-----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, Swv89nb4VBL8yL68QkfWWi6pXvuuJo2cxV5/Djk0fL5jy114rwb2A9Nx9T2XLa3O qwuBrfPCiVo1U4toeYmL/A== 0000912057-97-005557.txt : 19970222 0000912057-97-005557.hdr.sgml : 19970222 ACCESSION NUMBER: 0000912057-97-005557 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19960901 FILED AS OF DATE: 19970214 SROS: NYSE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: EMERGING GERMANY FUND INC CENTRAL INDEX KEY: 0000860127 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 133560296 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 811-06038 FILM NUMBER: 97535718 BUSINESS ADDRESS: STREET 1: ONE BATTERY PARK PLZ CITY: NEW YORK STATE: NY ZIP: 10004 BUSINESS PHONE: 2123635155 MAIL ADDRESS: STREET 1: ONE BATTERY PARK PLZ CITY: NEW YORK STATE: NY ZIP: 10004 FORMER COMPANY: FORMER CONFORMED NAME: DRESDNER EMERGING GERMANY FUND INC DATE OF NAME CHANGE: 19900306 COMPANY DATA: COMPANY CONFORMED NAME: DRESDNER KLEINWORT BENSON NORTH AMERICA LLC /BD CENTRAL INDEX KEY: 0001023990 STANDARD INDUSTRIAL CLASSIFICATION: [] OTHER IRS NUMBER: 133894311 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: 75 WALL STREET CITY: NEW YORK STATE: NY ZIP: 10005 BUSINESS PHONE: 2124292834 MAIL ADDRESS: STREET 1: 75 WALL STREET CITY: NEW YORK STATE: NY ZIP: 10005 FORMER COMPANY: FORMER CONFORMED NAME: DRESDNER KLEINWORT BENSON NORTH AMERICA LLC /BD DATE OF NAME CHANGE: 19970211 5 1 FORM 5
- -------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION ----------------------------- FORM 5 WASHINGTON, D.C. 20549 OMB APPROVAL - -------- ----------------------------- /X/ CHECK BOX IF NO LONGER ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OMB NUMBER: 3235-0362 SUBJECT TO SECTION 16. EXPIRES: SEPTEMBER 30, 1998 FORM 4 OR FORM 5 OBLI- Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, ESTIMATED AVERAGE BURDEN GATIONS MAY CONTINUE. Section 17(a) of the Public Utility Holding Company Act of 1935 or HOURS PER RESPONSE .... 1.0 SEE INSTRUCTION 1(b). Section 30(f) of the Investment Company Act of 1940 ----------------------------- /X/ FORM 3 HOLDINGS REPORTED / / FORM 4 TRANSACTIONS REPORTED - ------------------------------------------------------------------------------------------------------------------------------------ 1. Name and Address of Reporting Person* 2. Issuer Name and Ticker or Trading Symbol 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) Dresdner Kleinwort Benson Director 10% Owner North America LLC The Emerging Germany Fund (FRG) ---- ---- - ------------------------------------------------------------------------------------------- Officer (give X Other (specify (Last) (First) (Middle) 3. IRS or Social Security 4. Statement for ---- title ---- below) Number of Reporting Month/Year below) Person (Voluntary) Investment Adviser 75 Wall Street 1996 -------------------------- - ------------------------------------------- ------------------------------------------------------------- (Street) 5. If Amendment, 7. Individual or Joint/Group Reporting Date of Original (check applicable line) (Month/Year) X Form Filed by One Reporting Person --- Form filed by More than One Reporting Person New York, NY 10005 --- - ------------------------------------------------------------------------------------------------------------------------------------ (City) (State) (Zip) TABLE I -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Security 2. Trans- 3. Transac- 4. Securities Acquired (A) or 5. Amount of 6. Owner- 7. Nature of (Instr. 3) action tion Disposed of (D) Securities ship Indirect Date Code (Instr. 3, 4 and 5) Beneficially Form: Beneficial (Instr. 8) Owned at Direct Ownership (Month/ end of (D) or (Instr. 4) Day/ ------------------------------ Issuer's Indirect Year) Amount (A) or Price Fiscal Year (I) (D) (Instr. 3 (Instr. 4) and 4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 9/1/96 3 N/A 0 N/A N/A - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ *If the form is filed by more than one reporting person, see instruction 4(b)(v). (Over) SEC 2270 (7/96)
FORM 5 (CONTINUED) TABLE II - DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (e.g., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - ------------------------------------------------------------------------------------------------------------------------ 1. Title of Derivative Security 2. Conver- 3. Trans- 4. Trans- 5. Number of 6. Date Exer- (Instr. 3) sion of action action Derivative cisable and Exercise Date Code Securities Ac- Expiration Price of (Month/ (Instr. 8) quired (A) or Date Deriv- Day/ Disposed of Month/Day/ ative Year) (D) Year) Security (Instr. 3, 4, and 5) -------------------- Date Expir- ---------------------- Exer- ation cisable Date (A) (D) - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ 7. Title and Amount of Under- 8. Price 9. Number 10. Owner- 11. Na- lying Securities of of Deriv- ship ture of (Instr. 3 and 4) Deriv- ative of Indirect ative Secur- Deriv- Bene- Secur- ities ative ficial ity Bene- Secur- Owner- (Instr. ficially ity: ship 5) Owned Direct (Instr. 4) - ------------------------------------ at End (D) of Year or In- Amount or (Instr. 4) direct Title Number of (I) Shares (Instr. 4) - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ Explanation of Responses: Dresdner Kleinwort Benson North America LLC ("DKBNA") served as investment adviser to The Emerging Germany Fund from September 1 to October 31, 1996. At no time during this period did DKBNA own any shares of Common Stock of The Emerging Germany Fund. /s/ George N. Fugelsang President, on behalf of Dresdner Kleinwort Benson North America LLC 2/14/97 ----------------------------------- ----------- **Intentional misstatements or omissions of facts constitute **Signature of Reporting Person Date Federal Criminal Violations. SEE 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, SEE Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number. Page 2 SEC 2270 (7-96)
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