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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 March 31, 2000
If amended report check here: _____
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<CAPTION>
Name of Institutional Investment Manager:
<S> <C> <C> <C>
Appleton Partners, Inc. S.E.C. File Number 28-6694
- --------------------------- -----------------------------------------------------------------------------------------------
Business Address:
45 Milk Street Boston MA 02109
- --------------------------- ------ ------------------------------------------- --------------------------------------------------
Street City State Zip
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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.
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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: 167
Form 13F Information Table Value Total: 478,537,008 (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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<CAPTION>
APPLETON PARTNERS, INC.
DISCRETIONARY OWNERSHIP FOR 13F
AS OF MARCH 31, 2000
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 1,918,736 34,073 X X
ABBOTT LABS COMMON 002824100 2,944,314 83,675 X X
ADOBE SYSTEMS COMMON 00724F101 222,625 2,000 X X
ADVANCED MICRO DEVICES COMMON 007903107 222,544 3,900 X X
AETNA INC COMMON 008117103 203,296 3,663 X X
AGILENT TECHNOLOGIES INC COMMON 00846U101 260,000 2,500 X X
ALLIANCE CAPITAL MGMT HOLDING COMMON 01855A101 558,577 13,480 X X
ALZA CORP 5.000% 05/01/06 CONVERT 022615AD0 21,275 20,000 X X
AMERICA ONLINE INC COMMON 02364J104 882,083 13,080 X X
AMERICAN EXPRESS CO COMMON 025816109 1,321,820 8,875 X X
AMERICAN HOME PRODS CORP COMMON 026609107 3,347,550 62,280 X X
AMERICAN INTL GROUP INC COMMON 026874107 6,849,772 62,555 X X
AMERICAN PWR CONVERSION CORP COMMON 029066107 347,287 8,100 X X
AMGEN INC COMMON 031162100 907,122 14,780 X X
ANALOG DEVICES COMMON 032654105 418,600 5,200 X X
APPLE COMPUTER INC COMMON 037833100 393,856 2,900 X X
AT HOME CORP COMMON 045919107 256,451 7,786 X X
ATLANTIC RICHFIELD COMPANY COMMON 048825103 389,555 4,583 X X
AUTOMATIC DATA PROCESSING COMMON 053015103 555,116 11,505 X X
AVERY DENNISON CORP COMMON 053611109 244,250 4,000 X X
BP AMOCO PLC ADR COMMON 055622104 673,399 12,646 X X
BMC SOFTWARE INC COMMON 055921100 1,461,500 29,600 X X
BANK OF AMERICA CORP COMMON 060505104 251,176 4,790 X X
BATTLE MOUNTAIN BMG 6.000% 01/ CONVERT 071593AA5 35,500 50,000 X X
BELL ATLANTIC CORP COMMON 077853109 697,436 11,410 X X
BELLSOUTH CORP COMMON 079860102 1,019,719 21,754 X X
BEST BUY INC COMMON 086516101 829,900 9,650 X X
BIOTECH HLDRS TR DEPOSITARY RC COMMON 09067D201 254,250 1,500 X X
BANK OF NY CAP TRUST 7.8% PREF PREFERR 096564208 210,375 9,000 X X
BOEING CO COMMON 097023105 518,258 13,706 X X
BOSTON SCIENTIFIC CORP COMMON 101137107 3,511,234 164,750 X X
BRISTOL MYERS SQUIBB CO COMMON 110122108 3,690,424 63,628 X X
CBS CORPORATION COMMON 12490K107 430,350 7,600 X X
CMGI INC COM COMMON 125750109 230,024 2,030 X X
CVS CORP COMMON 126650100 4,603,923 122,567 X X
CHASE MANHATTAN CORP COMMON 16161A108 252,844 2,900 X X
CHEVRON CORP COMMON 166751107 376,590 4,074 X X
CISCO SYS INC COMMON 17275R102 25,751,711 333,086 X X
CITIGROUP COMMON 172967101 2,599,952 43,423 X X
COASTAL CORP COMMON 190441105 206,400 4,300 X X
COCA COLA CO COMMON 191216100 3,042,958 64,830 X X
COMPAQ COMPUTER CORP COMMON 204493100 209,292 7,824 X X
COMPUTER ASSOCIATES COMMON 204912109 204,374 3,453 X X
CYPRESS SEMICONDUCTOR CORP COMMON 232806109 231,475 4,700 X X
DII GROUP INC COMMON 232949107 15,339,755 135,675 X X
DELL COMPUTER CORP COMMON 247025109 3,183,122 59,015 X X
DELTA AIRLINES 8.125% (7/01/39 PREFERR 247361405 256,594 11,500 X X
DIGITAL LIGHTWAVE INC COMMON 253855100 3,286,984 52,750 X X
DISNEY (WALT) COMPANY COMMON 254687106 2,477,351 60,057 X X
DREYFUS MASS MUNI FUND MUTUAL 261965107 188,049 14,333 X X
DU PONT E I DE NEMOURS COMMON 263534109 356,905 6,742 X X
E M C CORP COMMON 268648102 10,396,890 82,515 X X
E-TEK DYNAMICS INC COMMON 269240107 446,975 1,900 X X
EL PASO ENERGY CORP COMMON 283905107 213,987 5,300 X X
EMERSON ELEC CO COMMON 291011104 211,225 3,976 X X
ENERGAS RES INC COMMON 29265E108 7,000 20,000 X X
ENRON CORP COMMON 293561106 283,477 3,786 X X
EXXON MOBIL CORPORATION COMMON 30231G102 12,275,702 157,507 X X
FANNIE MAE COMMON 313586109 4,387,892 77,576 X X
FIRST SEC CORP COMMON 336294103 1,255,992 104,666 X X
FIRST UNION CORP COMMON 337358105 310,851 8,345 X X
FLEETBOSTON FINANCIAL CORP COMMON 339030108 7,976,892 218,545 X X
GTE CORP COMMON 362320103 1,264,510 17,810 X X
GANNETT INC COMMON 364730101 246,313 3,500 X X
GENERAL ELECTRIC COMMON 369604103 23,979,167 154,083 X X
GENERAL MTRS CORP COMMON 370442105 532,733 6,433 X X
GENERAL MOTORS CL H COMMON 370442832 4,163,155 33,439 X X
GILLETTE CO COMMON 375766102 4,889,425 129,736 X X
GULF EXPLORATION CONSULTANTS I COMMON 402275101 2,000 40,000 X X
HALLIBURTON CO COMMON 406216101 3,148,119 76,550 X X
HARLEY DAVIDSON INC COMMON 412822108 519,906 13,100 X X
HEWLETT PACKARD CO COMMON 428236103 11,804,823 89,051 X X
HOME DEPOT INC COMMON 437076102 4,205,529 65,202 X X
HONEYWELL INT'L INC COMMON 438516106 2,365,300 44,893 X X
HUDSON UNITED BANCORP COMMON 444165104 441,731 20,368 X X
ILLINOIS TOOL WKS COMMON 452308109 3,103,614 56,174 X X
INFINEON TECHNOLOGIES ADR COMMON 45662N103 287,500 5,000 X X
INGERSOLL-RAND COMPANY COMMON 456866102 253,818 5,736 X X
INTEL CORP COMMON 458140100 30,695,787 232,654 X X
I B M COMMON 459200101 1,848,942 15,669 X X
INVESTMENT TECHNOLOGY GRP NECO COMMON 46145F105 237,479 6,737 X X
JABIL CIRCUIT INC COMMON 466313103 315,725 7,300 X X
JOHNSON & JOHNSON COMMON 478160104 3,330,763 47,413 X X
</TABLE>
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<TABLE>
<CAPTION>
APPLETON PARTNERS, INC.
DISCRETIONARY OWNERSHIP FOR 13F
AS OF MARCH 31, 2000
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>
JONES APPAREL GROUP COMMON 480074103 202,400 6,400 X X
JUNIPER NETWORKS INC COMMON 48203R104 544,257 2,065 X X
LILLY, ELI AND COMPANY COMMON 532457108 3,760,631 60,050 X X
LUCENT TECHNOLOGIES INC COMMON 549463107 11,527,226 185,923 X X
MCI WORLDCOM COMMON 55268B106 11,723,250 258,720 X X
MFS EMERGING GROWTH-CL B SM CA MUTUAL 552985202 315,631 4,465 X X
MARSH & MCLENNAN COS INC COMMON 571748102 232,539 2,108 X X
MASCO CORP COMMON 574599106 295,712 14,425 X X
MASCOTECH INC 4.500% 12/15/03 CONVERT 574670AB1 54,360 72,000 X X
MCDONALDS CORP COMMON 580135101 2,784,251 74,495 X X
MEDIAONE GROUP INC COMMON 58440J104 4,687,875 57,875 X X
MEDIAONE FIN TR 9.040% PFD (SE PREFERR 584458202 215,000 8,600 X X
MEDTRONIC INC COMMON 585055106 2,394,416 46,550 X X
MERCK & CO INC COMMON 589331107 8,426,449 135,637 X X
MERRILL LYNCH EMERG TIGERS FUN MUTUAL 589974104 117,111 10,986 X X
MERRILL LYNCH & CO COMMON 590188108 5,050,500 48,100 X X
MERRILL LYNCH MUN BD FD MUTUAL 590193108 111,372 15,132 X X
MERRILL LYNCH PFD CAP TR II 8. PREFERR 59021C203 311,161 13,050 X X
ML CAPITAL TRUST 7.2800% PFD PREFERR 59021K205 667,022 31,200 X X
MICROSOFT CORP COMMON 594918104 13,367,419 125,811 X X
MINNESOTA MNG & MFG CO COMMON 604059105 374,974 4,234 X X
MONSANTO CO COMMON 611662107 1,015,940 19,727 X X
MORGAN J.P. & CO INC COMMON 616880100 955,583 7,253 X X
MORGAN STANLEY DEAN WITTER COMMON 617446448 291,554 3,518 X X
MOTOROLA INC COMMON 620076109 401,500 2,750 X X
NINE WEST GROUP 5.500% 07/15/0 CONVERT 65440DAC6 126,750 150,000 X X
NOKIA CORP ADR COMMON 654902204 677,100 12,200 X X
NORTEL NETWORKS CORP COMMON 656569100 14,764,050 117,175 X X
NORTHERN TR CORP COMMON 665859104 540,500 8,000 X X
OFFICE DEPOT COMMON 676220106 300,047 25,950 X X
OMNICOM GROUP COMMON 681919106 3,743,596 39,985 X X
ORACLE SYS CORP COMMON 68389X105 4,397,651 56,335 X X
PARKER DRILLING CO 5.500% 08/0 CONVERT 701081AD3 75,375 100,000 X X
PEPSICO INC COMMON 713448108 1,358,381 38,950 X X
PFIZER INC COMMON 717081103 4,724,826 129,226 X X
PHILIP MORRIS COS COMMON 718154107 967,525 45,800 X X
PITNEY BOWES INC COMMON 724479100 252,484 5,650 X X
PROCTER & GAMBLE COMPANY COMMON 742718109 3,125,072 55,311 X X
QUANTUM CORP 7.000% 08/01/04 CONVERT 747906AC9 2,000,425 2,485,000 X X
QWEST COMMUNICATIONS COMMON 749121109 334,656 6,972 X X
T. ROWE PRICE INTL FUND MUTUAL 77956H203 1,147,162 59,998 X X
ROYAL DUTCH PETRO-NY SHARES COMMON 780257804 429,200 7,424 X X
SBC COMMUNICATIONS INC COMMON 78387G103 2,668,619 63,350 X X
SAFEWAY INC COMMON 786514208 316,750 7,000 X X
SANMINA CORP COMMON 800907107 20,396,443 301,890 X X
SARA LEE CORP COMMON 803111103 720,198 40,011 X X
SCHERING PLOUGH CORP COMMON 806605101 525,319 14,150 X X
SCHLUMBERGER LTD COMMON 806857108 3,766,477 49,235 X X
SCUDDER INTL FD INC COM MUTUAL 811165109 335,834 4,810 X X
SCUDDER INTL FD INC GRTR EURP MUTUAL 811165406 813,129 21,695 X X
SEA CONTAINERS LTD CL A COMMON 811371707 953,588 43,100 X X
SHELL TRANS & TRADING LTD COMMON 822703609 277,203 5,650 X X
SIGMA ALDRICH CORP COMMON 826552101 220,375 8,200 X X
SPRINT CORP COMMON 852061100 252,000 4,000 X X
STAPLES INC COMMON 855030102 1,083,600 54,180 X X
STATE STREET CORP COMMON 857477103 3,311,091 34,179 X X
STOCKER & YALE INC NEW COMMON 86126T203 2,619,354 82,015 X X
SUN MICROSYSTEMS INC COMMON 866810104 30,891,953 329,679 X X
SYMANTEC CORP COMMON 871503108 12,297,437 163,693 X X
SYMBOL TECHNOLOGIES COMMON 871508107 374,522 6,825 X X
TDS CAPITAL 8.500% PREFERRED S PREFERR 87235W202 286,450 13,600 X X
TMP WORLDWIDE COMMON 872941109 804,712 10,350 X X
TARGET CORP COMMON 87612E106 1,936,772 25,910 X X
TELLABS INC COMMON 879664100 1,985,897 31,530 X X
TENNESSEE VALLEY AUTH QIDS96A7 PREFERR 880591201 216,200 9,200 X X
TEVA PHARMACEUTICAL INDS LTD A COMMON 881624209 197,756 5,300 X X
TEXACO INC COMMON 881694103 592,325 11,020 X X
TEXAS INSTRUMENTS COMMON 882508104 6,184,000 38,650 X X
TIME WARNER INC COMMON 887315109 4,094,500 40,945 X X
TRANSCANADA PIPE 8.25% PFD (10 PREFERR 893526723 292,887 13,500 X X
TRIBUNE CO COMMON 896047107 9,936,079 271,756 X X
TYCO INTL COMMON 902124106 495,736 9,890 X X
U S FOODSERVICE COMMON 90331R101 202,755 7,874 X X
UNION PAC CORP COMMON 907818108 228,490 5,840 X X
U S WEST INC COMMON 91273H101 1,607,337 22,132 X X
UNITED TECHNOLOGIES CORP COMMON 913017109 347,278 5,496 X X
VODAFONE GROUP PLC ADR SPONSOR COMMON 92857T107 305,872 5,505 X X
WAL MART STORES INC COMMON 931142103 1,138,701 20,154 X X
WARNER LAMBERT CO COMMON 934488107 1,577,165 16,145 X X
WELLS FARGO COMPANY COMMON 949746101 911,618 22,371 X X
WINSTAR COMMUNICATIONS INC COMMON 975515107 450,000 7,500 X X
TRANSOCEAN SEDCO FOREX INC COMMON G90078109 405,061 7,894 X X
FLEXTRONICS INTL LTD COMMON Y2573F102 211,312 3,000 X X
PACIFIC CENTURY CYBERWORKS COMMON Y6801N100 23,300 10,000 X X
TOTAL 478,537,008
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