-----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, QKTTmGHG2nwVy1ltVvcfWCwRMrlZ24Z1q40C329Mnv//ATZKueFx6Gab3zuE+3D2 bR69Av8W5Km0qtyfKz2ohw== 0000091155-97-000113.txt : 19970303 0000091155-97-000113.hdr.sgml : 19970303 ACCESSION NUMBER: 0000091155-97-000113 CONFORMED SUBMISSION TYPE: NSAR-B PUBLIC DOCUMENT COUNT: 6 CONFORMED PERIOD OF REPORT: 19961231 FILED AS OF DATE: 19970228 SROS: NONE FILER: COMPANY DATA: COMPANY CONFORMED NAME: SMITH BARNEY APPRECIATION FUND INC CENTRAL INDEX KEY: 0000089558 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 132653031 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: NSAR-B SEC ACT: 1940 Act SEC FILE NUMBER: 811-01940 FILM NUMBER: 97548711 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-B 1 N-SAR (3.0) PAGE 1 000 B000000 12/31/96 000 C000000 089558 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 3.0 000 J000000 A 001 A000000 SMITH BARNEY APPRECIATION FUND INC. 001 B000000 811-1940 001 C000000 2128166670 002 A000000 388 GREENWICH STREET 002 B000000 NEW YORK 002 C000000 NY 002 D010000 10013 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 10 015 A000001 PNC 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REYNOLDS TITLE CONTROLLER EX-1 2 [ARTICLE] 6 [CIK] 0000089558 [NAME] SMITH BARNEY APPRECIATION FUND INC. CLASS A [PERIOD-TYPE] YEAR [FISCAL-YEAR-END] DEC-31-1996 [PERIOD-END] DEC-31-1996 [INVESTMENTS-AT-COST] 2,492,489,191 [INVESTMENTS-AT-VALUE] 3,501,249,314 [RECEIVABLES] 7,680,682 [ASSETS-OTHER] 71,500 [OTHER-ITEMS-ASSETS] 0 [TOTAL-ASSETS] 3,509,001,496 [PAYABLE-FOR-SECURITIES] 11,287,474 [SENIOR-LONG-TERM-DEBT] 0 [OTHER-ITEMS-LIABILITIES] 11,285,488 [TOTAL-LIABILITIES] 22,572,962 [SENIOR-EQUITY] 0 [PAID-IN-CAPITAL-COMMON] 2,395,947,627 [SHARES-COMMON-STOCK] 163,392,466 [SHARES-COMMON-PRIOR] 162,380,390 [ACCUMULATED-NII-CURRENT] 0 [OVERDISTRIBUTION-NII] 664,282 [ACCUMULATED-NET-GAINS] 82,385,066 [OVERDISTRIBUTION-GAINS] 0 [ACCUM-APPREC-OR-DEPREC] 1,008,760,123 [NET-ASSETS] 3,486,428,534 [DIVIDEND-INCOME] 59,369,747 [INTEREST-INCOME] 22,572,945 [OTHER-INCOME] 0 [EXPENSES-NET] 40,088,204 [NET-INVESTMENT-INCOME] 41,854,488 [REALIZED-GAINS-CURRENT] 272,184,030 [APPREC-INCREASE-CURRENT] 254,549,008 [NET-CHANGE-FROM-OPS] 568,597,526 [EQUALIZATION] 0 [DISTRIBUTIONS-OF-INCOME] 30,625 [DISTRIBUTIONS-OF-GAINS] 171,222 [DISTRIBUTIONS-OTHER] 0 [NUMBER-OF-SHARES-SOLD] 9,260,907 [NUMBER-OF-SHARES-REDEEMED] 23,277,287 [SHARES-REINVESTED] 15,028,456 [NET-CHANGE-IN-ASSETS] 177,748,279 [ACCUMULATED-NII-PRIOR] 0 [ACCUMULATED-GAINS-PRIOR] 0 [OVERDISTRIB-NII-PRIOR] 0 [OVERDIST-NET-GAINS-PRIOR] 0 [GROSS-ADVISORY-FEES] 19,615,285 [INTEREST-EXPENSE] 0 [GROSS-EXPENSE] 39,774,749 [AVERAGE-NET-ASSETS] 2,001,321,551 [PER-SHARE-NAV-BEGIN] 11.90 [PER-SHARE-NII] 00.19 [PER-SHARE-GAIN-APPREC] 02.09 [PER-SHARE-DIVIDEND] 01.33 [PER-SHARE-DISTRIBUTIONS] 0 [RETURNS-OF-CAPITAL] 0 [PER-SHARE-NAV-END] 12.85 [EXPENSE-RATIO] 01.00 [AVG-DEBT-OUTSTANDING] 0 [AVG-DEBT-PER-SHARE] 0
EX-2 3 [ARTICLE] 6 [CIK] 0000089558 [NAME] SMITH BARNEY APPRECIATION FUND INC. CLASS B [PERIOD-TYPE] YEAR [FISCAL-YEAR-END] DEC-31-1996 [PERIOD-END] DEC-31-1996 [INVESTMENTS-AT-COST] 2,492,489,191 [INVESTMENTS-AT-VALUE] 3,501,249,314 [RECEIVABLES] 7,680,682 [ASSETS-OTHER] 71,500 [OTHER-ITEMS-ASSETS] 0 [TOTAL-ASSETS] 3,509,001,496 [PAYABLE-FOR-SECURITIES] 11,287,474 [SENIOR-LONG-TERM-DEBT] 0 [OTHER-ITEMS-LIABILITIES] 11,285,488 [TOTAL-LIABILITIES] 22,572,962 [SENIOR-EQUITY] 0 [PAID-IN-CAPITAL-COMMON] 2,395,947,627 [SHARES-COMMON-STOCK] 88,543,916 [SHARES-COMMON-PRIOR] 83,198,378 [ACCUMULATED-NII-CURRENT] 0 [OVERDISTRIBUTION-NII] 664,282 [ACCUMULATED-NET-GAINS] 82,385,066 [OVERDISTRIBUTION-GAINS] 0 [ACCUM-APPREC-OR-DEPREC] 1,008,760,123 [NET-ASSETS] 3,486,428,534 [DIVIDEND-INCOME] 59,369,747 [INTEREST-INCOME] 22,572,945 [OTHER-INCOME] 0 [EXPENSES-NET] 40,088,204 [NET-INVESTMENT-INCOME] 41,854,488 [REALIZED-GAINS-CURRENT] 272,184,030 [APPREC-INCREASE-CURRENT] 254,549,008 [NET-CHANGE-FROM-OPS] 568,597,526 [EQUALIZATION] 0 [DISTRIBUTIONS-OF-INCOME] 8,190 [DISTRIBUTIONS-OF-GAINS] 92,642 [DISTRIBUTIONS-OTHER] 0 [NUMBER-OF-SHARES-SOLD] 14,063,585 [NUMBER-OF-SHARES-REDEEMED] 16,308,833 [SHARES-REINVESTED] 7,590,786 [NET-CHANGE-IN-ASSETS] 177,748,279 [ACCUMULATED-NII-PRIOR] 0 [ACCUMULATED-GAINS-PRIOR] 0 [OVERDISTRIB-NII-PRIOR] 0 [OVERDIST-NET-GAINS-PRIOR] 0 [GROSS-ADVISORY-FEES] 19,615,285 [INTEREST-EXPENSE] 0 [GROSS-EXPENSE] 39,774,749 [AVERAGE-NET-ASSETS] 1,050,950,728 [PER-SHARE-NAV-BEGIN] 11.88 [PER-SHARE-NII] 00.08 [PER-SHARE-GAIN-APPREC] 02.08 [PER-SHARE-DIVIDEND] 01.23 [PER-SHARE-DISTRIBUTIONS] 0 [RETURNS-OF-CAPITAL] 0 [PER-SHARE-NAV-END] 12.81 [EXPENSE-RATIO] 01.78 [AVG-DEBT-OUTSTANDING] 0 [AVG-DEBT-PER-SHARE] 0
EX-3 4 [ARTICLE] 6 [CIK] 0000089558 [NAME] SMITH BARNEY APPRECIATION FUND INC. CLASS C [PERIOD-TYPE] YEAR [FISCAL-YEAR-END] DEC-31-1996 [PERIOD-END] DEC-31-1996 [INVESTMENTS-AT-COST] 2,492,489,191 [INVESTMENTS-AT-VALUE] 3,501,249,314 [RECEIVABLES] 7,680,682 [ASSETS-OTHER] 71,500 [OTHER-ITEMS-ASSETS] 0 [TOTAL-ASSETS] 3,509,001,496 [PAYABLE-FOR-SECURITIES] 11,287,474 [SENIOR-LONG-TERM-DEBT] 0 [OTHER-ITEMS-LIABILITIES] 11,285,488 [TOTAL-LIABILITIES] 22,572,962 [SENIOR-EQUITY] 0 [PAID-IN-CAPITAL-COMMON] 2,395,947,627 [SHARES-COMMON-STOCK] 1,950,958 [SHARES-COMMON-PRIOR] 1,233,676 [ACCUMULATED-NII-CURRENT] 0 [OVERDISTRIBUTION-NII] 664,282 [ACCUMULATED-NET-GAINS] 82,385,066 [OVERDISTRIBUTION-GAINS] 0 [ACCUM-APPREC-OR-DEPREC] 1,008,760,123 [NET-ASSETS] 3,486,428,534 [DIVIDEND-INCOME] 59,369,747 [INTEREST-INCOME] 22,572,945 [OTHER-INCOME] 0 [EXPENSES-NET] 40,088,204 [NET-INVESTMENT-INCOME] 41,854,488 [REALIZED-GAINS-CURRENT] 272,184,030 [APPREC-INCREASE-CURRENT] 254,549,008 [NET-CHANGE-FROM-OPS] 568,597,526 [EQUALIZATION] 0 [DISTRIBUTIONS-OF-INCOME] 206 [DISTRIBUTIONS-OF-GAINS] 2,010 [DISTRIBUTIONS-OTHER] 0 [NUMBER-OF-SHARES-SOLD] 1,107,577 [NUMBER-OF-SHARES-REDEEMED] 520,423 [SHARES-REINVESTED] 170,128 [NET-CHANGE-IN-ASSETS] 177,748,279 [ACCUMULATED-NII-PRIOR] 0 [ACCUMULATED-GAINS-PRIOR] 0 [OVERDISTRIB-NII-PRIOR] 0 [OVERDIST-NET-GAINS-PRIOR] 0 [GROSS-ADVISORY-FEES] 19,615,285 [INTEREST-EXPENSE] 0 [GROSS-EXPENSE] 39,774,749 [AVERAGE-NET-ASSETS] 20,409,098 [PER-SHARE-NAV-BEGIN] 11.88 [PER-SHARE-NII] 00.09 [PER-SHARE-GAIN-APPREC] 02.08 [PER-SHARE-DIVIDEND] 01.24 [PER-SHARE-DISTRIBUTIONS] 0 [RETURNS-OF-CAPITAL] 0 [PER-SHARE-NAV-END] 12.81 [EXPENSE-RATIO] 01.77 [AVG-DEBT-OUTSTANDING] 0 [AVG-DEBT-PER-SHARE] 0
EX-4 5 [ARTICLE] 6 [CIK] 0000089558 [NAME] SMITH BARNEY APPRECIATION FUND INC. CLASS Y [PERIOD-TYPE] YEAR [FISCAL-YEAR-END] DEC-31-1996 [PERIOD-END] DEC-31-1996 [INVESTMENTS-AT-COST] 2,492,489,191 [INVESTMENTS-AT-VALUE] 3,501,249,314 [RECEIVABLES] 7,680,682 [ASSETS-OTHER] 71,500 [OTHER-ITEMS-ASSETS] 0 [TOTAL-ASSETS] 3,509,001,496 [PAYABLE-FOR-SECURITIES] 11,287,474 [SENIOR-LONG-TERM-DEBT] 0 [OTHER-ITEMS-LIABILITIES] 11,285,488 [TOTAL-LIABILITIES] 22,572,962 [SENIOR-EQUITY] 0 [PAID-IN-CAPITAL-COMMON] 2,395,947,627 [SHARES-COMMON-STOCK] 5,690,452 [SHARES-COMMON-PRIOR] 0 [ACCUMULATED-NII-CURRENT] 0 [OVERDISTRIBUTION-NII] 664,282 [ACCUMULATED-NET-GAINS] 82,385,066 [OVERDISTRIBUTION-GAINS] 0 [ACCUM-APPREC-OR-DEPREC] 1,008,760,123 [NET-ASSETS] 3,486,428,534 [DIVIDEND-INCOME] 59,369,747 [INTEREST-INCOME] 22,572,945 [OTHER-INCOME] 0 [EXPENSES-NET] 40,088,204 [NET-INVESTMENT-INCOME] 41,854,488 [REALIZED-GAINS-CURRENT] 272,184,030 [APPREC-INCREASE-CURRENT] 254,549,008 [NET-CHANGE-FROM-OPS] 568,597,526 [EQUALIZATION] 0 [DISTRIBUTIONS-OF-INCOME] 1,268 [DISTRIBUTIONS-OF-GAINS] 5,310 [DISTRIBUTIONS-OTHER] 0 [NUMBER-OF-SHARES-SOLD] 5,690,452 [NUMBER-OF-SHARES-REDEEMED] 0 [SHARES-REINVESTED] 0 [NET-CHANGE-IN-ASSETS] 177,748,279 [ACCUMULATED-NII-PRIOR] 0 [ACCUMULATED-GAINS-PRIOR] 0 [OVERDISTRIB-NII-PRIOR] 0 [OVERDIST-NET-GAINS-PRIOR] 0 [GROSS-ADVISORY-FEES] 19,615,285 [INTEREST-EXPENSE] 0 [GROSS-EXPENSE] 39,774,749 [AVERAGE-NET-ASSETS] 33,068,597 [PER-SHARE-NAV-BEGIN] 12.10 [PER-SHARE-NII] 00.22 [PER-SHARE-GAIN-APPREC] 01.90 [PER-SHARE-DIVIDEND] 01.36 [PER-SHARE-DISTRIBUTIONS] 0 [RETURNS-OF-CAPITAL] 0 [PER-SHARE-NAV-END] 12.86 [EXPENSE-RATIO] 00.66 [AVG-DEBT-OUTSTANDING] 0 [AVG-DEBT-PER-SHARE] 0
EX-5 6 [ARTICLE] 6 [CIK] 0000089558 [NAME] SMITH BARNEY APPRECIATION FUND INC. CLASS Z [PERIOD-TYPE] YEAR [FISCAL-YEAR-END] DEC-31-1996 [PERIOD-END] DEC-31-1996 [INVESTMENTS-AT-COST] 2,492,489,191 [INVESTMENTS-AT-VALUE] 3,501,249,314 [RECEIVABLES] 7,680,682 [ASSETS-OTHER] 71,500 [OTHER-ITEMS-ASSETS] 0 [TOTAL-ASSETS] 3,509,001,496 [PAYABLE-FOR-SECURITIES] 11,287,474 [SENIOR-LONG-TERM-DEBT] 0 [OTHER-ITEMS-LIABILITIES] 11,285,488 [TOTAL-LIABILITIES] 22,572,962 [SENIOR-EQUITY] 0 [PAID-IN-CAPITAL-COMMON] 2,395,947,627 [SHARES-COMMON-STOCK] 11,887,327 [SHARES-COMMON-PRIOR] 11,029,303 [ACCUMULATED-NII-CURRENT] 0 [OVERDISTRIBUTION-NII] 664,282 [ACCUMULATED-NET-GAINS] 82,385,066 [OVERDISTRIBUTION-GAINS] 0 [ACCUM-APPREC-OR-DEPREC] 1,008,760,123 [NET-ASSETS] 3,486,428,534 [DIVIDEND-INCOME] 59,369,747 [INTEREST-INCOME] 22,572,945 [OTHER-INCOME] 0 [EXPENSES-NET] 40,088,204 [NET-INVESTMENT-INCOME] 41,854,488 [REALIZED-GAINS-CURRENT] 272,184,030 [APPREC-INCREASE-CURRENT] 254,549,008 [NET-CHANGE-FROM-OPS] 568,597,526 [EQUALIZATION] 0 [DISTRIBUTIONS-OF-INCOME] 2,697 [DISTRIBUTIONS-OF-GAINS] 12,398 [DISTRIBUTIONS-OTHER] 0 [NUMBER-OF-SHARES-SOLD] 982,703 [NUMBER-OF-SHARES-REDEEMED] 1,289,446 [SHARES-REINVESTED] 1,164,767 [NET-CHANGE-IN-ASSETS] 177,748,279 [ACCUMULATED-NII-PRIOR] 0 [ACCUMULATED-GAINS-PRIOR] 0 [OVERDISTRIB-NII-PRIOR] 0 [OVERDIST-NET-GAINS-PRIOR] 0 [GROSS-ADVISORY-FEES] 19,615,285 [INTEREST-EXPENSE] 0 [GROSS-EXPENSE] 39,774,749 [AVERAGE-NET-ASSETS] 143,403,298 [PER-SHARE-NAV-BEGIN] 11.91 [PER-SHARE-NII] 00.24 [PER-SHARE-GAIN-APPREC] 02.09 [PER-SHARE-DIVIDEND] 01.37 [PER-SHARE-DISTRIBUTIONS] 0 [RETURNS-OF-CAPITAL] 0 [PER-SHARE-NAV-END] 12.87 [EXPENSE-RATIO] 00.64 [AVG-DEBT-OUTSTANDING] 0 [AVG-DEBT-PER-SHARE] 0
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