-----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, KmGknN9F8OUprK2Bj7+cD3gDgAFt/5M1cyOiZvY2cxetZ8y+mQxe+FXtY5iBYsNJ VtAThbLiFr3BseGnYB/rbA== 0000950123-97-009284.txt : 19971111 0000950123-97-009284.hdr.sgml : 19971111 ACCESSION NUMBER: 0000950123-97-009284 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 19971110 SROS: NONE GROUP MEMBERS: CHANCELLOR LGT ASSET MANAGEMENT INC GROUP MEMBERS: CHANCELLOR LGT TRUST COMPANY GROUP MEMBERS: LGT ASSET MANAGEMENT INC SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GT GLOBAL FLOATING RATE FUND INC CENTRAL INDEX KEY: 0001027826 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 943259182 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-50947 FILM NUMBER: 97711122 BUSINESS ADDRESS: STREET 1: 50 CALIFORNIA STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 4154457554 MAIL ADDRESS: STREET 1: 50 CALIFORNIA STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94111 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CHANCELLOR LGT ASSET MANAGEMENT INC CENTRAL INDEX KEY: 0000911262 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 942259541 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 50 CALIFORNIA ST STREET 2: 27TH FLOOR CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 4154553313 MAIL ADDRESS: STREET 1: LEGAL DEPARTMENT STREET 2: 50 CALIFORNIA ST., 24TH FL CITY: SAN FRANCISCO STATE: CA ZIP: 94111 FORMER COMPANY: FORMER CONFORMED NAME: G T CAPITAL MANAGEMENT INC DATE OF NAME CHANGE: 19940210 SC 13G/A 1 AMENDMENT NO. 1 TO SCHEDULE 13G 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 1 )* G.T. Global Floating Rate Fund, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 361969108 (CUSIP Number) 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 of such class.)(See Rule 13d-7). *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 a 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). 2 CUSIP No. 361969108 13G Page 2 of 6 - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON GT Global, Inc. (94-3028918)and LGT Asset Management, Inc. (94-3037666). - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) / / - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION GT Global, Inc. - California LGT Asset Management, Inc. - California - ------------ ------ ------------------------------------------------------------ NUMBER OF SHARES 5 SOLE VOTING POWER BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,516,409 - shares WITH ------ ------------------------------------------------ 6 SHARED VOTING POWER - 0 - ------ ------------------------------------------------ 7 SOLE DISPOSITIVE POWER 2,516,409 - shares ------ ------------------------------------------------ 8 SHARED DISPOSITIVE POWER - 0 - - ---------------- --------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,516,409 - shares - -------------------------------------------------------------------------------- 10 CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* / / - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 17.53% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* BD, HC - -------------------------------------------------------------------------------- 3 CUSIP: 361969108 Page 3 of 6 *SEE INSTRUCTIONS BEFORE FILLING OUT! SCHEDULE 13G Item 1. Security and Issuer (a) GT Global Floating Rate Fund (the "Company") (b) Address: 50 California Street San Francisco, CA 94111 Item 2. Identity and Background (a) This Schedule 13G is being filed by (i) GT Global, Inc., a California Corporation, registered broker dealer; and (ii) LGT Asset Management, Inc., a holding company. LGT Asset Management, Inc. is an indirect wholly owned subsidiary of Liechtenstein Global Trust, AG. Liechtenstein Global Trust, AG which has numerous worldwide affiliates is controlled by The Prince of Liechtenstein Foundation, a parent organization for the various business enterprises of the Princely Family of Liechtenstein. (b) The address of the principal place of business of GT Global, Inc. and LGT Asset Management, Inc., is 50 California Street, San Francisco, CA 94111. (c) GT Global, Inc. and LGT Asset Management, Inc. are California Corporations. (d) Common Stock (e) CUSIP Number: 361969108 Item 3. If this statement is filed pursuant to Rule 13d-1(b) or 13d-2(b), check whether the person filing is a: (a) X Broker or dealer registered under Section 15 of the Act. (g) X Parent Holding Company, in accordance with Rule 13d-1 (b) (ii) (g): see Item 7. 4 CUSIP: 361969108 Page 4 of 6 Item 4. Ownership (a) For the month ended November 6, 1997, the aggregate number of shares of the Company's common stock beneficially owned by GT Global and LGT Asset Management, Inc., as the holding company is 2,516,409 shares. (b) Percent of Class: 17.53% based upon 14,354,391 shares outstanding. (c) GT Global and its parent LGT Asset Management, Inc.have sole power to vote or to direct to vote, and sole power to dispose of or to direct the disposition of, all of the shares reported in this statement. LGT Asset Management, Inc. is an indirect wholly owned subsidiary of Liechtenstein Global Trust, AG. Liechtenstein Global Trust, AG which has numerous worldwide affiliates is controlled by The Prince of Liechtenstein Foundation, a parent organization for the various business enterprises of the Princely Family of Liechtenstein. Item 5. Ownership of Five Percent or Less Not applicable. Item 6. Ownership of More than Five Percent on Behalf of Another Person Not applicable. Item 7. Identification and Classification of the Subsidiary Which Acquired the Securities Being Reported by the Parent Holding Company See attached Exhibit I. Item 8. Identification and Classification of Members of a Group Not applicable. Item 9. Notice of Dissolution of Group Not applicable. 5 CUSIP: 361969108 Page 6 of 6 Item 10. Certification By signing below I certify that to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purposes or effect. 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. Date: November 7, 1997 Signatures: GT Global, Inc., as Investment Adviser By: /s/ Helge Krist Lee ------------------------- Helge Krist Lee LGT Asset Management, Inc., as Holding Company By: /s/ Helge Krist Lee ------------------------- Helge Krist Lee EX-99.I 2 IDENTIFICATION AND CLASSIFICATION OF MEMBERS 1 CUSIP: 361969108 Page 6 of 6 EXHIBIT I Item 7 (a) X Broker or dealer registered under Section 15 of the Act. (g) X Parent Holding Company, in accordance with Rule 13d-1(b)(ii) (g). -----END PRIVACY-ENHANCED MESSAGE-----