-----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, Cu3dPDRiKoXxD37geAS/PeTZei872ejO0rjt87vVVVYN36N+Ff/qX17MLXMSZqku 1aoXz9WPfYTUhbpD3C3xhA== 0001072613-02-000025.txt : 20020413 0001072613-02-000025.hdr.sgml : 20020413 ACCESSION NUMBER: 0001072613-02-000025 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020110 GROUP MEMBERS: CITY OF LONDON INVESTMENT MANAGEMENT CO. LTD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ASIA PACIFIC FUND INC CENTRAL INDEX KEY: 0000795618 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 133362641 STATE OF INCORPORATION: MD FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-41004 FILM NUMBER: 2505779 BUSINESS ADDRESS: STREET 1: 199 WATER ST CITY: NEW YORK STATE: NY ZIP: 10292 BUSINESS PHONE: 2122141250 MAIL ADDRESS: STREET 1: ONE SEAPORT PLZ CITY: NEW YORK STATE: NY ZIP: 10292 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CITY OF LONDON INVESTMENT GROUP PLC CENTRAL INDEX KEY: 0001018138 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: X0 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 10 EASTCHEAP STREET 2: LONDON ENGLAND EC3MLAJ CITY: LONDON BUSINESS PHONE: 011441717110771 MAIL ADDRESS: STREET 1: 10 EASTCHEAP STREET 2: LONDON ENLAND EC3MLAJ CITY: LONDON FORMER COMPANY: FORMER CONFORMED NAME: OLLIFF & PARTNERS PLC DATE OF NAME CHANGE: 19960705 SC 13D/A 1 sc13d_10979.txt CITY OF LONDON INVESTMENT SCHEDULE 13D/A ================================================================================ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. 1) The Asia Pacifc Fund, Inc ------------------------- (Name of Issuer) Common Stock, par value $.01 per share -------------------------------------- (Title of Class of Securities) 044901106 --------- (CUSIP Number) Clayton Gillece c/o City of London Investment Management Company Limited 10 Eastcheap, London EC3M ILX, England +44 207 711 0771 ---------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) December 14, 2001 ----------------- (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(e), (f) or (g), check the following box / /. *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 disclosures provided in a prior cover page. The information required on 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 or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act. (Continued on following pages) ================================================================================ (Page 1 of 6 Pages) - ------------------- ----------- CUSIP NO. 04516T105 13D PAGE 2 of 6 - ------------------- ----------- - ---------------- -------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS City of London Investment Group PLC, a company incorporated under the laws of England and Wales. - ---------------- -------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (A) |_| (B) |_| - ---------------- -------------------------------------------------------------- 3 SEC USE ONLY - ---------------- -------------------------------------------------------------- 4 SOURCE OF FUNDS* OO - ---------------- -------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E) |_| - ---------------- -------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION England and Wales - ---------------- -------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES 1,175,391 ------- -------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 0 ------- -------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING 1,175,391 ------- -------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH 0 - ---------------- -------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,175,391 - ---------------- -------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES |_| - ---------------- -------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 8.5% - ---------------- -------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* HC ================ ============================================================== - ------------------- ----------- CUSIP NO. 04516T105 13D PAGE 3 of 6 - ------------------- ----------- - ---------------- -------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS City of London Investment Management Company Limited, a company incorporated under the laws of England and Wales. - ---------------- -------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (A) |_| (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 England and Wales - ---------------- -------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES 1,175,391 ------- -------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 0 ------- -------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING 1,175,391 ------- -------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH 0 - ---------------- -------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,175,391 - ---------------- -------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES |_| - ---------------- -------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 8.5% - ---------------- -------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IA ================ ============================================================== - ------------------- ----------- CUSIP NO. 04516T105 13D PAGE 4 of 6 - ------------------- ----------- This Amendment No. 1 to Schedule 13D (this "Amendment No. 1") should be read in conjunction with the Schedule 13D filed with the Securities and Exchange Commission on November 29, 2001 (the "Original Schedule 13D") by City of London Investment Group PLC and City of London Investment Management Company Limited relating to the shares of common stock, par value $.01 per share (the "Shares"), of The Asia Pacific Fund, Inc., a Maryland corporation (the "Fund"). This Amendment No. 1 amends and restates the Original Schedule 13D with respect to Item 5. All other information in the Original Schedule 13D remains in effect. All capitalized terms used herein and not otherwise defined shall have the meanings ascribed thereto in the Original Schedule 13D. This Amendment No. 1 is being filed solely to reflect the disposition by the Reporting Persons of an aggregate of 377,304 Shares in connection with the Fund's self tender offer (the "Tender Offer"), which was consummated on December 14, 2001. ITEM 5. INTERESTS IN SECURITIES OF THE ISSUER. ------------------------------------- (a) and (b). As of December 14, 2001, EWF, GEM, IEM, MPEM and GFM owned directly 58,358, 348,020, 348,020, 348,018 and 72,975 Shares, respectively, representing approximately 0.42%, 2.52%, 2.52%, 2.52% and 0.53%, respectively, of the 13,792,096 Shares outstanding immediately after giving effect to the Tender Offer. The number of Shares indicated in the preceding sentence as being outstanding immediately after giving effect to the Tender Offer is based upon information contained in the Fund's press releases dated December 10, 2001 and December 14, 2001. As of December 14, 2001, CLIG, through its control of CLIM, had sole voting and dispositive power with respect to all 1,175,391 Shares owned directly by the City of London Funds, representing approximately 8.5% of the 13,792,096 Shares outstanding immediately after giving effect to the Tender Offer. As of December 14, 2001, CLIM, in its capacity as investment adviser to the City of London Funds, had sole voting and dispositive power with respect to all 1,175,391 Shares owned directly by the City of London Funds, representing approximately 8.5% of the 13,792,096 Shares outstanding immediately after giving effect to the Tender Offer. (c). Information with respect to all transactions in the Shares beneficially owned by the Reporting Persons that were effected during the past 60 days is set forth in Annex A to this Amendment No. 1. (d). None (e). Not Applicable - ------------------- ----------- CUSIP NO. 04516T105 13D PAGE 5 of 6 - ------------------- ----------- SIGNATURE 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. Dated: January 09, 2002 CITY OF LONDON INVESTMENT GROUP PLC / s / Douglas F. Allison ---------------------------------------- Name: Douglas F. Allison Title: Finance Director CITY OF LONDON INVESTMENT MANAGEMENT COMPANY LIMITED / s / Clayton Gillece ---------------------------------------- Name: Clayton Gillece Title: Fund Manager - ------------------- ----------- CUSIP NO. 04516T105 13D PAGE 6 of 6 - ------------------- ----------- ANNEX A INFORMATION WITH RESPECT TO TRANSACTIONS IN THE FUND'S COMMON STOCK DURING THE PAST SIXTY DAYS Number of Shares City of London of Common Stock Fund which Price Per Share Date Purchased/(Sold)(1) Purchased/(Sold)(1) (US$) ---- ------------------- ------------------- ----- December 14, 2001 (18,732) EWF 9.56 December 14, 2001 (111,716) GEM 9.56 December 14, 2001 (111,716) IEM 9.56 December 14, 2001 (111,715) MPEM 9.56 December 14, 2001 (23,425) GFM 9.56 - --------------------- (1) All sales were made to the Fund in connection with the Tender Offer. -----END PRIVACY-ENHANCED MESSAGE-----