-----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, JKAJuLRjwF/tO7cSC/QyagszV87FxABHr1fvZ2r/j3/eQg4th9nkHLzQ3OpabWxH ahTsBa+pL8VWDpmTigfgng== 0000009749-97-000113.txt : 19971014 0000009749-97-000113.hdr.sgml : 19971014 ACCESSION NUMBER: 0000009749-97-000113 CONFORMED SUBMISSION TYPE: 424B2 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19971010 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: 424B2 SEC ACT: SEC FILE NUMBER: 333-32909 FILM NUMBER: 97694199 BUSINESS ADDRESS: STREET 1: 130 LIBERTY STREET CITY: NEW YORK STATE: NY ZIP: 10006 BUSINESS PHONE: 2122502500 MAIL ADDRESS: STREET 1: 130 LIBERTY STREET CITY: NEW YORK STATE: NY ZIP: 10006 FORMER COMPANY: FORMER CONFORMED NAME: BT NEW YORK CORP DATE OF NAME CHANGE: 19671107 424B2 1 PRICING SUPPLEMENTS Rule 424(b)(2) Registration Statement No. 333-32909 PRICING SUPPLEMENT No. D6 Dated October 8, 1997, to Prospectus, dated September 29, 1997 and Prospectus Supplement, dated October 1, 1997. Bankers Trust New York Corporation Senior Medium-term Notes, Series A Subordinated Medium-Term Notes, Series A Due Nine Months or More from Date of Issue Floating Rate Note THE NOTES WILL NOT BE DEPOSITS OR OTHER OBLIGATIONS OF A BANK AND WILL NOT BE INSURED BY THE FEDERAL DEPOSIT INSURANCE CORPORATION OR ANY OTHER GOVERNMENT AGENCY. This Pricing Supplement supplements and, to the extent inconsistent therewith, supersedes the Prospectus and the Prospectus Supplement. Capitalized terms used and not defined herein are used with the meanings specified in the Prospectus Supplement. - ------------------------------------- ------------------------------------- [X] Senior [_] Subordinated Form: - ------------------------------------- CUSIP: 06636PAD5 [X]Global [_] Certified - ------------------------------------- ------------------------------------- - ------------------------------------- ------------------------------------- Principal Amount: $70,000,000 Specified Currency (check one; if other than U.S. Agent's Name and DTC Participant Dollars, see attached for exchange rate other information): Number: Bear, Stearns & Co. Inc., DTC # 352 Issue Price: 100% [X] U.S. Dollars (USD or U.S.$) Net Proceeds to issuer: $70,000,000 [_] European Currency Units (ECU) Agent's Commission, if applicable : 0% [_] Australian Dollars (AUD or AUS$) Original Issue Date: October 16, 1997 [_] British Pound (GBP or UKL) Stated Maturity: October 15, 1999 [_] Canadian Dollars (CAD or CAN$) (Specify the Interest Payment Date that [_] German Marks (DEM or DM) that is to be Stated Maturity of the [_] Italian Lire (ITL or Lire) Note) [_] Japanese Yen (JPY or or Y) [_] Swiss Francs (CHF or SWFr) [_] Other: [_________] Interest Rate Basis: (check one) Holder has Option to Elect Payments [_] CD Rate in Specified Currency (if Specified [_] CMT Rate(Designated CMT Telerate currency is not U.S. Dollars: Page, if not 7052:_____________) [_] Yes [X] No Authorized Denominations (if other [_] Commercial Paper Rate than $1,000 and any integral multiple [_] 11th District Cost of Funds Rate thereof or if Specified Currency is [X] Federal Funds Rate not U.S. Dollars:$1,000 [_] Kenny Rate [_] LIBOR Optional Extensions of Stated Maturity [_] LIBOR Reuters by the Corporation:[_]Yes[X]No [_] LIBOR Telerate Extension Period: Designated LIBOR currency (if other Number of Extension Periods: than U.S Dollars):___________ [_] Prime Rate Repurchase Price:___% [_] Treasury Rate (For Discount Securities) [_] Other:[_______] (see attached) [_] Treasury Rate Optional Redemption at the Option of the Corporation: [_] Yes [X] No Initial Redemption Date: Initial Interest Rate: % Initial Redemption Percentage: Annual Redemption Percentage Reduction: Optional Repayment at the Option of the Holder: [_] Yes [X] No Optional Repayment Dates: Optional Repayment Prices: Bankers Trust New York Corporation Senior Medium-term Notes, Series A (continued) Subordinated Medium-Term Notes, Series A Due Nine Months or More from Date of Issue Floating Rate Note Maximum Interest Rate: ___% Amortizing Note: [_] Yes [X] No Basis or formula for amortization of principal and/or interest of Note: Minimum Interest Rate: ___% Payment dates for amortizations: Spread: (+/-): + 19 bp [_] Each March 15, June 15, Spread Multiplier: Not Applicable September 15 and December 15 Interest Payment Dates (if other than as [_] Each June 15 and December 15 specified in the Prospectus Supplement): [_] Other: Each Each January 15, April 15, July 15 and October 15 Currency Indexed Note: [_] Yes [X] No Commencing: January 15, 1998 Currency I: Regular Record Dates (if other than as Currency II: specified in the Prospectus Base Exchange Rate: Supplement:) Leverage Factor "L": Each Principal Indexed: [_] Yes [X] No [_] Principal to increase when Base Calculation Dates (if other than as Spot Rate exceeds Exchange specified in the Prospectus Supplement): Rate and decrease when Spot Rate. Each _________________________________ is less than Base Exchange Rate [_] Principal to decrease when Spot Interest Determination Dates Rate exceeds Base Exchange Rate (if other than as and increase when Spot Rate is less specified in the Prospectus Supplement): than Base Exchage Rate. The first Business Day preceeding each Interest Reset Date Interest Indexed: [_] Yes [X] No [_] Interest to decrease when Spot Reset Periods: (check one) Rate exceeds Base Exchange Rate ([X]Daily,[_]Weekly,[_]Monthly, and increase when Spot Rate [_]Quarterly,[_]Semiannually or is less than Base Exchange Rate [_]Annually [_] Interest to decrease when Spot Interest Reset Dates (if other than as Rate exceeds Base Exchange Rate specified in the Prospectus Supplement): and increase when Spot Rate is less than Base Exchange Rate Each_______ Index Maturity:____________ Commodity Indexed Note (if yes, see attached annex for additional information): [_] Yes [X] No Optional Interest Reset by Corporation Calculation Agent (if other than [_] Yes [X] No Bankers Trust Company): Optional Interest Reset Dates: (see attached annex for further details) Other Provisions: . Original Issue Discount Note:[_]Yes[X]No Annex Attached [_] Yes [X] No Yield to Maturity: (and incorporated herein OID for U.S. Federal Income by reference) Tax Purposes: The aggregate initial offering price of this offering is U.S.$70,000,000 (which, if the securities offered hereby are dominated in a currency or currency unit other than U.S. dollars, is the equivalent, in the foreign currencies or currency units set forth herein, of the initial offering price set forth herein) and relates only to pricing Supplement No. D6. Debt Securities, including Senior Medium-Term Notes, Series A, and Subordinated Medium-Term Notes, Series A,having an aggregate initial offering price of up to U.S.$3,080,000,000 (or the equivalent therof in any foreign currencies or currency units) may be issued by the Corporation pursuant to the registration Statement referred to above. To date, including this offering, an aggregate of U.S.$544,776.000* (or the equivalent therof in any foreign currencies or currency units) aggreate initial offering price of Debt Securities have been so issued. *Including other issuances, if any, on this date Type of Sale If Principal Transaction, Reoffering [_] Direct by Corporation [X] varying prices related to [_] As Agent prevailing market prices at the time [X] As Principal of resale [_] fixed public offering price of _____% of Principal Amount -----END PRIVACY-ENHANCED MESSAGE-----