-----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, KMXOI1Odie4flt0P2qKfqcjAkIbbvahUi87gzypg3oW6QwAXkOwvnAHln1qsnKtC 4ieJ7hf5BlfQap9acuQFOA== 0001066036-02-000002.txt : 20020414 0001066036-02-000002.hdr.sgml : 20020414 ACCESSION NUMBER: 0001066036-02-000002 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020214 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NEW GERMANY FUND INC CENTRAL INDEX KEY: 0000858706 IRS NUMBER: 133555471 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-49307 FILM NUMBER: 02547443 BUSINESS ADDRESS: STREET 1: 280 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2124741694 MAIL ADDRESS: STREET 1: 280 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10017 FORMER COMPANY: FORMER CONFORMED NAME: LENOX FUND INC DATE OF NAME CHANGE: 19900115 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SG COWEN SECURITIES CORP CENTRAL INDEX KEY: 0001066036 IRS NUMBER: 131976032 STATE OF INCORPORATION: NY FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 1221 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10020 BUSINESS PHONE: 2124955618 MAIL ADDRESS: STREET 1: FINANCIAL SQUARE CITY: NEW YORK STATE: NY ZIP: 10005-3597 SC 13G 1 ngf13g.txt 13G FILING FOR NEW GERMANY FUND INC SCHEDULE 13G New Germany Fund, Inc. (Name of Issuer) I.R.S. Identification No. 133555471 COMMON STOCK (Title of Class of Securities) 644465106 (CUSIP Number) SCHEDULE FILED PURSUANT TO RULE 13d-1(b) 1. Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person SG Cowen Securities Corporation I.R.S. Identification No. 13-1976032 2. Check the Appropriate Box if a Member of a Group (a) / / (b) / / 3. SEC Use Only 4. Citizenship or Place of Organization Delaware 5. Sole Voting Power Societe Generale (Paris) 2,009,881 6. Shared Voting Power -0- 7. Sole Dispositive Power Societe Generale (Paris) 2,009,881 8. Shared Dispositive Power -0- 9. Aggregate Amount Beneficially Owned By Each Reporting Person -0- 10. Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares * N/A 11. Percent of Class Represented by Amount in Row 9 7.0217% 12. Type of Reporting Person * Broker Dealer Item 1 (a) New Germany Fund, Inc. (b) 31 West 52nd Street c/o Deutsche Bank Capital Corporation New York, NY 10019 Item 2 (a) SG COWEN SECURITIES CORPORATION (b) 1221 AVENUE OF THE AMERICAS New York, NY 10020 (c) Citizenship: USA (d) Common Stock (e) 644465106 Item 3 IF THE STATEMENT IS FILED PURSUANT TO RULE 13d-l(b) CHECK WHETHER THE PERSON FILING IS: (a) [ x ] Broker or Dealer registered under section 15 of the Act: SG COWEN SECURITIES CORPORATION (e) [ ] Investment advisor registered under section 203 of the Investment Advisers Act of 1940: SG Cowen Asset Management, Item 4 OWNERSHIP Societe Generale, Paris (a) 2,009,881 (b) 7.0217% (c) (i) - 0 - (ii) 2,009,881 (iii) - 0 - (iv) 2,009,881 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 As a broker dealer, SG Cowen Securities Corporation holds the securities on behalf of its affiliate, Societe Generale (Paris) whose interest exceeds five percent. ITEM 7 IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED BY THE PARENT HOLDING COMPANY Not applicable 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 and belief, 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 of effect. 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 14, 2002 SG COWEN SECURITIES CORPORATION By:/S/ Michael Maxson, Vice President Michael Maxson SG COWEN SECURITIES CORPORATION 1221 AVENUE OF THE AMERICAS New York, NY 10020 February 14, 2002 VIA EDGAR FILING Securities and Exchange Commission Judiciary Plaza 450 Fifth Street, N.W. Washington, DC 20549 Re: Schedule 13G with respect to the Common Stock, of The New Germany Fund, Inc. Ladies and Gentlemen: On behalf of SG COWEN SECURITIES CORPORATION, I am transmitting herewith for filing with the Securities and Exchange Commission (the "Commission") the Schedule 13G relating to the Common Stock of The New Germany Fund, Inc. This filing is being effected by direct transmission to the Commission's EDGAR system. By copy of this letter, a copy of the enclosed Schedule is being sent by certified mail to The New Germany Fund, Inc. at its principal executive office. If you have any questions regarding the foregoing, please contact the undersigned at (212) 278-6133 Very truly yours, /s/ Michael Maxson Michael Maxson Enclosures cc: The New Germany Fund, Inc. 31 West 52nd Street c/o/ Deutsche Bank Capital Corporation New York, NY 10019 -----END PRIVACY-ENHANCED MESSAGE-----