 119,612 X X
TEVA PHARMACEUTICAL INDS LTD A COMMON 881624209 293,819 5,300 X X
</TABLE>
<PAGE>
<TABLE>
<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>
TEXACO INC COMMON 881694103 572,416 10,737 X X
TEXAS INSTRUMENTS COMMON 882508104 6,302,078 91,750 X X
TIME WARNER INC COMMON 887315109 3,097,000 40,750 X X
TRANSCANADA PIPE 8.25% PFD (10 PREFERR 893526723 302,906 13,500 X X
TRIBUNE CO COMMON 896047107 9,286,235 265,321 X X
TYCO INTL COMMON 902124106 487,489 10,290 X X
U S WEST INC COMMON 91273H101 1,919,256 22,382 X X
UNITED TECHNOLOGIES CORP COMMON 913017109 435,911 7,404 X X
UNITED HEALTH GROUP INC COMMON 91324P102 214,375 2,500 X X
VERISIGN INC COMMON 92343E102 441,250 2,500 X X
VIACOM INC CLASS B COMMON 925524308 559,956 8,212 X X
VODAFONE GROUP PLC ADR SPONSOR COMMON 92857T107 281,812 6,750 X X
WAL MART STORES INC COMMON 931142103 1,191,922 20,888 X X
WELLS FARGO COMPANY COMMON 949746101 794,655 20,246 X X
WINSTAR COMMUNICATIONS INC COMMON 975515107 254,062 7,500 X X
WORLDCOM INC COMMON 98157D106 11,812,812 257,500 X X
TRANSOCEAN SEDCO FOREX INC COMMON G90078109 404,308 7,566 X X
FLEXTRONICS INTL LTD COMMON Y2573F102 14,833,684 215,959 X X
PACIFIC CENTURY CYBERWORKS COMMON Y6801N100 19,700 10,000 X X
TOTAL 493,947,877
</TABLE>
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