-----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, Qdemat/iRgeKT7QFZjnm7x3ptVs+PhJkPHzVmkkxFXnusgTIuROyRmCc1NEbKP1t hISO8q+S0DgnX3tkgOIApQ== 0000930413-07-001170.txt : 20070212 0000930413-07-001170.hdr.sgml : 20070212 20070212151708 ACCESSION NUMBER: 0000930413-07-001170 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20070212 DATE AS OF CHANGE: 20070212 GROUP MEMBERS: ALGER ASSOCIATES INC. GROUP MEMBERS: ALGER FRED & CO. INC./NJ GROUP MEMBERS: ALGER FREDERICK M. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CASTLE CONVERTIBLE FUND INC CENTRAL INDEX KEY: 0000018180 IRS NUMBER: 042486857 FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-52207 FILM NUMBER: 07602576 BUSINESS ADDRESS: STREET 1: 111 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10003 BUSINESS PHONE: 2128068800 MAIL ADDRESS: STREET 1: 111 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10003 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 IRS NUMBER: 132510833 FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 111 FIFTH AVENUE STREET 2: 2ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10003 BUSINESS PHONE: 212-806-8800 MAIL ADDRESS: STREET 1: 111 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10003 FORMER COMPANY: FORMER CONFORMED NAME: ALGER FRED & CO INC DATE OF NAME CHANGE: 19600201 SC 13G 1 c46708_sc13g.txt ------------------------------ OMB APPROVAL ------------------------------ OMB Number: 3235-0145 Expires: February 28, 2009 Estimated average burden hours per response..... 10.4 ------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.____________)* CASTLE CONVERTIBLE FUND INC. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 148443104 - -------------------------------------------------------------------------------- (CUSIP Number) January 31, 2007 - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [x] Rule 13d-1(b) [_] Rule 13d-1(c) [_] Rule 13d-1(d) * 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). PERSONS WHO RESPOND TO THE COLLECTION OF INFORMATION CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY VALID OMB CONTROL NUMBER. CUSIP No. 148443104 1. NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Fred Alger Management, Inc. 13-2510833 Fred M. Alger III ###-##-#### Fred Alger & Company, Incorporated 13-2665689 Alger Associates, Incorporated 13-3017981 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [ ] (b) [x] 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION New York, New York NUMBER OF 5. SOLE VOTING POWER SHARES 445,000 BENEFICIALLY 6. SHARED VOTING POWER OWNED BY -0- EACH 7. SOLE DISPOSITIVE POWER REPORTING 445,000 PERSON 8. SHARED DISPOSITIVE POWER WITH: -0- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 445,000 10. CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [-] 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 19.91% 12. TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) Fred Alger Management, Inc. IA Fred M. Alger III HC Fred Alger & Company, Incorporated BD Alger Associates, Incorporated HC CUSIP No. 148443104 Item 1(a). Name of Issuer: CASTLE CONVERTIBLE FUND INC. Item 1(b). Address of Issuer's Principal Executive Offices: 111 Fifth Avenue New York, NY 10003 Item 2(a). Name of Person Filing: 1. Fred Alger Management, Inc.* 2. Fred M. Alger III 3. Fred Alger & Company, Incorporated 4. Alger Associates, Incorporated Item 2(b). Address of Principal Business Office, or if None, Residence: 1., 2., 3. and 4. 111 Fifth Avenue, New York, NY 10003 Item 2(c). Citizenship: 1., 3. and 4. New York 2. St. Kitts Item 2(d). Title of Class of Securities: Common Stock Item 2(e). CUSIP Number: 148443104 Item 3. If This Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b) or (c), Check Whether the Person Filing is a: (a) [_] Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78o). (b) [_] Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78o). (c) [_] Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78o). (d) [_] Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8). (e) [x] An investment adviser in accordance with s240.13d-1(b)(1)(ii)(E); (f) [_] An employee benefit plan or endowment fund in accordance with s240.13d-1(b)(1)(ii)(F); (g) [_] A parent holding company or control person in accordance with s240.13d-1(b)(1)(ii)(G); (h) [_] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); (i) [_] A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); (j) [_] Group, in accordance with s240.13d-1(b)(1)(ii)(J). * By virtue of the Alger family's ownership of a controlling interest in Alger Associates, which directly owns Fred Alger & Company, Incorporated and indirectly owns Fred Alger Management, Inc., ownership of the shares may be imputed to the Alger Family. CUSIP No. 148443104 Item 4. Ownership. Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount beneficially owned: 445,000 (b) Percent of class: 19.91% (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote 445,000 (ii) Shared power to vote or to direct the vote -0- (iii) Sole power to dispose or to direct the disposition of 445,000 (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 Security Being Reported on by the Parent Holding Company. n/a Item 8. Identification and Classification of Members of the Group. n/a Item 9. Notice of Dissolution of Group. n/a Item 10. Certification. (a) The following certification shall be included if the statement is filed pursuant to s240.13d-1(b): By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose 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. FRED ALGER MANAGEMENT, INC. By: /s/ Hal Liebes Executive Vice President February 12, 2007 The original statement shall be signed by each person on whose behalf the statement is filed or his authorized representative. If the statement is signed on behalf of a person by his authorized representative other than an executive officer or general partner of the filing person, evidence of the representative's authority to sign on behalf of such person shall be filed with the statement, provided, however, that a power of attorney for this purpose which is already on file with the Commission may be incorporated by reference. The name and any title of each person who signs the statement shall be typed or printed beneath his signature. Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See s240.13d-7 for other parties for whom copies are to be sent. ATTENTION. INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT CONSTITUTE FEDERAL CRIMINAL VIOLATIONS (SEE 18 U.S.C. 1001). -----END PRIVACY-ENHANCED MESSAGE-----