-----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, Fx4nmCwWTkLDozUkUe3pmx9cXilJ50gDqq2jsRJUcXLYxHt7bSTIqmBhV5ZCrb3J MzDK8v29T6VJoKMQi6KQsw== 0000909012-97-000107.txt : 19970321 0000909012-97-000107.hdr.sgml : 19970321 ACCESSION NUMBER: 0000909012-97-000107 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970320 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: DATA BROADCASTING CORPORATION CENTRAL INDEX KEY: 0000888165 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY & COMMODITY BROKERS, DEALERS, EXCHANGES & SERVICES [6200] IRS NUMBER: 133668779 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-42462 FILM NUMBER: 97559920 BUSINESS ADDRESS: STREET 1: 3490 CLUBHOUSE DR STREET 2: 1-2 CITY: JACKSON STATE: WY ZIP: 83001 BUSINESS PHONE: 3077339742 MAIL ADDRESS: STREET 1: 7050 UNION PARK CENTER STREET 2: SUITE 650 CITY: MIDVALE STATE: UT ZIP: 84047 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: FLEMING ROBERT INC / DA CENTRAL INDEX KEY: 0000902812 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 1285 AVENUE OF THE AMERICAS STREET 2: 16TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 MAIL ADDRESS: STREET 1: 320 PARK AVE STREET 2: 11TH AND 12TH FL CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: FLEMING ROBERT INC DATE OF NAME CHANGE: 19930429 SC 13G 1 DATA BROADCAST CORPORATION UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.)* DATA BROADCAST CORPORATION (Name of Issuer) COMMON STOCK (Title of Class of Securities) 237596101 (CUSIP Number) *The remainder of this cover 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). 1. NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON ROBERT FLEMING INC. 13-3298866 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) Joint filing pursuant to Rule 13d-1 (f) (1) See Item 2 (b) 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE NUMBER OF 5. SOLE VOTING POWER 2,849,680 SHARES BENEFICIALLY 6. SHARED VOTING POWER - OWNED BY EACH 7. SOLE DISPOSITIVE POWER 2,849,680 REPORTING PERSON WITH 8. SHARED DISPOSITIVE POWER - 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,849,680 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* N/A 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 8.64% 12. TYPE OF REPORTING PERSON* INVESTMENT ADVISER Cusip No. 237596101 13G Page 2 of 3 Pages Schedule 13G Additional Information Item # 1. (a) Name of Issuer: DATA BROADCAST CORPORATION (b) Address of Issuer's Principal Executive Offices: 3490 Clubhouse Drive, I-2 Jackson, WY 83001 2. (a) Name of Person Filing: ROBERT FLEMING INC. (b) Address of Principal Business Office for Each of the Above: 320 Park Avenue, 11th Floor New York, NY 10022 (c) Citizenship: DELAWARE CORPORATION (d) Title of Class of Securities: COMMON STOCK (e) CUSIP Number: 237596101 3. This statement is filed pursuant to Rule 13d-1(b), or 13d-2(b). The person filing is a: (a) [ ] Broker or Dealer registered under Section 15 of the Act (b) [ ] Bank as defined in section 3(a)(6) of the Act (c) [ ] Insurance Company as defined in section 3(a)(19) of the Act (d) [ ] Investment Company registered under section 8 of the Investment Company Act (e) [x] Investment Adviser registered under section 203 of the Investment Advisers Act of 1940 (f) [ ] Employee Benefit Plan, Pension Fund which is subject to the provsions of the Employee Retirement Income Security Act of 1974 or Endowment Fund (g) [ ] Parent Holding Company, in accordance with 240.13d-1(b)(ii)(G) (Note: See Item 7) (h) [ ] Group, in accordance with 240.13d-1(b)(1)(ii)(H) 4. Ownership: (a) Amount Beneficially Owned: 2,849,680 (b) Percent of Class: 8.64% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote 2,849,680 (ii) shared power to vote or to direct the vote - (iii) sole power to dispose or to direct the disposition of 2,849,680 (iv) shared power to dispose or to direct the disposition of - 5. Ownership of Five Percent or Less of a Class: N/A CUSIP NO. 237596101 13G Page 3 of 3 Pages Schedule 13G Additional Information (continued) Item # 6. Ownership of More than Five Percent on Behalf of Another Person: N/A 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company: N/A 8. Identification and Classification of Members of the Group: N/A 9. Notice of Dissolution of Group: N/A 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 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. Date: February 13, 1997 Signature: By /s/ Jonathan K. Simon JONATHAN K. SIMON, DIRECTOR ROBERT FLEMING INC. PRESIDENT - FLEMING CAPITAL MANAGEMENT, DIVISION OF RFI -----END PRIVACY-ENHANCED MESSAGE-----