<PAGE> PAGE 1
000 A000000 06/30/96
000 C000000 0000202385
000 D000000 N
000 E000000 NF
000 F000000 Y
000 G000000 N
000 H000000 N
000 I000000 3.0.a
000 J000000 A
001 A000000 SALOMON BROTHERS CAPITAL FUND INC
001 B000000 811-2667
001 C000000 8007256666
002 A000000 7 WORLD TRADE CENTER
002 B000000 NEW YORK
002 C000000 NY
002 D010000 10048
003 000000 N
004 000000 N
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008 A000001 SALOMON BROTHERS ASSET MANAGEMENT INC
008 B000001 A
008 C000001 801-32046
008 D010001 NEW YORK
008 D020001 NY
008 D030001 10048
010 A000001 INVESTORS BANK & TRUST COMPANY
010 C010001 BOSTON
010 C020001 MA
010 C030001 02111
012 A000001 FIRST DATA INVESTOR SERVICES GROUP
012 B000001 84-01761
012 C010001 BOSTON
012 C020001 MA
012 C030001 02205
013 A000001 PRICE WATERHOUSE LLP
013 B010001 NEW YORK
013 B020001 NY
013 B030001 10036
<PAGE> PAGE 2
014 A000001 SALOMON BROTHERS INC
014 B000001 8-26920
015 A000001 INVESTORS BANK & TRUST COMPANY
015 B000001 C
015 C010001 BOSTON
015 C020001 MA
015 C030001 02111
015 E010001 X
015 A000002 EUROCLEAR CLEARANCE SYSTEM
015 B000002 S
015 C010002 BRUSSELS
015 D010002 BELGIUM
015 E040002 X
015 A000003 CITIBANK
015 B000003 S
015 C010003 NEW YORK
015 C020003 NY
015 C030003 10043
015 E040003 X
015 A000004 NATIONAL AUSTRALIA BANK LIMITED
015 B000004 S
015 C010004 MELBOURNE
015 D010004 AUSTRALIA
015 E040004 X
015 A000005 CREDITANSTALT BANKVEREIN
015 B000005 S
015 C010005 VIENNA
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015 B000006 S
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015 C030006 02110
015 E040006 X
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015 B000007 S
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015 E040007 X
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015 B000008 S
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015 E040008 X
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015 B000009 S
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<PAGE> PAGE 3
015 A000010 MEESPIERSON
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015 E040010 X
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015 B000011 S
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015 B000013 S
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015 B000014 S
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<PAGE> PAGE 4
020 B000008 13-2655998
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022 A000001 JP MORGAN
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022 C000007 2630
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022 C000008 2376
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022 A000009 MONTGOMERY
022 B000009 94-1701676
022 C000009 1650
022 D000009 694
022 A000010 BANKERS TRUST
022 B000010 13-4941247
022 C000010 1117
022 D000010 1034
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<PAGE> PAGE 5
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<PAGE> PAGE 6
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<PAGE> PAGE 7
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<PAGE> PAGE 8
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<PAGE> PAGE 10
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SIGNATURE ALAN MANDEL
TITLE TREASURER
<TABLE> <S> <C>
<ARTICLE> 6
<LEGEND>
This schedule contains summary financial information
extracted from The Salomon Brothers Capital Fund Inc
form N-SAR for the period ended June 30, 1996
and is qualified in its entirety by reference to
such financial statements.
</LEGEND>
<SERIES>
<NUMBER> 1
<NAME> Capital Fund Inc
<S> <C>
<PERIOD-TYPE> 6-MOS
<FISCAL-YEAR-END> DEC-31-1996
<PERIOD-END> JUN-30-1996
<INVESTMENTS-AT-COST> 107,876,312
<INVESTMENTS-AT-VALUE> 120,131,692
<RECEIVABLES> 1,542,653
<ASSETS-OTHER> 355
<OTHER-ITEMS-ASSETS> 0
<TOTAL-ASSETS> 121,674,700
<PAYABLE-FOR-SECURITIES> 1,858,925
<SENIOR-LONG-TERM-DEBT> 0
<OTHER-ITEMS-LIABILITIES> 636,354
<TOTAL-LIABILITIES> 2,495,279
<SENIOR-EQUITY> 0
<PAID-IN-CAPITAL-COMMON> 92,426,181
<SHARES-COMMON-STOCK> 5,827,321
<SHARES-COMMON-PRIOR> 5,484,823
<ACCUMULATED-NII-CURRENT> 413,392
<OVERDISTRIBUTION-NII> 0
<ACCUMULATED-NET-GAINS> 14,084,495
<OVERDISTRIBUTION-GAINS> 0
<ACCUM-APPREC-OR-DEPREC> 12,255,353
<NET-ASSETS> 119,179,421
<DIVIDEND-INCOME> 898,492
<INTEREST-INCOME> 237,493
<OTHER-INCOME> 0
<EXPENSES-NET> 727,063
<NET-INVESTMENT-INCOME> 408,922
<REALIZED-GAINS-CURRENT> 14,096,425
<APPREC-INCREASE-CURRENT> 1,114,762
<NET-CHANGE-FROM-OPS> 15,620,109
<EQUALIZATION> 0
<DISTRIBUTIONS-OF-INCOME> 0
<DISTRIBUTIONS-OF-GAINS> 5,326,277
<DISTRIBUTIONS-OTHER> 0
<NUMBER-OF-SHARES-SOLD> 937,773
<NUMBER-OF-SHARES-REDEEMED> 859,573
<SHARES-REINVESTED> 264,298
<NET-CHANGE-IN-ASSETS> 16,750,794
<ACCUMULATED-NII-PRIOR> 4,470
<ACCUMULATED-GAINS-PRIOR> 5,314,347
<OVERDISTRIB-NII-PRIOR> 0
<OVERDIST-NET-GAINS-PRIOR> 0
<GROSS-ADVISORY-FEES> 548,783
<INTEREST-EXPENSE> 0
<GROSS-EXPENSE> 727,063
<AVERAGE-NET-ASSETS> 113,011,272
<PER-SHARE-NAV-BEGIN> 18.67
<PER-SHARE-NII> 0.07
<PER-SHARE-GAIN-APPREC> 2.67
<PER-SHARE-DIVIDEND> 0.00
<PER-SHARE-DISTRIBUTIONS> (0.96)
<RETURNS-OF-CAPITAL> 0.00
<PER-SHARE-NAV-END> 20.45
<EXPENSE-RATIO> 1.29
<AVG-DEBT-OUTSTANDING> 0
<AVG-DEBT-PER-SHARE> 0.00
</TABLE>
SALOMON BROTHERS CAPITAL FUND
PURCHASE PURSUANT TO
RULE 10f-3 OF ICA
-----------------
NAME OF STOCK: Associates First Capital Corporation
DATE OF PURCHASE: May 8, 1996
NUMBER OF SHARES PURCHASED: 18,000
AGGREGATE PURCHASE PRICE: $522,000
PRICE PER SHARE: $29.00
UNDERWRITING SPREAD: $1.30
% GROSS UNDERWRITING SPREAD: 4.48%
SHARES OFFERED: 67,000,000
TOTAL OFFERING: $1,943,000,000
4% OF OFFERING: $77,720,000
3% OF TOTAL ASSETS: $3,491,348(3% of 116,378,275)
BROKER: Goldman, Sachs
Note: A total of 300,000 shares was purchased by funds in the Salomon Brothers
complex for an aggregate purchase price of $8,700,000.
The above purchase was made in accordance with the procedures adopted by the
Board of Directors pursuant to Rule 10(f)3 of the Investment Company Act of
1940, as amended.
101
Underwriters
Goldman , Sachs & Co.
CS First Boston Corporation
Merrill Lynch, Pierce, Fenner & Smith Incorporated
J.P. Morgan Securities Inc.
Bear, Stearns & Co. Inc
Lehman Brothers Inc.
Salomon Brothers Inc.
Alex. Brown & Sons Incorporated
Chase Securities Inc.
Citicorp Securities Inc.
Dean Witter Reynolds Inc.
Deutsche Morgan Grenfell / C.J. Lawrence Inc.
Donaldson, Lufkin & Jenrette Securities Corporation
A.G. Edwards & Sons, Inc.
EVEREN Securities, Inc.
Montgomery Securities
Morgan Stanley & Co. Incorporated
Oppenheimer & Co., Inc.
PaineWebber Incorporated
Prudential Securities Incorporated
Smith Barney Inc.
Wasserstein Perella Securities, Inc.
Advest, Inc
Sanford C. Bernstein & Co., inc.
William Blair & Company, L.L.C.
J.C. Bradford & Co.
Dain Bosworth Incorporated
Furman Selz LLC
Edward D. Jones & Co.
Legg Mason Wood Walker Incorporated
McDonald & Company Securities, Inc
Piper jaffray Inc.
Rauscher Pierce Refsnes, Inc.
The Robinson - Humphrey Company, Inc.
Stephens Inc.
Sutro & Co., Incorporated
Wheat, First Securities, Inc
First of Michigan Corporation
First of Southwest Company
Gruntal & Co., Incorporated
Guzman & Company
NatCity Investments, Inc.
Samuel A. Ramirez & Co., Inc.
Roney & Co., LLC
Scott & Stringfellow, Inc.
Muriel Siebert & Co.,Inc.
Stifel, Nicolaus & Company, Incorporated
Utendahl Capital Partners, L.P.
The Williams Capital Group, L.P.
SALOMON BROTHERS CAPITAL FUND
PURCHASE PURSUANT TO
RULE 10f-3 OF ICA
-----------------
`
NAME OF STOCK: ContiFinancial Corporation
DATE OF PURCHASE: February 8, 1996
NUMBER OF SHARES PURCHASED: 15,000
AGGREGATE PURCHASE PRICE: $315,000
PRICE PER SHARE: $21.00
UNDERWRITING SPREAD: $1.29
% GROSS UNDERWRITING SPREAD: 6.14%
SHARES OFFERED: 6,200,000
TOTAL OFFERING: $130,200,000
4% OF OFFERING: $5,208,000
3% OF TOTAL ASSETS: $3,354,981(3% of $111,832,710)
BROKER: Merrill Lynch
Note: The above represents the only stock purchased by funds in the Salomon
Brothers complex.
The above purchase was made in accordance with the procedures adopted by the
Board of Directors pursuant to Rule 10(f)3 of the Investment Company Act of
1940, as amended.
1001
Underwriters
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Bear, Stearns & Co. Inc.
Dillon, Read & Co. Inc.
Lehman Brothers Inc.
Arnhold and S. Bleichroeder, Inc.
Commerzbank Capital Markets Corporation
CS First Boston Corporation
Dresdner Securities (USA) Inc.
A.G. Edwards & Sons, Inc.
Goldman, Sachs & Co.
Keefe, Bruyette & Woods, Inc.
Montgomery Securities
J.P. Morgan Securities Inc.
Morgan Stanley & Co. Incorporated
Oppenheimer & Co., Inc.
PaineWebber Incorporated
Prudential Securities Incorporated
Salomon Brothers Inc.
Schroder Wertheim & Co. Incorporated
Smith Barney Inc.
UBS Securities Inc.
Ormes Capital Markets, Inc.
William Blair & Company, L.L.C.
Brean Murray, Foster Securities Inc.
Dain Bosworth Incorporated
Doft & Co., Inc.
EVEREN Securities, Inc.
Fahnestock & Co. Inc.
First Manhattan Co.
First of Michigan Corporation
Fox - Pitt, Kelton Inc.
Furman Selz LLC
Gruntal & Co., Incorporated
Janney Montgomery Scott Inc.
Johnson Rice & Company L.L.C.
Legg Mason Wood Walker, Incorporated
McDonald & Company Securities, Inc.
Piper Jaffray Inc.
The Robinson - Humphrey Company, Inc.
Utendahl Capital Partners, L.P.
Wheat First Securities, Inc.
SALOMON BROTHERS CAPITAL FUND
PURCHASE PURSUANT TO
RULE 10f-3 OF ICA
-----------------
`
NAME OF STOCK: First USA Paymentech
DATE OF PURCHASE: March 21, 1996
NUMBER OF SHARES PURCHASED: 4,000
AGGREGATE PURCHASE PRICE: $84,000
PRICE PER SHARE: $21.00
UNDERWRITING SPREAD: $1.47
% GROSS UNDERWRITING SPREAD: 7.00%
SHARES OFFERED: 5,100,000
TOTAL OFFERING: $107,100,000
4% OF OFFERING: $4,284,000
3% OF TOTAL ASSETS: $3,394,930(3% of $113,164,325)
BROKER: Merrill Lynch
Note: A total of 20,000 shares was purchased by funds in the Salomon Brothers
complex for an aggregate purchase price of $420,000.
The above purchase was made in accordance with the procedures adopted by the
Board of Directors pursuant to Rule 10(f)3 of the Investment Company Act of
1940, as amended.
1001
Underwriters
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Goldman, Sachs & Co.
Montgomery Securities
Bear, Stearns & Co.Inc
Sanford C. Bernstein & Co., Inc.
Alex. Brown & Sons Incorporated
CS First Boston Corporation
Donaldson, Lufkin & Jenrette Securities Corporation
A.G. Edwards & Sons, Inc.
Hambrecht & Quist LLC
Keefe, Bruyette & Woods, Inc.
Legg Mason Wood Walker, Incorporated
Morgan Stanley & Co. Incorporated
Salomon Brothers Inc.
Smith Barney Inc.
Wasserstein Perella Securities, Inc.
J.C. Bradford & Co.
Cleary Gull Reiland & Mcdevitt Inc.
Duff & Phelps Securities Co.
Fahnestock & Co. Inc.
First Manhattan Co.
First of Michigan Corporation
Fox - Pitt, Kelton Inc.
Gerard Klauer Mattison & Co. LLC
Janney Montgomery Scott Inc.
Jefferies & Company, Inc.
Morgan Keegan & Company, Inc.
Neuberger & Berman
Principal Financial Securities, Inc.
Ragen MacKenzie Incorporated
Rauscher Pierce Refsnes, Inc.
The Robinson - Humphrey Company, Inc.
SoundView Financial Group, Inc.
Sutro & Co. Incorporated
Utendahl Capital Partners, L.P.
Van Kasper & Company
Wheat, First Securities, Inc.
SALOMON BROTHERS CAPITAL FUND
PURCHASE PURSUANT TO
RULE 10f-3 OF ICA
-----------------
`
NAME OF STOCK: Hollinger International Inc.
DATE OF PURCHASE: February 1, 1996
NUMBER OF SHARES PURCHASED: 22,500
AGGREGATE PURCHASE PRICE: $208,125
PRICE PER SHARE: $9.25
UNDERWRITING SPREAD: $0.445
% GROSS UNDERWRITING SPREAD: 4.81%
SHARES OFFERED: 14,000,000
TOTAL OFFERING: $129,500,000
4% OF OFFERING: $5,180,000
3% OF TOTAL ASSETS: $3,202,146(3% of $106,738,191)
BROKER: Merrill Lynch
Note: The above represents the only stock purchased by funds in the Salomon
Brothers complex.
The above purchase was made in accordance with the procedures adopted by the
Board of Directors pursuant to Rule 10(f)3 of the Investment Company Act of
1940, as amended.
1001
Underwriters
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Goldman, Sachs & Co.
Montgomery Securities
Bear, Stearns & Co.Inc
Sanford C. Bernstein & Co., Inc.
Alex. Brown & Sons Incorporated
CS First Boston Corporation
Donaldson, Lufkin & Jenrette Securities Corporation
A.G. Edwards & Sons, Inc.
Hambrecht & Quist LLC
Keefe, Bruyette & Woods, Inc.
Legg Mason Wood Walker, Incorporated
Morgan Stanley & Co. Incorporated
Salomon Brothers Inc.
Smith Barney Inc.
Wasserstein Perella Securities, Inc.
J.C. Bradford & Co.
Cleary Gull Reiland & Mcdevitt Inc.
Duff & Phelps Securities Co.
Fahnestock & Co. Inc.
First Manhattan Co.
First of Michigan Corporation
Fox - Pitt, Kelton Inc.
Gerard Klauer Mattison & Co. LLC
Janney Montgomery Scott Inc.
Jefferies & Company, Inc.
Morgan Keegan & Company, Inc.
Neuberger & Berman
Principal Financial Securities, Inc.
Ragen MacKenzie Incorporated
Rauscher Pierce Refsnes, Inc.
The Robinson - Humphrey Compant, Inc.
SoundView Financial Group, Inc.
Sutro & Co. Incorporated
Utendahl Capital Partners, L.P.
Van Kasper & Company
Wheat, First Securities, Inc.
SALOMON BROTHERS CAPITAL FUND
PURCHASE PURSUANT TO
RULE 10f-3 OF ICA
-----------------
NAME OF STOCK: Lucent Technologies
DATE OF PURCHASE: April 3, 1996
NUMBER OF SHARES PURCHASED: 19,200
AGGREGATE PURCHASE PRICE: $518,400
PRICE PER SHARE: $27.00
UNDERWRITING SPREAD: $1.05
% GROSS UNDERWRITING SPREAD: 3.89%
SHARES OFFERED: 112,037,037
TOTAL OFFERING: $3,024,999,999
4% OF OFFERING: $121,000,000
3% OF TOTAL ASSETS: $3,559,448(3% of 118,648,260)
BROKER: Morgan Stanley
Note: A total of 200,000 shares was purchased by funds in the Salomon Brothers
complex for an aggregate purchase price of $5,400,000.
The above purchase was made in accordance with the procedures adopted by the
Board of Directors pursuant to Rule 10(f)3 of the Investment Company Act of
1940, as amended.
101
U.S. Underwriters
Morgan Stanley & Co. Incorporated
Goldman, Sachs & Co.
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Bear, Stearns & Co. Inc.
CS First Boston Corporation
J.P. Morgan Securities Inc.
PaineWebber Incorporated
Advest, Inc.
Arnhold and S. Bleichroeder, Inc.
Robert W. Baird & Co. Incorporated
M.R. Beal & Company
Sanford C. Bernstein & Co., Inc.
William Blair & Company, L.L.C.
J.C. Bradford & Co.
Alex. Brown & Sons Incorporated
Cowen & Company
Crowell, Weedon & Co.
Dain Bosworth Incorporated
Dean Witter Reynolds Inc.
Deutsche Morgan Grenfell / C.J. Lawrence Inc.
Dillon, Read & Co. Inc.
Donaldson, Lufkin & Jenrette Securities Corporation
A.G. Edwards & Sons, Inc.
EVEREN Securities, Inc.
Fahnestock & Co. Inc.
First Manhattan Co.
First Of Michigan Corporation
Furman Selz LLC
Gabelli & Company, Inc.
Gerard Klauer Mattison & Co., LLC
Gruntal & Co., Incorporated
Guzman & Company
Hambrecht & Quist LLC
Interstate / Johnson Lane Corporation
Janney Montgomery Scott Inc.
WR Lazard, Laidlaw & Luther
Lazard Freres & Co. LLC
Legg Mason Wood Walker, Incorporated
Lehman Brothers Inc.
McDonald & Company Securities, Inc.
Montgomery Securities
Needham & Company, Inc.
Oppenheimer & Co., Inc.
Paribas Corporation
Parker / Hunter Incorporated
Piper Jaffray Inc.
Prudential Securities Incorporated
Pryor, McClendon, Counts & Co., Inc.
Ragen MacKenzie Incorporated
Rauscher Pierce Refsnes, Inc.
Raymond James & Associates, Inc.
Robertson, Stephens & Company LLC
The Robinson - Humphrey Company, Inc.
Salomon Brothers Inc.
SBC Capital Markets Inc.
Schroder Wertheim & Co. Incorporated
Scott & Stringfellow, Inc.
Muriel Siebert & Co., Inc.
Smith Barney Inc.
Stifel, Nicholas & Company Incorporated
Sutro & Co. Incorporated
UBS Securities Inc.
Wasserstein Perella Securities Inc.
Wheat, First Securities, INc.
International Underwriters
Morgan Stanley & Co. International Limited
Goldman Sachs International
Merrill Lynch International Limited
Banque Paribas
Morgan Grenfell & Co. Limited
Swiss Bank Corporation
UBS Limited
Bear, Stearns International Limited
CS First Boston Limited
J.P. Morgan Securities Limited
PaineWebber International (U.K.) Ltd.
ABN AMRO Bank N.V.
Argentaria Bolsa S.V.B., S.A.
Cazenove & Co.
CIBC Wood Gundy plc
Commerzbank Aktiengesellschaft
Credit Lyonnais Securities
Daiwa Europe Limited
Kleinwort Benson Limited
Robert Flemming & Co. Limited
HSBC Investment Bank Limited
ING Bank N.V.
Nikko Europe plc
Nomura International plc
RBC Dominion Securities Inc.
J. Henry Schroder & Co., Limited
Societe Generale
SALOMON BROTHERS CAPITAL FUND
PURCHASE PURSUANT TO
RULE 10f-3 OF ICA
-----------------
NAME OF STOCK: Northrop Grumman
DATE OF PURCHASE: June 3, 1996
NUMBER OF SHARES PURCHASED: 9,400
AGGREGATE PURCHASE PRICE: $594,550
PRICE PER SHARE: $63.25
UNDERWRITING SPREAD: $1.97
% GROSS UNDERWRITING SPREAD: 3.11%
SHARES OFFERED: 7,000,000
TOTAL OFFERING: $442,750,000
4% OF OFFERING: $17,710,000
3% OF TOTAL ASSETS: $3,643,479(3% of 121,449,316)
BROKER: J.P. Morgan
Note: A total of 85,000 shares was purchased by funds in the Salomon Brothers
complex for an aggregate purchase price of $5,376,250.
The above purchase was made in accordance with the procedures adopted by the
Board of Directors pursuant to Rule 10(f)3 of the Investment Company Act of
1940, as amended.
101
Underwriters
CS First Boston Corporation
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Salomon Brothers Inc.
Bear, Stearns & Co. Inc.
BT Securities Corporation
Cowen & Company
Deutsche Morgan Grenfell / C.J. Lawrence Inc.
Goldman, Sachs & Co.
Lehman Brothers Inc.
J.P. Morgan Securities Inc.
Oppenheimer & Co., Inc.
PaineWebber Incorporated
Scotia Capital Markets (USA) Inc.
SALOMON BROTHERS CAPITAL FUND
PURCHASE PURSUANT TO
RULE 10f-3 OF ICA
-----------------
NAME OF STOCK: Planet Hollywood
DATE OF PURCHASE: April 18, 1996
NUMBER OF SHARES PURCHASED: 2,000
AGGREGATE PURCHASE PRICE: $36,000
PRICE PER SHARE: $18.00
UNDERWRITING SPREAD: $1.08
% GROSS UNDERWRITING SPREAD: 6.00%
SHARES OFFERED: 10,788,219
TOTAL OFFERING: $194,187,942
4% OF OFFERING: $7,767,518
3% OF TOTAL ASSETS: $3,482,170(3% of 116,072,320)
BROKER: Morgan Stanley
Note: A total of 10,000 shares was purchased by funds in the Salomon Brothers
complex for an aggregate purchase price of $180,000.
The above purchase was made in accordance with the procedures adopted by the
Board of Directors pursuant to Rule 10(f)3 of the Investment Company Act of
1940, as amended.
101
Underwriters
Bear, Stearns & Co. Inc.
Montgomery Securities
Schroder Wertheim & Co. Incorporated
Smith Barney Inc.
Alex. Brown & Sons Incorporated
CS First Boston Corporation
Dean Witter Reynolds Inc.
Dillon, Read & Co. Inc.
Donaldson, Lufkin & Jenrette Securities Corporation
A.G. Edwards & Sons, Inc.
Hambrecht & Quist LLC
Lazard Freres & Co. LLC
Lehman Brothers Inc.
Morgan Stanley & Co. Incorporated
Oppenheimer & Co., Inc.
PaineWebber Incorporated
Prudential Securities Incorporated
Robertson, Stephens & Company LLC
Salomon Brothers Inc.
Allen & Company Incorporated
William Blair & Company, L.L.C.
J.C. Bradford & Co.
Brean Murray, Foster Securities Inc.
Furman Selz LLC
Gerard Klauer Mattison & Co., LLC
Hanifen, Imhoff Inc.
Interstate / Johnson Lane Corporation
Johnson Rice & Company L.L.C.
Josephthal Lyon & Ross Incorporated
Ladenburg, Thalman & Co., Inc.
Legg Mason Wood Walker, Incorporated
McDonald & Company Securities, Inc.
Morgan Keegan & Company, Inc.
Needham & Company, Inc.
Piper Jaffray Inc.
Principal Financial Securities, Inc.
Rauscher Pierce Refsnes, Inc.
Raymond James & Associates, Inc.
The Robinson - Humphrey Company, Inc.
Scotia Capital Markets (USA) Inc.
Scott & Stringfellow, Inc.
Stephens Inc.
Tucker Anthony Incorporated
Wheat First Butcher Singer
International Managers
Bear, Stearns International Limited
Montgomery Securities
J. Henry Schroder & Co. Limited
Smith Barney Inc.
Credit Lyonnais Securities
Nomura International plc
Banque Paribas
SBC Warburg
Vickers Ballas Holdings Limited
SALOMON BROTHERS CAPITAL FUND
PURCHASE PURSUANT TO
RULE 10f-3 OF ICA
-----------------
`
NAME OF STOCK: Red Roof Inns, Inc.
DATE OF PURCHASE: January 31, 1996
NUMBER OF SHARES PURCHASED: 30,000
AGGREGATE PURCHASE PRICE: $480,000
PRICE PER SHARE: $16.00
UNDERWRITING SPREAD: $0.96
% GROSS UNDERWRITING SPREAD: 6.00%
SHARES OFFERED: 10,000,000
TOTAL OFFERING: $160,000,000
4% OF OFFERING: $6,400,000
3% OF TOTAL ASSETS: $3,240,348(3% of $108,011,591)
BROKER: Morgan Stanley
Note: The above represents the only stock purchased by funds in the Salomon
Brothers complex.
The above purchase was made in accordance with the procedures adopted by the
Board of Directors pursuant to Rule 10(f)3 of the Investment Company Act of
1940, as amended.
1001
Underwriters
Morgan Stanley & Co. Incorporated
Alex. Brown & Sons Incorporated
Donaldson, Lufkin & Jenrette Securities Corporation
Schroder Wertheim & Co. Incorporated
Advest, Inc.
BT Securities Corporation
The Chicago Corporation
Cowen & Company
CS First Boston Corporation
Dain Bosworth Incorporated
Deutsche Morgan Grenfell / C.J. Lawrence Inc.
A.G. Edwards & Sons, Inc.
EVEREN Securities, Inc.
Fahnestock & Co. Inc.
First Of Michigan Corporation
Gerard Klauer Mattison & Co., LLC
Guzman & Company
Hanifen, Imhoff Inc.
J.J.B. Hilliard, W.L. Lyons
Interstate / Johnson Lane Corporation
Janney Montgomery Scott Inc.
Edward D. Jones & Co.
Ladenburg, Thalmann & Co. Inc.
WR Lazard, Laidlaw & Luther
Legg Mason Wood Walker, Incorporated
McDonald & Company Securities, Inc.
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Montgomery Securities
Moors & Cabot, Inc.
Needham & Company, Inc.
The Ohio Company
Oppenheimer & Co., Inc.
Piper Jaffray Inc.
Principal Financial Securities, Inc.
Ragen MacKenzie Incorporated
Rauscher Pierce Refsnes, Inc.
Raymond James & Associates, Inc.
Salomon Brothers inc.
Scott & Stringfellow, Inc.
Smith Barney Inc.
Stifel, Nicholaus & Company Incorporated
Tucker Anthony Incorporated
Wheat First Securities, Inc.
SALOMON BROTHERS CAPITAL FUND
PURCHASE PURSUANT TO
RULE 10f-3 OF ICA
-----------------
`
NAME OF STOCK: Revlon
DATE OF PURCHASE: February 28, 1996
NUMBER OF SHARES PURCHASED: 2,000
AGGREGATE PURCHASE PRICE: $48,000
PRICE PER SHARE: $24.00
UNDERWRITING SPREAD: $1.50
% GROSS UNDERWRITING SPREAD: 6.25%
SHARES OFFERED: 7,500,000
TOTAL OFFERING: $180,000,000
4% OF OFFERING: $7,200,000
3% OF TOTAL ASSETS: $3,345,635(3% of $111,521,181)
BROKER: Merrill Lynch
Note: A total of 10,000 shares was purchased by funds in the Salomon Brothers
complex for an aggregate purchase price of $240,000.
The above purchase was made in accordance with the procedures adopted by the
Board of Directors pursuant to Rule 10(f)3 of the Investment Company Act of
1940, as amended.
1001
Underwriters
Merrill Lynch, Pierce, Fenner & Smith Incorporated
CS First Boston Corporation
Goldman , Sachs & Co.
Lazard Freres & Co. LLC
Morgan Stanley & Co. Incorporated
Bear, Stearns & Co. Inc
Chemical Securities inc.
Donaldson, Lufkin & Jenrette Securities Corporation
PaineWebber Incorporated
Salomon Brothers Inc.
Smith Barney, Inc.
SALOMON BROTHERS CAPITAL FUND
PURCHASE PURSUANT TO
RULE 10f-3 OF ICA
-----------------
NAME OF STOCK: Rutherford-Moran Oil Corporation
DATE OF PURCHASE: June 21, 1996
NUMBER OF SHARES PURCHASED: 3,000
AGGREGATE PURCHASE PRICE: $69,000
PRICE PER SHARE: $23.00
UNDERWRITING SPREAD: $1.61
% GROSS UNDERWRITING SPREAD: 7.00%
SHARES OFFERED: 4,000,000
TOTAL OFFERING: $92,000,000
4% OF OFFERING: $3,680,000
3% OF TOTAL ASSETS: $3,584,752(3% of 119,491,734)
BROKER: J.P. Morgan
Note: A total of 15,000 shares was purchased by funds in the Salomon Brothers
complex for an aggregate purchase price of $345,000.
The above purchase was made in accordance with the procedures adopted by the
Board of Directors pursuant to Rule 10(f)3 of the Investment Company Act of
1940, as amended.
101
U.S. Underwriters
J.P. Morgan Securities Inc.
Morgan Stanley & Co. Incorporated
PaineWebber Incorporated
Smith Barney Inc.
CS First Boston Corporation
Dillon, Read & Co. inc.
Donaldson, Lufkin & Jenrette Securities Corporation
Goldman, Sachs & Co.
Howard, Weil, Labouisse, Friedrichs Inc.
Lehman Brothers Inc.
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Rauscher Pierce Refsnes, Inc.
Sanders Morris Mundy Inc.
Salomon Brothers Inc.
International Managers
J.P. Morgan Securities Ltd.
Morgan Stanley & Co. International Limited
PaineWebber International (U.K.) Ltd.
Smith Barney Inc.
Barclay's De Zoete Wedd Limited
NatWest Securities Limited
SALOMON BROTHERS CAPITAL FUND
PURCHASE PURSUANT TO
RULE 10f-3 OF ICA
-----------------
NAME OF STOCK: Saks Holdings, Inc.
DATE OF PURCHASE: May 21, 1996
NUMBER OF SHARES PURCHASED: 2,400
AGGREGATE PURCHASE PRICE: $60,000
PRICE PER SHARE: $25.00
UNDERWRITING SPREAD: $1.50
% GROSS UNDERWRITING SPREAD: 6.00%
SHARES OFFERED: 16,000,000
TOTAL OFFERING: $400,000,000
4% OF OFFERING: $16,000,000
3% OF TOTAL ASSETS: $3,751,222(3% of 125,040,744)
BROKER: Goldman, Sachs
Note: A total of 40,000 shares was purchased by funds in the Salomon Brothers
complex for an aggregate purchase price of $1,000,000.
The above purchase was made in accordance with the procedures adopted by the
Board of Directors pursuant to Rule 10(f)3 of the Investment Company Act of
1940, as amended.
101
Underwriters
Goldman, Sachs & Co.
CS First Boston Corporation
Morgan Stanley & Co. Incorporated
Salomon Brothers Inc.
Advest, Inc.
BT Securities Corporation
Robert W. Baird & Co. Incorporated
Bear, Stearns & Co. Inc.
Sanford C. Bernstein & Co., Inc.
William Blair & Company, L.L.C.
The Buckingham Research Group, Limited
Chase Securities, Inc.
Dain Bosworth Incorporated
Donaldson, Lufkin & Jenrette Securities Corporation
Furman Selz LLC
Edward D. Jones & Co.
Legg Mason Wood Walker, Incorporated
Lehman Brothers Inc.
Merrill Lynch, Pierce, Fenner & Smith Incorporated
NatWest Securities Limited
PaineWebber Incorporated
Pryor, McClendon, Counts, & Co., Inc.
Robertson, Stephens, & Company LLC
Schroder Wertheim & Co. Incorporated
Muriel Siebert & Co., Inc.
Smith Barney Inc.
Sutro & Co. Incorporated
Wasserstein Perella Securities, Inc.
SALOMON BROTHERS CAPITAL FUND
PURCHASE PURSUANT TO
RULE 10f-3 OF ICA
-----------------
NAME OF STOCK: Tranz Rail Holdings Limited
DATE OF PURCHASE: June 12, 1996
NUMBER OF SHARES PURCHASED: 15,000
AGGREGATE PURCHASE PRICE: $187,500
PRICE PER SHARE: $12.50
UNDERWRITING SPREAD: $.875
% GROSS UNDERWRITING SPREAD: 7.00%
SHARES OFFERED: 27,000,000
TOTAL OFFERING: $112,500,000
4% OF OFFERING: $4,500,000
3% OF TOTAL ASSETS: $3,669,545(3% of 122,318,169)
BROKER: Goldman, Sachs
Note: The above represents the only stock purchased by funds in the Salomon
Brothers complex.
The above purchase was made in accordance with the procedures adopted by the
Board of Directors pursuant to Rule 10(f)3 of the Investment Company Act of
1940, as amended.
101
Underwriters
Goldman, Sachs & Co.
Schroder Wertheim & Co. Incorporated
Robert W. Baird & Co. Incorporated
George K. Baum & Company
CS First Boston Corporation
Dean Witter Reynolds Inc.
A.G. Edwards & Sons, Inc.
Morgan Stanley & Co. Incorporated
PaineWebber Incorporated
Salomon Brothers Inc.
SALOMON BROTHERS CAPITAL FUND
PURCHASE PURSUANT TO
RULE 10f-3 OF ICA
-----------------
NAME OF STOCK: Travelers/Aetna Property Casualty Corp.
DATE OF PURCHASE: April 22, 1996
NUMBER OF SHARES PURCHASED: 4,400
AGGREGATE PURCHASE PRICE: $110,000
PRICE PER SHARE: $25.00
UNDERWRITING SPREAD: $1.1875
% GROSS UNDERWRITING SPREAD: 4.75%
SHARES OFFERED: 35,435,740
TOTAL OFFERING: $885,893,500
4% OF OFFERING: $35,435,740
3% OF TOTAL ASSETS: $3,473,874(3% of 115,795,789)
BROKER: Smith Barney
Note: A total of 75,000 shares was purchased by funds in the Salomon Brothers
complex for an aggregate purchase price of $1,875,000.
The above purchase was made in accordance with the procedures adopted by the
Board of Directors pursuant to Rule 10(f)3 of the Investment Company Act of
1940, as amended.
101
Underwriters
Smith Barney Inc.
CS First Boston Corporation
Dean Witter Reynolds Inc.
Goldman, Sachs & Co.
Lehman Brothers Inc.
J.P. Morgan Securities Inc.
Morgan Stanley & Co. Incorporated
Salomon Brothers Inc.
Advest, Inc.
Arnhold and S. Bleichroeder, Inc.
Bear, Stearns & Co. Inc
Sanford C. Bernstein & Co., Inc.
Brean Murray, Foster Securities Inc.
Alex. Brown & Sons Incorporated
The Chicago Corporation
Conning & Company
Deutsche Morgan Grenfell / C.J. Lawrence Inc.
Dillon, Read & Co., Inc.
Donaldson, Lufkin & Jenrette Securities Corporation
Dowling & Partners Securities LLC
Duff & Phelps Securities Co.
A.G. Edwards & Sons, Inc.
First Manhattan Co.
First of Michigan Corporation
Fox - Pitt Kelton
Furman Selz LLC
Janney Montgomery Scott Inc.
Lazard Freres & Co. LLC
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Muriel Siebert & Co., Inc.
Neuberger & Berman
Oppenheimer & Co., Inc.
PaineWebber Incorporated
Prudential Securities Incorporated
The Robinson - Humphrey Company, Inc.
Schroder Wertheim & Co. Incorporated
International Underwriters
Smith Barney Inc.
CS First Boston Limited
Dean Witter International Ltd.
Goldman Sachs International
Lehman Brothers International (Europe)
J.P. Morgan Securities Ltd.
Morgan Stanley & Co. International Limited
Salomon Brothers International Limited
ABN AMRO Bank N.V.
Barclays de Zoete Wedd Limited
Bayerische Landesbank Girozentrale
Credit Lyonnais Securities
Fox-Pitt, Kelton N.V.
ING Bank N.V.
Morgan Grenfell and Co. Limited
Nomura International plc
SALOMON BROTHERS CAPITAL FUND
PURCHASE PURSUANT TO
RULE 10f-3 OF ICA
-----------------
NAME OF STOCK: Trico Marine Services, Inc.
DATE OF PURCHASE: May 15, 1996
NUMBER OF SHARES PURCHASED: 5,000
AGGREGATE PURCHASE PRICE: $80,000
PRICE PER SHARE: $16.00
UNDERWRITING SPREAD: $1.12
% GROSS UNDERWRITING SPREAD: 7.00%
SHARES OFFERED: 3,900,000
TOTAL OFFERING: $62,400,000
4% OF OFFERING: $2,496,000
3% OF TOTAL ASSETS: $3,593,399(3% of 119,779,946)
BROKER: Schroder Wertheim
Note: The above represents the only stock purchased by funds in the Salomon
Brothers complex.
The above purchase was made in accordance with the procedures adopted by the
Board of Directors pursuant to Rule 10(f)3 of the Investment Company Act of
1940, as amended.
101
Underwriters
Schroder Wertheim & Co. Incorporated
Raymond James & Associates, Inc.
Simmons & Company International
CS First Boston Corporation
Dillon, Read & Co., Inc.
Donaldson, Lufkin & Jenrette Securities Corporation
Lehman Brothers Inc.
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Morgan Stanley & Co. Incorporated
Salomon Brothers Inc.
Smith Barney, Inc.
Wasserstein Perella Securities, Inc.
Advest, Inc.
Robert W. Baird & Co. Incorporated
Burnham Securities Inc.
Huberman Financial, Inc.
Janney Montgomery Scott Inc.
Johnson Rice & Company L.L.C.
Ladenburg, Thalman & Co. Inc.
McDonald & Company Securities, Inc
Petrie Parkman & Co.
Piper Jaffray Inc.
Rauscher Pierce Refsnes, Inc.
The Robinson - Humphrey Company, Inc.
Scott & Stringfellow, Inc.
Southcoast Capital Corp.
Williams Mackay Jordan & Co., Inc.
SALOMON BROTHERS CAPITAL FUND
PURCHASE PURSUANT TO
RULE 10f-3 OF ICA
-----------------
NAME OF STOCK: USCS International
DATE OF PURCHASE: June 20, 1996
NUMBER OF SHARES PURCHASED: 1,500
AGGREGATE PURCHASE PRICE: $25,500
PRICE PER SHARE: $17.00
UNDERWRITING SPREAD: $1.19
% GROSS UNDERWRITING SPREAD: 7.00%
SHARES OFFERED: 4,800,000
TOTAL OFFERING: $81,600,000
4% OF OFFERING: $3,264,000+
3% OF TOTAL ASSETS: $3,556,107(3% of 118,536,887)
BROKER: Merrill Lynch
Note: A total of 25,000 shares was purchased by funds in the Salomon Brothers
complex for an aggregate purchase price of $425,000.
The above purchase was made in accordance with the procedures adopted by the
Board of Directors pursuant to Rule 10(f)3 of the Investment Company Act of
1940, as amended.
101
Underwriters
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Montgomery Securities
Alex. Brown & Sons Incorporated
CS First Boston Corporation
Dean Witter Reynolds Inc.
Hambrecht & Quist LLC
Lehman Brothers Inc.
Prudential Securities Incorporated
Robertson, Stephens, & Company LLC
Salomon Brothers Inc.
Smith Barney, Inc.
Adams, Harkness & Hill, Inc.
William Blair & Company, L.L.C.
Brean Murray, Foster Securities Inc.
Gerard Klauer Mattison & Co. LLC
Interstate / Johnson Lane Corporation
Jeffries & Company, Inc.
Legg Mason Wood Walker, Incorporated
Needham & Company, Inc.
Pennsylvania Merchant Group Ltd.
Punk, Ziegal, & Knoell, L.P.
Raymond James & Associates, Inc.
SoundView Financial Group, Inc.
Utendahl Capital Partners, L.P.
Vector Securities international, Inc.
Wheat First Securities, Inc.
William K. Woodruff & Company Incorporated
SALOMON BROTHERS CAPITAL FUND
PURCHASE PURSUANT TO
RULE 10f-3 OF ICA
`
NAME OF STOCK: World Color
DATE OF PURCHASE: January 25, 1996
NUMBER OF SHARES PURCHASED: 25,000
AGGREGATE PURCHASE PRICE: $475,000
PRICE PER SHARE: $19.00
UNDERWRITING SPREAD: $1.04
% GROSS UNDERWRITING SPREAD: 5.47%
SHARES OFFERED: 13,792,668
TOTAL OFFERING: $262,060,692
4% OF OFFERING: $10,482,428
3% OF TOTAL ASSETS: $3,183,501(3% of 106,116,700)
BROKER: Donaldson, Lufkin & Jenrette
Note: The above represents the only stock purchased by funds in the Salomon
Brothers complex.
The above purchase was made in accordance with the procedures adopted by the
Board of Directors pursuant to Rule 10(f)3 of the Investment Company Act of
1940, as amended.
1001
Underwriters
Donaldson, Lufkin & Jenrette Securities Corporation
CS First Boston Corporation
Morgan Stanley & Co. Incorporated
PaineWebber Incorporated
Smith Barney Inc.
ABN AMRO Securities (USA) Inc.
Bear, Stearns & Co. Inc
Alex. Brown & Sons Incorporated
Cowen & Co.
Dean Witter Reynolds Inc.
Dresdner Securities (USA) Inc.
Deutsche Morgan Grenfell / C.J. Lawrence Inc.
Dillon, Read & Co. Inc.
A.G. Edwards & Sons, Inc.
Goldman , Sachs & Co.
Lazard Freres & Co. LLC
Lehman Brothers Inc.
Montgomery Securities
J.P. Morgan Securities Inc.
Oppenheimer & Co., Inc.
Paribas Corporation
Prudential Securities Incorporated
Salomon Brothers Inc.
Schroder Wertheim & Co. Incorporated
Advest, Inc.
Robert W. Baird & Co. Incorporated
William Blair & Company, L.L.C.
J.C. Bradford & Co.
Brean Murray, Foster Securities Inc.
Cleary Gull Reiland & McDevitt Inc.
Dain Bosworth Incorporated
Equitable Securities corporation
First of Michigan Corporation
Furman Selz LLC
Gerard Klauer Mattison & Co., LLC
Interstate / Johnson Lane Corporation
Edward D. Jones & Co.
Legg Mason Wood Walker, Incorporated
McDonald & Company Securities, Inc
Morgan Keegan & Company, Inc.
Needham & Company, Inc.
Neuberger & Berman
The Ohio Company
Parker / Hunter Incorporated
Pennsylvania Merchant Group Ltd.
Raymond James & Associates, Inc.
Roney & Co.
Scott & Stringfellow, Inc.
Muriel Siebert & Co., Inc.
Tucker Anthony Incorporated
International Managers
Donaldson, Lufkin & Jenrette Securities Corporation
CS First Boston Limited
Morgan Stanley & Co. International Limited
PaineWebber International (U.K.) Ltd.
Smith Barney Inc.
ABN AMRO Bank N.V.
Banque Indosuez Capital
HSBC Investment Bank Limited
Cazenove & Co.
Kleinwort Benson Limited
Morgan Grenfell & Co. Limited
Panmure Gordon & Co. Limited
Banque Paribas
UBS Limited
