-----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, MkT6BAysuNhFsSFa9SmCZSNuxmZ0vZGzR9HagjJyuEXBr4PQzYSSziEcV1HxOX3c a80HKIBxk9217EqqK6ZkEg== 0000045809-98-000027.txt : 19980318 0000045809-98-000027.hdr.sgml : 19980318 ACCESSION NUMBER: 0000045809-98-000027 CONFORMED SUBMISSION TYPE: NSAR-U PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19971231 FILED AS OF DATE: 19980317 SROS: NASD FILER: COMPANY DATA: COMPANY CONFORMED NAME: SHEARSON LEHMAN BROTHERS UNIT TRUSTS HIGH YIELD MUN SER 1 CENTRAL INDEX KEY: 0000816772 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: NSAR-U SEC ACT: SEC FILE NUMBER: 811-05208 FILM NUMBER: 98566894 BUSINESS ADDRESS: STREET 1: 388 GREENWICH ST 23 RD FL STREET 2: C/O DAVIS POLK & WARDWELL CITY: NEW YORK STATE: NY ZIP: 10013 BUSINESS PHONE: 2128166047 FORMER COMPANY: FORMER CONFORMED NAME: SHEARSON LEHMAN BROTHERS UNIT TRUSTS HIGH YIELD MUN SERIES 1 DATE OF NAME CHANGE: 19890308 NSAR-U 1 HIGH YIELD MUNICIPAL FORM N-SAR SEMI-ANNUAL REPORT FOR REGISTERED INVESTMENT COMPANIES Report for six month period ending: / / (a) or fiscal year ending: 12/31/97 (b) Is this a transition report? (Y/N) _N___ Is this an amendment to a previous filing? (Y/N) _N___ Those items or sub-items with a box "#" after the item number should be completed only if the answer has changed from the previous filing on this form. 1.A.Registrant Name: High yield Municipal B.File Number: 811-5208 C.Telephone Number: 212-816-6046 2.A.Street: 388 Greenwich St. 23rd Fl B.CityNYC. State NYD. Zip Code:10013Zip Ext: E.Foreign Country:Foreign Postal Code: 3.Is this the first filing on this form by Registrant? (Y/N)__N_______________________ 4.Is this the last filing on this form by Registrant? (Y/N)____N_____________________ 5.Is Registrant a small business investment company (SBIC)? (Y/N) _N______________ [If answer is "Y"(Yes), complete only items 89 through 110.] 6.Is Registrant a unit investment trust (UIT)? (Y/N) ____Y_____________ [If answer is "Y"(Yes), complete only items 111 through 132.] 7.A.Is Registrant a series or multiple portfolio company? (Y/N) ______________ [If answer is "N"(No), go to item 8.] B.Hos many separate series or portfolios did Registrant have at the end of the period?_________________ 01 For period ending _12/31/97________If filing more than one Page 47, "X" box: # File number 811-5208____________ UNIT INVESTMENT TRUSTS 111.A.# Depositor Name:____________________________________ B.# File Number (If any): ________________________ C.# City:________________ State:________Zip Code:__________Zip Ext.:______ # Foreign Country: ______________ Foreign Postal Code: _______________ 111.A.# Depositor Name:____________________________________ B.# File Number (If any): ________________________ C.# City:________________ State:________Zip Code:__________Zip Ext.:______ # Foreign Country: ______________ Foreign Postal Code: _______________ 112.A.# Sponsor Name:____________________________________ B.# File Number (If any): ________________________ C.# City:________________ State:________Zip Code:__________Zip Ext.:______ # Foreign Country: ______________ Foreign Postal Code: _______________ 112.A.# Sponsor Name:____________________________________ B.# File Number (If any): ________________________ C.# City:________________ State:________Zip Code:__________Zip Ext.:______ # Foreign Country: ______________ Foreign Postal Code: _______________ 47 For period ending __12/31/97_______If filing more than one Page 48, "X" box: # File number 811-5208____________ 113.A.# Trustee Name:____________________________________ B.# City:________________ State:________Zip Code:__________Zip Ext.:______ # Foreign Country: ______________ Foreign Postal Code: _______________ 113.A.# Trustee Name:____________________________________ B.# City:________________ State:________Zip Code:__________Zip Ext.:______ # Foreign Country: ______________ Foreign Postal Code: _______________ 114.A.# Principal Underwriter Name:____________________________________ B.# File Number: 8-_____________ C.# City:________________ State:________Zip Code:__________Zip Ext.:______ # Foreign Country: ______________ Foreign Postal Code: _______________ 114.A.# Principal Underwriter Name:____________________________________ B.# File Number: 8-_____________ C.# City:________________ State:________Zip Code:__________Zip Ext.:______ # Foreign Country: ______________ Foreign Postal Code: _______________ 115.A.# Independent Public Accountant Name:_____________________________ B.# City:________________ State:________Zip Code:__________Zip Ext.:______ # Foreign Country: ______________ Foreign Postal Code: _______________ 115.A.# Independent Public Accountant Name:_____________________________ B.# City:________________ State:________Zip Code:__________Zip Ext.:______ # Foreign Country: ______________ Foreign Postal Code: _______________ 48 For period ending __12/31/97_________If filing more than one Page 49, "X" box: # File number 811-5208____________ 116.Family of investment companies information: A.# Is Registrant part of a family of investment companies? (Y/N) __________ ____ Y/N B.# Identify the family in 10 letters: __________________ (NOTE: In filing this form, use this identification consistently for all investment companies in family. This designation is for purposes of this form only.) 117.A.# Is Registrant a separate account of an insurance company? (Y/N) ____________ Y/N If answer is "Y" (Yes), are any of the following types of contracts funded by the Registrant? B.# Variable annuity contracts? (Y/N) ___________________________________ Y/N C.# Scheduled premium variable life contracts? (Y/N)_______________________ Y/N D.# Flexible premium variable life contracts? (Y/N)_______________________ Y/N E.# Other types of insurance products registered under the Securities Act of 1933? (Y/N)__________________________________ Y/N 118.#State the number of series existing at the end of the period that had securities registered under the Securities Act of 1933.____13____________ 119.#State the number of new series for which registration statements under the Securities Act of 1933 became effective during the period________0____ 120.#State the total value of the portfolio securities on the date of deposit for the new series included in item 119 ($000's omitted) ________________________ $_________ 121.#State the number of series for which a current prospectus was in existence at the end of the period _______0_____ 122.#State the number of existing series for which additional units were registered under the Securities Act of 1933 during the current period _____0______________ 49 For period ending _12/31/97_______If filing more than one Page 50, "X" box: # File number 811-5208____________ 123.#State the total value of the additional units considered in answering item 122 ($000's omitted) $____0____ 124.#State the total value of units of prior series that were placed in the portfolios of subsequent series during the current period (the value of these units is to be measured on the date they were placed in the subsequent series) ($000's omitted) _____________________________$____0____ 125.#State the total dollar amount of sales loads collected (before reallowances to other brokers or dealers) by Registrant's principal underwriter and any underwriter which is an affiliated person of the principal underwriter during the current period solely from the sale of units of all series of Registrant ($000's omitted)__________ $____14_____ 126.#Of the amount shown in item 125, state the total dollar amount of sales loads collected from secondary market operations in Registrant's units (include the sales loads, if any, collected on units of a prior series placed in the portfolio of a subsequent series.) ($000's omitted) _______________ $__14_____ 127.#List opposite the appropriate description below the number of series whose portfolios are invested primarily (based upon a percentage of NAV) in each type of security shown, the aggregate total assets at market value as of a date at or near the end of the current period of each such group of series and the total income distributions made by each such group of series during the current period (excluding distributions of realized gains, if any): Number ofTotal AssetsTotal Income Series($000'sDistributions Investingomitted)($000's omitted) A.U.S. Treasury direct issue______________________$______$______ B.U.S. Government agency______________________$______$______ C.State and municipal tax- free______________13_____$27,358______$3,456______ D.Public utility debt____________________$______$______ E.Brokers or dealers debt or debt of brokers' or dealers' parent_____________________$______$______ F.All other corporate intermed. & long-term debt____________________$______$______ G.All other corporate short-term debt________________$______$______ H.Equity securities of brokers or dealers or parents of brokers or dealers__________________$______$______ I.Investment company equity securities_____________$______$______ J.All other equity securities_______________$______$______ K.Other securities__________________$______$______ L.Total assets of all series of registrant______13_____$27,358______$3,456______
50 For period ending __12/31/97______If filing more than one Page 51, "X" box: # File number 811-5208____________ 128.#Is the timely payment of principal and interest on any of the portfolio securities held by any of registrant's series at the end of the current period insured or guaranteed by an entity other than the issuer? (Y/N) _________________________________ Y/N [If answer is "N" (No), go to item 131.] 129.#Is the issuer of any instrument covered in the item 128 delinquent or in default as to payment of principal or interest at the end of the current period? (Y/N)______________________________ Y/N [If answer is "N" (No), go to item 131.] 130.#In computations of NAV or offering price per unit, is any part of the value attributed to instruments identified in item 129 derived from insurance or guarantees? (Y/N)____________________________ Y/N 131.#Total expenses incurred by all series of Registrant during the current reporting period ($000's omitted) _____ $_143____________________ 132.#List the "811" (Investment Company Act of 1940) registration number for all Series of Registrant that are being included in this filing: 811-5208_____811-_____811-_____811-_____811-_____ 811-_____811-_____811-_____811-_____811-_____ 811-_____811-_____811-_____811-_____811-_____ 811-_____811-_____811-_____811-_____811-_____ 811-_____811-_____811-_____811-_____811-_____ 811-_____811-_____811-_____811-_____811-_____ 811-_____811-_____811-_____811-_____811-_____ 811-_____811-_____811-_____811-_____811-_____ 811-_____811-_____811-_____811-_____811-_____ 51
-----END PRIVACY-ENHANCED MESSAGE-----