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Filer: DEAN WITTER SELECT MUNICIPAL TRUST
INSURED CALIFORNIA INTERMEDIATE TERM PORTFOLIO SERIES 13
Investment Company Act No. 811-3676
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM S-6
For Registration Under the Securities Act of 1933 of Securities of
Unit Investment Trusts Registered on Form N-8B-2.
A. Exact name of Trust:
DEAN WITTER SELECT MUNICIPAL TRUST,
INSURED CALIFORNIA INTERMEDIATE TERM PORTFOLIO SERIES 13
B. Name of Depositor:
DEAN WITTER REYNOLDS INC.
C. Complete address of Depositor's principal executive office:
DEAN WITTER REYNOLDS INC.
Two World Trade Center
New York, New York 10048
D. Name and complete address of agents for service:
MR. MICHAEL D. BROWNE
DEAN WITTER REYNOLDS INC.
Unit Trust Department
Two World Trade Center - 59th Floor
New York, New York 10048
Copy to:
KENNETH W. ORCE, ESQ.
CAHILL GORDON & REINDEL
80 Pine Street
New York, New York 10005
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E. Total and amount of securities being registered:
277,000 Units*
F. Proposed maximum offering price to the public of the securities
being registered:
$290,850**
G. Amount of filing fee:
$100.30
H. Approximate date of proposed sale to public:
AS SOON AS PRACTICABLE AFTER THE EFFECTIVE DATE OF THE
REGISTRATION STATEMENT.
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.
_________________________
* Includes 92,000 Units registered for purposes of resale by the depositor
of Units purchased by it as described in this Form S-6.
** Estimated solely for the purpose of calculating the registration fee, at
a price per Unit of $1.05.
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DEAN WITTER SELECT MUNICIPAL TRUST,
INSURED CALIFORNIA INTERMEDIATE TERM PORTFOLIO SERIES 13
Cross Reference Sheet
Pursuant to Rule 404(c) of Regulation C
under the Securities Act of 1933
(Form N-8B-2 Items required by Instruction 1
as to Prospectus on Form S-6)
Form N-8B-2 Form S-6
Item Number Heading in
Prospectus
I. ORGANIZATION AND GENERAL INFORMATION
1. (a) Name of Trust ) Front Cover
(b) Title of securities issued )
2. Name and address of Depositor ) Table of Contents
3. Name and address of Trustee ) Table of Contents
4. Name and address of principal ) Table of Contents
Underwriter )
5. Organization of Trust ) Introduction
6. Execution and termination of ) Introduction;
Indenture ) Amendment and
) Termination of
) the Indenture
7. Changes of name ) *
8. Fiscal Year ) Included in Form
) N-8B-2
9. Litigation ) *
_________________________
* Not applicable, answer negative or not required.
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II. GENERAL DESCRIPTION OF THE TRUST
AND SECURITIES OF THE TRUST
10. General Information regarding )
Trust's Securities and Rights )
of Holders )
(a) Type of Securities ) Rights of Unit Holders
(Registered or Bearer)
(b) Type of Securities ) Administration of the
(Cumulative or ) Trust-Distribution
Distributive)
(c) Rights of Holders as to ) Redemption; Public
withdrawal or redemption ) Offering of Units-
) Secondary Market
(d) Rights of Holders as to ) Public Offering of
conversion, transfer, ) Units-Secondary
partial redemption and ) Market; Exchange
similar matters ) Option; Redemption;
) Rights of Unit Holders-
) Certificates
(e) Lapses or defaults with ) *
respect to periodic payment )
plan certificates )
(f) Voting rights as to Secu- ) Rights of Unit Holder
rities under the Indenture ) -Certain Limitations;
) Amendment and Termination
) of the Indenture
_________________________
* Not applicable, answer negative or not required.
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(g) Notice to Holders as to )
change in )
(1) Composition of assets ) Administration of the
of Trust ) Trust-Reports to Unit
) Holders; The Trust-
) Summary Description
) of the Portfolios
(2) Terms and Conditions ) Amendment and Termination
of Trust's Securities ) of the Indenture
(3) Provisions of ) Amendment and Termination
Indenture ) of the Indenture
(4) Identity of Depositor ) Sponsor; Trustee
and Trustee )
(h) Security Holders Consent )
required to change )
(1) Composition of assets ) Amendment and Termination
of Trust ) of the Indenture
(2) Terms and conditions ) Amendment and Termination
of Trust's Securities ) of the Indenture
(3) Provisions of ) Amendment and Termination
Indenture ) of the Indenture
(4) Identity of Depositor ) *
and Trustee )
(i) Other principal features ) Cover of Prospectus;
of the Trust's Securities ) Tax Status
11. Type of securities comprising ) The Trust-Summary
units ) Description of
) the Portfolios;
) Objectives and
) Securities Selection;
) The Trust-Special
) Considerations
12. Type of securities comprising ) *
periodic payment certificates
_________________________
* Not applicable, answer negative or not required.
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13. (a) Load, fees, expenses, etc. ) Summary of Essential
) Information; Public
) Offering of Units-Public
) Offering Price; -Profit
) of Sponsor;- Volume
) Discount; Expenses and
) Charges
(b) Certain information ) *
regarding periodic payment )
certificates )
(c) Certain percentages ) Summary of Essential
) Information;
) Public Offering of
) Units-Public
) Offering Price;
) -Profit of Sponsor;
) -Volume Discount
(d) Price differentials ) Public Offering of
) Units - Public
) Offering Price
(e) Certain other loads, fees, ) Rights of Unit Holders -
expenses, etc. ) Certificates
payable by holders )
(f) Certain profits receivable ) Redemption - Purchase by
by depositor, principal ) the Sponsors of Units
underwriters, trustee or ) Tendered for Redemption
affiliated persons )
(g) Ratio of annual charges to ) *
income
14. Issuance of trust's securities ) Introduction; Rights of
) Unit Holders - Certifi-
) cates
15. Receipt and handling of ) Public Offering of Units-
payments from purchasers ) Profit of Sponsor
_________________________
* Not applicable, answer negative or not required.
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16. Acquisition and disposition of ) Introduction;
underlying securities ) Amendment and
) Termination of the
) Indenture; Objectives
) and Securities Selection;
) The Trust-Summary
) Description of
) the Portfolio;
) Sponsor-Responsibility
17. Withdrawal or redemption ) Redemption;
) Public Offering of Units-
) Secondary Market;
)
)
18. (a) Receipt and disposition of ) Administration of the
income ) Trust; Reinvestment
) Programs
(b) Reinvestment of distribu- ) Reinvestment
tions ) Programs
(c) Reserves or special fund ) Administration of the
) Trust-Distribution
(d) Schedule of distribution ) *
19. Records, accounts and report ) Administration of the
) Trust-Records and
) Accounts;-Reports to
) Unit Holders
20. Certain miscellaneous provi- ) Amendment and Termination
sions of trust agreement ) of the Indenture; Sponsor
) - Limitation on Liability
) - Resignation; Trustee -
) - Limitation on Liability
) - Resignation
_________________________
* Not applicable, answer negative or not required.
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21. Loans to security holders ) *
22. Limitations on liability of ) Sponsor, Trustee;
depositor, trustee, custodian, ) Evaluator - Limitation on
etc. ) Liability
23. Bonding arrangements ) Included in Form N-8B-2
24. Other material provisions of ) *
trust agreement )
_________________________
* Not applicable, answer negative or not required.
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III. ORGANIZATION PERSONNEL AND AFFILIATED
PERSONS OF DEPOSITOR
25. Organization of Depositor ) Sponsor
26. Fees received by Depositor ) Expenses and Charges -
) fees; Public Offering of
) Units-Profit of Sponsor
27. Business of Depositor ) Sponsor and
) Included in Form N-8B-2
28. Certain information as to ) Included in Form N-8B-2
officials and affiliated )
persons of Depositor )
29. Voting securities of Depositor ) Included in Form N-8B-2
30. Persons controlling Depositor ) *
31. Compensation of Officers and ) *
Director of Depositor )
32. Compensation of Directors of ) *
Depositor )
33. Compensation of employees of ) *
Depositor )
34. Remuneration of other persons ) *
for certain services rendered )
to trust )
_________________________
* Not applicable, answer negative or not required.
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IV. DISTRIBUTION AND REDEMPTION OF SECURITIES
35. Distribution of trust's ) Public Offering of Units-
securities by states ) Public Distribution
36. Suspension of sales of trust's ) *
securities )
37. Revocation of authority to ) *
distribute )
38. (a) Method of distribution ) Public Offering of Units
(b) Underwriting agreements )
(c) Selling agreements )
39. (a) Organization of principal ) Sponsor
underwriter )
(b) N.A.S.D. membership of )
principal underwriter )
40. Certain fees received by ) Public Offering of Units-
principal underwriter ) Profit of Sponsor
41. (a) Business of principal ) Sponsor
underwriter )
(b) Branch offices of ) *
principal underwriter )
(c) Salesman of principal ) *
underwriter
42. Ownership of trust's securities ) *
by certain persons
43. Certain brokerage commissions ) *
received by principal )
underwriter )
_________________________
* Not applicable, answer negative or not required.
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44. (a) Method of valuation ) Public Offering of Units
(b) Schedule as to offering ) *
price )
(c) Variation in offering ) Public Offering of Units-
price to certain persons ) -Volume Discount; Exchange
) option
45. Suspension of redemption rights ) *
46. (a) Redemption valuation ) Public Offering of Units-
) Secondary Market; Redemp-
) tion
(b) Schedule as to redemption ) *
price )
47. Maintenance of position in ) See items 10(d), 44
underlying securities ) and 46
)
_________________________
* Not applicable, answer negative or not required.
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V. INFORMATION CONCERNING THE TRUSTEE
OR CUSTODIAN
48. Organization and regulation of ) Trustee
Trustee
49. Fees and expenses of Trustee ) Expenses
) and Charges
50. Trustee's lien ) Expenses and Charges
VI. INFORMATION CONCERNING INSURANCE OF
HOLDERS OF SECURITIES
51. (a) Name and address of ) *
Insurance Company )
(b) Type of policies ) *
(c) Type of risks insured and ) *
excluded )
(d) Coverage of policies ) *
(e) Beneficiaries of policies ) *
(f) Terms and manner of ) *
cancellation )
(g) Method of determining ) *
premiums )
(h) Amount of aggregate ) *
premiums paid )
(i) Persons receiving any part ) *
of premiums )
(j) Other material provisions ) *
of the Trust relating to )
insurance )
_________________________
* Not applicable, answer negative or not required.
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VII. POLICY OF REGISTRANT
52. (a) Method of selecting and ) Introduction
eliminating securities from ) Objectives and Securities
the Trust ) Selection; The Trust
) -Summary Description of
) the Portfolio
) Sponsor - Responsibility
(b) Elimination of securities ) *
from the Trust )
(c) Substitution and elimina- ) Introduction
tion of securities from ) Objectives and
the Trust ) Securities Selection;
) Sponsor - Responsibility;
(d) Description of any funda- ) *
mental policy of the Trust )
53. Taxable status of the Trust ) Cover of Prospectus;
) Tax Status
_________________________
* Not applicable, answer negative or not required.
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VIII. FINANCIAL AND STATISTICAL INFORMATION
54. Information regarding the ) *
Trust's past ten fiscal years )
55. Certain information regarding ) *
periodic payment plan certifi- )
cates )
56. Certain information regarding ) *
periodic payment plan certifi- )
cates )
57. Certain information regarding ) *
periodic payment plan certifi- )
cates )
58. Certain information regarding ) *
periodic payment plan certifi- )
cates )
59. Financial statements ) Statement of Financial
(Instruction 1(c) to Form S-6) ) Condition
_________________________
* Not applicable, answer negative or not required.
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SUBJECT TO COMPLETION APRIL 5, 1994
DEAN WITTER SELECT MUNICIPAL TRUST
INSURED CALIFORNIA INTERMEDIATE TERM PORTFOLIO SERIES 13
A "UNIT INVESTMENT TRUST"
The attached final prospectus for Dean Witter Select
Municipal Trust, Insured California Intermediate Term Portfolio Series
12, Delaware Portfolio Series 14 and New York Intermediate Term
Portolio Series 2, is hereby used as a preliminary prospectus for the
Dean Witter Select Municipal Trust, Insured California Intermediate
Term Portfolio Series 13. The narrative information relating to the
operation of this Series and the structure of the final prospectus for
this Series will be substantially the same as that set forth in the
attached prospectus. Information with respect to pricing, the number
of units, dates and summary information regarding the characteristics
of securities to be deposited in this Series is not now available and
will be different from that included in the attached final prospectus
since each Series has a unique Portfolio. The ratings of the
securities of this Series are expected to be comparable to those of
the securities in the previous Series. However, the estimated current
return and estimated long-term return for this Series (which will
depend on the interest rates and prices of the securities to be
deposited in, and the estimated annual expenses of, this Series) may
vary materially from that of the previous Series. Accordingly, the
information contained herein with regard to the previous Series should
be considered as being included for informational purposes only.
Investors should contact account executives of the Sponsor who will be
informed of the expected effective date of this Series and who will be
supplied with complete information with respect to such Series on the
date of the effectiveness of the registration statement relating to
Units of this Series.
OFFERS TO SELL OR THE SOLICITATION OF ORDERS TO BUY MAY ONLY
BE MADE IN THOSE JURISDICTIONS IN WHICH THE SECURITIES OF A TRUST HAVE
BEEN REGISTERED. INVESTORS SHOULD CONTACT ACCOUNT EXECUTIVES OF THE
SPONSOR TO DETERMINE WHETHER THE SECURITIES OF A PARTICULAR TRUST HAVE
BEEN REGISTERED FOR SALE IN THE STATE IN WHICH THEY RESIDE.
INFORMATION CONTAINED HEREIN IS SUBJECT TO COMPLETION OR
AMENDMENT. A REGISTRATION STATEMENT RELATING TO THESE SECURITIES HAS
BEEN FILED WITH THE SECURITIES AND EXCHANGE COMMISSION. THESE
SECURITIES MAY NOT BE SOLD NOR MAY OFFERS TO BUY THEM BE ACCEPTED
PRIOR TO THE TIME THE REGISTRATION STATEMENT BECOMES EFFECTIVE. THIS
PROSPECTUS SHALL NOT CONSTITUTE AN OFFER TO SELL OR THE SOLICITATION
OF AN OFFER TO BUY NOR SHALL THERE BE ANY SALE OF THESE SECURITIES IN
ANY STATE IN WHICH SUCH OFFER, SOLICITATION OR SALE WOULD BE UNLAWFUL
PRIOR TO REGISTRATION OR QUALIFICATION UNDER THE SECURITIES LAWS OF
ANY SUCH STATE.
<PAGE>
Dean Witter Select Municipal Trust
Insured California Intermediate Term Portfolio Series 12
Delaware Portfolio Series 14
New York Intermediate Term Portfolio Series 2
This prospectus dated March 31, 1994, File nos. 33-50275,
33-50977 and 33-47180 is hereby incorporated by reference.
<PAGE>
PART II. ADDITIONAL INFORMATION NOT REQUIRED IN PROSPECTUS
CONTENTS OF REGISTRATION STATEMENT
This registration statement on Form S-6 comprises the
following documents:
The facing sheet.
The Cross Reference Sheet.
The Prospectus.
The signatures.
The following Exhibits:
*EX-4.1 Trust Indenture and Agreement, dated October 18,
1993.
**EX-4.2 Draft of Reference Trust Agreement.
_________________________
* The Trust Indenture and Agreement is hereby incorporated by reference to
the same exhibit filed with the Securities and Exchange Commission in the
Registration Statement of Dean Witter Select Municipal Trust, Insured
California Intermediate Term Portfolio Series 11, Delaware Portfolio
Series 13 and Maryland Portfolio Series 15, registration numbers
33-49703, 33-49595 and 33-40710, respectively.
** Filed herewith.
<PAGE>
*EX-3.(i) Certificate of Incorporation of Dean Witter
Reynolds Inc.
*EX-3.(ii) By-Laws of Dean Witter Reynolds Inc.
**EX-5 Opinion of counsel as to the legality of the
securities being registered.
**EX-8 Opinion of Counsel as to income tax status of the
Trust.
**EX-23.1 Consent of Independent Auditors.
**EX-23.2 Consent of Kenny S&P Evaluation Services (as
Evaluator).
EX-23.3 Consent of Cahill Gordon & Reindel (included in
Exhibit 5).
EX-23.4 Consent of local counsel (included in exhibit 8).
_________________________
* Incorporated by reference to the same exhibit filed with the Securities
and Exchange Commission in the Registration Statement of Sears Tax-Exempt
Investment Trust, Insured Long Term Series 33 and Long Term Municipal
Portfolio Series 106, registration numbers 33-38086 and 33-37629,
respectively.
** To be filed by amendment.
<PAGE>
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933,
the registrant, Dean Witter Select Municipal Trust, Insured California
Intermediate Term Portfolio Series 13 has duly caused this
Registration Statement to be signed on its behalf by the undersigned,
thereunto duly authorized, all in the City of New York and State of
New York on the 5th day of April, 1994.
DEAN WITTER SELECT MUNICIPAL TRUST,
INSURED CALIFORNIA INTERMEDIATE
TERM PORTFOLIO SERIES 13
(Registrant)
By: Dean Witter Reynolds Inc.
(Depositor)
Michael D. Browne
Michael D. Browne
Authorized Signatory
Pursuant to the requirements of the Securities Act of 1933,
this Registration Statement has been signed on behalf of Dean Witter
Reynolds Inc., the Depositor by the following persons in the following
capacities and by the following persons who constitute a majority of
the Depositor's Board of Directors in the City of New York, and State
of New York, on this 5th day of April, 1994.
DEAN WITTER REYNOLDS INC.
Name Office
Philip J. Purcell Chairman & Chief )
Executive Officer* )
Thomas C. Schneider Executive Vice )
President and Chief )
Financial Officer* )
By
Michael D. Browne
Michael D. Browne
Attorney-in-fact*
_________________________
* Executed copies of the Powers of Attorney have been filed with the
Securities and Exchange Commission in connection with the Registration
Statement on Form S-6 for Sears Tax-Exempt Investment Trust, Long Term
Municipal Portfolio Series 96, File No. 33-32860.
<PAGE>
Name Office
______ ________
Richard M. DeMartini Director*
Nancy S. Donovan Director*
Charles A. Fiumefreddo Director*
James F. Higgins Director*
Stephen R. Miller Director*
Richard F. Powers Director*
Thomas C. Schneider Director*
Philip J. Purcell Director*
William B. Smith Director*
Robert E. Wood, II Director*
_____________________
* Executed copies of the Powers of Attorney have been filed with
the Securities and Exchange Commission in connection with the
Registration Statement on Form S-6 for Sears Tax-Exempt
Investment Trust, Long Term Municipal Portfolio Series 96, File
No. 33-32860.
<PAGE>
Exhibit Index
<PAGE>
Exhibit Index
To
Form S-6
Registration Statement
Under the Securities Act of 1933
Exhibit No. Document
*EX-4.1 Trust Indenture and Agreement, dated October 18, 1993.
**EX-4.2 Draft of Reference Trust Agreement.
_________________________
* The Trust Indenture and Agreement is hereby incorporated by reference to
the same exhibit filed with the Securities and Exchange Commission in the
Registration Statement of Dean Witter Select Municipal Trust, Insured
California Intermediate Term Portfolio Series 11, Delaware Portfolio
Series 13 and Maryland Portfolio Series 15, registration numbers
33-49703, 33-49595 and 33-40710, respectively.
** Filed herewith.
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*EX-3(i) Certificate of Incorporation of Dean Witter Reynolds
Inc.
*EX-3(ii) By-Laws of Dean Witter Reynolds Inc.
**EX-5 Opinion of counsel as to the legality of the securities
being registered.
**EX-8 Opinion of Counsel as to income tax status of the
Trust.
**EX-23.1 Consent of Independent Auditors.
**EX-23.2 Consent of Kenny S&P Evaluation Services (as
Evaluator).
EX-23.3 Consent of Cahill Gordon & Reindel (included in Exhibit
5).
EX-23.4 Consent of local counsel (included in exhibit 8).
_________________________
* Incorporated by reference to the same exhibit filed with the Securities
and Exchange Commission in the Registration Statement of Sears Tax-Exempt
Investment Trust, Insured Long Term Series 33 and Long Term Municipal
Portfolio Series 106, registration numbers 33-38086 and 33-37629,
respectively.
** To be filed by amendment.
<PAGE>
Exhibit 4.2
<PAGE>
(DRAFT)
DEAN WITTER SELECT MUNICIPAL TRUST
INSURED CALIFORNIA INTERMEDIATE TERM PORTFOLIO SERIES 13
REFERENCE TRUST AGREEMENT
This Reference Trust Agreement dated , 19 among
DEAN WITTER REYNOLDS INC., as Depositor, United States Trust Company
of New York, as Trustee, and Kenny S&P Evaluation Services, as
Evaluator, sets forth certain provisions in full and incorporates
other provisions by reference to the document entitled "Dean Witter
Select Municipal Trust, Trust Indenture and Agreement (the "Basic
Agreement") dated October 18, 1993. Such provisions as are
incorporated by reference constitute a single instrument (the
"Indenture").
WITNESSETH THAT:
In consideration of the premises and of the mutual
agreements herein contained, the Depositor, the Trustee, and the
Evaluator agree as follows:
I.
STANDARD TERMS AND CONDITIONS OF TRUST
Subject to the provisions of Part II hereof, all the
provisions contained in the Basic Agreement are herein incorporated by
reference in their entirety and shall be deemed to be a part of this
instrument as fully and to the same extent as though said provisions
had been set forth in full in this instrument except that the Basic
Agreement is hereby amended in the following manner:
(a) Reference to Standard & Poor's Corporation in their
capacity as Evaluator is replaced by Kenny S&P Evaluation Services
throughout the Basic Agreement.
<PAGE>
(b) The first sentence of Section 3.05 Distribution is
deleted in its entirety, and the third sentence thereof is amended to
read:
Such distribution from the Trustee to the Depositor is
hereinafter referred to as the "Depositor's Special Distribution."
II.
SPECIAL TERMS AND CONDITIONS OF TRUST
The following special terms and conditions are hereby agreed
to:
A. The Trust is denominated Dean Witter Select Municipal
Trust, .
B. The interest-bearing obligations listed in Schedule A
hereto are those which, subject to the terms of this Indenture, have
been or are to be deposited in trust under this Indenture.
C. The term, "Depositor" shall mean Dean Witter Reynolds
Inc.
D. The aggregate number of Units referred to in Sections
2.03 and 9.01 of the Basic Agreement is ,000.
E. A Unit is hereby declared initially equal to
1/00,000th.
F. The term "First Settlement Date" shall mean ,
19 .
G. The term "First Distribution Date" shall mean
15, 1994.
H. The term "Record Date" shall mean the first day of each
month commencing 1, 1994.
I. The term "Distribution Date" shall mean the fifteenth
day of each month following a Record Date commencing 15, 1994.
J. The term "Termination Date" shall mean ,
.
<PAGE>
K. The first distribution to Unit Holders will be a
distribution in the amount of $ .
L. The first monthly distribution will be a full
distribution in the amount of $ .
M. For purposes of this Series -- Dean Witter Select
Municipal Trust, Insured California Intermediate Term Portfolio
Series 13 -- the form of Certificate set forth in this Indenture shall
be appropriately modified to reflect the title of this Series and such
of the Special Terms and Conditions of Trust set forth herein as may
be appropriate.
N. The Depositor's Annual Portfolio Supervision Fee shall
be a maximum of $ per $1,000 face amount of underlying Bonds.
O. The Evaluator's Fee shall be $ per evaluation for
each issue of underlying Bonds.
P. The Trustee's Annual Fee as defined in Section 6.04 of
the Indenture shall be $ per $1,000 face amount of underlying
Bonds.
(Signatures and acknowledgments on separate pages)
