-----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, PGdZEVThFglTbuUeau8nR1ztW3Z4VKxBK45NfWn4CDsiNKeN7pEIr1VpkCH3iaDo myVrwyvzBklAJN4wp7LZvQ== 0000950136-99-000031.txt : 19990121 0000950136-99-000031.hdr.sgml : 19990121 ACCESSION NUMBER: 0000950136-99-000031 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990120 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/A SEC ACT: SEC FILE NUMBER: 005-51657 FILM NUMBER: 99508317 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: BANKGESELLSCHAFT BERLIN AG CENTRAL INDEX KEY: 0001038872 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: ALEXANDERPLATZ 2 CITY: 10178 BERLIN GERMANY MAIL ADDRESS: STREET 1: ALEXANDERPLATZ 2 CITY: 10178 BERLIN GERMANY SC 13D/A 1 AMENDMENT TO SCHEDULE 13D Securities and Exchange Commission Washington, D.C. 20549 ------------------------------- SCHEDULE 13D Under the Securities Exchange Act of 1934 (AMENDMENT NO. 3) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) The Austria Fund, Inc. - ------------------------------------------------------------------------------- (Name of Issuer) Common Stock, par value $.01 per share - ------------------------------------------------------------------------------- (Title of Class of Securities) 052587102 - ------------------------------------------------------------------------------- (CUSIP Number) Gregory L. Melville Bankgesellschaft Berlin AG Alexanderplatz 2 D-10178 Berlin Germany - ------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) January 8, 1999 - ------------------------------------------------------------------------------- (Date of Event which Requires Filing of this Statement) 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. [ ] Page 1 of 10 Pages CUSIP No.: 052587102 13D Page 2 of 10 Pages - -------------------- ------------------ - ------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. ID NO. OF ABOVE PERSON Bankgesellschaft Berlin AG - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ ] - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 SOURCE OF FUNDS WC - ------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL [ ] PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) - ------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Federal Republic of Germany - ------------------------------------------------------------------------------- NUMBER OF SOLE VOTING POWER 437,100 SHARES - ------------------------------------------------------------------------------- BENEFICIALLY SHARED VOTING POWER 0 OWNED - ------------------------------------------------------------------------------- BY EACH SOLE DISPOSITIVE POWER 437,100 REPORTING PERSON SHARED DISPOSITIVE POWER 0 WITH - ------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 437,100 - ------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW [ ] (11) EXCLUDES CERTAIN SHARES - ------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 5.5% - ------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON BK - ------------------------------------------------------------------------------- Page 2 of 10 Pages This Amendment No. 3 amends and supplements Items 3 and 5 of the Schedule 13D of Bankgesellschaft Berlin AG (the "Bank") with respect to the Common Stock, par value $.01 per share (the "Common Stock"), of The Austria Fund, Inc. (the "Fund"). In addition, this Amendment No. 3 restates in its entirety Annex A of the Schedule 13D of the Bank. Annex A sets forth the name, business address and principal occupation of each director and executive officer of Bank and the name, address, jurisdiction of incorporation and principal business of each shareholder of the Bank who may be deemed to be in control of the Bank. ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION The source of the funds used by the Bank to purchase the 437,100 shares of Common Stock reported in Item 5(a) was working capital and aggregated approximately $4,783,833 (exclusive of commissions). ITEM 5. INTEREST IN SECURITIES OF THE ISSUER (a) The Fund's proxy statement, dated November 23, 1998, relating to the Annual Meeting of Stockholders of the Fund held on January 13, 1999 states that, as of October 30, 1998, there were 11,703,031 shares of Common Stock outstanding. In a press release dated January 15, 1998, the Fund stated that it had repurchased approximately 32% of its shares. Accordingly, for purposes of this Item 5(a) the Fund is assumed to have 7,958,062 shares of Common Stock outstanding. The Bank is the beneficial owner of 437,100 shares of Common Stock, which constitute approximately 5.5% of the outstanding shares of Common Stock. (b) The Bank has sole power to vote and to dispose of the shares of Common Stock owned by it. (c) During the last sixty days, the Bank has effected the following sales of the shares of Common Stock, all of which were made on the New York Stock Exchange. Date Number of Shares Sold Price Per Share - ----------------- ------------------------------ ------------------- December 16, 1998 110,000 $10.9375 January 8, 1999 127,400 10.5625 January 11, 1999 80,000 10.5625 January 12, 1999 150,000 10.5625 (d) No person other than the Bank has the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the shares of Common Stock owned by the Bank. Page 3 of 10 Pages (e) It is inapplicable to state the date on which the Bank ceased to be the beneficial owner of more than five percent of the Common Stock. Page 4 of 10 Pages SIGNATURE After reasonable inquiry and to the best of our knowledge and belief, we certify that the information set forth in this statement is true, complete and correct. Date: January 19, 1999 BANKGESELLSCHAFT BERLIN AG By: /s/ Gregory L. Melville ------------------------------ Name: Gregory L. Melville Title: Assistant Director By: /s/ Moritz Sell ------------------------------ Name: Moritz Sell Title: Market Strategist Page 5 of 10 Pages ANNEX A Unless otherwise indicated, the business address for all individuals listed in this Annex A is Bankgesellschaft Berlin AG, Alexanderplatz 2, 10178 Berlin Federal Republic of Germany. MEMBERS OF THE MANAGING BOARD Name and Address Principal Occupation - ---------------- -------------------- Dr. Wolfgang Rupf Speaker of the Managing Board of Bankgesellschaft Berlin AG Norbert Pawlowski Member of the Managing Board of Bankgesellschaft Berlin AG Hans Leukers Member of the Managing Board of Bankgesellschaft Berlin AG Leopold Troebinger Member of the Managing Board of Bankgesellschaft Berlin AG Page 6 of 10 Pages EXECUTIVE OFFICERS Name and Address Principal Occupation - ---------------- -------------------- Christian Krueger Managing Director of Bankgesellschaft Berlin Bankgesellschaft Berlin AG AG Konzern-Finanzen und Beteiligungen Hardenbergstrasse 32 10623 Berlin Federal Republic of German Willi Boehmer Managing Director of Bankgesellschaft Berlin AG Peter Koenig Managing Director of Bankgesellschaft Berlin AG Hans Joachim Bley Managing Director of Bankgesellschaft Berlin AG Jochen W. Sawahn Managing Director of Bankgesellschaft Berlin AG Dr. Joachim Preussner Managing Director of Bankgesellschaft Berlin AG Heinrich Honerlage Managing Director of Bankgesellschaft Berlin Konzern-Revision AG Bankgesellschaft Berlin AG Otto-Braun Str. 90 10249 Berlin Federal Republic of Germany Stefan Traegler Managing Director of Bankgesellschaft Berlin Handels Controlling AG Bankgesellschaft Berlin AG 13355 Berlin Federal Republic of Germany Artur Fischer Managing Director of Bankgesellschaft Berlin Konzern-Organisation AG Bankgesellschaft Berlin AG Brunnestrasse 111 13355 Berlin Federal Republic of Germany Page 7 of 10 Pages Name and Address Principal Occupation - ---------------- -------------------- Helmut Ramthun Managing Director of Bankgesellschaft Berlin Konzern-Organisation AG Bankgesellschaft Berlin AG Brunnestrasse 111 13355 Berlin Federal Republic of Germany Joachim Antczack Managing Director of Bankgesellschaft Berlin AG Wolfgang Stoechel Managing Director of Bankgesellschaft Berlin AG Heinz-Dieter Gottschalk Managing Director of Bankgesellschaft Berlin AG Jochen Zimmermann Managing Director of Bankgesellschaft Berlin AG Frank-Michael Boenke Managing Director of Bankgesellschaft Berlin AG Georg-Heinrich Sieveking Managing Director of Bankgesellschaft Berlin AG Hadi Saidi Managing Director of Bankgesellschaft Berlin AG Gerhard Richter Managing Director of Bankgesellschaft Berlin AG Zoe Shaw Managing Director of Bankgesellschaft Berlin Asset-Backed Transaktionen AG Bankgesellschaft Berlin AG London Branch 1 Crown Court Cheapside London EC2V 6JP Dr. Karl-Friedrich Hirschhaeuser Managing Director of Bankgesellschaft Berlin AG Guenter Laubner Managing Director of Bankgesellschaft Berlin AG Page 8 of 10 Pages Name and Address Principal Occupation - ---------------- -------------------- Mr. David Clark General Manager of Bankgesellschaft Berlin AG Bankgesellschaft Berlin AG London Branch 1 Crown Court Cheapside London EC2V 6JP Dr. Erik Blahut Managing Director of Bankgesellschaft Berlin AG Serge Demoliere Managing Director of Bankgesellschaft Berlin AG Hans-Werner Wilms Managing Director of Bankgesellschaft Berlin AG Tim Kettemann Managing Director of Bankgesellschaft Berlin AG Bruno Schmidt-Voss Managing Director of Bankgesellschaft Berlin AG Cord-Friedrich Koening Managing Director of Bankgesellschaft Berlin AG Page 9 of 10 Pages SHAREHOLDERS WHO MAY BE DEEMED TO CONTROL THE BANK The following shareholders of the Bank may be deemed to control the Bank: The City of Berlin Gothaer Beteiligungsgesellschaft, an affiliate of an insurance company formed under the laws of the Federal Republic of Germany, whose principal address is Lutzowstrasse 89, 10785 Berlin, Germany, and whose principal shareholders are Gothaer Versicherungs Bank AG (principal office: Gothaer Allee 1, 50672, Koln, Germany), Gothaer Lebenversicherung AG (principal office: Gothaer Platz 2-8, 37069 Gottingen, Germany) and Norddeutsche Landesbank Girozentrale NORD/LB (principal address is Georgplatz 1, D-30159, Hannover, Germany). Norddeutsche Landesbank Girozentrale NORD/LB, a bank formed under the laws of the Federal Republic of Germany, whose principal address is Georgplatz 1, D-30159, Hannover, Germany. Page 10 of 10 Pages -----END PRIVACY-ENHANCED MESSAGE-----