-----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, S8zOv6/X3uP87xkzLxg/KTIL+UWUgdF2IDmbX+LUoEPTA48chxL/r0IyAKr8CwSA ft3lYB+JhV7jMWXk6fRxZw== 0000091155-99-000559.txt : 19990903 0000091155-99-000559.hdr.sgml : 19990903 ACCESSION NUMBER: 0000091155-99-000559 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 7 CONFORMED PERIOD OF REPORT: 19990630 FILED AS OF DATE: 19990902 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: SEC FILE NUMBER: 811-01940 FILM NUMBER: 99704968 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) PAGE 1 000 A000000 06/30/99 000 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 2128166556 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 SSBC FUND MANAGEMENT INC. 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 DONALDSON, LUFKIN & JENRETTE SECURITIES CORP 020 B000001 13-2741729 020 C000001 232 020 A000002 SANFORD C. BERNSTEIN & CO., INC. 020 B000002 N/A 020 C000002 217 020 A000003 MERRILL LYNCH 020 B000003 13-5674085 020 C000003 176 020 A000004 MORGAN STANLEY DEAN WITTER & CO. 020 B000004 13-2655998 020 C000004 171 020 A000005 LEHMAN BROTHERS 020 B000005 13-2518466 020 C000005 153 020 A000006 J.P. MORGAN SECURITIES INC. 020 B000006 13-3224016 020 C000006 146 020 A000007 BEAR STEARNS 020 B000007 13-3299429 020 C000007 144 020 A000008 CS FIRST BOSTON CORP. 020 B000008 13-5659485 020 C000008 139 020 A000009 SALOMON SMITH BARNEY INC. 020 B000009 11-2418191 020 C000009 121 020 A000010 DEUTSCHE MORGAN GRENFELL, INC. 020 B000010 N/A 020 C000010 113 021 000000 1612 022 A000001 WARBURG DILLION READ 022 B000001 N/A 022 C000001 50047271 022 D000001 0 PAGE 3 022 A000002 GOLDMAN SACHS & CO. 022 B000002 13-5108880 022 C000002 25877185 022 D000002 15139 022 A000003 CHASE SECURITIES INC. 022 B000003 13-3112953 022 C000003 25528104 022 D000003 0 022 A000004 J.P. 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CLASS A [PERIOD-TYPE] 6-MOS [FISCAL-YEAR-END] DEC-31-1999 [PERIOD-END] JUN-30-1999 [INVESTMENTS-AT-COST] 3,700,977,342 [INVESTMENTS-AT-VALUE] 5,481,026,900 [RECEIVABLES] 5,905,480 [ASSETS-OTHER] 316,297,037 [OTHER-ITEMS-ASSETS] 0 [TOTAL-ASSETS] 5,803,229,417 [PAYABLE-FOR-SECURITIES] 28,133,570 [SENIOR-LONG-TERM-DEBT] 0 [OTHER-ITEMS-LIABILITIES] 311,365,244 [TOTAL-LIABILITIES] 339,498,814 [SENIOR-EQUITY] 0 [PAID-IN-CAPITAL-COMMON] 3,269,635,482 [SHARES-COMMON-STOCK] 193,761,214 [SHARES-COMMON-PRIOR] 193,252,744 [ACCUMULATED-NII-CURRENT] 17,879,163 [OVERDISTRIBUTION-NII] 0 [ACCUMULATED-NET-GAINS] 396,166,400 [OVERDISTRIBUTION-GAINS] 0 [ACCUM-APPREC-OR-DEPREC] 1,780,049,558 [NET-ASSETS] 5,463,730,603 [DIVIDEND-INCOME] 26,506,502 [INTEREST-INCOME] 22,027,277 [OTHER-INCOME] 0 [EXPENSES-NET] 30,644,962 [NET-INVESTMENT-INCOME] 17,888,817 [REALIZED-GAINS-CURRENT] 402,270,388 [APPREC-INCREASE-CURRENT] 109,488,855 [NET-CHANGE-FROM-OPS] 529,648,060 [EQUALIZATION] 0 [DISTRIBUTIONS-OF-INCOME] 0 [DISTRIBUTIONS-OF-GAINS] 86,223,516 [DISTRIBUTIONS-OTHER] 0 [NUMBER-OF-SHARES-SOLD] 12,529,508 [NUMBER-OF-SHARES-REDEEMED] 17,193,007 [SHARES-REINVESTED] 5,171,969 [NET-CHANGE-IN-ASSETS] 537,765,840 [ACCUMULATED-NII-PRIOR] (9,654) [ACCUMULATED-GAINS-PRIOR] 141,482,128 [OVERDISTRIB-NII-PRIOR] 0 [OVERDIST-NET-GAINS-PRIOR] 0 [GROSS-ADVISORY-FEES] 10,571,611 [INTEREST-EXPENSE] 0 [GROSS-EXPENSE] 30,644,962 [AVERAGE-NET-ASSETS] 3,058,194,284 [PER-SHARE-NAV-BEGIN] 15.31 [PER-SHARE-NII] 00.07 [PER-SHARE-GAIN-APPREC] 01.59 [PER-SHARE-DIVIDEND] 0 [PER-SHARE-DISTRIBUTIONS] 00.46 [RETURNS-OF-CAPITAL] 0 [PER-SHARE-NAV-END] 16.51 [EXPENSE-RATIO] 00.93 [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-31-1999 [PERIOD-END] JUN-30-1999 [INVESTMENTS-AT-COST] 3,700,977,342 [INVESTMENTS-AT-VALUE] 5,481,026,900 [RECEIVABLES] 5,905,480 [ASSETS-OTHER] 316,297,037 [OTHER-ITEMS-ASSETS] 0 [TOTAL-ASSETS] 5,803,229,417 [PAYABLE-FOR-SECURITIES] 28,133,570 [SENIOR-LONG-TERM-DEBT] 0 [OTHER-ITEMS-LIABILITIES] 311,365,244 [TOTAL-LIABILITIES] 339,498,814 [SENIOR-EQUITY] 0 [PAID-IN-CAPITAL-COMMON] 3,269,635,482 [SHARES-COMMON-STOCK] 107,761,214 [SHARES-COMMON-PRIOR] 202,776,160 [ACCUMULATED-NII-CURRENT] 17,879,163 [OVERDISTRIBUTION-NII] 0 [ACCUMULATED-NET-GAINS] 396,166,400 [OVERDISTRIBUTION-GAINS] 0 [ACCUM-APPREC-OR-DEPREC] 1,780,049,558 [NET-ASSETS] 5,463,730,603 [DIVIDEND-INCOME] 26,506,502 [INTEREST-INCOME] 22,027,277 [OTHER-INCOME] 0 [EXPENSES-NET] 30,644,962 [NET-INVESTMENT-INCOME] 17,888,817 [REALIZED-GAINS-CURRENT] 402,270,388 [APPREC-INCREASE-CURRENT] 109,488,855 [NET-CHANGE-FROM-OPS] 529,648,060 [EQUALIZATION] 0 [DISTRIBUTIONS-OF-INCOME] 0 [DISTRIBUTIONS-OF-GAINS] 47,948,036 [DISTRIBUTIONS-OTHER] 0 [NUMBER-OF-SHARES-SOLD] 12,500,654 [NUMBER-OF-SHARES-REDEEMED] 9,262,801 [SHARES-REINVESTED] 2,898,311 [NET-CHANGE-IN-ASSETS] 537,765,840 [ACCUMULATED-NII-PRIOR] (9,654) [ACCUMULATED-GAINS-PRIOR] 141,482,128 [OVERDISTRIB-NII-PRIOR] 0 [OVERDIST-NET-GAINS-PRIOR] 0 [GROSS-ADVISORY-FEES] 10,571,611 [INTEREST-EXPENSE] 0 [GROSS-EXPENSE] 30,644,962 [AVERAGE-NET-ASSETS] 1,646,122,415 [PER-SHARE-NAV-BEGIN] 15.26 [PER-SHARE-NII] 00.01 [PER-SHARE-GAIN-APPREC] 01.58 [PER-SHARE-DIVIDEND] 0 [PER-SHARE-DISTRIBUTIONS] 00.46 [RETURNS-OF-CAPITAL] 0 [PER-SHARE-NAV-END] 16.39 [EXPENSE-RATIO] 01.72 [AVG-DEBT-OUTSTANDING] 0 [AVG-DEBT-PER-SHARE] 0
EX-3 4 [ARTICLE] 6 [CIK] 0000089558 [NAME] SMITH BARNEY APPRECIATION FUND INC. CLASS L [PERIOD-TYPE] 6-MOS [FISCAL-YEAR-END] DEC-31-1999 [PERIOD-END] JUN-30-1999 [INVESTMENTS-AT-COST] 3,700,977,342 [INVESTMENTS-AT-VALUE] 5,481,026,900 [RECEIVABLES] 5,905,480 [ASSETS-OTHER] 316,297,037 [OTHER-ITEMS-ASSETS] 0 [TOTAL-ASSETS] 5,803,229,417 [PAYABLE-FOR-SECURITIES] 28,133,570 [SENIOR-LONG-TERM-DEBT] 0 [OTHER-ITEMS-LIABILITIES] 311,365,244 [TOTAL-LIABILITIES] 339,498,814 [SENIOR-EQUITY] 0 [PAID-IN-CAPITAL-COMMON] 3,269,635,482 [SHARES-COMMON-STOCK] 7,890,559 [SHARES-COMMON-PRIOR] 5,453,903 [ACCUMULATED-NII-CURRENT] 17,879,163 [OVERDISTRIBUTION-NII] 0 [ACCUMULATED-NET-GAINS] 396,166,400 [OVERDISTRIBUTION-GAINS] 0 [ACCUM-APPREC-OR-DEPREC] 1,780,049,558 [NET-ASSETS] 5,463,730,603 [DIVIDEND-INCOME] 26,506,502 [INTEREST-INCOME] 22,027,277 [OTHER-INCOME] 0 [EXPENSES-NET] 30,644,962 [NET-INVESTMENT-INCOME] 17,888,817 [REALIZED-GAINS-CURRENT] 402,270,388 [APPREC-INCREASE-CURRENT] 109,488,855 [NET-CHANGE-FROM-OPS] 529,648,060 [EQUALIZATION] 0 [DISTRIBUTIONS-OF-INCOME] 0 [DISTRIBUTIONS-OF-GAINS] 3,477,418 [DISTRIBUTIONS-OTHER] 0 [NUMBER-OF-SHARES-SOLD] 2,785,712 [NUMBER-OF-SHARES-REDEEMED] 561,647 [SHARES-REINVESTED] 212,591 [NET-CHANGE-IN-ASSETS] 537,765,840 [ACCUMULATED-NII-PRIOR] (9,654) [ACCUMULATED-GAINS-PRIOR] 141,482,128 [OVERDISTRIB-NII-PRIOR] 0 [OVERDIST-NET-GAINS-PRIOR] 0 [GROSS-ADVISORY-FEES] 10,571,611 [INTEREST-EXPENSE] 0 [GROSS-EXPENSE] 30,644,962 [AVERAGE-NET-ASSETS] 103,850,283 [PER-SHARE-NAV-BEGIN] 15.26 [PER-SHARE-NII] 00.01 [PER-SHARE-GAIN-APPREC] 01.58 [PER-SHARE-DIVIDEND] 0 [PER-SHARE-DISTRIBUTIONS] 00.46 [RETURNS-OF-CAPITAL] 0 [PER-SHARE-NAV-END] 16.39 [EXPENSE-RATIO] 01.72 [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-31-1999 [PERIOD-END] JUN-30-1999 [INVESTMENTS-AT-COST] 3,700,977,342 [INVESTMENTS-AT-VALUE] 5,481,026,900 [RECEIVABLES] 5,905,480 [ASSETS-OTHER] 316,297,037 [OTHER-ITEMS-ASSETS] 0 [TOTAL-ASSETS] 5,803,229,417 [PAYABLE-FOR-SECURITIES] 28,133,570 [SENIOR-LONG-TERM-DEBT] 0 [OTHER-ITEMS-LIABILITIES] 311,365,244 [TOTAL-LIABILITIES] 339,498,814 [SENIOR-EQUITY] 0 [PAID-IN-CAPITAL-COMMON] 3,269,635,482 [SHARES-COMMON-STOCK] 5,998,702 [SHARES-COMMON-PRIOR] 5,698,007 [ACCUMULATED-NII-CURRENT] 17,879,163 [OVERDISTRIBUTION-NII] 0 [ACCUMULATED-NET-GAINS] 396,166,400 [OVERDISTRIBUTION-GAINS] 0 [ACCUM-APPREC-OR-DEPREC] 1,780,049,558 [NET-ASSETS] 5,463,730,603 [DIVIDEND-INCOME] 26,506,502 [INTEREST-INCOME] 22,027,277 [OTHER-INCOME] 0 [EXPENSES-NET] 30,644,962 [NET-INVESTMENT-INCOME] 17,888,817 [REALIZED-GAINS-CURRENT] 402,270,388 [APPREC-INCREASE-CURRENT] 109,488,855 [NET-CHANGE-FROM-OPS] 529,648,060 [EQUALIZATION] 0 [DISTRIBUTIONS-OF-INCOME] 0 [DISTRIBUTIONS-OF-GAINS] 2,726,212 [DISTRIBUTIONS-OTHER] 0 [NUMBER-OF-SHARES-SOLD] 468,372 [NUMBER-OF-SHARES-REDEEMED] 167,677 [SHARES-REINVESTED] 0 [NET-CHANGE-IN-ASSETS] 537,765,840 [ACCUMULATED-NII-PRIOR] (9,654) [ACCUMULATED-GAINS-PRIOR] 141,482,128 [OVERDISTRIB-NII-PRIOR] 0 [OVERDIST-NET-GAINS-PRIOR] 0 [GROSS-ADVISORY-FEES] 10,571,611 [INTEREST-EXPENSE] 0 [GROSS-EXPENSE] 30,644,962 [AVERAGE-NET-ASSETS] 95,386,395 [PER-SHARE-NAV-BEGIN] 15.28 [PER-SHARE-NII] 00.10 [PER-SHARE-GAIN-APPREC] 01.58 [PER-SHARE-DIVIDEND] 0 [PER-SHARE-DISTRIBUTIONS] 00.46 [RETURNS-OF-CAPITAL] 0 [PER-SHARE-NAV-END] 16.50 [EXPENSE-RATIO] 00.58 [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-31-1999 [PERIOD-END] JUN-30-1999 [INVESTMENTS-AT-COST] 3,700,977,342 [INVESTMENTS-AT-VALUE] 5,481,026,900 [RECEIVABLES] 5,905,480 [ASSETS-OTHER] 316,297,037 [OTHER-ITEMS-ASSETS] 0 [TOTAL-ASSETS] 5,803,229,417 [PAYABLE-FOR-SECURITIES] 28,133,570 [SENIOR-LONG-TERM-DEBT] 0 [OTHER-ITEMS-LIABILITIES] 311,365,244 [TOTAL-LIABILITIES] 339,498,814 [SENIOR-EQUITY] 0 [PAID-IN-CAPITAL-COMMON] 3,269,635,482 [SHARES-COMMON-STOCK] 16,204,234 [SHARES-COMMON-PRIOR] 15,931,792 [ACCUMULATED-NII-CURRENT] 17,879,163 [OVERDISTRIBUTION-NII] 0 [ACCUMULATED-NET-GAINS] 396,166,400 [OVERDISTRIBUTION-GAINS] 0 [ACCUM-APPREC-OR-DEPREC] 1,780,049,558 [NET-ASSETS] 5,463,730,603 [DIVIDEND-INCOME] 26,506,502 [INTEREST-INCOME] 22,027,277 [OTHER-INCOME] 0 [EXPENSES-NET] 30,644,962 [NET-INVESTMENT-INCOME] 17,888,817 [REALIZED-GAINS-CURRENT] 402,270,388 [APPREC-INCREASE-CURRENT] 109,488,855 [NET-CHANGE-FROM-OPS] 529,648,060 [EQUALIZATION] 0 [DISTRIBUTIONS-OF-INCOME] 0 [DISTRIBUTIONS-OF-GAINS] 7,210,934 [DISTRIBUTIONS-OTHER] 0 [NUMBER-OF-SHARES-SOLD] 804,280 [NUMBER-OF-SHARES-REDEEMED] 983,086 [SHARES-REINVESTED] 451,248 [NET-CHANGE-IN-ASSETS] 537,765,840 [ACCUMULATED-NII-PRIOR] (9,654) [ACCUMULATED-GAINS-PRIOR] 141,482,128 [OVERDISTRIB-NII-PRIOR] 0 [OVERDIST-NET-GAINS-PRIOR] 0 [GROSS-ADVISORY-FEES] 10,571,611 [INTEREST-EXPENSE] 0 [GROSS-EXPENSE] 30,644,962 [AVERAGE-NET-ASSETS] 256,219,396 [PER-SHARE-NAV-BEGIN] 15.29 [PER-SHARE-NII] 00.10 [PER-SHARE-GAIN-APPREC] 01.59 [PER-SHARE-DIVIDEND] 0 [PER-SHARE-DISTRIBUTIONS] 00.46 [RETURNS-OF-CAPITAL] 0 [PER-SHARE-NAV-END] 16.52 [EXPENSE-RATIO] 00.58 [AVG-DEBT-OUTSTANDING] 0 [AVG-DEBT-PER-SHARE] 0
EX-6 7 SMITH BARNEY APPRECIATION FUND INC. 10f-3 REPORT September 1, 1998 through May 31, 1999 Trade Purchase % of Issuer Date Selling Dealer Shares Price Issue The Money Group Inc. 11/10/98 Goldman Sachs $940,000 $23.50 0.67% Infinity Broadcasting 12/9/98 Merrill Lynch 10,250,000 20.50 1.27 Infinity Broadcasting 12/9/98 Merrill Lynch 10,250,000 20.50 1.32 Marketwatch.com 1/15/99 Alex Brown, DLJ 65,450 17.00 0.18 Enron 2/11/99 CS First Boston 3,134,375 62.6875 0.42 Autobytel.com 3/26/99 Alex Brown 18,400 23.00 0.02 Donaldson, Lufkin & Jenrette Priceline.com 3/29/99 Morgan Stanley 320,000 16.00 0.35 Goldman Sachs 5/3/99 Goldman Sachs 1,616,500 53.00 0.18 -----END PRIVACY-ENHANCED MESSAGE-----