-----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, IYlSwSfqsj9dFUBdbe/QgKEdDJBhWmwO6oXhO2gwnhNhnnObyGhXC01/FhlLvV5B jsbbCvtzeZrsfgVxkDgQsQ== 0000950136-97-001305.txt : 19970922 0000950136-97-001305.hdr.sgml : 19970922 ACCESSION NUMBER: 0000950136-97-001305 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970918 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: 97682512 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. 3) 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) September 5, 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 SCHEDULE 13D CUSIP NO. 290913102 PAGE 2 OF 5 PAGES 1. NAME OF REPORTING PERSON S.S. OR I.R.S IDENTIFICATION 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 ITEMS 2(d) OR 2(e) [ ] - ------------------------------------------------------------------------------ 6. CITIZENSHIP OR PLACE OF ORGANIZATION Federal Republic of Germany - ------------------------------------------------------------------------------ NUMBER OF 7. SOLE VOTING POWER 1,632,000 SHARES ------------------------------------------------------ BENEFICIALLY 8. SHARED VOTING POWER 0 OWNED ------------------------------------------------------ BY EACH 9. SOLE DISPOSITIVE POWER 1,632,000 REPORTING ------------------------------------------------------ PERSON WITH 10. SHARED DISPOSITIVE POWER 0 - ------------------------------------------------------------------------------ 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,632,000 - ------------------------------------------------------------------------------ 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] - ------------------------------------------------------------------------------ 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 11.7% - ------------------------------------------------------------------------------ 14. TYPE OF REPORTING PERSON BK - ------------------------------------------------------------------------------- Page 2 of 5 Pages This Amendment No. 2 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 282,100 shares of Common Stock reported in Item 5(c) was working capital and aggregated approximately $2,937,033 (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 1,632,000 shares of Common Stock, which constitute approximately 11.7% 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 August 15, 1997, the date of the filing of Amendment No. 2 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 - --------------- -------------------------- --------------- August 18, 1997 40,000 $ 10.3100 August 20, 1997 5,000 10.8125 August 21, 1997 20,000 10.7500 August 22, 1997 1,100 10.3750 August 26, 1997 11,500 10.2500 August 27, 1997 7,300 10.2500 August 28, 1997 900 10.1875 August 29, 1997 23,100 9.9375 September 2, 1997 10,500 10.1458 September 3, 1997 17,500 10.3714 September 5, 1997 11,700 10.4375 September 8, 1997 4,500 10.5208 September 12, 1997 10,300 10.1214 Page 3 of 5 Pages Date Number of Shares Purchased Price Per Share - --------------- -------------------------- --------------- September 15, 1997 4,600 10.1726 September 16, 1997 20,400 10.3980 September 17, 1997 93,600 10.5881 (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. (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: September 18, 1997 Bankgesellschaft Berlin AG By: /s/ E. Joseph Carrico ------------------------ Name: E. Joseph Carrico Title: Director By: /s/ Gregory L. Melville -------------------------- Name: Gregory L. Melville Title: Assistant Director Page 5 of 5 Pages -----END PRIVACY-ENHANCED MESSAGE-----