-----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, VLkjV11d3Mx4/ZvIZit8azwMcgfc3ZWIZcjgjVcYsuB7bkuJdkOs0E0t3Y4wCKDw eWMv1Y4sqZYqY08dRXyd6A== /in/edgar/work/20000829/0000091155-00-000560/0000091155-00-000560.txt : 20000922 0000091155-00-000560.hdr.sgml : 20000922 ACCESSION NUMBER: 0000091155-00-000560 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 6 CONFORMED PERIOD OF REPORT: 20000630 FILED AS OF DATE: 20000829 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SMITH BARNEY APPRECIATION FUND INC CENTRAL INDEX KEY: 0000089558 STANDARD INDUSTRIAL CLASSIFICATION: [0000 ] IRS NUMBER: 132653031 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: NSAR-A SEC ACT: SEC FILE NUMBER: 811-01940 FILM NUMBER: 711645 BUSINESS ADDRESS: STREET 1: TWO WORLD TRADE CENTER CITY: NEW YORK STATE: NY ZIP: 10048 BUSINESS PHONE: 6175731332 FORMER COMPANY: FORMER CONFORMED NAME: SMITH BARNEY SHEARSON APPRECIATION FUND INC DATE OF NAME CHANGE: 19931015 FORMER COMPANY: FORMER CONFORMED NAME: SHEARSON LEHMAN BROTHERS APPRECIATION FUND INC DATE OF NAME CHANGE: 19930326 FORMER COMPANY: FORMER CONFORMED NAME: SHEARSON LEHMAN APPRECIATION FUND INC/MD/ DATE OF NAME CHANGE: 19930326 NSAR-A 1 0001.txt N-SAR (6.1) PAGE 1 000 A000000 06/30/2000 000 C000000 089558 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6.1 000 J000000 A 001 A000000 SMITH BARNEY APPRECIATION FUND INC. 001 B000000 811-1940 001 C000000 2122912666 002 A000000 125 BROAD STREET 002 B000000 NEW YORK 002 C000000 NY 002 D010000 10004 003 000000 N 004 000000 N 005 000000 N 006 000000 N 007 A000000 N 007 B000000 0 007 C010100 1 007 C010200 2 007 C010300 3 007 C010400 4 007 C010500 5 007 C010600 6 007 C010700 7 007 C010800 8 007 C010900 9 007 C011000 10 008 A000001 SSB CITI FUND MANAGEMENT LLC 008 B000001 A 008 C000001 801-000000 008 D010001 NEW YORK 008 D020001 NY 008 D030001 10013 010 A000001 SSBC FUND MANAGEMENT INC. 010 C010001 NEW YORK 010 C020001 NY 010 C030001 10013 011 A000001 CFBDS INC. 011 B000001 8-00000000 011 C010001 BOSTON 011 C020001 MA 011 C030001 02109 011 C040001 5408 012 A000001 FIRST DATA INVESTOR SERVICES GROUP 012 B000001 84-0000000 012 C010001 BOSTON PAGE 2 012 C020001 MA 012 C030001 02104 013 A000001 KPMG PEAT MARWICK LLP 013 B010001 NEW YORK 013 B020001 NY 013 B030001 10017 015 A000001 PNC BANK 015 B000001 C 015 C010001 PHILADELPHIA 015 C020001 PA 015 C030001 19103 015 E010001 X 018 000000 Y 019 A000000 Y 019 B000000 167 019 C000000 BARNEY0000 020 A000001 AUTRANET, INC. 020 B000001 13-2961507 020 C000001 193 020 A000002 MORGAN STANLEY DEAN WITTER & CO. 020 B000002 13-2655998 020 C000002 186 020 A000003 SALOMON SMITH BARNEY 020 B000003 11-2418191 020 C000003 174 020 A000004 LEHMAN BROTHERS INC. 020 B000004 13-2518466 020 C000004 165 020 A000005 PERSHIING DIVISION OF DLJ SECURITIES CORP. 020 B000005 13-3769702 020 C000005 154 020 A000006 MERRILL LYNCH,PIERCE,FENNER & SMITH INC. 020 B000006 13-5674085 020 C000006 146 020 A000007 GOLDMAN SACHS & CO. 020 B000007 13-5108880 020 C000007 140 020 A000008 CS FIRST BOSTON 020 B000008 13-5659485 020 C000008 137 020 A000009 SANFORD C. BERNSTEIN & CO., INC. 020 B000009 13-2625874 020 C000009 123 020 A000010 DONALDSON, LUFKIN & JENRETTE SECURITIES CORP. 020 B000010 13-2741729 020 C000010 122 021 000000 3045 022 A000001 UBS WARBURG LLC. 022 B000001 N/A 022 C000001 42727373 022 D000001 6488 PAGE 3 022 A000002 MORGAN J.P. 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0 086 D020000 0 086 E010000 0 086 E020000 0 086 F010000 0 086 F020000 0 PAGE 9 SIGNATURE PAUL BROOK TITLE CONTROLLER EX-27 2 0002.txt WARNING: THE EDGAR SYSTEM ENCOUNTERED ERROR(S) WHILE PROCESSING THIS SCHEDULE.
6 0000089558 Smith Barney Appreciation Fund Inc. 6-MOS Dec-31-2000 Jun-30-2000 3,762,475,200 5,294,574,000 6,418,800 298,083,305 0 5,599,076,105 9,097,027 0 303,080,991 312,178,018 0 3,522,064,788 214,385,946 211,428,104 21,254,835 0 211,479,664 0 1,532,098,800 5,286,898,087 28,094,743 23,001,308 0 30,516,322 20,579,729 217,218,683 (228,304,481) 9,493,931 0 0 119,372,337 0 31,412,976 35,969,898 7,514,764 (322,098,266) 675,106 188,320,115 0 0 14,961,574 0 30,516,322 3,241,765,946 15.730 0.080 (0.010) 0.000 0.580 0.000 15.220 0.92
EX-27 3 0003.txt WARNING: THE EDGAR SYSTEM ENCOUNTERED ERROR(S) WHILE PROCESSING THIS SCHEDULE.
6 0000089558 Smith Barney Appreciation Fund Inc. 6-MOS Dec-31-2000 Jun-30-2000 3,762,475,200 5,294,574,000 6,418,800 298,083,305 0 5,599,076,105 9,097,027 0 303,080,991 312,178,018 0 3,522,064,788 99,632,294 112,123,341 21,254,835 0 211,479,664 0 1,532,098,800 5,286,898,087 28,094,743 23,001,308 0 30,516,322 20,579,729 217,218,683 (228,304,481) 9,493,931 0 0 55,444,919 0 7,473,244 23,483,283 3,518,992 (322,098,266) 675,106 188,320,115 0 0 14,961,574 0 30,516,322 1,577,591,604 15.660 0.020 (0.010) 0.000 0.580 0.000 15.090 1.69
EX-27 4 0004.txt WARNING: THE EDGAR SYSTEM ENCOUNTERED ERROR(S) WHILE PROCESSING THIS SCHEDULE.
6 0000089558 Smith Barney Appreciation Fund Inc. 6-MOS Dec-31-2000 Jun-30-2000 3,762,475,200 5,294,574,000 6,418,800 298,083,305 0 5,599,076,105 9,097,027 0 303,080,991 312,178,018 0 3,522,064,788 11,643,549 10,316,576 21,254,835 0 211,479,664 0 1,532,098,800 5,286,898,087 28,094,743 23,001,308 0 30,516,322 20,579,729 217,218,683 (228,304,481) 9,493,931 0 0 6,443,180 0 2,437,954 1,525,586 414,605 (322,098,266) 675,106 188,320,115 0 0 14,961,574 0 30,516,322 166,527,412 15.650 0.020 (0.010) 0.000 0.580 0.000 15.220 1.72
EX-27 5 0005.txt WARNING: THE EDGAR SYSTEM ENCOUNTERED ERROR(S) WHILE PROCESSING THIS SCHEDULE.
6 0000089558 Smith Barney Appreciation Fund Inc. 6-MOS Dec-31-2000 Jun-30-2000 3,762,475,200 5,294,574,000 6,418,800 298,083,305 0 5,599,076,105 9,097,027 0 303,080,991 312,178,018 0 3,522,064,788 5,866,502 6,304,262 21,254,835 0 211,479,664 0 1,532,098,800 5,286,898,087 28,094,743 23,001,308 0 30,516,322 20,579,729 217,218,683 (228,304,481) 9,493,931 0 0 3,454,940 0 137,531 575,291 0 (322,098,266) 675,106 188,320,115 0 0 14,961,574 0 30,516,322 95,938,277 15.690 0.100 0.000 0.000 0.580 0.000 15.220 0.58
EX-27 6 0006.txt
6 0000089558 Smith Barney Appreciation Fund Inc. 6-MOS Dec-31-2000 Jun-30-2000 3,762,475,200 5,294,574,000 6,418,800 298,083,305 0 5,599,076,105 9,097,027 0 303,080,991 312,178,018 0 3,522,064,788 16,808,333 17,038,424 21,254,835 0 211,479,664 0 1,532,098,800 5,286,898,087 28,094,743 23,001,308 0 30,516,322 20,579,729 217,218,683 (228,304,481) 9,493,931 0 0 9,343,758 0 663,761 1,508,978 615,126 (322,098,266) 675,106 188,320,115 0 0 14,961,574 0 30,516,322 255,959,330 15.710 0.100 0.000 0.000 0.580 0.000 15.220 0.58
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