-----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, IVzWE6+MkT+7nRBuSURSTbooa+GN1/9COzATFB964Ed3L2+LZVgKQYk2OfkI6Wad p7xY8v72AUzv0InQWOSEGg== 0000799005-97-000004.txt : 19970222 0000799005-97-000004.hdr.sgml : 19970222 ACCESSION NUMBER: 0000799005-97-000004 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970212 SROS: NYSE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: APPALACHIAN POWER CO CENTRAL INDEX KEY: 0000006879 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC SERVICES [4911] IRS NUMBER: 540124790 STATE OF INCORPORATION: VA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-08339 FILM NUMBER: 97526263 BUSINESS ADDRESS: STREET 1: 40 FRANKLIN RD SW CITY: ROANOKE STATE: VA ZIP: 24011 BUSINESS PHONE: 7039852300 MAIL ADDRESS: STREET 1: 1 RIVERSIDE PLAZA CITY: COLUMBUS STATE: OH ZIP: 43215 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: STEIN ROE & FARNHAM INC /DE/ CENTRAL INDEX KEY: 0000799005 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 363447638 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: ONE S WACKER DR STREET 2: 35TH FL CITY: CHICAGL STATE: IL ZIP: 60606 BUSINESS PHONE: 3123687700 MAIL ADDRESS: STREET 1: ONE SOUTH WACKER DR STREET 2: 35TH FL CITY: CHICAGO STATE: IL ZIP: 60606 SC 13G 1 HOLDINGS 5% UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* APPALACHIAN POWER COMPANY (Name of Issuer) 7.80% cumulative preferred stock (Title of Class of Securities) 037735867 (CUSIP Number) Is a fee being paid with this statement: ( )Yes ( X )No *The remainder of this page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). 13G CUSIP No.037735867 1. Name of Reporting Person S.S. or I.R.S. Identification No. of above person STEIN ROE & FARNHAM INCORPORATED 36-3447638 2. Check the appropriate box if a member of a group (a) ----- (b) ----- 3. SEC USE ONLY 4. Citizenship or place of organization Delaware Corporation Number of shares beneficially owned by each reporting person with 5. Sole voting power -0- 6. Shared voting power -0- 7. Sole dispositive power 39,500 shares 8. Shared dispositive power -0- 9. Aggregate amount beneficially owned by each reporting person 39,500 shares 10. Check box if the aggregate amount in Row (9) excludes certain shares not applicable 11. Percent of class represented by amount in Row 9 7.90% 12. Type of Reporting Person IA Item 1(a). Name of Issuer: APPALACHIAN POWER COMPANY Item 1(b). Address of Issuer's Principal Executive Office: One Riverside Plaza Columbus, Ohio 43215 Item 2(a). Name of Person Filing: Stein Roe & Farnham Incorporated Item 2(b). Address of Principal Business Office: One South Wacker Drive Chicago, IL 60606 Item 2(c). Citizenship: Delaware Corporation Item 2(d). Title of Class of Securities: 7.80% Cumulative Preferred Stock Item 2(e). CUSIP Number: 037735867 Item 3. If this statement is filed pursuant to Rules 13d- 1(b), or 13d-2(b), check whether person filing is a: (e) [XX] Investment Adviser registered under Section 203 of the Investment Advisers Act of 1940. Item 4. Ownership: (a) Amount beneficially owned: 39,500 shares (b) Percent of Class: 7.90% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: -0- (ii) shared power to vote or to direct the vote: -0- (iii) sole power to dispose or to direct the disposition: 39,500 shares (iv) shared power to dispose or to direct the disposition: -0- Item 5. Ownership of Five Percent or Less of a Class: Not Applicable Item 6. Ownership of More than Five Percent on Behalf of Another Person: Not Applicable Item 7. Identification and Classification of the Subsidiary which Acquired the Security Being Reported on by the Parent Holding Company: Not Applicable Item 8. Identification and Classification of Members of the Group: Not Applicable Item 9. Notice of Dissolution of Group: Not Applicable Item 10. CERTIFICATION: By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purposes or effect. SIGNATURE: After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: February 12, 1997 By: /s/ Jilaine Hummel Bauer Jilaine Hummel Bauer Senior Vice President & General Counsel -----END PRIVACY-ENHANCED MESSAGE-----