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SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ) -- Alpha Industries, Inc. --------------------------------------- (Name of Issuer) Common Stock --------------------------------------- (Title of Class of Securities) 020753-10-9 ------------------ (CUSIP Number) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). (Continued on following pages(s)) SCHEDULE 13G CUSIP NO. 020753-10-9 - -------------------------------------------------------------------------------- 1) Name of Reporting Person Smith Barney Mutual Funds Management Inc. S.S. or I.R.S Identification 13-2616913 No. of Above Person - -------------------------------------------------------------------------------- 2) Check the Appropriate Box (a) if a Member of a Group ---------------------------- (See Instructions) (b) ---------------------------- - -------------------------------------------------------------------------------- 3) SEC Use Only - -------------------------------------------------------------------------------- 4) Citizenship or Place of Organization Delaware - -------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power 0 Beneficially Owned (6) Shared Voting Power 528,500 by Each Reporting (7) Sole Dispositive Power 0 Person with (8) Shared Dispositive Power 528,500 - -------------------------------------------------------------------------------- 9) Aggregate Amount Beneficially Owned by Each Reporting Person 528,500 - -------------------------------------------------------------------------------- 10) Check if the Aggregate Amount in Row 9 Excludes Certain Shares (See Instructions) - -------------------------------------------------------------------------------- 11) Percent of Class Represented by Amount in Row 9 5.3% - -------------------------------------------------------------------------------- 12) Type of Reporting Person IA (See Instructions) - -------------------------------------------------------------------------------- SCHEDULE 13G CUSIP NO. 020753-10-9 - -------------------------------------------------------------------------------- 1) Name of Reporting Person Smith Barney Holdings Inc. S.S. or I.R.S Identification 06-1274088 No. of Above Person - -------------------------------------------------------------------------------- 2) Check the Appropriate Box (a) if a Member of a Group ---------------------------- (See Instructions) (b) ---------------------------- - -------------------------------------------------------------------------------- 3) SEC Use Only - -------------------------------------------------------------------------------- 4) Citizenship or Place of Organization Delaware - -------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power 0 Beneficially Owned (6) Shared Voting Power 529,700 by Each Reporting (7) Sole Dispositive Power 0 Person with (8) Shared Dispositive Power 529,700 - -------------------------------------------------------------------------------- 9) Aggregate Amount Beneficially Owned by Each Reporting Person 529,700 - -------------------------------------------------------------------------------- 10) Check if the Aggregate Amount in Row 9 Excludes Certain Shares (See Instructions) - -------------------------------------------------------------------------------- 11) Percent of Class Represented by Amount in Row 9 5.4% - -------------------------------------------------------------------------------- 12) Type of Reporting Person CO (See Instructions) - -------------------------------------------------------------------------------- SCHEDULE 13G CUSIP NO. 020753-10-9 - -------------------------------------------------------------------------------- 1) Name of Reporting Person Travelers Group Inc. S.S. or I.R.S Identification 52-1568099 No. of Above Person - -------------------------------------------------------------------------------- 2) Check the Appropriate Box (a) if a Member of a Group ---------------------------- (See Instructions) (b) ---------------------------- - -------------------------------------------------------------------------------- 3) SEC Use Only - -------------------------------------------------------------------------------- 4) Citizenship or Place of Organization Delaware - -------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power 0 Beneficially Owned (6) Shared Voting Power 529,700 by Each Reporting (7) Sole Dispositive Power 0 Person with (8) Shared Dispositive Power 529,700 - -------------------------------------------------------------------------------- 9) Aggregate Amount Beneficially Owned by Each Reporting Person 529,700 - -------------------------------------------------------------------------------- 10) Check if the Aggregate Amount in Row 9 Excludes Certain Shares (See Instructions) - -------------------------------------------------------------------------------- 11) Percent of Class Represented by Amount in Row 9 5.4% - -------------------------------------------------------------------------------- 12) Type of Reporting Person HC (See Instructions) - -------------------------------------------------------------------------------- Item 1(a) Name of Issuer: Alpha Industries, Inc. Item 1(b) Address of Issuer's Principal Executive Offices: 20 Sylvan Road Woburn, MA 01801 Item 2(a) Names of Persons Filing: Smith Barney Mutual Funds Management Inc. ("MFM") Smith Barney Holdings Inc. ("SB Holdings") Travelers Group Inc. ("TRV") Item 2(b) Address of Principal Business Office or, if none, Residence: The address of the principal business office of MFM, SB Holdings and TRV is: 388 Greenwich Street New York, NY 10013 Item 2(c) Citizenship: MFM, SB Holdings and TRV are Delaware corporations. Item 2(d) Title of Class of Securities: Common Stock Item 2(e) CUSIP Number: Item 3. If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b), check whether the person filing is a: (a) [ ] Broker or Dealer registered under Sec. 15 of the Act (b) [ ] Bank as defined in Sec. 3(a)(6) of the Act (c) [ ] Insurance Company as defined in Sec. 3(a)(19) of the Act (d) [ ] Investment Company registered under Sec. 8 of the Investment Company Act (e) [ X ] Investment Adviser registered under Sec. 203 of the Investment Advisers Act of 1940 (f) [ ] Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see Sec. 240.13d-1(b)(1)(ii)(F) (g) [ X ] Parent Holding Company, in accordance with Sec. 240.13d- 1(b)(ii)(G) (Note: See Item 7) (h) [ ] Group, in accordance with Sec. 240.13d-1(b)(1)(ii)(H) Item 4. Ownership (as of December 31, 1996) (a) Amount Beneficially Owned: See Item 9 of cover pages (b) Percent of Class: See Item 11 of cover pages (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote (ii) shared power to vote or to direct the vote (iii) sole power to dispose or to direct the disposition of (iv) shared power to dispose or to direct the disposition of See Items 5-8 of cover pages Item 5. Ownership of Five Percent or Less of a Class If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [ ]. Item 6. Ownership of More than Five Percent on Behalf of Another Person Not Applicable. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company SB Holdings is the sole stockholder of MFM. TRV is the sole stockholder of SB Holdings. Item 8. Identification and Classification of Members of the Group Not Applicable. Item 9. Notice of Dissolution of Group Not Applicable. Item 10. Certification By signing below I certify that, to the best of my knowledge, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purposes or effect. Signature After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: February 5, 1997 --- SMITH BARNEY MUTUAL FUNDS MANAGEMENT INC. By: /s/ Christina T. Sydor --------------------------- Name: Christina T. Sydor Title: Secretary SMITH BARNEY HOLDINGS INC. By: /s/ Howard M. Darmstadter --------------------------- Name: Howard M. Darmstadter Title: Assistant Secretary TRAVELERS GROUP INC. By: /s/ Charles J. Gallo, Jr. --------------------------- Name: Charles J. Gallo, Jr. Title: Assistant Controller EXHIBIT INDEX TO SCHEDULE 13G ----------------------------- EXHIBIT 1 - --------- Agreement among MFM, SB Holdings and TRV as to joint filing of Schedule 13G EXHIBIT 2 - --------- Disclaimer of beneficial ownership by SB Holdings and TRV
EXHIBIT 1 --------- AGREEMENT AS TO JOINT FILING OF SCHEDULE 13G -------------------------------------------- Each of the undersigned hereby affirms that it is individually eligible to use Schedule 13G, and agrees that this Schedule 13G is filed on its behalf. Date: February 5, 1997 SMITH BARNEY MUTUAL FUNDS MANAGEMENT INC. By: /s/ Christina T. Sydor --------------------------- Name: Christina T. Sydor Title: Secretary SMITH BARNEY HOLDINGS INC. By: /s/ Howard M. Darmstadter --------------------------- Name: Howard M. Darmstadter Title: Assistant Secretary TRAVELERS GROUP INC. By: /s/ Charles J. Gallo, Jr. --------------------------- Name: Charles J. Gallo, Jr. Title: Assistant Controller
EXHIBIT 2 --------- DISCLAIMER OF BENEFICIAL OWNERSHIP ---------------------------------- Each of the undersigned disclaims beneficial ownership of the securities referred to in the Schedule 13G to which this exhibit is attached, and the filing of this Schedule 13G shall not be construed as an admission that any of the undersigned is, for the purpose of Section 13(d) or 13(g) of the Securities Exchange Act of 1934, as amended, the beneficial owner of any securities covered by this Schedule 13G. Date: February 5, 1997 SMITH BARNEY HOLDINGS INC. By: /s/ Howard M. Darmstadter --------------------------- Name: Howard M. Darmstadter Title: Assistant Secretary TRAVELERS GROUP INC. By: /s/ Charles J. Gallo, Jr. --------------------------- Name: Charles J. Gallo, Jr. Title: Assistant Controller