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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 December 31, 1999
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 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: 137
Form 13F Information Table Value Total: 390,909,594
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 DECEMBER 31, 1999
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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 1,559,842 30,698 X X
ABBOTT LABS COMMON 002824100 4,631,841 127,555 X X
ALLIANCE CAPITAL MGMT HOLDING COMMON 01855A101 403,557 13,480 X X
ALZA CORP 5.000% 05/01/06 CONVERT 022615AD0 21,125 20,000 X X
AMERICA ONLINE INC COMMON 02364J104 933,262 12,300 X X
AMERICAN EXPRESS CO COMMON 025816109 709,223 4,266 X X
AMERICAN HOME PRODS CORP COMMON 026609107 2,492,218 63,496 X X
AMERICAN INTL GROUP INC COMMON 026874107 6,346,072 58,692 X X
AMGEN INC COMMON 031162100 961,000 16,000 X X
AT HOME CORP COM SER A COMMON 045919107 1,052,067 24,538 X X
ATLANTIC RICHFIELD COMPANY COMMON 048825103 370,479 4,283 X X
AUTOMATIC DATA PROCESSING COMMON 053015103 696,604 12,930 X X
AVERY DENNISON CORP COMMON 053611109 291,500 4,000 X X
BFC CONSTR CORP COMMON 054938105 76,250 10,000 X X
BP AMOCO P L C ADR SPONSORED COMMON 055622104 394,428 6,650 X X
BMC SOFTWARE INC COMMON 055921100 2,214,269 27,700 X X
BANK OF AMERICA CORP COMMON 060505104 231,967 4,622 X X
BATTLE MOUNTAIN BMG 6.000% 01/ CONVERT 071593AA5 35,500 50,000 X X
BELL ATLANTIC CORP COMMON 077853109 455,686 7,402 X X
BELLSOUTH CORP COMMON 079860102 717,355 15,324 X X
BEST BUY INC COMMON 086516101 520,087 10,350 X X
BOEING CO COMMON 097023105 464,349 11,206 X X
BOSTON SCIENTIFIC CORP COM COMMON 101137107 3,104,522 141,921 X X
BRISTOL MYERS SQUIBB CO COMMON 110122108 4,121,351 64,208 X X
CBS CORPORATION COMMON 12490K107 505,106 7,900 X X
CVS CORP COMMON 126650100 4,548,422 114,067 X X
CHEVRON CORP COMMON 166751107 280,578 3,239 X X
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<TABLE>
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
CISCO SYS INC COMMON 17275R102 19,508,962 182,114 X X
CITIGROUP INC. COMMON 172967101 1,648,907 29,610 X X
COCA COLA CO COMMON 191216100 3,633,635 62,380 X X
COMPAQ COMPUTER CORP COMMON 204493100 244,212 9,024 X X
DII GROUP INC COMMON 232949107 9,373,198 132,075 X X
DAYTON HUDSON COMMON 239753106 1,703,016 23,190 X X
DELTA AIRLINES 8.125% (7/01/39 PREFERR 247361405 293,125 14,000 X X
DISNEY (WALT) COMPANY COMMON 254687106 1,780,067 60,857 X X
DU PONT E I DE NEMOURS COMMON 263534109 421,073 6,392 X X
E M C CORP MASS COMMON 268648102 2,286,056 20,925 X X
EMERSON ELEC CO COMMON 291011104 222,385 3,876 X X
ENERGAS RES INC COMMON 29265E108 7,000 20,000 X X
EQUIFAX INC COMMON 294429105 299,621 12,716 X X
EXXON MOBIL CORPORATION COMMON 30231G102 12,068,988 149,809 X X
FANNIE MAE COMMON 313586109 5,037,832 80,686 X X
FIRST SEC CORP DEL COMMON 336294103 6,707,519 262,718 X X
FIRST TENN NATL CORP COMMON 337162101 571,140 20,040 X X
FIRST UNION CORP COMMON 337358105 294,955 8,955 X X
FLEETBOSTON FINANCIAL CORPORAT COMMON 339030108 7,177,154 206,166 X X
GTE CORP COMMON 362320103 1,079,536 15,299 X X
GENERAL ELECTRIC COMMON 369604103 23,182,943 149,809 X X
GENERAL MILLS INC COMMON 370334104 272,415 7,620 X X
GENERAL MTRS CORP COMMON 370442105 365,836 5,033 X X
HUGHES ELECTRIC CORP. COMMON 370442832 3,090,144 32,189 X X
GILLETTE CO COMMON 375766102 6,234,058 151,358 X X
GULF EXPLORATION CONSULTANTS I COMMON 402275101 2,000 40,000 X X
HALLIBURTON CO COMMON 406216101 2,521,662 62,650 X X
HARLEY DAVIDSON INC COMMON 412822108 422,813 6,600 X X
HEWLETT PACKARD CO COMMON 428236103 9,956,083 87,526 X X
HOME DEPOT INC COMMON 437076102 2,212,031 32,175 X X
HONEYWELL INT'L INC COMMON 438516106 2,780,134 48,193 X X
ILLINOIS TOOL WKS COMMON 452308109 4,211,373 62,333 X X
INGERSOLL-RAND COMPANY COMMON 456866102 209,843 3,811 X X
INTEL CORP COMMON 458140100 18,714,735 227,362 X X
I B M COMMON 459200101 1,485,331 13,769 X X
JOHNSON & JOHNSON COMMON 478160104 4,243,434 45,506 X X
KROGER CO COMMON 501044101 577,575 30,600 X X
LILLY, ELI AND COMPANY COMMON 532457108 3,624,250 54,500 X X
LUCENT TECHNOLOGIES INC COMMON 549463107 12,455,850 166,078 X X
</TABLE>
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<TABLE>
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
MCI WORLDCOM COMMON 55268B106 12,932,392 243,720 X X
MFS EMERGING GROWTH-CL B SM CA MUTUAL 552985202 287,769 4,465 X X
MASCO CORP COMMON 574599106 585,655 23,080 X X
MASCOTECH INC 4.500% 12/15/03 CONVERT 574670AB1 66,990 87,000 X X
MCDONALDS CORP COMMON 580135101 2,668,083 66,185 X X
MEDIAONE GROUP INC COM COMMON 58440J104 4,413,262 57,455 X X
MEDIAONE FIN TR 9.040% PFD (SE PREFERR 584458202 216,612 8,600 X X
MEDTRONIC INC COMMON 585055106 1,730,781 47,500 X X
MERCK & CO INC COMMON 589331107 9,097,927 135,411 X X
MERRILL LYNCH & CO COMMON 590188108 4,053,153 48,650 X X
MERRILL LYNCH PFD CAP TR II 8. PREFERR 59021C203 327,375 14,550 X X
ML CAPITAL TRUST 7.2800% PFD PREFERR 59021K205 790,931 38,700 X X
MICROSOFT CORP COMMON 594918104 13,661,034 117,011 X X
MICRON TECH 7.000% 07/01/04 CONVERT 595112AB9 31,875 25,000 X X
MINNESOTA MNG & MFG CO COMMON 604059105 394,828 4,034 X X
MONSANTO CO COMMON 611662107 699,076 19,727 X X
MORGAN J.P. & CO INC COMMON 616880100 956,399 7,553 X X
MORGAN STANLEY DEAN WITTER COMMON 617446448 336,747 4,718 X X
NINE WEST GROUP 5.500% 07/15/0 CONVERT 65440DAC6 126,750 150,000 X X
NOKIA CORP ADR COMMON 654902204 582,741 3,050 X X
NORTEL NETWORKS CORP COMMON 656569100 10,877,700 107,700 X X
NORTHERN TR CORP COMMON 665859104 424,000 8,000 X X
OFFICE DEPOT INC COM COMMON 676220106 285,450 25,950 X X
OMNICOM GROUP COMMON 681919106 3,287,500 32,875 X X
ORACLE SYS CORP COMMON 68389X105 3,007,758 53,680 X X
PARKER DRILLING CO 5.500% 08/0 CONVERT 701081AD3 68,000 100,000 X X
PEPSICO INC COMMON 713448108 1,487,550 42,200 X X
PFIZER INC COMMON 717081103 5,076,469 156,500 X X
PHILIP MORRIS COS COMMON 718154107 1,052,227 45,749 X X
PITNEY BOWES INC COMMON 724479100 265,912 5,504 X X
PROCTER & GAMBLE COMPANY COMMON 742718109 7,082,010 64,639 X X
QUAKER OATS CO COMMON 747402105 446,250 6,800 X X
QUALCOMM INC COMMON 747525103 281,800 1,600 X X
QUANTUM CORP 7.000% 08/01/04 CONVERT 747906AC9 1,893,750 2,525,000 X X
QWEST COMMUNICATIONS COMMON 749121109 299,796 6,972 X X
ROYAL DUTCH PETRO-NY SHARES COMMON 780257804 449,616 7,424 X X
SBC COMMUNICATIONS INC COMMON 78387G103 3,093,334 63,453 X X
SANMINA CORP COMMON 800907107 14,531,413 145,496 X X
SARA LEE CORP COMMON 803111103 953,784 43,231 X X
</TABLE>
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<TABLE>
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
SCHERING PLOUGH CORP COMMON 806605101 427,987 10,100 X X
SCHLUMBERGER LTD COMMON 806857108 2,453,055 43,707 X X
SCUDDER INTL FD INC COM MUTUAL 811165109 680,519 9,620 X X
SCUDDER INTL FD INC GRTR EURP MUTUAL 811165406 677,651 19,078 X X
SEA CONTAINERS LTD CL A COMMON 811371707 1,025,063 38,500 X X
SHELL TRANS & TRADING LTD COMMON 822703609 423,850 8,650 X X
SIGMA ALDRICH CORP COMMON 826552101 246,512 8,200 X X
SOLECTRON CORP COM COMMON 834182107 220,595 2,319 X X
SPRINT CORP COMMON 852061100 269,250 4,000 X X
STAPLES INC COMMON 855030102 1,151,480 55,493 X X
STATE STREET CORP COMMON 857477103 2,497,203 34,179 X X
STOCKER & YALE SDCV 7.250% 05/ CONVERT 8612669C0 450,000 450,000 X X
STOCKER & YALE INC NEW COMMON 86126T203 32,812 25,000 X X
SUN MICROSYSTEMS INC COMMON 866810104 26,413,854 341,099 X X
SYMANTEC CORP COM COMMON 871503108 7,534,075 128,513 X X
TDS CAPITAL 8.500% PREFERRED S PREFERR 87235W202 331,500 15,600 X X
TELLABS INC COMMON 879664100 1,681,713 26,200 X X
TENNESSEE VALLEY AUTH QIDS96A7 PREFERR 880591201 211,600 9,200 X X
TEVA PHARMACEUTICAL INDS LTD A COMMON 881624209 200,725 2,800 X X
TEXACO INC COMMON 881694103 612,102 11,270 X X
TEXAS INSTRS INC COMMON 882508104 3,198,288 33,100 X X
TIME WARNER INC COMMON 887315109 2,986,145 41,295 X X
TRANSCANADA PIPE 8.25% PFD (10 PREFERR 893526723 288,562 13,500 X X
TRIBUNE CO COMMON 896047107 13,513,494 245,421 X X
UNION PAC CORP COMMON 907818108 255,135 5,840 X X
U S WEST INC COMMON 91273H101 1,025,640 14,245 X X
VODAFONE GROUP PLC ADR SPONSOR COMMON 92857T107 272,497 5,505 X X
WAL MART STORES INC COMMON 931142103 1,203,052 17,404 X X
WARNER LAMBERT CO COMMON 934488107 1,216,362 14,845 X X
WELLS FARGO COMPANY COMMON 949746101 886,794 21,930 X X
WINSTAR COMMUNICATIONS INC COMMON 975515107 353,675 4,700 X X
TRANSOCEAN SEDCO FOREX INC COMMON G90078109 284,154 8,435 X X
TOTAL 390,909,594
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