-----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, SARkYRT95ehCaUntjhRqPINb150gikKYWwdlE/BA7P8qpq2w8LK7F5OQJEioR9Mo XhK7wvN9OtPKjNp7hJ3LvQ== 0000950123-97-000958.txt : 19970221 0000950123-97-000958.hdr.sgml : 19970221 ACCESSION NUMBER: 0000950123-97-000958 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 4 FILED AS OF DATE: 19970210 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: WACE GROUP PLC CENTRAL INDEX KEY: 0000840508 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-48841 FILM NUMBER: 97522601 BUSINESS ADDRESS: STREET 1: 111 WALL ST STREET 2: C/O CITIBANK NATIONAL ASSOCIATION CITY: NEW YORK STATE: NY ZIP: 10043 BUSINESS PHONE: 2126577691 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BAT INDUSTRIES PLC /FI CENTRAL INDEX KEY: 0000799853 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 000000000 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: P O BOX 345 STREET 2: 50 VICTORIA ST WINDSOR HOUSE CITY: LONDON ENGLAND STATE: X0 ZIP: 00000 BUSINESS PHONE: 01101712227979 MAIL ADDRESS: STREET 1: WINDSOR HOUSE STREET 2: 50 VICTORIA STREET CITY: LONDON ENGLAND STATE: X0 ZIP: 00000 FORMER COMPANY: FORMER CONFORMED NAME: BAT INDUSTRIES PLC /FI DATE OF NAME CHANGE: 19950214 SC 13G/A 1 AMENDMENT #2 TO SCHEDULE 13G 1 ------------------------------------ OMB APPROVAL ------------------------------------ OMB NUMBER: 3235-0145 Expires: December 31, 1997 Estimated average burden hours per response...........14.90 ------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (RULE 13d-102) INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 2 )* --------- WACE GROUP PLC - ------------------------------------------------------------------------------- (Name of Issuer) Common Stock, par value 0.20p per share - ------------------------------------------------------------------------------- (Title of Class of Securities) 929753200 -------------- (CUSIP Number) Check the following box if a fee is being paid with this statement [ ]. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7). *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any sub equent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). Page 1 of 18 pages 2 CUSIP No. 929753200 13G Page 2 of 18 Pages ------------------ ----- ------ - ------------------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON B.A.T Industries p.l.c. - ------------------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - ------------------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION England - ------------------------------------------------------------------------------------------------------------------------------- 5 SOLE VOTING POWER -0- NUMBER OF SHARES -------------------------------------------------------------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY EACH 5,930,000 REPORTING PERSON -------------------------------------------------------------------------------------------------------- WITH 7 SOLE DISPOSITIVE POWER -0- -------------------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 5,930,000 - ------------------------------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 5,930,000 - ------------------------------------------------------------------------------------------------------------------------------- 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 7.50% - ------------------------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* HC - -------------------------------------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! Page 2 of 18 pages 3 Item 4 of the Statement on Schedule 13G, dated February 6, 1996, filed by B.A.T Industries p.l.c., is hereby amended and restated to read in its entirety as follows: Item 4 Ownership: - ------ --------- (a) Amount Beneficially Owned: 5,930,000 (b) Percent of Class: 7.50% (c) Number of shares as to which person has: (i) Sole voting power: -0- (ii) Shared voting power: 5,930,000 (iii) Sole disposition power: -0- (iv) Shared disposition power: 5,930,000 Item 7 of the Statement on Schedule 13G, dated February 9, 1995, filed by B.A.T Industries p.l.c., is hereby amended and restated to read in its entirety as follows: Item 7 Identification and Classification of the Subsidiary Which - ------ Acquired the Security Being Reported on by the Parent Holding Company: See Exhibit I. Page 3 of 18 pages 4 SIGNATURES 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. B.A.T INDUSTRIES p.l.c. Dated February 5, 1997 By: /s/ Anthony Robert Holliman ----------------------------- Name: Anthony Robert Holliman Title: Assistant Corporate Secretary Page 4 of 18 pages 5 Exhibit Index
Exhibit Description Page Number - ------- ------------ ----------- I Identification and Classification of Subsidiaries 6 II Amendment No. 1, dated February 6, 1996 to Schedule 13G, dated February 9, 1995 7 III Schedule 13G, dated February 9, 1995 11 Exhibit I to Schedule 13G, dated February 9, 1995 18
Page 5 of 18 pages EX-99.I 2 ID AND CLASSIFICATION OF SUBSIDIARIES 1 Exhibit I to Amendment No. 2 The shares of WACE GROUP PLC which are the Subject of this Schedule 13G were acquired by various investment funds for which subsidiaries of B.A.T. act as manager and investment adviser and exercise investment discretion. The identity of such subsidiaries is as follows: Allied Dunbar Assurance plc Allied Dunbar Centre Swindon SN1 1EL England Allied Dunbar Unit Trusts plc Allied Dunbar Centre Swindon SN1 1EL England Eagle Star Unit Managers Limited 60 St. Mary Axe London EC3A 8JQ England Eagle Pension Funds Limited 60 St. Mary Axe London EC3A 8JQ England Each of the foregoing subsidiaries is an insurance company for purposes of Item 3 of this Statement. Page 6 of 18 pages EX-99.II 3 AMENDMENT #1 TO ORIGINAL SCHEDULE 13G 1 ------------------------------------ OMB APPROVAL ------------------------------------ OMB NUMBER: 3235-0145 Expires: December 31, 1997 Estimated average burden hours per response...........14.90 ------------------------------------ Exhibit II to Amendment No. 2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (RULE 13d-102) INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 1 )* ----------- WACE GROUP PLC - ------------------------------------------------------------------------------- (Name of Issuer) Common Stock, par value 0.20p per share - ------------------------------------------------------------------------------- (Title of Class of Securities) 929753200 ---------------- (CUSIP Number) Check the following box if a fee is being paid with this statement [ ]. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7). *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). Page 7 of 18 pages 2 CUSIP No. 929753200 13G Page 2 of 4 Pages ------------------- ----- ----- - ------------------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON B.A.T Industries p.l.c. - ------------------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - ------------------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION England - ------------------------------------------------------------------------------------------------------------------------------- 5 SOLE VOTING POWER -0- NUMBER OF SHARES -------------------------------------------------------------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY EACH 6,745,000 REPORTING PERSON -------------------------------------------------------------------------------------------------------- WITH 7 SOLE DISPOSITIVE POWER -0- -------------------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 6,745,000 - ------------------------------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 6,745,000 - ------------------------------------------------------------------------------------------------------------------------------- 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 8.61% - ------------------------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* HC - -------------------------------------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! Page 8 of 18 pages 3 Item 4 of the Statement on Schedule 13G, dated February 9, 1995, filed by B.A.T Industries p.l.c., is hereby amended and restated to read in its entirety as follows:
Item 4 Ownership - ------- --------- (a) Amount Beneficially Owned: 6,745,000 (b) Percent of Class: 8.61% (c) Number of shares as to which person has: (i) Sole voting power: -0- (ii) Shared voting power: 6,745,000 (iii) Sole disposition power: -0- (iv) Shared disposition power: 6,745,000
Page 9 of 18 pages 4 SIGNATURES 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. B.A.T INDUSTRIES p.l.c. Dated February 6, 1996 By: /s/ Anthony Robert Holliman ----------------------------- Name: Anthony Robert Holliman Title: Assistant Corporate Secretary Page 10 of 18 pages EX-99.III 4 ORIGINAL SCHEDULE 13G 1 ------------------------------------ OMB APPROVAL ------------------------------------ OMB NUMBER: 3235-0145 Expires: October 31, 1994 Estimated average burden hours per response...........14.90 ------------------------------------ Exhibit III to Amendment No. 2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (RULE 13d-102) INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. )* --------- WACE GROUP PLC - ------------------------------------------------------------------------------- (Name of Issuer) Common Stock, par value 0.20p per share - ------------------------------------------------------------------------------- (Title of Class of Securities) 929753200 ---------------- (CUSIP Number) Check the following box if a fee is being paid with this statement [X]. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7). *The remainder of t is cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). Page 11 of 18 pages 2 CUSIP No. 929753200 13G Page 2 of 8 Pages ------------------ ----- ----- - ------------------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON B.A.T. Industries p.l.c. - ------------------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - ------------------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION England - ------------------------------------------------------------------------------------------------------------------------------- 5 SOLE VOTING POWER -0- NUMBER OF SHARES -------------------------------------------------------------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY EACH 4,580,000 REPORTING PERSON -------------------------------------------------------------------------------------------------------- WITH 7 SOLE DISPOSITIVE POWER -0- -------------------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 4,580,000 - ------------------------------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 4,580,000 - ------------------------------------------------------------------------------------------------------------------------------- 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 5.80% - ------------------------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* HC - -------------------------------------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! Page 12 of 18 pages 3 Item 1(a). Name of Issuer: - ---------- WACE GROUP PLC Item 1(b). Address of Issuer's Principal Executive Office: - ---------- Wace House Shepherdess Walk London N1 7LH England Item 2(a). Name of Person Filing: - ---------- B.A.T Industries p.l.c., an English corporation ("B.A.T"). Item 2(b) Address of Principal Business Office or, if none, - ---------- Residence: B.A.T Industries p.l.c. Windsor House 50 Victoria Street London SW1H ONL England Item 2(c). Citizenship: - ---------- England Item 2(d). Title of Class of Securities: - ---------- Common stock, par value 0.20p per share Item 2(e). CUSIP Number: 929753200 - ---------- Item 3. This statement is filed pursuant to Rule 13d-1(b) by B.A.T, - ---------- a Parent Holding Company, in accordance with Section 240.13d-1(b)(ii)(G).
Page 13 of 18 pages 4 Item 4. Ownership: - ------- (a) Amount Beneficially Owned: 4,580,000 The shares being reported were acquired by various investment funds for which subsidiaries of B.A.T act as manager and investment adviser and exercise investment discretion. No such subsidiary beneficially owns in excess of 5% of the class of shares for which this report is being made. The filing of this statement by B.A.T. shall not be construed as an admission that B.A.T. is, for the purposes of Section 13(d) or 13(g) of the Act or under the laws or regulations of the United Kingdom, the beneficial owner of any securities covered by this statement. (b) Percent of Class: 5.80% (c) Number of shares as to which person has: (i) sole voting power: - 0 - (ii) shared voting power: 4,580,000 (iii) sole disposition power: - 0 - (iv) shared disposition power: 4,580,000 Item 5. Ownership of Five Percent or Less of a Class: - ------- Not Applicable. Item 6. Ownership of More than Five Percent on Behalf of Another Person: - ------- Not Applicable. Item 7. Identification and Classification of the Subsidiary Which Acquired - ------- the Security Being Reported on by the Parent Holding Company: Not Applicable. Item 8. Identification and Classification of Members of the Group: - ------- Not Applicable.
Page 14 of 18 pages 5 Item 9. Notice of Dissolution of the 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 or effect.
Page 15 of 18 pages 6 SIGNATURES 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. B.A.T INDUSTRIES p.l.c. Dated February 9, 1995 By: /s/ A. R. Holliman -------------------- Name: A. R. Holliman Title: Assistant Corporate Secretary Page 16 of 18 pages 7 Exhibit Index
Exhibit Description Page Number - ------- ------------ ----------- I Identification and Classification 18 of Subsidiaries
Page 17 of 18 pages 8 Exhibit I The shares of WACE which are the Subject of this Schedule 13G were acquired by various investment funds for which subsidiaries of B.A.T. act as manager and investment adviser and exercise investment discretion. The identity of such subsidiaries is as follows: Allied Dunbar Unit Trusts plc Allied Dunbar Centre Swindon SN1 1EL England Allied Dunbar International Fund Managers Limited Allied Dunbar International Centre Lord Street Douglas Isle of Man Eagle Star Unit Managers Limited 60 St. Mary Axe London EC3A 8JQ England Each of the foregoing subsidiaries is an insurance company for purposes of Item 3 of this Statement. Page 18 of 18 pages -----END PRIVACY-ENHANCED MESSAGE-----