-----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, M6+jNbVI8McQkAc6TgrJj6WA4GMI8OJpvpZ2uywHQiUrcyy/htWt2MOpxzxMDqjM Pf46Gcx5hsiwNFfpg9Li7A== 0000009749-97-000090.txt : 19970619 0000009749-97-000090.hdr.sgml : 19970619 ACCESSION NUMBER: 0000009749-97-000090 CONFORMED SUBMISSION TYPE: 8-K/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19970617 ITEM INFORMATION: Changes in registrant's certifying accountant FILED AS OF DATE: 19970618 SROS: AMEX SROS: NYSE FILER: COMPANY DATA: COMPANY CONFORMED NAME: BANKERS TRUST NEW YORK CORP CENTRAL INDEX KEY: 0000009749 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 136180473 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-05920 FILM NUMBER: 97625832 BUSINESS ADDRESS: STREET 1: 130 LIBERTY STREET CITY: NEW YORK STATE: NY ZIP: 10006 BUSINESS PHONE: 2122502500 MAIL ADDRESS: STREET 1: 280 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10017 FORMER COMPANY: FORMER CONFORMED NAME: BT NEW YORK CORP DATE OF NAME CHANGE: 19671107 8-K/A 1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 F O R M 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 6, 1997 ------------- BANKERS TRUST NEW YORK CORPORATION - ------------------------------------------------------- (Exact name of registrant as specified in its charter) NEW YORK - -------------------------------------------------------- (State or other jurisdiction of incorporation) 1-5920 13-6180473 - ---------------------------- --------------------------------- (Commission file number) (IRS employer identification no.) 130 LIBERTY STREET, NEW YORK, NEW YORK 10006 - -------------------------------------------- ---------- (Address of principal executive offices) (Zip code) Registrant's telephone number, including area code (212) 250-2500 -------------- By this Amendment No. 1, the Registrant is correcting three references in the Registrant's Current Report on Form 8-K dated March 14, 1997 (the "Report"). The reference to "Item 5. Other Events" in the Report should have read "Item 4. Changes in Registrant's Certifying Accountant." In addition, the references in Exhibit 16 to Item 5 should have been to Item 4 and to "paragraph 2" should have been to "paragraph 3." The Item has been revised accordingly and is set forth below in its entirety, and the references in Exhibit 16 has been revised. Item 4. Changes in Registrant's Certifying Accountant - ------------------------------------------------------ The information provided herein is an update of information reported in the Registrant's Current Report on Form 8-K dated November 20, 1996. On November 19, 1996, Bankers Trust New York Corporation (the "Corporation") appointed the accounting firm of KPMG Peat Marwick LLP as its independent auditors for the fiscal year ending December 31, 1997, and chose not to renew the engagement of Ernst & Young LLP, who served as the Corporation's independent auditors for the fiscal year ended December 31, 1996. The Corporation's Board of Directors approved the selection of KPMG Peat Marwick LLP as new independent auditors upon the recommendation of the Corporation's Audit Committee. Neither management nor anyone on its behalf has consulted with KPMG Peat Marwick LLP regarding the application of accounting principles to a specified transaction, either completed or proposed; or the type of audit opinion that might be rendered on the Corporation's financial statements, and neither a written report nor oral advice was provided to the Corporation that KPMG Peat Marwick LLP concluded was an important factor considered by the Corporation in reaching a decision as to the accounting, auditing or financial reporting issue during the Corporation's two most recent fiscal years prior to engaging KPMG Peat Marwick LLP. The Ernst & Young LLP reports on the Corporation's financial statements for the years ended December 31, 1996 and December 31, 1995 did not contain an adverse opinion or disclaimer of opinion and were not qualified or modified as to uncertainty, audit scope or accounting principles. Since January 1, 1995, the Corporation has not had any disagreements with Ernst & Young LLP on any matter of accounting principles or practices, financial statement disclosure or auditing scope or procedures that would require disclosure in this Current Report on Form 8-K/A. Ernst & Young LLP has furnished to the Corporation a letter addressed to the SEC stating that it agrees with the statements in the immediately preceding paragraph. A copy of such letter, dated June 17, 1997 is filed as Exhibit 16 to this Form 8-K/A. SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. BANKERS TRUST NEW YORK CORPORATION By /s/ Gordon S. Calder, Jr. ------------------------- Gordon S. Calder, Jr. Assistant Secretary June 18, 1997 INDEX TO EXHIBITS 16 Letter pursuant to Item 304(a)(3) of Regulation S-K to the Securities and Exchange Commission from Ernst & Young LLP, dated June 17, 1997. EXHIBIT 16 June 17, 1997 Securities and Exchange Commission 450 Fifth Street, N.W. Washington, DC 20549 Gentlemen: We have read Item 4 of Form 8-K/A dated June 17, 1997, of Bankers Trust New York Corporation and are in agreement with the statements contained in paragraph 3 therein. We have no basis to agree or disagree with other statements of the registrant contained therein. ERNST & YOUNG LLP /s/Ernst & Young LLP Bankers Trust New York Corporation 130 Liberty Street New York, New York 10006 Gordon S. Calder, Jr. Assistant Secretary June 18, 1997 Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549 Dear Sirs: Accompanying this letter is Bankers Trust New York Corporation's report on Form 8-K/A (Amendment No. 1) dated June 18, 1997 (the "Form 8-K/A"). The Form 8-K/A is being filed electronically through the EDGAR System. If there are any questions or comments in connection with the enclosed filing, please contact the undersigned collect at 212-250-4857. Very truly yours, By: /s/GORDON S. CALDER, JR. Name: Gordon S. Calder, Jr. Title: Assistant Secretary -----END PRIVACY-ENHANCED MESSAGE-----