FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
DWS GLOBAL COMMODITIES STOCK FUND, INC. [ GCS ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 12/09/2009 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock, par value $0.01(1) | 12/09/2009 | P | 300 | A | $8.14 | 2,300 | D | |||
Common Stock, par value $0.01(1) | 12/11/2009 | P | 900 | A | $8.17 | 3,200 | D | |||
Common Stock, par value $0.01(1) | 12/11/2009 | P | 200 | A | $8.23 | 3,400 | D | |||
Common Stock, par value $0.01(1) | 530,328 | I(2) | By Western Investment Activism Partners | |||||||
Common Stock, par value $0.01(1) | 530,570 | I(3) | By Western Investment Hedged Partners | |||||||
Common Stock, par value $0.01(1) | 1,137.24 | I(4) | By Western Investment LLC | |||||||
Common Stock, par value $0.01(1) | 529,909 | I(5) | By Western Investment Total Return Fund | |||||||
Common Stock, par value $0.01(1) | 531,032 | I(6) | By Western Investment Total Return Ptnrs |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
1. The Reporting Person is a member of a Section 13(d) group with respect to the securities of the Issuer that beneficially owns in excess of 10% of the Issuer's outstanding Shares. As a member of the group, the Reporting Person may be deemed to beneficially own the securities of the Issuer beneficially owned by the other members of the group. The Reporting Person disclaims beneficial ownership of the securities of the Issuer beneficially owned by the other members of the group except to the extent of his pecuniary interest therein. |
2. Shares owned directly by Western Investment Activism Partners LLC ("WIAP"). As the managing member of Western Investment, LLC ("WILLC"), the managing member of WIAP, Arthur D. Lipson may be deemed to beneficially own the Shares owned by WIAP. Mr. Lipson disclaims beneficial ownership of such Shares except to the extent of his pecuniary interest therein. |
3. Shares owned directly by Western Investment Hedged Partners L.P. ("WIHP"). As the managing member of WILLC, the general partner of WIHP, Mr. Lipson may be deemed to beneficially own the Shares owned by WIHP. Mr. Lipson disclaims beneficial ownership of such Shares except to the extent of his pecuniary interest therein. |
4. Shares owned directly by WILLC. As the managing member of WILLC, Mr. Lipson may be deemed to beneficially own the Shares owned by WILLC. Mr. Lipson disclaims beneficial ownership of such Shares except to the extent of his pecuniary interest therein. |
5. Shares owned directly by Western Investment Total Return Fund Ltd. ("WITRL"). As the managing member of WILLC, the investment manager of WITRL, Mr. Lipson may be deemed to beneficially own the Shares owned by WITRL. Mr. Lipson disclaims beneficial ownership of such Shares except to the extent of his pecuniary interest therein. |
6. Shares owned directly by Western Investment Total Return Partners L.P. ("WITRP"). As the managing member of WILLC, the general partner of WITRP, Mr. Lipson may be deemed to beneficially own the Shares owned by WITRP. Mr. Lipson disclaims beneficial ownership of such Shares except to the extent of his pecuniary interest therein. |
/s/ Lipson, Arthur D. | 12/11/2009 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |