-----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, BqSY/HU+jrn3J3KaK08UDTjWgYffSsuGwJuuUCPI2CruifdzFkSd1uwVLIUuRkS3 ka0NczgbpPjb7C0ohRep1Q== 0000950136-03-001358.txt : 20030527 0000950136-03-001358.hdr.sgml : 20030526 20030527121149 ACCESSION NUMBER: 0000950136-03-001358 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20030527 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BANKGESELLSCHAFT BERLIN AG CENTRAL INDEX KEY: 0001038872 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: ALEXANDERPLATZ 2 CITY: 10178 BERLIN GERMANY MAIL ADDRESS: STREET 1: ALEXANDERPLATZ 2 CITY: 10178 BERLIN GERMANY SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ABERDEEN AUSTRALIA EQUITY FUND INC CENTRAL INDEX KEY: 0000779336 IRS NUMBER: 133304681 STATE OF INCORPORATION: MD FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-46244 FILM NUMBER: 03719432 BUSINESS ADDRESS: STREET 1: 100 MUDBERRY STREET CITY: NEW YORK STATE: NJ ZIP: 07102-4077 BUSINESS PHONE: 2122141250 MAIL ADDRESS: STREET 1: 100 MUDBERRY STREET CITY: NEWARK STATE: NJ ZIP: 07102-4077 FORMER COMPANY: FORMER CONFORMED NAME: FIRST AUSTRALIA FUND INC DATE OF NAME CHANGE: 19920703 SC 13D/A 1 file001.txt AMENDMENT TO SCHEDULE 13D Securities and Exchange Commission Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 4) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) Aberdeen Australia Equity Fund, Inc. - ------------------------------------------------------------------------------- (Name of Issuer) Common Stock, par value $.01 per share - ------------------------------------------------------------------------------- (Title of Class of Securities) 318652104 - ------------------------------------------------------------------------------- (CUSIP Number) Moritz Sell Bankgesellschaft Berlin AG Alexanderplatz 2 D-10178 Berlin Germany +44.20.7572.6200 - ------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) May 21, 2003 - ------------------------------------------------------------------------------- (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(b)(3) or (4), check the following box. [ ] Page 1 of 4 Pages - ---------------------- -------------------- CUSIP No.: 318652104 13D Page 2 of 4 Pages - ---------------------- -------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. ID NO. OF ABOVE PERSON Bankgesellschaft Berlin AG - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF (a) [ ] A GROUP (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS WC - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED [ ] PURSUANT TO ITEM 2(d) OR 2(e) - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Federal Republic of Germany - -------------------------------------------------------------------------------- SOLE VOTING POWER 5,374,949 NUMBER OF ---------------------------------------------------------- SHARES SHARED VOTING POWER BENEFICIALLY OWNED ---------------------------------------------------------- BY EACH SOLE DISPOSITIVE POWER 5,374,949 REPORTING PERSON ---------------------------------------------------------- WITH SHARED DISPOSITIVE POWER - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 5,374,949 - -------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW [ ] (11) EXCLUDES CERTAIN SHARES - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 32.0% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON BK - -------------------------------------------------------------------------------- This Amendment No. 4 amends and supplements Items 4 and 5(a) and Annex A of the Statement on Schedule 13D of Bankgesellschaft Berlin AG (the "Bank") with respect to the shares of Common Stock, par value $.01 per share (the "Common Stock"), of the Aberdeen Australia Equity Fund, Inc. (the "Fund"). Annex A sets forth the name, address and principal occupation of each director and executive officer of the Bank and the name, address, jurisdiction of incorporation and principal business of each shareholder of the Bank who may be deemed to be in control of the Bank. All of the individuals listed on Annex A are citizens of the Federal Republic of Germany. Items not included in this amendment are not amended and remain as previously reported. ITEM 4. PURPOSE OF TRANSACTION In Amendment No. 3 to the Bank's Statement on Schedule 13D with respect to the Fund, the Bank reported that it intended to request exemptive relief from the Securities and Exchange Commission, pursuant to subsection 17(b) of the Investment Company Act of 1940, from certain prohibitions set forth in subsection 17(a) of the Investment Company Act, in connection with the Bank's interest in participating in the proposed in-kind tender offer announced by the Fund on February 19, 2003. On May 21, 2003, the Bank filed a formal application with the Commission for such relief. Representatives of the Bank have indicated to the Fund an interest in having an opportunity to appoint an observer to attend meetings of the Fund's board of directors, both on a current basis and if the Bank remained a significant stockholder in the Fund after the completion of any tender offer made by the Fund. However, while representatives of the Fund have indicated to the Bank that such an arrangement would be acceptable to the Fund, subject to the understanding that the Bank's representative would be excluded from the discussion of matters touching upon the Fund's relationship to the Bank and to the institution of appropriate confidentiality safeguards, no such observer arrangement has thus far been implemented. The question of whether such observer status might be granted following the completion of an in-kind tender offer was deferred pending a determination of the actual level of the Bank's holdings in the Fund after the Bank's participation in such an offer. Except as set forth herein and in the Schedule 13D and amendments thereto previously filed by the Bank, the Bank has not formulated any plans or proposals which relate to or would result in any of the transactions described in paragraphs (a) through (j) of Item 4. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER (a) According to the definitive proxy statement relating to the Fund's 2003 annual meeting filed with the Commission by the Fund on March 10, 2003, there were 16,777,298 shares of Common Stock outstanding. The percentage set forth in this Item 5(a) was derived using such number. The Bank is the beneficial owner of 5,374,949 shares of Common Stock, which constitute approximately 32.0% of the outstanding shares of Common Stock. Page 3 of 4 Pages SIGNATURE After reasonable inquiry and to the best of our knowledge and belief, we certify that the information set forth in this statement is true, complete and correct. Date: May 22, 2003 BANKGESELLSCHAFT BERLIN AG By: /s/ Dirk Kipp ----------------------------- Name: Dirk Kipp Title: Managing Director By: /s/ Moritz Sell ----------------------------- Name: Moritz Sell Title: Director Page 4 of 4 Pages ANNEX A Unless otherwise indicated, the business address for all individuals listed in this Annex A is Bankgesellschaft Berlin AG, Alexanderplatz 2, 10178 Berlin, Federal Republic of Germany. MEMBERS OF THE MANAGING BOARD
NAME AND ADDRESS PRINCIPAL OCCUPATION Hans-Joerg Vetter Chairman of the Managing Board of Bankgesellschaft Berlin AG Serge Demoliere Member of the Managing Board of Bankgesellschaft Berlin AG Dr. Johannes Evers Member of the Managing Board of Bankgesellschaft Berlin AG Uwe Kruschinski Member of the Managing Board of Bankgesellschaft Berlin AG Norbert Pawlowski Member of the Managing Board of Bankgesellschaft Berlin AG Dr. Thomas Veit Member of the Managing Board of Bankgesellschaft Berlin AG EXECUTIVE OFFICER NAME AND ADDRESS PRINCIPAL OCCUPATION Dariush Ghassemi-Moghadam Managing Director of Bankgesellschaft Berlin AG Unternehmensentwicklung Klaus Spicker Managing Director of Bankgesellschaft Berlin AG Recht Jochen W. Sawahn Managing Director of Bankgesellschaft Berlin AG Personal Dr. Uwe-Jens Siegert Managing Director of Bankgesellschaft Berlin AG Bankgesellschaft Berlin AG Revision Hardenbergstrasse 32 D-10623 Berlin 1 Martin Mueller Managing Director of Bankgesellschaft Berlin AG, Berlin and Treasury General Manager of Bankgesellschaft Berlin AG, and London Branch Debt Finance (temporarily) London Branch 1 Crown Court Cheapside GB-London EC2V 6JP Dirk Kipp Managing Director of Bankgesellschaft Berlin AG Eigenhandel Uwe Papesch Managing Director of Bankgesellschaft Berlin AG Equities Bartho Schroeder Managing Director of Bankgesellschaft Berlin AG Business Management Ludwig Reinhardt Managing Director of Bankgesellschaft Berlin AG Zins-/Kreditprodukte Frank-Michael Boenke General Manager of Bankgesellschaft Berlin AG Bankgesellschaft Berlin AG London Branch London Branch 1 Crown Court Cheapside GB-London EC2V 6JP Gerhard Roller Managing Director of Bankgesellschaft Berlin AG Bankgesellschaft Berlin AG Internationales Geschaft Hardenbergstrasse 20 D-10623 Berlin Dr. Christian Engell Managing Director of Bankgesellschaft Berlin AG Bankgesellschaft Berlin AG Firmenkunden Prinzregentenstrasse 25 D-10715 Berlin Beate Brummel Managing Director of Bankgesellschaft Berlin AG Kreditbereich Kapitalmarktgeschaft Ronald Berentin Managing Director of Bankgesellschaft Berlin AG Bankgesellschaft Berlin AG Kredit Firmenkunden und Privatkunden Hardenbergstrasse 21 D-10623 Berlin 2 Dr. Georg Reutter Managing Director of Bankgesellschaft Berlin AG Bankgesellschaft Berlin AG Kredit Immobilien BG Corneliusstr, 7 D-10787 Berlin Axel Lange Managing Director of Bankgesellschaft Berlin AG Bankgesellschaft Berlin AG Kreditbereich IBAG/IBG Corneliusstr, 7 D-10787 Berlin Helmut Ramthun Managing Director of Bankgesellschaft Berlin AG Bankgesellschaft Berlin AG Compliance Brunnenstrasse 111 D-13355 Berlin Dr. Karl-Friedrich Hirschhaeuser Managing Director of Bankgesellschaft Berlin AG Risikocontrolling Willi Boehmer Managing Director of Bankgesellschaft Berlin AG Bankgesellschaft Berlin AG Finanzen Brunnenstrasse 111 D-13355 Berlin Dr. Christian Burmester Managing Director of Bankgesellschaft Berlin AG Bankgesellschaft Berlin AG Kreditsekretariat Brunnenstrasse 111 D-13355 Berlin Siegfried Schoelper Managing Director of Bankgesellschaft Berlin AG Bankgesellschaft Berlin AG Controlling Brunnenstrasse 111 D-13355 Berlin Stefan Traegler Managing Director of Bankgesellschaft Berlin AG Bankgesellschaft Berlin AG Organisation u. Informationstechnologie Brunnenstrasse 111 13355 Berlin Michael Wenzel Managing Director of Bankgesellschaft Berlin AG Bankgesellschaft Berlin AG Risikobetreuung Firmenkunden u. Privatkunden Hardenbergstrasse 32 D-10623 Berlin 3 Hans-Werner Wilms General Manager of Bankgesellschaft Berlin Invest GmbH Bankgesellschaft Berlin Investment GmbH Kurfuerstendamm 201 10719 Berlin Guenter Laubner General Manager of Bankgesellschaft Berlin Invest GmbH Bankgesellschaft Berlin Investment GmbH Kurfuerstendamm 201 10719 Berlin
4 SHAREHOLDERS WHO MAY BE DEEMED TO CONTROL THE BANK The following shareholders of the Bank may be deemed to control the Bank: The City of Berlin Norddeutsche Landesbank Girozentrale NORD/LB, a bank formed under the laws of Germany, whose principal address is Georgplatz 1, D-30159, Hannover, Germany. 5 -----END PRIVACY-ENHANCED MESSAGE-----