-----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, W0nHZXPN4vZib+BfyDA0BU8lPDU5XvWjgua05W0IeG5+tABysS8yaH0x7qw1pQCc dswwEklhJ48AYlQ3Pw879w== 0000898733-02-000470.txt : 20020806 0000898733-02-000470.hdr.sgml : 20020806 20020806161202 ACCESSION NUMBER: 0000898733-02-000470 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020722 FILED AS OF DATE: 20020806 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: HIGH YIELD PLUS FUND INC CENTRAL INDEX KEY: 0000828990 IRS NUMBER: 133459204 STATE OF INCORPORATION: MD FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-05468 FILM NUMBER: 02720761 BUSINESS ADDRESS: STREET 1: GATEWAY CENTER THREE 100 MULBERRT ST CITY: NEWARK STATE: NJ ZIP: 07102 BUSINESS PHONE: 2013671495 MAIL ADDRESS: STREET 1: GATEWAY CENTER THREE 100 MULBERRY STREET CITY: NEWARK STATE: NJ ZIP: 07102 COMPANY DATA: COMPANY CONFORMED NAME: HIGH YIELD PLUS FUND INC CENTRAL INDEX KEY: 0000828990 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] DIRECTOR IRS NUMBER: 133459204 STATE OF INCORPORATION: MD FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: GATEWAY CENTER THREE 100 MULBERRT ST CITY: NEWARK STATE: NJ ZIP: 07102 BUSINESS PHONE: 2013671495 MAIL ADDRESS: STREET 1: GATEWAY CENTER THREE 100 MULBERRY STREET CITY: NEWARK STATE: NJ ZIP: 07102 4 1 mf15657a.txt THE HIGH YIELD PLUS FUND, INC -- FORM 4 -- FOR JULY 22, 2002 OMB APPROVAL - -------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION |FORM 4| Washington, D.C. 20549 OMB Number: 3235-0287 - -------- /_/ Check this box if STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Expires: January 31, 2005 no longer subject to Section 16. Estimated average burden Form 4 or Form 5 Filed pursuant to Section 16(a) of the Securities hours per response.....0.5 obligations may Exchange Act of 1934, Section 17(a) of the Public continue. See Utility Holding Company Act of 1935 or Section 30(h) Instruction 1(b). of the Investment Company Act of 1940
(Print or Type Responses) - ------------------------------------------------------------------------------ 1. Name and Address of Reporting Person* Whitehead Clay T. - ------------------------------------------------------------------------------ (Last) (First) (Middle) 1124 Waverly Way - ------------------------------------------------------------------------------ (Street) McLean, West Virginia 22101-2238 - ------------------------------------------------------------------------------- (City) (State) (Zip) 2. Issuer Name and Ticker or Trading Symbol The High Yield Plus Fund, Inc. (NYSE:HYP) ---------------------------------------- 3. I.R.S. Identification Number of Reporting Person, if an entity (voluntary) ###-##-#### - ------------------------------------------------------------------------------- 4. Statement for Month/Year 07/02 ------------------------------ 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 07/22/02 P 1,000 A $3.10 D - ---------------------------------------------------------------------------------------------------------------------------------- Common Stock 07/23/02 P 1,000 A $2.95 2,000 D - ---------------------------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------
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/ Marguerite E.H. Morrison 08/06/02 - ------------------------------- --------------- **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 his power of attorney on the 26th day of January, 2001. /s/ Clay T. Whitehead --------------------- Clay T. Whitehead Prudential (logo) Marguerite E.H. Morrison Chief Legal Officer - Mutual Funds Vice President and Corporate Counsel Law Department The Prudential Insurance Company of America Gateway Center Three 100 Mulberry Street, 4th Floor Newark NJ 07102-4077 Tel 973-367-7525 Fax 973-367-6349 marguerite.morrison@prudential.com August 6, 2002 VIA OVERNIGHT MAIL - ------------------ New York Stock Exchange 20 Broad Street New York, NY 10005 Attention: Filing Desk Re: The High Yield Plus Fund, Inc. (the "Company") Form 4 of Clay T. Whitehead -------------------------- Dear Sir or Madam: Enclosed for your records please find one copy of a Form 4 with respect to the Fund filed by Mr. Whitehead, a Director of the Company. This Form 4 was filed electronically with the Securities and Exchange Commission on August 6, 2002 via EDGAR. Please call me at 973-367-7525 if you have any questions relating to this filing. Thank you for your consideration. Please stamp the enclosed copy of this cover letter and return it in the enclosed envelope. Sincerely, /s/ Marguerite E.H. Morrison ---------------------------- Marguerite E.H. Morrison Encl. cc: Clay T. Whitehead Grace C. Torres Jack Benintende Arthur J. Brown -----END PRIVACY-ENHANCED MESSAGE-----