-----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, HGhVdNXo9jNpMPz0DOiYDt/IrPpdnAOikBzVBRdyqn94iyoCMxRkiN96QkNNTrLG ZI6pEOmfOrPwS/EFeR1Zyw== 0000919574-99-000642.txt : 19990426 0000919574-99-000642.hdr.sgml : 19990426 ACCESSION NUMBER: 0000919574-99-000642 CONFORMED SUBMISSION TYPE: 144 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990423 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AUSTRIA FUND INC CENTRAL INDEX KEY: 0000843615 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 133529777 STATE OF INCORPORATION: MD FISCAL YEAR END: 0831 FILING VALUES: FORM TYPE: 144 SEC ACT: SEC FILE NUMBER: 811-05736 FILM NUMBER: 99600094 BUSINESS ADDRESS: STREET 1: 1345 AVE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10105 BUSINESS PHONE: 2129691000 MAIL ADDRESS: STREET 1: ALLIANCE CAPITAL MANAGEMENT LP STREET 2: 1345 AVENUE OF THE AMERICAS 31ST FL CITY: NEW YORK STATE: NY ZIP: 10105 COMPANY DATA: COMPANY CONFORMED NAME: BANK AUSTRIA AKTIENGESELLSCHAFT /NEW CENTRAL INDEX KEY: 0001081918 STANDARD INDUSTRIAL CLASSIFICATION: [] OWNER FILING VALUES: FORM TYPE: 144 BUSINESS ADDRESS: STREET 1: VORDERE ZOLLAMMTSSTRASSE 13 STREET 2: A 1030 VIENNA CITY: AUSTRIA MAIL ADDRESS: STREET 1: VORDERE ZOLLAMTSSTRASSE 13 STREET 2: A 1030 CITY: AUSTRIA STATE: C4 144 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 ---------------- FORM 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 ATTENTION: Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale or executing a sale directly with a market maker. ============================================================================= 1. (a) NAME OF ISSUER (Please type or print) THE AUSTRIA FUND, INC. - ----------------------------------------------------------------------------- (b) IRS IDENT. NO. 13-3529777 - ----------------------------------------------------------------------------- (c) S.E.C. FILE NO. 811-05736 - ----------------------------------------------------------------------------- (d) ADDRESS OF ISSUER 1345 AVENUE OF THE AMERICAS NEW YORK NY 10105 - ----------------------------------------------------------------------------- (STREET) (CITY) (STATE) (ZIP CODE) - ----------------------------------------------------------------------------- (e) TELEPHONE NO. (212) 969-1000 - ----------------------------------------------------------------------------- (AREA CODE) (NUMBER) ============================================================================= 2. (a) NAME OF PERSON FOR WHOSE ACCOUNT THE SECURITIES ARE TO BE SOLD BANK AUSTRIA AKTIENGESELLSCHAFT - ----------------------------------------------------------------------------- (b) SOCIAL SECURITY NO. OR I.R.S. IDENT. NO. 98-0119946 - ----------------------------------------------------------------------------- (c) RELATIONSHIP TO ISSUER 10% STOCKHOLDER - ----------------------------------------------------------------------------- (d) ADDRESS VORDERE ZOLLAMTSSTRASSE 13 A-1030 VIENNA AUSTRIA - ----------------------------------------------------------------------------- (STREET) (CITY) (STATE) (ZIP CODE) ============================================================================= INSTRUCTION: The person filing this notice should contact the issuer to obtain the I.R.S. Identification Number and the S.E.C. File Number. - ----------------------------------------------------------------------------- 3(a) (b) (c) (d) Title of the Name and Address of S.E.C. USE ONLY Number of Aggregate Class of Each Broker Through --------------- Shares or Market Securities Whom the Securities Broker-Dealer Other Units Value To Be Sold are to be Offered or File Number To Be Sold (See Each Market Maker (See instr. instr. 3(d)) who is Acquiring 3(d)) the Securities - ----------------------------------------------------------------------------- COMMON PAINE WEBBER INCORPORATED 200,000 $1,987,500 STOCK 1111 BAGBY STREET SUITE 5100 HOUSTON, TX 77002-9960 - ----------------------------------------------------------------------------- (e) (f) (g) Number of Shares Approximate Date Name of Each or Other Units of Sale (See Securities Outstanding instr. 3(f)) Exchange (See instr. 3(e)) (MO., DAY, YR.) (See instr. 3(g)) - ----------------------------------------------------------------------------- 7,947,357 May 10, 1999 New York Stock Exchange - ----------------------------------------------------------------------------- INSTRUCTIONS: 1. (a) Name of issuer (b) Issuer's I.R.S. Identification Number (c) Issuer's S.E.C. file number, if any (d) Issuer's address, including zip code (e) Issuer's telephone number, including area code 2. (a) Name of person for whose account the securities are to be sold (b) Such person's Social Security or I.R.S. identification number (c) Such person's relationship to the issuer (e.g., officer, director, 10% stockholder, or member of immediate family of any of the foregoing) (d) Such person's address, including zip code 3. (a) Title of the class of securities to be sold (b) Name and address of each broker through whom the 2 securities are intended to be sold (c) Number of shares or other units to be sold (if debt securities, give the aggregate face amount) (d) Aggregate market value of the securities to be sold as of a specified date within 10 days prior to the filing of this notice (e) Number of shares or other units of the class outstanding, or if debt securities the face amount thereof outstanding, as shown by the most recent report or statement published by the issuer (f) Approximate date on which the securities are to be sold (g) Name of each securities exchange, if any, on which the securities are intended to be sold (8/96) 3 TABLE I--SECURITIES TO BE SOLD Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor: - ----------------------------------------------------------------------------- Title of Date You Nature of Name of Person Amount of Date of Nature the Class Acquired Acquisition From Whom Securities Payment of Payment Transaction Acquired (If Acquired gift, also give date donor acquired) - ----------------------------------------------------------------------------- COMMON March 4, OPEN MARKET OPEN MARKET In excess March 9, STOCK 1999 PURCHASES PURCHASES of 200,000 1999 CASH and and March 5, March 10, 1999 1999 - ----------------------------------------------------------------------------- INSTRUCTIONS: 1. If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid. 2. If within two years after the acquisition of the securities the person for whose account they are to be sold had any short positions, put or other option to dispose of securities referred to in paragraph (d)(3) of Rule 144, furnish full information with respect thereto. - ------------------------------------------------------------------------------ TABLE II--SECURITIES SOLD DURING THE PAST 3 MONTHS Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold. - ----------------------------------------------------------------------------- Name and Address Title of Securities Sold Date of Sale Amount of Gross Securities Proceeds Sold - ----------------------------------------------------------------------------- - ----------------------------------------------------------------------------- 4 REMARKS: INSTRUCTIONS: See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice. April 23, 1999 ---------------------------------------- DATE OF NOTICE ATTENTION: The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. BANK AUSTRIA AKTIENGESELLSCHAFT BY: PETER RENNER, DEPUTY GENERAL MANAGER ---------------------------------------- (SIGNATURE) The notice shall be signed by the person for whose account the securities are to be sold. At least one copy of the notice shall be manually signed. Any copies not manually signed shall bear typed or printed signatures. ATTENTION: INTERNATIONAL MISSTATEMENTS OR OMISSION OF FACTS CONSTITUTE FEDERAL CRIMINAL VIOLATIONS (SEE 18 U.S.C. 1001). (8/96) 5 00250249.AA0 -----END PRIVACY-ENHANCED MESSAGE-----