-----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, UnbcKpYQPfpgJFQp4bDNIgjDwZZswrGRk8R83MEHv1gkDSAvBD+aS244C3TUm5Lm 9+NpaB9edmZow3sbhbGxOw== 0000950135-97-000939.txt : 19970227 0000950135-97-000939.hdr.sgml : 19970227 ACCESSION NUMBER: 0000950135-97-000939 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970226 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MEXICO EQUITY & INCOME FUND INC CENTRAL INDEX KEY: 0000863900 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 133576061 STATE OF INCORPORATION: MD FISCAL YEAR END: 0731 FILING VALUES: FORM TYPE: SC 13D SEC ACT: 1934 Act SEC FILE NUMBER: 005-41350 FILM NUMBER: 97544242 BUSINESS ADDRESS: STREET 1: WORLD FINANCIAL CTR STREET 2: 200 LIBERTY ST CITY: NEW YORK STATE: NY ZIP: 10281 BUSINESS PHONE: 2126675000 MAIL ADDRESS: STREET 1: OPPENHEIMER TOWER STREET 2: 200 LIBERTY STREET, 38TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10281 FORMER COMPANY: FORMER CONFORMED NAME: MEXICO CONVERTIBLE ADVANTAGE FUND INC DATE OF NAME CHANGE: 19900807 FORMER COMPANY: FORMER CONFORMED NAME: MEXICO ADVANTAGE FUND INC DATE OF NAME CHANGE: 19900805 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: EMERGING MARKETS COUNTRY FUND CENTRAL INDEX KEY: 0000942359 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: 10 EASTCHEAP CITY: LONDON STATE: X0 ZIP: 00000 BUSINESS PHONE: 441717110771 SC 13D 1 MEXICO EQUITY AND INCOME FUND INC. 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* The Mexico Equity and Income Fund, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 392834105 (CUSIP Number) William Marle c/o City of London Investment Management Company Ltd 10 Eastcheap, London EC3M 1AJ, United Kingdom +44 171 711 0771 (Name, Address and Telephone Number of Person Authorised to Receive Notices and Communications) 10th October, 1996 (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 / /. Check the following box if a fee is being paid with this statement / /. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less or such class.) (See Rule 13d-7). 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 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). SEC 1745 (10-88) Page 1 of 6 2 SCHEDULE 13D CUSIP NO. 392834105 - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON THE MP EMERGING MARKETS COUNTRY FUND, a business trust organised under the laws of the State of Delaware - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / /. (b) / /. - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. SOURCE OF FUNDS* OO - -------------------------------------------------------------------------------- 5. CHECK BOX IF DICLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) / / - -------------------------------------------------------------------------------- 6. CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE, USA - -------------------------------------------------------------------------------- 7. SOLE VOTING POWER 653,400 NUMBER OF ------------------------------------------------ SHARES 8. SHARED VOTING POWER BENEFICIALLY 0 OWNED BY ------------------------------------------------ EACH 9. SOLE DISPOSITIVE POWER REPORTING 653,400 PERSON ------------------------------------------------ WITH 10. SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 653,400 - -------------------------------------------------------------------------------- 12. CHECK BOX 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* IC - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! Page 2 of 6 3 STATEMENT ON SCHEDULE 13D ITEM 1 SECURITY AND ISSUER Item 1(a). Name of Issuer: The Mexico Equity and Income Fund, Inc. Item 1(b). Address of Issuer's Principal Executive Offices: World Financial Center, 200 Liberty Street, New York, New York, 10281 Item 1(c) Class of Securities Common Stock ITEM 2 IDENTITY AND BACKGROUND Item 2(a). Names of Person Filing: The MP Emerging Markets Country Fund Item 2(b). Address of Principal Business Office 10 Eastcheap London EC3M IAJ England Item 2(c). Principle occupation or employment Investment Fund Item 2(d). Details of criminal convictions within past five years None Item 2(e). Details of civil proceedings within past five years where judgement was against Person filing None Item 2(f). Citizenship: Delaware, USA Page 3 of 6 4 ITEM 3 SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION Invested Capital ITEM 4 PURPOSE OF TRANSACTION Investment Item 4(a) Plans/Proposals to acquire additional securities/ disposal of securities None Item 4(b) Planned/Proposed extraordinary corporate transaction involving issuer or its subsidiaries. None Item 4(c) Planned/Proposed material sale/transfer of assets of issuer or its subsidiaries. None Item 4(d) Planned/Proposed change to the Board or Management of the issuer None Item 4(e) Planned/Proposed material change to the capitalisation/dividend policy of the issuer None Item 4(f) Planned/Proposed material change to the issuer's business or corporate structure None Item 4(g) Planned/Proposed changes in the issuer's charter, bylaws, or instruments that may impede the acquisition of control of the issuer by any person None Item 4(h) Plans/Proposals to cause a class of security of the issuer to be delisted None Item 4(i) Plans/Proposals to cause a class of equity to become eligible for termination of registration pursuant to Section 12(g)(4). None Item 4(j) Plans/Proposals similar to any of the above. Page 4 of 6 5 None ITEM 5. INTERESTS IN SECURITIES OF THE ISSUER (a) (i) Aggregate number of securities beneficially Owned: 653,400 (ii) Percentage of Class: 7.84 (b) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 653,400 (ii) shared power to vote or to direct the vote: 0 (iii) sole power to dispose or to direct the disposition of: 653,400 (iv) shared power to dispose or to direct the disposition of: 0 (v) information required in Item 2 for persons where power is shared: N/A (c) Describe any transactions in the class of securities reported that were effected during the past sixty days or since the most recent filing on Schedule 13D (Section 240.13d-191), whichever is less by the persons named in paragraph (a). who effected transaction: The Emerging Market Country Fund
TRANSACTION NO. OF PRICE PER TRANSACTION TYPE WHERE AND HOW TRANSACTED DATE SECURITIES SECURITY 1 Nov 96 352,200 9.5000 In Specie Contribution Off Market Purchase 1 Nov 96 15,000 9.7500 Buy Market Purchase 4 Nov 96 23,700 9.8750 Buy Market Purchase 5 Nov 96 12,700 10.0000 Buy Market Purchase 6 Nov 96 35,000 10.1250 Buy Market Purchase 7 Nov 96 20,900 10.1250 Buy Market Purchase 8 Nov 96 27,100 10.2173 Buy Market Purchase 11 Nov 96 17,700 10.3529 Buy Market Purchase 12 Nov 96 16,900 10.3750 Buy Market Purchase 13 Nov 96 8,800 10.3750 Buy Market Purchase 14 Nov 96 8,100 10.3750 Buy Market Purchase 15 Nov 96 5,600 10.3750 Buy Market Purchase 18 Nov 96 6,700 10.2500 Buy Market Purchase 19 Nov 96 9,200 10.2500 Buy Market Purchase 21 Nov 96 5,900 10.2500 Buy Market Purchase 4 Dec 96 6,800 10.3750 Buy Market Purchase 9 Dec 96 5,600 10.1250 Buy Market Purchase 10 Dec 96 50,000 10.2500 Buy Market Purchase 12 Dec 96 25,500 10.1250 Buy Market Purchase
(d) Third party rights regarding dividends. None Page 5 of 6 6 (e) Date ceased to be beneficial owner of more than five percent. Not Applicable ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER None ITEM 7. MATERIAL TO BE FILED AS EXHIBITS None SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: 14th February, 1997 /s/ D.A. Fowle --------------------------- Name: D.A. Fowle Title: Director Page 6 of 6 -----END PRIVACY-ENHANCED MESSAGE-----