-----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, AcUzkndA+uwOwQl2uiowpRyhq5Z91h4mq1ljBzZNWo1w8W29bXAk28CCPmfXnbdR xzYUWkpQZVTJ8FO5yruFiw== 0000773757-98-000058.txt : 19981126 0000773757-98-000058.hdr.sgml : 19981126 ACCESSION NUMBER: 0000773757-98-000058 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19981120 FILED AS OF DATE: 19981125 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: STEIN ROE FLOATING RATE INCOME FUND CENTRAL INDEX KEY: 0001068200 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 364251182 STATE OF INCORPORATION: MA FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 3 SEC ACT: SEC FILE NUMBER: 811-08953 FILM NUMBER: 98758788 BUSINESS ADDRESS: STREET 1: ONE S WACKER DR CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 3123687845 MAIL ADDRESS: STREET 1: ONE S WACKER DR CITY: CHICAGO STATE: IL ZIP: 60606 FORMER COMPANY: FORMER CONFORMED NAME: STEIN ROE FLOATING RATE INCOME TRUST DATE OF NAME CHANGE: 19980929 COMPANY DATA: COMPANY CONFORMED NAME: BUTCH THOMAS W CENTRAL INDEX KEY: 0001071334 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: ONE SOUTH WACKER DRIVE SUITE 3200 CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 3123687845 MAIL ADDRESS: STREET 1: ONE SOUTH WACKER DRIVE SUITE 3200 CITY: CHICAGO STATE: IL ZIP: 60606 3 1 FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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 (Print or Type Responses) - ------------------------------------------------------------------ 1. Name and Address of Reporting Person* Butch Thomas William (Last) (First) (Middle) c/o Stein Roe Floating Rate Income Fund One South Wacker Drive, Suite 3200 (Street) Chicago IL 60606 (City) (State) (Zip) - ------------------------------------------------------------------ 2. Date of Event Requiring Statement (Month/Day/Year) 11/20/98 - ------------------------------------------------------------------ 3. IRS or Social Security Number of Reporting Person (Voluntary) - ------------------------------------------------------------------ 4. Issuer Name and Ticker or Trading Symbol Stein Roe Floating Rate Income Fund - ------------------------------------------------------------------ 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) __ Director __10% Owner __ Officer (give X Other (specify below) title below) Trustee; President - ------------------------------------------------------------------ 6. If Amendment, Date of Original (Month/Day/Year) 10/2/98 - ------------------------------------------------------------------ 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 Beneficially Owned
1. Title of Security 2. Amount of Securities 3. Ownership 4. Nature of Indirect (Instr. 4) Beneficially Owned Form: Direct Beneficial Owner- (Instr. 4) (D) or Indirect ship (I) (Instr. 5) (Instr. 5) - ---------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------
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 5(b)(v). (Over) SEC 1473 (7-96) FORM 3 (continued) Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative 2. Date Exer- 3. Title and Amount 4. Conver- 5. Owner- 6. Nature Security (Instr. 4) cisable and of Securities sion or ship of Expiration Underlying Deriv- Exercise Form of Indirect Date (Month/ ative Security Price of Deriv- Beneficial (Day/Year) (Instr. 4) Derivative ative Ownership --------------- ----------------- Security Security: (Instr. 5) Date Expira- Amount or Direct (D) Exer- tion Number or In- cisable Date of direct (I) Title Shares (Instr. 5) - ---------------------- ------- ------- ----- ---------- ------------- ------------ ---------- - ----------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------- - -----------------------------------------------------------------------------------------------------
Explanation of Responses: ** 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. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. HEIDI J. WALTER 11/24/98 **Signature of Reporting Person Date Attorney in fact Page 2 SEC 1473 (7-96) -----END PRIVACY-ENHANCED MESSAGE-----