-----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, RM4guxGMnbKZarAjiR9pVPjdC04ykiasTv6b4n96jnJ90Vz7SYaOVR71+/UvMd9B mHweyCCyC295q3G2cwWv1A== 0000919574-99-000577.txt : 19990323 0000919574-99-000577.hdr.sgml : 19990323 ACCESSION NUMBER: 0000919574-99-000577 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990322 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: SC 13D SEC ACT: SEC FILE NUMBER: 005-51657 FILM NUMBER: 99570072 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BANK AUSTRIA AKTIENGESELLSCHAFT /NEW CENTRAL INDEX KEY: 0001081918 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D 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 SC 13D 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Amendment No.: * Name of Issuer: The Austria Fund, Inc. Title of Class of Securities: Common Stock CUSIP Number: 052587102 (Name, Address and Telephone Number of Person Authorized To Receive Notices and Communications) Dr. Karl Tambornino Bank Austria Aktiengesellschaft Vordere Zollamtsstrasse 13 A-1030 Vienna, Austria 431/31333/42430 (Date of Event which Requires Filing of this Statement) March 10, 1999 If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(b)(3) or (4), check the following box [ ]. Note: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d-1(a) for other parties to whom copies are to be sent. *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). CUSIP No.: 052587102 1. Name of Reporting Person I.R.S. Identification No. of Above Person Bank Austria Aktiengesellschaft 2. Check the Appropriate Box if a Member of a Group a. b. 3. SEC Use Only 4. Source of Funds WC 5. Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) 6. Citizenship or Place of Organization Austria Number of Shares Beneficially Owned by Each Reporting Person With: 7. Sole Voting Power: 1,039,000 8. Shared Voting Power: 9. Sole Dispositive Power: 1,039,000 10. Shared Dispositive Power: 11. Aggregate Amount Beneficially Owned by Each Reporting Person 1,039,000 12. Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares 2 13. Percent of Class Represented by Amount in Row (11) 13.07% 14. Type of Reporting Person BK, CO 3 Item 1. Security and Issuer The title of the class of equity securities to which this statement relates is: Common Stock (the "Shares") of The Austria Fund, Inc. (the "Issuer") The name and address of the principal executive and business office of the Issuer is: The Austria Fund, Inc. 1345 Avenue of the Americas New York, New York 10105 Item 2. Identity and Background (a) Bank Austria Aktiengesellschaft (b) Vordere Zollamtsstrasse 13, A-1030 Vienna, Austria (c) Banking (d) The Reporting Person has not, during the last five years, been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors). (e) The Reporting Person has not, during the last five years, been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction which resulted in a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violations with respect to such laws. (f) Austria Item 3. Source and Amount of Funds or Other Consideration As of the date hereof, the Reporting Person is deemed to beneficially own 1,039,000 Shares. All the Shares were purchased in open market transactions. The Shares were purchased for an aggregate purchase price of $10,938,594. Funds for the purchase of the Shares have come from a proprietary investment account of the Reporting Person. No leverage was used to purchase any of the Shares. 4 Item 4. Purpose of Transactions The Shares beneficially owned by the Reporting Person were acquired for, and are being held for, investment purposes. The Reporting Person has no plan or proposal which relates to, or would result in, any of the actions enumerated in Item 4 of the instructions to Schedule 13D. Item 5. Interest in Securities of Issuer (a) As of the date hereof, the Reporting Person is the beneficial owner of 1,039,000 Shares. The Reporting Person beneficially owns 13.07% of the outstanding Shares. (b) The Reporting Person has the sole power to vote, direct the vote, dispose of or direct the disposition of all the Shares that it is deemed to beneficially own. (c) All transactions in the Shares effected by the Reporting Person during the sixty days prior to March 10, 1999 through the date of this filing were effected in open-market transactions and are set forth in Exhibit B hereto. (d) No person other than the Reporting Person has the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, Shares. (e) Not applicable. Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer The Reporting Person has no contracts, arrangements, understandings or relationships with any person with respect to the Shares. Item 7. Material to be Filed as Exhibits 1. Exhibit A: List of Executive Officers and Directors of the Reporting Person and of Anteilsverwaltung-Zentralsparkasse, an Austrian entity in a control position with respect to the Reporting Person. 2. Exhibit B: Description of the transactions in the Shares that were effected by the Reporting 5 Person during the 60 days prior to March 10, 1999 through the date of this filing. Signature The undersigned, after reasonable inquiry and to the best of its knowledge and belief, certifies that the information set forth in this statement is true, complete and correct. Bank Austria Aktiengesellschaft By: /s/ Peter Renner ___________________________ Peter Renner, Deputy General Manager Date March 22, 1999 6 00250246.AA2 Exhibit A Members of the Management Board of Bank Austria Aktiengesellschaft Dkfm. Gerhard Randa Chairman and Chief Executive Officer Karl Samstag Deputy Chairman and Deputy Chief Executive Officer Heinrich Gehl Mag. Wolfgang Haller Mag. Friedrich Kadrnoska Gerhard Novy Mag. Franz Zwickl Members of the Supervisory Board of Bank Austria Aktiengesellschaft Chairman: Dr. Siegfried Sellitsch Chairman of the Board Wiener Stadtische Allgemeine Versicherung Aktiengesellschaft 1010 Wien, Schottenring 30 1st Deputy Chairman: KR Walter Nettig Chamber of Commerce of Vienna 1010 Wien, Stubenring 8-10 2nd Deputy Chairman: Rudolf Humer Chairman of the Board Palmers Textil Aktiengesellschaft 2351 Wiener Neudorf, Palmersstrasse 4-8 A-1 Board Members: KR Dkfm. Dr. Erich Becker Member of the Board Post und Telekombeteilligungsverwaltungsg esellschaft Postgasse 8 1010 Wien p.A. OIAG Kantgasse 1 1015 Wien Dr. Dieter Falke Member of the Board Westdeutsche Landesbank Girozentrale D-40217 Dusseldorf, Herzogstrasse 15 Gunther W. Havranek Tax Consulant, Court Certified Tax Expert 1030 Wien, Am Heumarkt 13 (Eingang Beatrixgasse 32) Direktor KR Mag. Dr. Ewald Klinger Managing Director of Waste Disposal Operations Simmering Ges.m.b.H. 1110 Wien, 11. Haidequerstrasse 6 Dipl-ing. Gerhard Mayr, M.B.A. President Eli Lilly International Corporation Lilly House 13 Hanover Square GB-London W1R 0PA Dr. Friedel Neuber Chairman of the Board Westdeutsche Landesbank Girozentrale D-40217 Dusseldorf, Herzogstrasse 15 KR Dr. Walter Petrak Member of the Supervisory Board BARC Versicherungsholding 1030 Wien, Kelsenstrale 5 Dr. Helmut Andreas Schuster Chairman of the Supervisory Board of Austrian Federal Railways 1010 Wien, Elisabethstrasse 9 A-2 Dr. Willem A. Wielens Regional Executive Phillips International B.V. Headquarters Western Europe Gebaude VO-1.025 NL-5600 MD Eindhoven, Groenewoudseweg 1 Hedwig Fuhrmann Chairwoman of Central Works Council of Bank Austria Aktiengesellschaft c/o Bank Austria Aktiengesellschaft Vordere Zollamtsstrasse 13 A-1030 Vienna, Austria Wolfgang Heinzl 1st Deputy Chairman of Central Works Council of Bank Austria Aktiengesellschaft c/o Bank Austria Aktiengesellschaft Vordere Zollamtsstrasse 13 A-1030 Vienna, Austria Dr. Kornelia Urban 2nd Deputy Chairwoman of Central Works Council of Bank Austria Aktiengesellschaft c/o Bank Austria Aktiengesellschaft Vordere Zollamtsstrasse 13 A-1030 Vienna, Austria Heribert Kruschik Member of Central Works Council of Bank Austria Aktiengesellschaft c/o Bank Austria Aktiengesellschaft Vordere Zollamtsstrasse 13 A-1030 Vienna, Austria Wolfgang Lang Member of Central Works Council of Bank Austria Aktiengesellschaft c/o Bank Austria Aktiengesellschaft Vordere Zollamtsstrasse 13 A-1030 Vienna, Austria Thomas Schlager Member of Central Works Council of Bank Austria Aktiengesellschaft c/o Bank Austria Aktiengesellschaft Vordere Zollamtsstrasse 13 A-1030 Vienna, Austria A-3 Member of Central Works Council of Bank Austria Aktiengesellschaft c/o Bank Austria Aktiengesellschaft Vordere Zollamtsstrasse 13 A-1030 Vienna, Austria A-4 Members of the Management Board of Anteilsverwaltung-Zentralsparkasse Dkfm. Gerhard Randa Chairman of the Board Karl Samstag Deputy Chairman of the Board Msg. Fredrich Kadrnoska Board Member Members of the Savings Bank Council of Anteilsverwaltung-ZentralSparkasse Chairman: Mayor Dr. Michael Haupl Chairman of Sparkassenrates der Anteilsverwaltung-Zentralsparkasse Rathaus 1082 Wien Deputy-Chairman: Deputy Mayor Grete Laska City Councilwoman Rathaus 1010 Wien Board Members: Direktor KR Mag. Dr. Ewald Klinger Managing Director of Waste Operations Simmering Ges. m.b.H. 1110 Wein, 11 Haidequerstrasse 15 Emst Karl Plech Real Estate Trustee p A. Firma Ernst Karl Plech 1010 Wein, Graben 29a Finanzdirektor Dr. Gerhard Scharitzer Director of Finance Dept. of the City of Vienna Magistratsabteilung 4 Ebendorsserstrasse 2 1010 Wein A-5 Hedwig Fuhrmann Chairwoman of Central Works Council of Bank Austria Aktiengesellschaft c/o Bank Austria Aktiengesellschaft Vordere Zollamtsstrasse 13 A-1030 Vienna, Austria Wolfgang Heinzl First Deputy Chairman of Central Works Council of Bank Austria Aktiengesellschaft c/o Bank Austria Aktiengesellschaft Vordere Zollamtsstrasse 13 A-1030 Vienna, Austria Walter Schlogl Member of Central Works Council of Bank Austria Aktiengesellschaft c/o Bank Austria Aktiengesellschaft Vordere Zollamtsstrasse 13 A-1030 Vienna, Austria 6 00250246.AA2 Exhibit B SCHEDULE OF TRANSACTIONS Date Shares Purchased Price Per Share (without commission) ____ ________________________ _________________ 03/04/99 96,900 $10.2500 03/05/99 6,000 10.2500 03/05/99 2,500 10.3215 03/05/99 141,500 10.3750 03/08/99 57,400 10.2500 03/08/99 26,000 10.3125 03/09/99 12,500 10.3750 03/09/99 40,700 10.3125 03/09/99 4,800 10.2500 03/10/99 8,500 10.3750 03/10/99 19,600 10.5000 03/10/99 4,000 10.5625 03/10/99 450,000 10.6250 03/11/99 9,800 10.7500 03/11/99 36,700 10.6250 03/12/99 39,200 10.7500 03/12/99 10,000 10.8125 03/15/99 1,200 10.7500 03/15/99 71,700 10.8750 00250246.AA2 -----END PRIVACY-ENHANCED MESSAGE-----