-----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, KC/7YhgLplqUmJF3Gp+1mNf89C2u31nJ+LBN+imWW+uvN92XBDA/5p2aE3XfTkYK H3M9eeuYvBA9lrdzVaw8uA== 0001116679-04-000375.txt : 20040301 0001116679-04-000375.hdr.sgml : 20040301 20040301143404 ACCESSION NUMBER: 0001116679-04-000375 CONFORMED SUBMISSION TYPE: NSAR-U PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20031231 FILED AS OF DATE: 20040301 EFFECTIVENESS DATE: 20040301 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SHEARSON LEHMAN BROTHERS UNIT TRUSTS HIGH YIELD MUN SER 1 CENTRAL INDEX KEY: 0000816772 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: NSAR-U SEC ACT: 1940 Act SEC FILE NUMBER: 811-05208 FILM NUMBER: 04638659 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 nsar.txt FORM N-SAR SEMI-ANNUAL REPORT FOR REGISTERED INVESTMENT COMPANIES Report for six month period ending: (a) or fiscal year ending: 12/31/03(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 Series B. File Number: 811-05208 C. Telephone Number: (800) 223-2532 2. A. Street: 388 Greenwich St. B. City: New York C. State: NY D. Zip Code: 10013 Zip 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. How many separate series or portfolios did Registrant have at the end of the period? --------------------------------
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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:______________________
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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 (If any):________________________________________ C. |/| City:__________________________________ State:_____________________ Zip Code:_________________ Zip Ext:______ |/| Foreign Country:____________________________________________________ Foreign Postal Code:______________________ 114. A. [/] Principal Underwriter Name: ____________________________________________________________________________________ B. |/| File Number (If any):________________________________________ 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:______________________
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116. A. |/| Is Registrant part of a family of investment companies? (Y/N) 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) N -------------------------- --------------------- Y/N If answer is "Y" (Yes), are any of the following types of contracts funded by the Registration?: B. |/| Variable annuity contracts? (Y/N)________________________________________________________ _____________________ Y/N C. |/| Scheduled premium variable life contracts? (Y/N)_________________________________________ _____________________ Y/N D. |/| Fle/ible 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_______________________________________________________________ 3 -------------- 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) _________________________________________________________ $ 0 -------------- 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 --------------
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123. |/| State the total value of the additional units considered in answering item 122 ($000's $ 0 omitted)_______________________________________________________________________________________ ----------------- 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 $ 0 on the date they were placed in the subsequent series) ($000's omitted)________________________ ----------------- 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 $ 0 the sale of units of all series of Registrant ($000's omitted)_________________________________ ----------------- 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 loans, if any, collected on units of a prior series placed in the portfolio of a subsequent series.) $ 0 ($000's omitted)_______________________________________________________________________________ ----------------- 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 of Total Assets Total Income Series ($000's Distributions Investing Omitted) ($000's omitted --------- -------- --------------- A. U.S. Treasury direct issue_________________________ $ $ ---------------------- ---------------------- --------------------- B. U.S. Government agency_____________________________ $ $ ---------------------- ---------------------- --------------------- C. State and municipal tax-free_______________________ 3 $ 1,564 $ 121 ---------------------- ---------------------- --------------------- 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___________ 3 $ 1,564 $ 121 ---------------------- ---------------------- ---------------------
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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 N an entity other than the issuer? (Y/N)_________________________________________________________ ----------------- Y/N [If the answer is "N" (No), go to item 131.] 129. |/| Is the issuer of any instrument covered in 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 $ 5 ($000's omitted)_______________________________________________________________________________ ----------------- 132. |/| List the "811" (Investment Company Act of 1940) registration number for all Series of Registrant that are being included in this filing: 811-05208 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 This report is signed on behalf of the Registrant. City of: New York State of: New York Date: February 27, 2004 Name of Registrant: High Yield Municipal Series By: /s/ William Renahan By: /s/ Kevin E. Kopczynski ------------------------------- -------------------------------- Name: William Renahan Name: Kevin E. Kopczynski Title: Director Title: Director -----END PRIVACY-ENHANCED MESSAGE-----