-----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, T5ZvWgW5YMsXKBDJwD8qi2015XOYLZPIMZjkBUk69uOLRkitegughsp7OODsEwIl aZIDJzzwLQCdWQLK9+Nb9w== 0000091155-97-000372.txt : 19970822 0000091155-97-000372.hdr.sgml : 19970822 ACCESSION NUMBER: 0000091155-97-000372 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 7 CONFORMED PERIOD OF REPORT: 19970630 FILED AS OF DATE: 19970821 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-A SEC ACT: 1940 Act SEC FILE NUMBER: 811-01940 FILM NUMBER: 97667526 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 N-SAR (3.0.A) PAGE 1 000 A000000 06/30/97 000 C000000 089558 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 3.0.a 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 10 008 A000001 SMITH BARNEY 008 B000001 A 008 C000001 801-3389 008 D010001 NEW YORK 008 D020001 NY 008 D030001 10013 010 A000001 SMITH BARNEY 010 B000001 801-14437 010 C010001 NEW YORK 010 C020001 NY 010 C030001 10013 011 A000001 SMITH BARNEY 011 B000001 8-81777 011 C010001 NEW YORK 011 C020001 NY 011 C030001 10013 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 10154 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 127 019 C000000 BARNEY0000 020 A000001 SMITH BARNEY 020 B000001 13-1912900 020 C000001 261 020 A000002 AUTRANET 020 B000002 13-3488904 020 C000002 163 020 A000003 CS FIRST BOSTON 020 B000003 13-5659485 020 C000003 149 020 A000004 MORGAN STANLEY 020 B000004 13-2655998 020 C000004 130 020 A000005 SANFORD BERSTEIN 020 B000005 N/A 020 C000005 129 020 A000006 GOLDMAN SACHS 020 B000006 13-5108880 020 C000006 128 020 A000007 LEHMAN BROTHERS 020 B000007 13-2518466 020 C000007 77 020 A000008 MERRILL LYNCH 020 B000008 13-2574085 020 C000008 70 020 A000009 PAINE WEBBER 020 B000009 13-2638166 020 C000009 58 020 A000010 PRUDENTIAL SECURITIES 020 B000010 22-2347336 020 C000010 56 021 000000 1221 022 A000001 GOLDMAN SACHS 022 B000001 13-5108880 022 C000001 53289927 022 D000001 7389 PAGE 3 022 A000002 CHASE SECURITIES 022 B000002 13-3112953 022 C000002 4628327 022 D000002 0 022 A000003 UNION BANK OF SWITZERLAND 022 B000003 N/A 022 C000003 3691485 022 D000003 0 022 A000004 CS FIRST BOSTON 022 B000004 13-5659485 022 C000004 2967149 022 D000004 10628 022 A000005 MORGAN STANLEY 022 B000005 13-2655998 022 C000005 2497338 022 D000005 22962 022 A000006 CITIBANK 022 B000006 13-5266470 022 C000006 2456983 022 D000006 0 022 A000007 UBS SECURITIES 022 B000007 13-2932996 022 C000007 200000 022 D000007 1215 022 A000008 J.P. 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REYNOLDS TITLE CONTROLLER EX-1 2 [ARTICLE] 6 [CIK] 0000089558 [NAME] SMITH BARNEY APPRECIATION FUND INC. CLASS A [PERIOD-TYPE] 6-MOS [FISCAL-YEAR-END] DEC-31-1997 [PERIOD-END] JUN-30-1997 [INVESTMENTS-AT-COST] 2,887,555,335 [INVESTMENTS-AT-VALUE] 4,042,429,138 [RECEIVABLES] 9,494,693 [ASSETS-OTHER] 188,993,145 [OTHER-ITEMS-ASSETS] 0 [TOTAL-ASSETS] 4,240,916,976 [PAYABLE-FOR-SECURITIES] 196,188,944 [SENIOR-LONG-TERM-DEBT] 0 [OTHER-ITEMS-LIABILITIES] 2,849,645 [TOTAL-LIABILITIES] 199,038,589 [SENIOR-EQUITY] 0 [PAID-IN-CAPITAL-COMMON] 2,376,549,950 [SHARES-COMMON-STOCK] 159,183,918 [SHARES-COMMON-PRIOR] 163,392,466 [ACCUMULATED-NII-CURRENT] 24,813,039 [OVERDISTRIBUTION-NII] 0 [ACCUMULATED-NET-GAINS] 485,641,595 [OVERDISTRIBUTION-GAINS] 0 [ACCUM-APPREC-OR-DEPREC] 1,154,873,803 [NET-ASSETS] 4,041,878,803 [DIVIDEND-INCOME] 31,982,395 [INTEREST-INCOME] 14,969,579 [OTHER-INCOME] 0 [EXPENSES-NET] 22,132,442 [NET-INVESTMENT-INCOME] 24,819,532 [REALIZED-GAINS-CURRENT] 403,914,318 [APPREC-INCREASE-CURRENT] 146,113,680 [NET-CHANGE-FROM-OPS] 574,847,530 [EQUALIZATION] 0 [DISTRIBUTIONS-OF-INCOME] 0 [DISTRIBUTIONS-OF-GAINS] 0 [DISTRIBUTIONS-OTHER] 0 [NUMBER-OF-SHARES-SOLD] 6,515,410 [NUMBER-OF-SHARES-REDEEMED] 10,723,958 [SHARES-REINVESTED] 0 [NET-CHANGE-IN-ASSETS] (19,397,677) [ACCUMULATED-NII-PRIOR] 41,854,488 [ACCUMULATED-GAINS-PRIOR] 272,194,030 [OVERDISTRIB-NII-PRIOR] 6,493 [OVERDIST-NET-GAINS-PRIOR] 0 [GROSS-ADVISORY-FEES] 10,944,102 [INTEREST-EXPENSE] 0 [GROSS-EXPENSE] 22,132,442 [AVERAGE-NET-ASSETS] 2,230,598,743 [PER-SHARE-NAV-BEGIN] 12.85 [PER-SHARE-NII] 00.11 [PER-SHARE-GAIN-APPREC] 02.04 [PER-SHARE-DIVIDEND] 0 [PER-SHARE-DISTRIBUTIONS] 0 [RETURNS-OF-CAPITAL] 0 [PER-SHARE-NAV-END] 15.00 [EXPENSE-RATIO] 00.95 [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] 6-MOS [FISCAL-YEAR-END] DEC-31-1997 [PERIOD-END] JUN-30-1997 [INVESTMENTS-AT-COST] 2,887,555,335 [INVESTMENTS-AT-VALUE] 4,042,429,138 [RECEIVABLES] 9,494,693 [ASSETS-OTHER] 188,993,145 [OTHER-ITEMS-ASSETS] 0 [TOTAL-ASSETS] 4,240,916,976 [PAYABLE-FOR-SECURITIES] 196,188,944 [SENIOR-LONG-TERM-DEBT] 0 [OTHER-ITEMS-LIABILITIES] 2,849,645 [TOTAL-LIABILITIES] 199,038,589 [SENIOR-EQUITY] 0 [PAID-IN-CAPITAL-COMMON] 2,376,549,950 [SHARES-COMMON-STOCK] 88,855,060 [SHARES-COMMON-PRIOR] 88,543,916 [ACCUMULATED-NII-CURRENT] 24,813,039 [OVERDISTRIBUTION-NII] 0 [ACCUMULATED-NET-GAINS] 485,641,595 [OVERDISTRIBUTION-GAINS] 0 [ACCUM-APPREC-OR-DEPREC] 1,154,873,803 [NET-ASSETS] 4,041,878,803 [DIVIDEND-INCOME] 31,982,395 [INTEREST-INCOME] 14,969,579 [OTHER-INCOME] 0 [EXPENSES-NET] 22,132,442 [NET-INVESTMENT-INCOME] 24,819,532 [REALIZED-GAINS-CURRENT] 403,914,318 [APPREC-INCREASE-CURRENT] 146,113,680 [NET-CHANGE-FROM-OPS] 574,847,530 [EQUALIZATION] 0 [DISTRIBUTIONS-OF-INCOME] 0 [DISTRIBUTIONS-OF-GAINS] 0 [DISTRIBUTIONS-OTHER] 0 [NUMBER-OF-SHARES-SOLD] 8,936,348 [NUMBER-OF-SHARES-REDEEMED] 8,625,204 [SHARES-REINVESTED] 0 [NET-CHANGE-IN-ASSETS] (19,397,677) [ACCUMULATED-NII-PRIOR] 41,854,488 [ACCUMULATED-GAINS-PRIOR] 272,194,030 [OVERDISTRIB-NII-PRIOR] 6,493 [OVERDIST-NET-GAINS-PRIOR] 0 [GROSS-ADVISORY-FEES] 10,944,102 [INTEREST-EXPENSE] 0 [GROSS-EXPENSE] 22,132,442 [AVERAGE-NET-ASSETS] 1,222,025,037 [PER-SHARE-NAV-BEGIN] 12.81 [PER-SHARE-NII] 00.05 [PER-SHARE-GAIN-APPREC] 02.03 [PER-SHARE-DIVIDEND] 0 [PER-SHARE-DISTRIBUTIONS] 0 [RETURNS-OF-CAPITAL] 0 [PER-SHARE-NAV-END] 14.89 [EXPENSE-RATIO] 01.74 [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] 6-MOS [FISCAL-YEAR-END] DEC-31-1997 [PERIOD-END] JUN-30-1997 [INVESTMENTS-AT-COST] 2,887,555,335 [INVESTMENTS-AT-VALUE] 4,042,429,138 [RECEIVABLES] 9,494,693 [ASSETS-OTHER] 188,993,145 [OTHER-ITEMS-ASSETS] 0 [TOTAL-ASSETS] 4,240,916,976 [PAYABLE-FOR-SECURITIES] 196,188,944 [SENIOR-LONG-TERM-DEBT] 0 [OTHER-ITEMS-LIABILITIES] 2,849,645 [TOTAL-LIABILITIES] 199,038,589 [SENIOR-EQUITY] 0 [PAID-IN-CAPITAL-COMMON] 2,376,549,950 [SHARES-COMMON-STOCK] 2,439,066 [SHARES-COMMON-PRIOR] 1,990,958 [ACCUMULATED-NII-CURRENT] 24,813,039 [OVERDISTRIBUTION-NII] 0 [ACCUMULATED-NET-GAINS] 485,641,595 [OVERDISTRIBUTION-GAINS] 0 [ACCUM-APPREC-OR-DEPREC] 1,154,873,803 [NET-ASSETS] 4,041,878,803 [DIVIDEND-INCOME] 31,982,395 [INTEREST-INCOME] 14,969,579 [OTHER-INCOME] 0 [EXPENSES-NET] 22,132,442 [NET-INVESTMENT-INCOME] 24,819,532 [REALIZED-GAINS-CURRENT] 403,914,318 [APPREC-INCREASE-CURRENT] 146,113,680 [NET-CHANGE-FROM-OPS] 574,847,530 [EQUALIZATION] 0 [DISTRIBUTIONS-OF-INCOME] 0 [DISTRIBUTIONS-OF-GAINS] 0 [DISTRIBUTIONS-OTHER] 0 [NUMBER-OF-SHARES-SOLD] 846,182 [NUMBER-OF-SHARES-REDEEMED] 398,074 [SHARES-REINVESTED] 0 [NET-CHANGE-IN-ASSETS] (19,397,677) [ACCUMULATED-NII-PRIOR] 41,854,488 [ACCUMULATED-GAINS-PRIOR] 272,194,030 [OVERDISTRIB-NII-PRIOR] 6,493 [OVERDIST-NET-GAINS-PRIOR] 0 [GROSS-ADVISORY-FEES] 10,944,102 [INTEREST-EXPENSE] 0 [GROSS-EXPENSE] 22,132,442 [AVERAGE-NET-ASSETS] 30,659,940 [PER-SHARE-NAV-BEGIN] 12.81 [PER-SHARE-NII] 00.05 [PER-SHARE-GAIN-APPREC] 02.03 [PER-SHARE-DIVIDEND] 0 [PER-SHARE-DISTRIBUTIONS] 0 [RETURNS-OF-CAPITAL] 0 [PER-SHARE-NAV-END] 14.89 [EXPENSE-RATIO] 01.73 [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] 6-MOS [FISCAL-YEAR-END] DEC-31-1997 [PERIOD-END] JUN-30-1997 [INVESTMENTS-AT-COST] 2,887,555,335 [INVESTMENTS-AT-VALUE] 4,042,429,138 [RECEIVABLES] 9,494,693 [ASSETS-OTHER] 188,993,145 [OTHER-ITEMS-ASSETS] 0 [TOTAL-ASSETS] 4,240,916,976 [PAYABLE-FOR-SECURITIES] 196,188,944 [SENIOR-LONG-TERM-DEBT] 0 [OTHER-ITEMS-LIABILITIES] 2,849,645 [TOTAL-LIABILITIES] 199,038,589 [SENIOR-EQUITY] 0 [PAID-IN-CAPITAL-COMMON] 2,376,549,950 [SHARES-COMMON-STOCK] 7,443,534 [SHARES-COMMON-PRIOR] 5,690,452 [ACCUMULATED-NII-CURRENT] 24,813,039 [OVERDISTRIBUTION-NII] 0 [ACCUMULATED-NET-GAINS] 485,641,595 [OVERDISTRIBUTION-GAINS] 0 [ACCUM-APPREC-OR-DEPREC] 1,154,873,803 [NET-ASSETS] 4,041,878,803 [DIVIDEND-INCOME] 31,982,395 [INTEREST-INCOME] 14,969,579 [OTHER-INCOME] 0 [EXPENSES-NET] 22,132,442 [NET-INVESTMENT-INCOME] 24,819,532 [REALIZED-GAINS-CURRENT] 403,914,318 [APPREC-INCREASE-CURRENT] 146,113,680 [NET-CHANGE-FROM-OPS] 574,847,530 [EQUALIZATION] 0 [DISTRIBUTIONS-OF-INCOME] 0 [DISTRIBUTIONS-OF-GAINS] 0 [DISTRIBUTIONS-OTHER] 0 [NUMBER-OF-SHARES-SOLD] 1,753,082 [NUMBER-OF-SHARES-REDEEMED] 0 [SHARES-REINVESTED] 0 [NET-CHANGE-IN-ASSETS] (19,397,677) [ACCUMULATED-NII-PRIOR] 41,854,488 [ACCUMULATED-GAINS-PRIOR] 272,194,030 [OVERDISTRIB-NII-PRIOR] 6,493 [OVERDIST-NET-GAINS-PRIOR] 0 [GROSS-ADVISORY-FEES] 10,944,102 [INTEREST-EXPENSE] 0 [GROSS-EXPENSE] 22,132,442 [AVERAGE-NET-ASSETS] 92,147,714 [PER-SHARE-NAV-BEGIN] 12.86 [PER-SHARE-NII] 00.12 [PER-SHARE-GAIN-APPREC] 02.06 [PER-SHARE-DIVIDEND] 0 [PER-SHARE-DISTRIBUTIONS] 0 [RETURNS-OF-CAPITAL] 0 [PER-SHARE-NAV-END] 15.04 [EXPENSE-RATIO] 00.60 [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] 6-MOS [FISCAL-YEAR-END] DEC-31-1997 [PERIOD-END] JUN-30-1997 [INVESTMENTS-AT-COST] 2,887,555,335 [INVESTMENTS-AT-VALUE] 4,042,429,138 [RECEIVABLES] 9,494,693 [ASSETS-OTHER] 188,993,145 [OTHER-ITEMS-ASSETS] 0 [TOTAL-ASSETS] 4,240,916,976 [PAYABLE-FOR-SECURITIES] 196,188,944 [SENIOR-LONG-TERM-DEBT] 0 [OTHER-ITEMS-LIABILITIES] 2,849,645 [TOTAL-LIABILITIES] 199,038,589 [SENIOR-EQUITY] 0 [PAID-IN-CAPITAL-COMMON] 2,376,549,950 [SHARES-COMMON-STOCK] 12,145,009 [SHARES-COMMON-PRIOR] 11,887,327 [ACCUMULATED-NII-CURRENT] 24,813,039 [OVERDISTRIBUTION-NII] 0 [ACCUMULATED-NET-GAINS] 485,641,595 [OVERDISTRIBUTION-GAINS] 0 [ACCUM-APPREC-OR-DEPREC] 1,154,873,803 [NET-ASSETS] 4,041,878,803 [DIVIDEND-INCOME] 31,982,395 [INTEREST-INCOME] 14,969,579 [OTHER-INCOME] 0 [EXPENSES-NET] 22,132,442 [NET-INVESTMENT-INCOME] 24,819,532 [REALIZED-GAINS-CURRENT] 403,914,318 [APPREC-INCREASE-CURRENT] 146,113,680 [NET-CHANGE-FROM-OPS] 574,847,530 [EQUALIZATION] 0 [DISTRIBUTIONS-OF-INCOME] 0 [DISTRIBUTIONS-OF-GAINS] 0 [DISTRIBUTIONS-OTHER] 0 [NUMBER-OF-SHARES-SOLD] 658,842 [NUMBER-OF-SHARES-REDEEMED] 401,160 [SHARES-REINVESTED] 0 [NET-CHANGE-IN-ASSETS] (19,397,677) [ACCUMULATED-NII-PRIOR] 41,854,488 [ACCUMULATED-GAINS-PRIOR] 272,194,030 [OVERDISTRIB-NII-PRIOR] 6,493 [OVERDIST-NET-GAINS-PRIOR] 0 [GROSS-ADVISORY-FEES] 10,944,102 [INTEREST-EXPENSE] 0 [GROSS-EXPENSE] 22,132,442 [AVERAGE-NET-ASSETS] 168,221,496 [PER-SHARE-NAV-BEGIN] 12.87 [PER-SHARE-NII] 00.13 [PER-SHARE-GAIN-APPREC] 02.05 [PER-SHARE-DIVIDEND] 0 [PER-SHARE-DISTRIBUTIONS] 0 [RETURNS-OF-CAPITAL] 0 [PER-SHARE-NAV-END] 15.05 [EXPENSE-RATIO] 00.60 [AVG-DEBT-OUTSTANDING] 0 [AVG-DEBT-PER-SHARE] 0
EX-99 7 SMITH BARNEY APPRECIATION FUND INC. 10f-3 REPORT January 1, 1997 through May 31, 1997 % of Trade Selling Par Purchase Fund % of Issuer Date Dealer Amount Price Assets Issue Vail Resorts Inc. 2/3/97 Bear Stearns 5,000 $22.00 0.003% 0.12% Circuit City Stores 2/3/97 Morgan Stanley 15,000 20.00 0.008 0.07 Omni Quip 3/20/97 Morgan Stanley 150,000 14.00 0.0500 2.73 Hertz Corp. 4/25/97 JP Morgan Sec. 61,500 24.00 0.0400 0.31 Provident Cos. 5/5/97 Morgan Stanley 155,000 53.00 0.2100 2.87 Rambus Inc. 5/13/97 Morgan Stanley 250 12.00 0.0001 0.41 Hartford Life 5/21/97 Goldman Sachs 10,000 28.25 0.0100 0.26 RyanAir Holdings 5/29/97 Morgan Stanley 9,500 14.73 0.0040 0.05 -----END PRIVACY-ENHANCED MESSAGE-----