-----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, AjcKZX23QvO+9OCX5vL1D+2dvc5jDuHik+C3NEHRtXXTlpO+pk7yaxszCaHYKD/3 l7c/4w7Y7UHb9POAg4sdNQ== 0000898733-01-500555.txt : 20020412 0000898733-01-500555.hdr.sgml : 20020412 ACCESSION NUMBER: 0000898733-01-500555 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20011129 FILED AS OF DATE: 20011207 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: FIRST FINANCIAL FUND INC CENTRAL INDEX KEY: 0000790202 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 133341573 STATE OF INCORPORATION: MD FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-04605 FILM NUMBER: 1808722 BUSINESS ADDRESS: STREET 1: GATEWAY ENTER THREE 100 MULBERRY ST CITY: NEWARK STATE: NJ ZIP: 07102-4077 BUSINESS PHONE: 2013677530 MAIL ADDRESS: STREET 1: GATEWAY CENTER THREE 100 MULBERRY STREET CITY: NEWARK STATE: NJ ZIP: 07102-4077 FORMER COMPANY: FORMER CONFORMED NAME: FIRST SAVINGS & BANKING INSTITUTIONS FUND INC DATE OF NAME CHANGE: 19860402 COMPANY DATA: COMPANY CONFORMED NAME: FIRST FINANCIAL FUND INC CENTRAL INDEX KEY: 0000790202 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] DIRECTOR IRS NUMBER: 133341573 STATE OF INCORPORATION: MD FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: GATEWAY ENTER THREE 100 MULBERRY ST CITY: NEWARK STATE: NJ ZIP: 07102-4077 BUSINESS PHONE: 2013677530 MAIL ADDRESS: STREET 1: GATEWAY CENTER THREE 100 MULBERRY STREET CITY: NEWARK STATE: NJ ZIP: 07102-4077 FORMER COMPANY: FORMER CONFORMED NAME: FIRST SAVINGS & BANKING INSTITUTIONS FUND INC DATE OF NAME CHANGE: 19860402 4 1 mf15262.txt FIRST FINANCIAL FUND INC. -- FORM 4 -- 12/7/01 - -------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION |FORM 4| Washington, D.C. 20549 - -------- /_/ Check this box if STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP no longer subject to Section 16. Form 4 or Form 5 Filed pursuant to Section 16(a) of the Securities obligations may Exchange Act of 1934, Section 17(a) of the Public continue. See Utility Holding Company Act of 1935 or Section 30(f) Instruction 1(b). of the Investment Company Act of 1940 (Print or Type Responses) - ------------------------------------------------------------------------------ 1. Name and Address of Reporting Person* LaBlanc Robert E. - ------------------------------------------------------------------------------ (Last) (First) (Middle) 323 Highland Ave. - ------------------------------------------------------------------------------ (Street) Ridgewood, NJ 07450 - ------------------------------------------------------------------------------- (City) (State) (Zip) 2. Issuer Name and Ticker or Trading Symbol First Financial Fund, Inc. FF ---------------------------------- 3. I.R.S. Identification Number of Reporting Person, if an entity (voluntary) ###-##-#### - ------------------------------------------------------------------------------- 4. Statement for Month/Year 11/01 ------------------------------ 5. If Amendment, Date of Original (Month/Year) -------------------------------- 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) _X_ Director ___ Officer ___ 10% Owner ___ Other (give title below) (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
- ---------------------------------------------------------------------------------------------------------------------------------- 1. Title 2. Trans- 3. Trans- 4. Securities Acquired (A) 5. Amount of 6. Ownership 7. Nature of of action action or Disposed of (D) Securities Form: Indirect Security Date Code (Instr. 3, 4 and 5) Beneficially Direct (D) or Beneficial (Instr. 3) (Month/ (Instr. 8) Owned at Indirect (I) Ownership Day/ ------------------------------------------- End of Year) Month Code V Amount (A) or Price (Instr. 3 and 4) (Instr. 4) (Instr. 4) (D) - ---------------------------------------------------------------------------------------------------------------------------------- Common Stock 11/29/01 P 1,000 A $12.63 2,000 shares D shares - ---------------------------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------
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). Table II--Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
- ---------------------------------------------------------------------------------------------------------------------------------- 1. Title 2. Conversion 3. Transaction 4. Transaction 5. Number 6. Date 7. Title and of or Exercise Date Code of Derivative Exerciseable Amount of Derivative Price of (Month/Day/ (Instr. 8) Securities and Expiration Underlying Security Derivative Year) Acquired (A) Date Securities (Instr.3) Security or Disposed (Month/Day/Year) (Instr. 3 and 4) of (D) (Instr. 3, 4 and 5) - ---------------------------------------------------------------------------------------------------------------------------------- Amount or Date Expiration Number of Code V (A) (D) Exercisable Date Title Shares - ---------------------------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------------------------- 8. Price of 9. Number of Derivative 10. Ownership Form of 11. Nature of Indirect Derivative Securities Beneficially Derivative Securities Beneficial Ownership Security Owned at End Beneficially Owned (Instr. 4) (Instr. 5) of Month at End of Month (Instr. 4) (Instr. 4) - ---------------------------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------
Explanation of Responses: /s/ George P. Attisano 12/7/01 - ------------------------------- --------------- **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, on of which must be manually signed. If space is insufficient, see Instruction 6 for procedure POWER OF ATTORNEY The undersigned, being a person required to file a statement under Section 16(a) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and Section 30(f) of the Investment Company Act of 1940, as amended (the "1940 Act"), with respect to First Financial Fund, Inc. and The High Yield Plus Fund, Inc., each a corporation organized under the laws of the State of Maryland, does hereby appoint William V. Healey, Marguerite E.H. Morrison, S. Jane Rose and George P. Attisano, and each of them, as his or her attorney-in-fact to execute and deliver statements on Form 3, Form 4, and Form 5 as required by the Exchange Act and 1940 Act and to take such other actions as such attorney-in- fact may deem necessary or appropriate in connection with such statements, and hereby confirms and ratifies all actions that such attorney-in-fact may take in reliance hereon. IN WITNESS WHEREOF, the undersigned has duly executed this power of attorney on the 26th day of January, 2001. /s/ Robert E. LeBlanc ---------------------- Robert E. LeBlanc The Prudential Insurance Company of America Gateway Center Three 100 Mulberry Street, 4th Floor Newark NJ 07102-4077 December 7, 2001 VIA EDGAR - --------- Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549 Re: First Financial Fund, Inc. (the "Fund") Form 4 of Robert E. LeBlanc --------------------------- Dear Sir or Madam: We are transmitting electronically via EDGAR a Form 4 with respect to the Fund filed by Mr. LaBlanc, a Director of the Fund. I have executed and filed this Form 4 on Mr. LeBlanc's behalf, pursuant to a power of attorney, a copy of which is included in the transmission. Please call me at 973-367-1495 if you have any questions relating to this filing. Thank you for your consideration. Sincerely, /s/ George P. Attisano ------------------------------------- George P. Attisano Vice President and Corporate Counsel -----END PRIVACY-ENHANCED MESSAGE-----