AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON APRIL 6, 1999
REGISTRATION NO.
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SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
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FORM S-6
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FOR REGISTRATION UNDER THE SECURITIES ACT
OF 1933 OF SECURITIES OF UNIT INVESTMENT
TRUSTS REGISTERED ON FORM N-8B-2
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A. EXACT NAME OF TRUST:
EQUITY FOCUS TRUSTS--THEME INVESTING PORTFOLIO 1999 SERIES
B. NAME OF DEPOSITOR: SALOMON SMITH BARNEY INC.
C. COMPLETE ADDRESS OF DEPOSITOR'S PRINCIPAL EXECUTIVE OFFICES:
SALOMON SMITH BARNEY INC.
388 GREENWICH STREET, 23RD FLOOR
NEW YORK, NY 10013
D. NAMES AND COMPLETE ADDRESS OF AGENT FOR SERVICE:
COPY OF COMMENTS TO:
LAURIE A. HESSLEIN MICHAEL R. ROSELLA, ESQ.
Salomon Smith Barney Inc. Battle Fowler LLP
388 Greenwich Street 75 East 55th Street
New York, New York 10013 New York, New York 10022
(212) 856-6858
E. TITLE AND AMOUNT OF SECURITIES BEING REGISTERED:
An indefinite number of Units of Beneficial Interest
pursuant to Rule 24f-2 promulgated under the Investment
Company Act of 1940, as amended.
F. PROPOSED MAXIMUM OFFERING PRICE TO THE PUBLIC OF THE SECURITIES BEING
REGISTERED:
Indefinite
G. AMOUNT OF FILING FEE:
No filing fee required.
H. APPROXIMATE DATE OF PROPOSED SALE TO THE PUBLIC:
As soon as practicable after the effective date of the
registration statement.
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The registrant hereby amends this registration statement on such date or dates
as may be necessary to delay its effective date until the registrant shall file
a further amendment which specifically states that this registration statement
shall thereafter become effective in accordance with Section 8(a) of the
Securities Act of 1933 or until the registration statement shall become
effective on such date as the Commission, acting pursuant to said section 8(a),
may determine.
696192.1
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Subject to Completion, Dated April 6, 1999
EQUITY FOCUS TRUSTS
THEME INVESTING PORTFOLIO 1999 SERIES
The final prospectus for the Equity Focus Trusts - Theme Investing
Portfolio is hereby incorporated by reference and used as a preliminary
prospectus for Equity Focus Trusts Theme Investing Portfolio 1999 Series. Except
as indicated below, the narrative information and structure of the final
prospectus which includes the new Trust will be substantially the same as that
of the previous prospectus. The investment theme of the new Trust will be to
create a portfolio of equity securities with consistent earnings growth and
visibility for continued growth. In addition, the new Trust will have an
approximately two year life, with an initial sales charge of 1% and a deferred
sales charge during each of the two years totaling $17.50 per 1,000 units each
year. As a result the maximum total sales charge for the Trust will be 4.50% of
the Public Offering Price. Information with respect to this Trust, including
pricing, the size and composition of the Trust portfolio, the number of units of
the Trust, dates and summary information regarding the characteristics of
securities to be deposited in the Trust is not now available and will be
different from that shown since each trust has a unique portfolio. Accordingly,
the information contained herein with regard to the previous Trust should be
considered as being included for informational purposes only. Investors should
contact financial professionals of the underwriters who will be informed of the
expected effective date of this Trust and who will be supplied with complete
information with respect to such Trust on the day of and immediately prior to
the effectiveness of the registration statement relating to units of the Trust.
The information in this prospectus is not complete and may be
changed. We may not sell these securities until the registration statement filed
with the Securities and Exchange Commission is effective. This prospectus is not
an offer to sell the securities and it is not soliciting an offer to buy these
securities in any state where the offer or sale is not permitted.
824498.1
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Part II
ADDITIONAL INFORMATION NOT INCLUDED IN THE PROSPECTUS
A. The following information relating to the Depositor is
incorporated by reference to the SEC filings indicated and made a part of this
Registration Statement.
<TABLE>
<CAPTION>
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SEC FILE OR
IDENTIFICATION NO.
<S> <C> <C>
I. Bonding Arrangements and Date of Organization of the Depositor filed
pursuant to Items A and B of Part II of the Registration Statement on
Form S-6 under the Securities Act of 1933:
Salomon Smith Barney Inc. 2-67446
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II. Information as to Officers and Directors of the
Depositor filed pursuant to Schedules A and D of Form BD under Rules
15b1-1 and 15b3-1 of the Securities Exchange Act of 1934:
Salomon Smith Barney Inc. 8-12324
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III. Charter documents of the Depositor filed as
Exhibits to the Registration Statement on Form S-6 under the
Securities Act of 1933 (Charter, ByLaws):
33-65332, 33-36037
Salomon Smith Barney Inc.
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B. The Internal Revenue Service Employer Identification Numbers of the Sponsor
and Trustee are as follows:
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Salomon Smith Barney Inc. 13-1912900
The Chase Manhattan Bank 13-4994650
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696192.1
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CONTENTS OF REGISTRATION STATEMENT
The Registration Statement on Form S-6 comprises the following papers and
documents:
The facing sheet of Form S-6.
The Cross-Reference Sheet (incorporated by reference to the
Cross-Reference Sheet to the Registration Statement of The
Uncommon Values Unit Trust, 1985 Series, 1933 Act File No.
2-97046).
The Prospectus.
Additional Information not included in the Prospectus (Part II). The
undertaking to file reports.
The signatures.
Listed below is the name and registration number of the previous
series of Equity Focus Trusts, the final prospectus of which properly
supplemented, might be used as preliminary prospectuses for Equity
Focus Trusts-Theme Investing Portfolio [1999 Series]. This final
prospectus is incorporated herein by reference.
Equity Focus Trusts - Theme Investing
Portfolio (Registration No. 333-01901)
Written Consents as of the following persons:
KPMG LLP (included in Exhibit 5.1)
Battle Fowler LLP (included in Exhibit 3.1)
The following exhibits:
*1.1.1 -- Form of Reference Trust Indenture.
2.1 -- Form of Standard Terms and Conditions of Trust
(incorporated by reference to Exhibit 2.1 to the
Registration Statement of The Uncommon Values Unit
Trust, 1985 Series, 1933 Act File No. 33-97046).
*3.1 -- Opinion of counsel as to the legality of the
securities being issued including their consent to the
use of their names under the headings "Taxes" and
"Legal Opinion" in the Prospectus.
*5.1 -- Consent of KPMG LLP to the use of their name under the
heading "Miscellaneous - Auditors" in the Prospectus.
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* To be filed with Amendment to Registration Statement.
II-3
696192.1
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SIGNATURES
PURSUANT TO THE REQUIREMENTS OF THE SECURITIES ACT OF 1933, THE
REGISTRANT HAS DULY CAUSED THIS REGISTRATION STATEMENT OR AMENDMENT TO THE
REGISTRATION STATEMENT TO BE SIGNED ON ITS BEHALF BY THE UNDERSIGNED THEREUNTO
DULY AUTHORIZED IN THE CITY OF NEW YORK AND STATE OF NEW YORK ON THE 6TH DAY OF
APRIL, 1999.
Signatures appear on page II-4.
A majority of the members of the Board of Directors of Salomon Smith
Barney Inc. has signed this Registration Statement or Amendment to the
Registration Statement pursuant to Powers of Attorney authorizing the person
signing this Registration Statement or Amendment to the Registration Statement
to do so on behalf of such members.
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696192.1
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SALOMON SMITH BARNEY UNIT TRUSTS (Registrant)
SALOMON SMITH BARNEY INC.
DEPOSITOR
By the following persons*, who
constitute a majority of the
Board of Directors of Salomon Smith
Barney Inc.:
DERYCK C. MAUGHAN
MICHAEL A. CARPENTER
By: /s/GINA LEMON
(As authorized signatory for
Salomon Smith Barney Inc. and
Attorney-in-Fact for the persons listed above)
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* Pursuant to Powers of Attorney filed as exhibits to Registration
Statement Nos. 333-62533 and 333-66875.
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696192.1
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