-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, EtkEZ0JKdFrLjg6yHDCca9zoAn1gigT0HISmqvgk2j+WFEW4jxC4FyA1CqF/O0HO vReNxGFUZd4Hh7gBDkP5rw== 0001193125-09-234087.txt : 20091113 0001193125-09-234087.hdr.sgml : 20091113 20091113141647 ACCESSION NUMBER: 0001193125-09-234087 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091113 DATE AS OF CHANGE: 20091113 EFFECTIVENESS DATE: 20091113 FILER: COMPANY DATA: COMPANY CONFORMED NAME: APPLETON PARTNERS INC/MA CENTRAL INDEX KEY: 0001055290 IRS NUMBER: 042943177 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06694 FILM NUMBER: 091180790 BUSINESS ADDRESS: STREET 1: 45 MILK STREET 8TH FLOOR CITY: BOSTON STATE: MA ZIP: 02109 BUSINESS PHONE: 6173380700 MAIL ADDRESS: STREET 1: 45 MILK STREET 8TH FLOOR CITY: BOSTON STATE: MA ZIP: 02109 13F-HR 1 d13fhr.txt FORM 13F-HR 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 September 30, 2009 If amended report check here: ______ Name of Institutional Investment Manager: Appleton Partners, Inc. S.E.C. File Number 28-6694 Business Address: 45 Milk Street Boston MA 02109 - ------------------------------------------------------------------------------ Street City State Zip 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 13th day of November 2009. Appleton Partners, Inc. (Name of Institutional Investment Mgr.) /s/ Douglas C. Chamberlain -------------------------------------- By: Douglas C. Chamberlain Form 13F Summary Page Report Summary: Number of Other Included Managers: None Form 13F Information Table Entry Total: 124 Form 13F Information Table Value Total: 198,551,905.00 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 Appleton Partners, Inc. 13F SEC APPRAISAL Master Group 30-Sep-09
Investment Voting Discretion Authority ----------------- ---------------- Sole Shared Other Sole Shared None Security Security Type Cusip Market Value Quantity (A) (B) (C) (A) (B) (C) - -------- ------------- ----- ------------ -------- --- --- --- --- --- --- Master Group - ------------ 3M CO COM COMMON STOCK 88579Y101 $ 512,689.00 6,947 X X ABBOTT LABS COM COMMON STOCK 002824100 $ 467,689.00 9,454 X X ACTIVISION BLIZZARD IN COM COMMON STOCK 00507V109 $2,721,538.00 219,656 X X AECOM TECH CORP DEL COM COMMON STOCK 00766T100 $1,347,908.00 49,665 X X AFLAC INC COM COMMON STOCK 001055102 $ 253,662.00 5,935 X X AGRIUM INC COM COMMON STOCK 008916108 $2,300,696.00 46,208 X X AKAMAI TECHNOLOGIES COM COMMON STOCK 00971T101 $ 964,576.00 49,013 X X ALCON INC COM SHS COMMON STOCK H01301102 $ 317,554.00 2,290 X X AMAZON COM INC COM COMMON STOCK 023135106 $4,631,590.00 49,610 X X AMETEK INC NEW COM COMMON STOCK 031100100 $ 530,108.00 15,185 X X AMPHENOL CORP NEW CL A COMMON STOCK 032095101 $1,518,353.00 40,296 X X ANSYS INC COM COMMON STOCK 03662Q105 $4,719,074.00 126,111 X X APACHE CORP COM COMMON STOCK 037411105 $1,034,465.00 11,265 X X APOLLO GROUP INC CL A COMMON STOCK 037604105 $1,010,163.00 13,712 X X APPLE, INC. COMMON STOCK 037833100 $6,195,509.00 33,426 X X APPLETON EQUITY GROWTH FUND MUTUAL FUNDS 038042107 $2,583,890.00 405,634 X X ARCHER DANIELS MIDLAND COM COMMON STOCK 039483102 $ 243,256.00 8,325 X X AT&T INC COM COMMON STOCK 00206R102 $2,103,215.00 77,868 X X AUTOZONE INC COM COMMON STOCK 053332102 $ 277,818.00 1,900 X X BAKER HUGHES INC COM COMMON STOCK 057224107 $ 645,360.00 15,128 X X BANK N S HALIFAX COM COMMON STOCK 064149107 $ 209,668.00 4,600 X X BANK OF AMERICA CORP COM COMMON STOCK 060505104 $2,644,934.00 156,320 X X BAXTER INTL INC COM COMMON STOCK 071813109 $ 489,944.00 8,594 X X BBH FD INC CORE SELE CL N MUTUAL FUNDS 05528X604 $ 478,543.00 39,713 X X BECTON DICKINSON & CO COM COMMON STOCK 075887109 $2,646,106.00 37,937 X X
Investment Voting Discretion Authority ----------------- ---------------- Sole Shared Other Sole Shared None Security Security Type Cusip Market Value Quantity (A) (B) (C) (A) (B) (C) - -------- ------------- ----- ------------ -------- --- --- --- --- --- --- BERKSHIRE HATHAWAY INC CL A COMMON STOCK 084670108 $ 303,000.00 3 X X BERKSHIRE HATHAWAY INC CL B COMMON STOCK 084670207 $ 478,512.00 144 X X BEST BUY INC COM COMMON STOCK 086516101 $ 231,123.00 6,160 X X BHP BILLITON LTD SPONSORED ADR COMMON STOCK 088606108 $2,983,586.00 45,199 X X BP PLC SPONSORED ADR COMMON STOCK 055622104 $ 572,063.00 10,747 X X BRISTOL MYERS SQUIBB COM COMMON STOCK 110122108 $ 263,484.00 11,700 X X CATERPILLAR INC DEL COM COMMON STOCK 149123101 $4,599,527.00 89,607 X X CELGENE CORP COM COMMON STOCK 151020104 $ 321,593.00 5,753 X X CERNER CORP COM COMMON STOCK 156782104 $1,277,210.00 17,075 X X CHEVRONTEXACO CORP COM COMMON STOCK 166764100 $ 919,041.00 13,049 X X CISCO SYS INC COM COMMON STOCK 17275R102 $3,521,466.00 149,595 X X CITIGROUP INC COM COMMON STOCK 172967101 $ 209,645.00 43,315 X X COCA COLA CO COM COMMON STOCK 191216100 $1,001,773.00 18,655 X X COLGATE PALMOLIVE CO COM COMMON STOCK 194162103 $1,313,084.00 17,214 X X COMPUTER SCIENCES CORP COM COMMON STOCK 205363104 $ 208,204.00 3,950 X X COSTCO WHSL CORP NEW COM COMMON STOCK 22160K105 $ 751,151.00 13,323 X X CVS CAREMARK CORPORATION COMMON STOCK 126650100 $1,681,245.00 47,041 X X DISNEY WALT CO COM DISNEY COMMON STOCK 254687106 $ 476,706.00 17,360 X X DOLBY LABORATORIES INC COM COMMON STOCK 25659T107 $ 837,698.00 21,935 X X DOLLAR TREE STORES COM COMMON STOCK 256746108 $ 964,838.00 19,820 X X DU PONT E I DE NEMOURS COM COMMON STOCK 263534109 $ 217,748.00 6,775 X X E M C CORP MASS COM COMMON STOCK 268648102 $1,996,389.00 117,159 X X ECOLAB INC COM COMMON STOCK 278865100 $4,855,306.00 105,025 X X ENERGAS RES INC COM COMMON STOCK 29265E108 $ 750.00 20,000 X X EXPRESS SCRIPTS INC COM COMMON STOCK 302182100 $2,802,422.00 36,123 X X EXXON MOBIL CORP COM COMMON STOCK 30231G102 $8,992,559.00 131,068 X X FEDERATED EQUITY FDS KAUFMANN CL A MUTUAL FUNDS 314172677 $ 580,870.00 129,082 X X FEDERATED EQUITY FDS MKT OPPOR FD A MUTUAL FUNDS 314172743 $ 201,704.00 18,728 X X FEDERATED INVS INC PA CL B COMMON STOCK 314211103 $ 241,285.00 9,150 X X FEDERATED STK TR SH BEN INT MUTUAL FUNDS 313900102 $ 571,196.00 29,024 X X FEDERATED WORLD INVT INTL SM CO CLA MUTUAL FUNDS 31428U748 $ 244,973.00 8,163 X X FORD MTR CO DEL COM PAR $0.01 COMMON STOCK 345370860 $ 87,962.00 12,200 X X FORUM FDS INC JORDAN OPPTY MUTUAL FUNDS 742935182 $ 682,521.00 63,490 X X FREEPORT-MCMORAN COP&G CL B COMMON STOCK 35671D857 $4,083,256.00 59,514 X X GENERAL ELEC CO COM COMMON STOCK 369604103 $2,748,232.00 167,371 X X GENERAL MOLY INC COM COMMON STOCK 370373102 $ 31,500.00 10,000 X X GILEAD SCIENCES INC COM COMMON STOCK 375558103 $2,289,799.00 49,243 X X
Investment Voting Discretion Authority ----------------- ---------------- Sole Shared Other Sole Shared None Security Security Type Cusip Market Value Quantity (A) (B) (C) (A) (B) (C) - -------- ------------- ----- ------------ -------- --- --- --- --- --- --- GOLDMAN SACHS GROUP COM COMMON STOCK 38141G104 $4,916,983.00 26,672 X X GOOGLE INC CL A COMMON STOCK 38259P508 $ 416,018.00 839 X X HEARTLAND GROUP INC VAL PLUS INSTL MUTUAL FUNDS 422352849 $ 413,173.00 18,578 X X HECLA MNG CO COM COMMON STOCK 422704106 $ 43,900.00 10,000 X X INTEL CORP COM COMMON STOCK 458140100 $2,241,196.00 114,522 X X INTERNATIONAL BUS MACH COM COMMON STOCK 459200101 $5,122,537.00 42,827 X X ISHARES TR NASDQ BIO INDX COMMON STOCK 464287556 $ 387,680.00 4,765 X X ISHARES TR S&P NA NAT RES COMMON STOCK 464287374 $ 225,689.00 6,970 X X J P MORGAN CHASE & CO COM COMMON STOCK 46625H100 $ 736,307.00 16,803 X X JACOBS ENGR GROUP DEL COM COMMON STOCK 469814107 $ 272,254.00 5,925 X X JOHNSON & JOHNSON COM COMMON STOCK 478160104 $5,623,131.00 92,349 X X KELLOGG CO COM COMMON STOCK 487836108 $ 541,875.00 11,007 X X MARATHON OIL CORP COM COMMON STOCK 565849106 $ 236,060.00 7,400 X X MARKET VECTORS ETF TR AGRIBUS ETF COMMON STOCK 57060U605 $ 695,134.00 17,990 X X MCAFEE INC COM COMMON STOCK 579064106 $1,042,202.00 23,800 X X MCDERMOTT INTL INC COM COMMON STOCK 580037109 $3,050,721.00 120,725 X X MCDONALDS CORP COM COMMON STOCK 580135101 $5,612,150.00 98,338 X X MEDCO HEALTH SOLUTIONS COM COMMON STOCK 58405U102 $ 308,409.00 5,576 X X MERCK & CO INC COM COMMON STOCK 589331107 $ 725,687.00 22,943 X X MFS SER TR X INTL DIVERS I MUTUAL FUNDS 55273G298 $ 355,063.00 29,762 X X MICROSOFT CORP COM COMMON STOCK 594918104 $4,014,172.00 156,072 X X MONSANTO CO NEW COM COMMON STOCK 61166W101 $1,175,706.00 15,190 X X NOKIA CORP SPONSORED ADR COMMON STOCK 654902204 $ 161,185.00 11,025 X X NOVARTIS A G SPONSORED ADR COMMON STOCK 66987V109 $ 211,596.00 4,200 X X NUCOR CORP COM COMMON STOCK 670346105 $2,223,808.00 47,305 X X NVIDIA CORP COM COMMON STOCK 67066G104 $1,994,631.00 132,710 X X OCCIDENTAL PETE CP DEL COM COMMON STOCK 674599105 $ 282,946.00 3,609 X X OMNICOM GROUP INC COM COMMON STOCK 681919106 $ 315,837.00 8,550 X X ORACLE CORP COM COMMON STOCK 68389X105 $2,256,243.00 108,265 X X PEOPLES S&P MIDCAP IDX COM MUTUAL FUNDS 712223106 $ 455,036.00 21,018 X X PEPSICO INC COM COMMON STOCK 713448108 $4,900,163.00 83,535 X X PFIZER INC COM COMMON STOCK 717081103 $ 673,850.00 40,716 X X PRAXAIR INC COM COMMON STOCK 74005P104 $4,456,680.00 54,556 X X PRECISION CASTPARTS CP COM COMMON STOCK 740189105 $ 559,266.00 5,490 X X PRICE T ROWE GROUP INC COM COMMON STOCK 74144T108 $3,723,682.00 81,481 X X PRICELINE COM INC COM NEW COMMON STOCK 741503403 $ 240,439.00 1,450 X X PROCTER & GAMBLE CO COM COMMON STOCK 742718109 $6,273,026.00 108,305 X X
Investment Voting Discretion Authority ----------------- ---------------- Sole Shared Other Sole Shared None Security Security Type Cusip Market Value Quantity (A) (B) (C) (A) (B) (C) - -------- ------------- ----- ------------ -------- --- --- --- --- --- --- QUALCOMM INC COM COMMON STOCK 747525103 $ 1,627,601.00 36,185 X X ROPER INDS INC NEW COM COMMON STOCK 776696106 $ 1,894,162.00 37,155 X X ROYAL DUTCH SHELL PLC SPONS ADR A COMMON STOCK 780259206 $ 306,538.00 5,360 X X SCHEIN HENRY INC COM COMMON STOCK 806407102 $ 399,470.00 7,275 X X SCHLUMBERGER LTD COM COMMON STOCK 806857108 $ 5,273,408.00 88,480 X X SCOTTS MIRACLE GRO CO COMMON STOCK 810186106 $ 2,294,389.00 53,420 X X SMITH INTL INC COM COMMON STOCK 832110100 $ 437,675.00 15,250 X X SOCIEDAD QUIMICA MINER SPON ADR SER B COMMON STOCK 833635105 $ 2,317,474.00 59,225 X X STRYKER CORP COM COMMON STOCK 863667101 $ 768,676.00 16,920 X X TARGET CORP COM COMMON STOCK 87612E106 $ 500,176.00 10,715 X X TEMPLETON INCOME TR GLOBAL BD FD C MUTUAL FUNDS 880208301 $ 174,399.00 13,907 X X TEVA PHARMACEUTCL INDS ADR COMMON STOCK 881624209 $ 4,146,931.00 82,020 X X TRANSOCEAN LTD ZUG NAMEN AKT COMMON STOCK H8817H100 $ 1,503,446.00 17,578 X X UNITED TECHNOLOGIES CP COM COMMON STOCK 913017109 $ 787,520.00 12,925 X X VCA ANTECH INC COM COMMON STOCK 918194101 $ 358,981.00 13,350 X X VERIZON COMMUNICATIONS COM COMMON STOCK 92343V104 $ 1,507,174.00 49,791 X X VISA, INC. COMMON STOCK 92826C839 $ 4,813,926.00 69,656 X X VULCAN MATLS CO COM COMMON STOCK 929160109 $ 1,050,796.00 19,434 X X WABTEC CORP COM COMMON STOCK 929740108 $ 1,488,740.00 39,668 X X WAL MART STORES INC COM COMMON STOCK 931142103 $ 478,284.00 9,743 X X WEATHERFORD INTL LTD COM COMMON STOCK G95089101 $ 233,980.00 11,287 X X WELLS FARGO & CO NEW COM COMMON STOCK 949746101 $ 2,932,524.00 104,064 X X WYETH COM COMMON STOCK 983024100 $ 207,291.00 4,267 X X XTO ENERGY INC COM COMMON STOCK 98385X106 $ 1,440,415.00 34,860 X X ZIMMER HLDGS INC COM COMMON STOCK 98956P102 $ 331,764.00 6,207 X X --------------- $198,551,905.00 --------------- TOTAL PORTFOLIO $198,551,905.00 ===============
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