-----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, AUMl8Ndv1GShaEIg6SJSEk9R2dj6nl3BlzngRE+jlWtPiYttzj6I6R629bR81PKx dT/Ob6lcBs6Jfx+Ngn6dXQ== 0000950136-97-001535.txt : 19971107 0000950136-97-001535.hdr.sgml : 19971107 ACCESSION NUMBER: 0000950136-97-001535 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19971106 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: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-41031 FILM NUMBER: 97708954 BUSINESS ADDRESS: STREET 1: FOUR EMBARCADERO CENTER CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 2123635155 MAIL ADDRESS: STREET 1: FOUR EMBARCADERO CENTER STREET 2: SUITE 3000 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 FORMER COMPANY: FORMER CONFORMED NAME: DRESDNER EMERGING GERMANY FUND INC DATE OF NAME CHANGE: 19900306 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 AMENDED SCHEDULE 13D Securities and Exchange Commission Washington, D.C. 20549 ------------------------ SCHEDULE 13D (RULE 13D - 101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO 13D-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO 13D-2(a) (AMENDMENT NO. 4) The Emerging Germany Fund Inc. - ------------------------------------------------------------------------------- (Name of Issuer) Common Stock, par value $.001 per share - ------------------------------------------------------------------------------- (Title of Class of Securities) 290913102 - ------------------------------------------------------------------------------- (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) October 27, 1997 - ------------------------------------------------------------------------------- (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 5 Pages - -------------------- ----------------- CUSIP No.: 290913102 13D Page 2 of 5 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 (a) [ ] OF A GROUP (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 1,834,500 SHARES ==================================================== BENEFICIALLY SHARED VOTING POWER 0 OWNED ==================================================== BY EACH SOLE DISPOSITIVE POWER 1,834,500 REPORTING ==================================================== PERSON SHARED DISPOSITIVE POWER 0 WITH =============================================================================== 11 AGGREGATE AMOUNT BENEFICIALLY OWNED 1,834,500 BY EACH REPORTING PERSON =============================================================================== 12 CHECK IF THE AGGREGATE AMOUNT IN ROW [ ] (11) EXCLUDES CERTAIN SHARES =============================================================================== 13 PERCENT OF CLASS REPRESENTED BY 13.1% AMOUNT IN ROW (11) =============================================================================== 14 TYPE OF REPORTING PERSON BK =============================================================================== Page 2 of 5 Pages This Amendment No. 3 amends and supplements Item 3 and Item 5 of the Schedule 13D of Bankgesellschaft Berlin AG (the "Bank") with respect to the shares of Common Stock, par value $.001 per share (the "Common Stock"), of The Emerging Germany Fund Inc. (the "Fund"). ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION The source and amount of the funds used by the Bank to purchase the 1,834,500 shares of Common Stock reported in Item 5(c) was working capital and aggregated approximately $17,358,386 (exclusive of commissions). ITEM 5. INTEREST IN SECURITIES OF THE ISSUER (a) The Fund's proxy statement, dated March 17, 1997, relating to the 1997 Annual Meeting of Stockholders states that, as of the close of business on March 7, 1997, there were 14,008,334 shares of Common Stock outstanding. The percentage set forth in this Item 5(a) was derived using such number. The Bank is the beneficial owner of 1,834,500 shares of Common Stock, which constitute approximately 13.1% 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) Since September 18, 1997, the date of the filing of Amendment No. 3 to the Schedule 13D relating to its ownership of shares of Common Stock, the Bank has effected the following purchases in the shares of Common Stock, all of which were made on the New York Stock Exchange: Date Number of Shares Purchased Price Per Share ---- -------------------------- --------------- September 19, 1997 23,400 $ 10.6250 September 22, 1997 7,800 10.6811 September 24, 1997 1,300 10.8750 September 25, 1997 11,000 10.9886 October 8, 1997 10,000 11.5625 October 23, 1997 1,000 10.3125 October 27, 1997 120,000 10.4063 October 28, 1997 8,000 9.5000 October 30, 1997 20,000 10.2813 (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 5 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 5 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: November 6, 1997 Bankgesellschaft Berlin AG By: /s/ Dirk Kipp -------------------------------- Name: Dirk Kipp Title: Director By: /s/ Gregory L. Melville -------------------------------- Name: Gregory L. Melville Title: Assistant Director Page 5 of 5 Pages -----END PRIVACY-ENHANCED MESSAGE-----