-----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, JmHxoNUOm21zkn2NEQNHaUM+08o+CMSYTmgDj8/wMiiD4nh6As375NetLMfFqHYn Du9y16r1DWd6OH2hz0sMwQ== 0000930413-01-000161.txt : 20010209 0000930413-01-000161.hdr.sgml : 20010209 ACCESSION NUMBER: 0000930413-01-000161 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010208 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CASTLE CONVERTIBLE FUND INC CENTRAL INDEX KEY: 0000018180 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 042486857 FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-52207 FILM NUMBER: 1528885 BUSINESS ADDRESS: STREET 1: 75 MAIDEN LN CITY: NEW YORK STATE: NY ZIP: 10038 BUSINESS PHONE: 2128068800 FORMER COMPANY: FORMER CONFORMED NAME: CI CONVERTIBLE FUND INC DATE OF NAME CHANGE: 19740520 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ALGER FRED MANAGEMENT INC CENTRAL INDEX KEY: 0000003520 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 13510833 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 1 WORLD TRADE CENTER STREET 2: SUITE 9333 CITY: NEW YORK STATE: NY ZIP: 10048 BUSINESS PHONE: 2128068800 MAIL ADDRESS: STREET 1: 75 MAIDEN LANE CITY: NEW YORK STATE: NY ZIP: 10038 FORMER COMPANY: FORMER CONFORMED NAME: ALGER FRED & CO INC DATE OF NAME CHANGE: 19600201 SC 13G/A 1 0001.txt SCHEDULE 13G-A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.2)* Castle Convertible Fund, Inc. ----------------------------------------------------- (Name of Issuer) Common Stock ----------------------------------------------------- (Title of Class of Securities) 148443104 ----------------------------------------------------- (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). (Continued in the following page(s)) Page 1 of 5 Pages CUSIP No. 148443104 Schedule 13G Page 2 of 5 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON AND SS OR IRS IDENTIFICATION NO. OF PERSON Fred Alger Management, Inc. 13-2510833 Fred M. Alger III ###-##-#### - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION New York, New York - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER SHARES 448,826 BENEFICIALLY -------------------------------------------------------------- OWNED BY 6 SHARED VOTING POWER EACH -0- REPORTING -------------------------------------------------------------- PERSON 7 SOLE DISPOSITIVE POWER WITH 448,826 -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER -0- - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 448,826 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 20.07% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* Fred Alger Management, Inc. IA Fred M. Alger III IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! SCHEDULE 13G Page 3 of 5 Pages ITEM 1(A). NAME OF ISSUER: Castle Convertible Fund Inc. ITEM 1(B). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 1 World Trade Center, Suite 9333 New York, NY 10048 ITEM 2(A). NAME OF PERSON FILING: 1. Fred Alger Management, Inc. 2. Fred M. Alger III ITEM 2(B). ADDRESS OF PRINCIPAL BUSINESS OFFICE, OR IF NONE, RESIDENCE: 1. 1 World Trade Center, Suite 9333, New York, NY 10048 2. 1 World Trade Center, Suite 9333, New York, NY 10048 ITEM 2(C). CITIZENSHIP: 1. New York 2. New York ITEM 2(D). TITLE OF CLASS OF SECURITIES: Common Stock ITEM 2(E). CUSIP NUMBER: 148443104 ITEM 3. THE PERSON FILING IS A: Group, in accordance with Rule 240.13d-1(b)(1)(ii)(H) SCHEDULE 13G Page 4 of 5 Pages ITEM 4(A). AMOUNT BENEFICIALLY OWNED: 448,826 ITEM 4(B). PERCENT OF CLASS: 20.07% ITEM 4(C). NUMBER OF SHARES AS TO WHICH SUCH PERSON HAS: (1) sole power to vote or to direct the vote 448,826 (ii) shared power to vote or to direct the vote -0- (iii) sole power to dispose or to direct the disposition of 448,826 (iv) shared power to dispose or to direct the disposition of -0- ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [ ]. ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON. n/a ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITIES BEING REPORTED ON BY THE PARENT HOLDING COMPANY. n/a SCHEDULE 13G Page 5 of 5 Pages ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP: Fred Alger Management, Inc. IA Fred M. Alger III IN ITEM 9. NOTICE OF DISSOLUTION OF GROUP. 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. By: /s/ Gregory S. Duch ------------------------------- SIGNATURE Gregory S. Duch, Executive Vice President ------------------------------- NAME AND TITLE February 8, 2000 ---------------- DATE -----END PRIVACY-ENHANCED MESSAGE-----