-----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, HCp2NmGcLmGd9oMZYTzoIJiLgqgG4Ve9iDfbmft+o89M5NF13524YYm1xqMTAI+h JJnwYvVHty26TKY5mZuqKA== 0000009749-97-000124.txt : 19971022 0000009749-97-000124.hdr.sgml : 19971022 ACCESSION NUMBER: 0000009749-97-000124 CONFORMED SUBMISSION TYPE: 424B2 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19971021 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: 97698709 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 SUPPLEMENT NO.D7-2 Rule 424(b)(2) Registration Statement No. 333-32909 PRICING SUPPLEMENT No. D7-2, Dated October 20, 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 FIXED 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. - ------------------------------------- ------------------------------------ [_] Senior [X] Subordinated Form: - ------------------------------------- CUSIP: 06636QAC5 [X]Global [_] Certificated - ------------------------------------- ------------------------------------ - ------------------------------------- ------------------------------------ Principal Amount: US$15,000,000 Optional Redemption at the Option of Agent's Name and DTC Participant the Corporation: [X] Yes [_] No Number: Merrill Lynch DTC # 5132 Initial Redemption Date: November 15, 2001 Issue Price: 97.50% Initial Redemption Percentage: 100% Annual Redemption Percentage Net Proceeds to Issuer: $14,625,000 Reduction: 0% Optional Repayment at the Option of Agent's Commission, if Applicable: the Holder: [_] Yes [X] No Optional Repayment Dates: Original Issue Date: October 23, 1997 Optional Repayment Prices: Stated Maturity: November 15, 2012 Amortizing Note: [_] Yes [X] No Interest Rate: 7.00% per annum Interest Payment Dates (if other Basis or formula for amortization of than as specified in the Prospectus principal and/or interest of Note: Supplement): Payment Dates for amortizations Each 15th calendar day of each month [_] Each March 15,June 15, September Commencing: November 15, 1997 15 and December 15 [_] Each June 15 and December 15 [_] Other: Each Regular Record Dates (if other than as specified in the Prospectus Currency Indexed Note: [_]Yes [X]No Supplement): Currency I: Each Currency II: Base Exchange Rate: Optional Interest Reset by Leverage Factor "L": Corporation: [_] Yes [X] No Principal Indexed: [_] Yes [X] No Optional Interest Reset Dates [_] Principal to increase when Spot (see attached annex Rate exceeds Base Exchange Rate for further details) and decrease when Spot Rate is Original Issue Discount Note: less than Base Exchange Rate [_] Yes [X] No [_] Principal to decrease when Spot Yield to Maturity: Rate exceeds Base Exchange OID for U.S. Federal Income Tax Rate and increase when Spot Rate is less than Base Exchange Purposes: Rate - ------------------------------------- ------------------------------------ Bankers Trust New York Corporation Senior Medium-term Notes, Series A (continued) Subordinated Medium-Term Notes, Series A Due Nine Months or More from Date of Issue FIXED RATE NOTE - ------------------------------------- ---------------------------------- Specified Currency (check one; if Interest Indexed: [_]Yes [X] No other than U.S. Dollars, see attached [_]Interest to increase when Spot for exchange rate and other Rate exceeds Base Exchange information): Rate and decrease when Spot [X] U.S. Dollars (USD or U.S.$) is less than Base Exchange [_] European Currency Units (ECU) Rate. [_] Australian Dollars (AUD or AUS$) [_]Interest to decrease when Spot [_] British Pound (GBP or Rate exceeds Base Exchange UK [pounds]) Rate and increase when Spot [_] Canadian Dollars (CAD or CAN$) Rate is less than Base [_] German Marks (DEM or DM) Exchange Rate. [_] Italian Lire (ITL or Lire) [_] Japanese Yen (JPY or [Yen]) [_] Swiss Francs (CHF or SWFr) [_] Other___ Holder has option to elect payments Commodity Indexed Note (if yes,see in Specified Currency (if Specified attached annex for additional Currency is not U.S. Dollars): information): [_] Yes [X] No [_] Yes [X] No Authorized Denominations (if other Calculation Agent (if other than than $1,000 and any integral multiple Bankers Trust Company): thereof or if Specified Currency is not U.S. Dollars): $_____ Optional Extensions of Stated Other Provisions: Maturity by the Corporation: The Corporation's option to redeem [_] Yes [X] No can be exercised on any May 15 Extension Period: or November 15 with notice as Number of Extension Periods: provided in the Prospectus Final Maturity Date: Supplement Annex Attached [_] Yes [X] No (and incorporated herein by reference) - ----------------------------------- ------------------------------------ - -------------------------------------------------------------------------------- The aggregate initial offering price of this offering is U.S.$14,625,000 (which, if the initial purchase price is denominated 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 at the Exchange Rate set forth herein) and relates only to Pricing Supplement No. D7-2. 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 thereof in any foreign currencies or currency units) may be issued by the Corporation pursuant to the Registration Statment referred to above. To date, including this offering, an aggregate of U.S.$608,293,500* (or the equivalent thereof in any foreign currencies or currency units) aggregate initial offering price of Debt Securities have been so issued. *Including other issuances, if any, on this date - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- Type of Sale If Prinicpal Transaction, Reoffering at: - -------------------------------------------------------------------------------- [_] Direct by Corporation [X] varying prices related to prevailing [_] As Agent market prices at the time of resale [X] As Principal [_] fixed public offering price of ___% of Principal Amount - -------------------------------------------------------------------------------- -----END PRIVACY-ENHANCED MESSAGE-----