-----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, ULALv1LMmMGQp/h/nzsr/HMhFXOxuRox3HuyYJJA5b/CZA+dELfgDwmW1vOLS2vi 3Byygo7r54rn7/vVVxVZIg== 0001031235-00-000003.txt : 20000215 0001031235-00-000003.hdr.sgml : 20000215 ACCESSION NUMBER: 0001031235-00-000003 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 19991231 FILED AS OF DATE: 20000214 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GLOBAL INCOME FUND INC CENTRAL INDEX KEY: 0001031235 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 133926714 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 SEC ACT: SEC FILE NUMBER: 811-08025 FILM NUMBER: 543119 BUSINESS ADDRESS: STREET 1: 11 HANOVER SQU CITY: NEW YORK STATE: NY ZIP: 10005 BUSINESS PHONE: 2127850903 MAIL ADDRESS: STREET 1: 11 HANOVER SQU CITY: NEW YORK STATE: NY ZIP: 10005 FORMER COMPANY: FORMER CONFORMED NAME: BULL & BEAR GLOBAL INCOME FUND INC/ DATE OF NAME CHANGE: 19970123 COMPANY DATA: COMPANY CONFORMED NAME: GLOBAL INCOME FUND INC CENTRAL INDEX KEY: 0001031235 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER IRS NUMBER: 133926714 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: 11 HANOVER SQU CITY: NEW YORK STATE: NY ZIP: 10005 BUSINESS PHONE: 2127850903 MAIL ADDRESS: STREET 1: 11 HANOVER SQU CITY: NEW YORK STATE: NY ZIP: 10005 FORMER COMPANY: FORMER CONFORMED NAME: BULL & BEAR GLOBAL INCOME FUND INC/ DATE OF NAME CHANGE: 19970123 5 1 FORM 5 ------------------------------ OMB APPROVAL ------------------------------ OMB Number Expires: Estimated average burden hours per response ....... 1.0 ------------------------------ U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 5 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 [_] Check box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). [_] Form 3 Holdings Reported [_] Form 4 Transactions Reported ________________________________________________________________________________ 1. Name and Address of Reporting Person* Werner Peter K. - -------------------------------------------------------------------------------- (Last) (First) (Middle) 11 Hanover Square - -------------------------------------------------------------------------------- (Street) New York New York 10005 - -------------------------------------------------------------------------------- (City) (State) (Zip) ________________________________________________________________________________ 2. Issuer Name and Ticker or Trading Symbol Global Income Fund, Inc. (GIF) ________________________________________________________________________________ 3. IRS Identification Number of Reporting Person, if an Entity (Voluntary) ________________________________________________________________________________ 4. Statement for Month/Year 12/99 ________________________________________________________________________________ 5. If Amendment, Date of Original (Month/Year) ________________________________________________________________________________ 6. Relationship of Reporting Person to Issuer (Check all applicable) [X] Director [_] 10% Owner [_] Officer (give title below) [_] Other (specify below) ________________________________________________________________________________ 7. Individual or Joint/Group Filing (Check applicable line) [X] Form filed by one Reporting Person [_] Form filed by more than one Reporting Person ________________________________________________________________________________ ================================================================================ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ================================================================================
5. 6. 4. Amount of Owner- Securities Acquired (A) or Securities ship Disposed of (D) Beneficially Form: 7. (Instr. 3, 4 and 5) Owned at End Direct Nature of 2. 3. ----------------------------- of Issuer's (D) or Indirect 1. Transaction Transaction (A) Fiscal Year Indirect Beneficial Title of Security Date Code Amount or Price (Instr. 3 (I) Ownership (Instr. 3) (mm/dd/yy) (Instr. 8) (D) and 4) (Instr.4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ Global Income Fund, Inc. 3/2/98 L 1 A 7.85 - ------------------------------------------------------------------------------------------------------------------------------------ Global Income Fund, Inc. 3/31/98 L 1 A 7.86 - ------------------------------------------------------------------------------------------------------------------------------------ Global Income Fund, Inc. 5/1/98 L 1 A 7.84 - ------------------------------------------------------------------------------------------------------------------------------------ Global Income Fund, Inc. 6/1/98 L 1 A 7.05 - ------------------------------------------------------------------------------------------------------------------------------------ Global Income Fund, Inc. 7/6/98 L 1 A 6.38 - ------------------------------------------------------------------------------------------------------------------------------------ Global Income Fund, Inc. 7/31/98 L 2 A 6.48 - ------------------------------------------------------------------------------------------------------------------------------------ Global Income Fund, Inc. 9/1/98 L 3 A 5.44 - ------------------------------------------------------------------------------------------------------------------------------------ Global Income Fund, Inc. 10/1/98 L 3 A 5.70 - ------------------------------------------------------------------------------------------------------------------------------------ Global Income Fund, Inc. 11/2/98 L 3 A 5.66 - ------------------------------------------------------------------------------------------------------------------------------------ Global Income Fund, Inc. 12/03/98 L 3 A 5.94 - ------------------------------------------------------------------------------------------------------------------------------------ Global Income Fund, Inc. 12/31/98 L 3 A 5.46 - ------------------------------------------------------------------------------------------------------------------------------------ Global Income Fund, Inc. 1/29/99 L 3 A 5.39 - ------------------------------------------------------------------------------------------------------------------------------------ Global Income Fund, Inc. 3/1/99 L 3 A 5.25 - ------------------------------------------------------------------------------------------------------------------------------------ Global Income Fund, Inc. 4/1/99 L 3 A 4.98 - ------------------------------------------------------------------------------------------------------------------------------------ Global Income Fund, Inc. 5/3/99 L 3 A 5.21 - ------------------------------------------------------------------------------------------------------------------------------------ Global Income Fund, Inc. 5/28/99 L 3.138 A 5.29 - ------------------------------------------------------------------------------------------------------------------------------------ Global Income Fund, Inc. 7/1/99 L 3.254 A 5.15 - ------------------------------------------------------------------------------------------------------------------------------------ Global Income Fund, Inc. 7/30/99 L 3.229 A 5.24 - ------------------------------------------------------------------------------------------------------------------------------------ Global Income Fund, Inc. 9/3/99 L 3.457 A 4.94 - ------------------------------------------------------------------------------------------------------------------------------------ Global Income Fund, Inc. 10/1/99 L 3.528 A 4.89 - ------------------------------------------------------------------------------------------------------------------------------------ Global Income Fund, Inc. 11/2/99 L 3.765 A 4.63 - ------------------------------------------------------------------------------------------------------------------------------------ Global Income Fund, Inc. 12/1/99 L 3.757 A 4.69 - ------------------------------------------------------------------------------------------------------------------------------------ Global Income Fund, Inc. 12/31/99 L 4.071 A 4.43 360.199 D ====================================================================================================================================
* If the form is filed by more than one Reporting Person, see Instruction 4(b)(v). Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Over) (Form 5-07/98) FORM 5 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
9. 10. Number Owner- of ship 2. Deriv- of Conver- 5. 7. ative Deriv- 11. sion Number of Title and Amount Secur- ative Nature or Derivative 6. of Underlying 8. ities Secur- of Exer- Securities Date Securities Price Bene- ity: In- cise 3. Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct Price Trans- 4. or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene- 1. of action Trans- of (D) (Month/Day/Year) Amount ative at End In- ficial Title of Deriv- Date action (Instr. 3, ---------------- or Secur- of direct Owner- Derivative ative (Month/ Code 4 and 5) Date Expira- Number ity Year (I) ship Security Secur- Day/ (Instr. ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Year) 8) (A) (D) cisable Date Title Shares 5) 4) 4) 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Explanation of Responses: Deborah A. Sullivan on behalf of Peter K. Werner by Power of Attorney dated 12/11/97 2/14/00 - --------------------------------------------- ----------------------- **Signature of Reporting Person Date ** 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 provided is insufficient, see Instruction 6 for procedure. Page 2 EX-24 2 POWER OF ATTORNEY DURABLE POWER OF ATTORNEY THIS is intended to constitute a DURABLE POWER OF ATTORNEY pursuant to Article 5, Title 15 of the New York General Obligations Law: I, Peter K. Werner, do hereby appoint each of Thomas B. Winmill and Deborah A. Sullivan, my attorneys-in-fact TO ACT SEPARATELY IN MY NAME, PLACE AND STEAD in any way which I myself could do, if I were personally present, with respect to the following matters: 1. execute for and on behalf of the undersigned, in the undersigned's capacity as an officer and/or director of Global Income Fund, Inc. ("Company"), Forms 3, 4 and 5 in accordance with Section 16(a) of the Securities Exchange Act of 1934 and the rules thereunder; 2. do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such Form 3, 4 or 5 and file such form with the United States Securities and Exchange Commission and any stock exchange or similar authority; and 3. take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of benefit to, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by such attorney-in-fact on behalf of the undersigned pursuant to this Durable Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in such attorney-in-fact's discretion. The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorney-in-fact's substitute or substitute's, shall lawfully do or cause to be done by virtue of this power of attorney and the rights and powers herein granted. The undersigned hereby acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Company assuming, any of the undersigned's responsibilities to comply with Section 16 of the Securities Exchange Act of 1934. This Durable Power of Attorney shall not be affected by my subsequent disability or incompetence. Page 1 of 2 TO INDUCE ANY THIRD PARTY TO ACT HEREUNDER, I HEREBY AGREE THAT ANY THIRD PARTY RECEIVING A DULY EXECUTED COPY OR FACSIMILE OF THIS INSTRUMENT MAY ACT HEREUNDER, AND THAT REVOCATION OR TERMINATION HEREOF SHALL BE INEFFECTIVE AS TO SUCH THIRD PARTY UNLESS AND UNTIL ACTUAL NOTICE OR KNOWLEDGE OF SUCH REVOCATION OR TERMINATION SHALL HAVE BEEN RECEIVED BY SUCH THIRD PARTY, AND I FOR MYSELF AND MY HEIRS, EXECUTORS, LEGAL REPRESENTATIVES AND ASSIGNS, HEREBY AGREE TO INDEMNIFY AND HOLD HARMLESS ANY SUCH THIRD PARTY FROM AND AGAINST ANY AND ALL CLAIMS THAT MAY ARISE AGAINST SUCH THIRD PARTY BY REASON OF SUCH THIRD PARTY HAVING RELIED ON THE PROVISIONS OF THIS INSTRUMENT. THIS DURABLE POWER OF ATTORNEY MAY BE REVOKED BY ME AT ANY TIME. IN WITNESS WHEREOF, I have hereunto signed my name this December 11, 1997. /s/ Peter K. Werner --------------------------------------------- Peter K. Werner STATE OF NEW YORK ) ) ss COUNTY OF NEW YORK ) On December 11, 1997 before me personally came Peter K. Werner, the individual described in, and who executed the foregoing instrument, and he acknowledged to me that he executed the same. Sworn to before me this 11th day of December 1997. /s/ Irene Kawczynski - ------------------------------ Notary Public -----END PRIVACY-ENHANCED MESSAGE-----