-----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, WIG80Yl6J+4E3gxieTQkXbpiqkPpkX7OGSz7/CcDtBeXNuyyLUy+ey74Xn7maTpw B+hCmnJET5GX2F2Fbds95Q== 0000950136-02-003118.txt : 20021106 0000950136-02-003118.hdr.sgml : 20021106 20021106142815 ACCESSION NUMBER: 0000950136-02-003118 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20021101 FILED AS OF DATE: 20021106 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: BANKGESELLSCHAFT BERLIN AG CENTRAL INDEX KEY: 0001038872 RELATIONSHIP: OWNER FILING VALUES: FORM TYPE: 4 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-04438 FILM NUMBER: 02810964 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 4 1 file001.txt FORM 4 FORM 4 [ ] CHECK THIS BOX IF NO LONGER SUBJECT TO SECTION 16. FORM 4 OR FORM 5 OBLIGATIONS MAY CONTINUE. SEE INSTRUCTION 1(b). U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 (Type or print responses) ________________________________________________________________________________ 1. Name and Address of Reporting Person* BANKGESELLSCHAFT BERLIN AG - -------------------------------------------------------------------------------- (Last) (First) (Middle) ALEXANDERPLATZ 2 - -------------------------------------------------------------------------------- (Street) D-10178 BERLIN GERMANY - -------------------------------------------------------------------------------- (City) (State) (Zip) ________________________________________________________________________________ 2. Issuer Name and Ticker or Trading Symbol ABERDEEN AUSTRALIA EQUITY FUND, INC. (IAF) ________________________________________________________________________________ 3. IRS or Social Security Number of Reporting Person (Voluntary) ________________________________________________________________________________ 4. Statement for Month/Year NOVEMBER 2002 ________________________________________________________________________________ 5. If Amendment, Date of Original (Month/Year) NOVEMBER 5, 2002 ________________________________________________________________________________ 6. Relationship of Reporting Person to Issuer (Check all applicable) |_| Director |X| 10% Owner |_| Officer (give title below) |_| Other (specify below) ____________________________________________________________________ ________________________________________________________________________________ 7. Individual or Joint/Group Filing |X| Form Filed by One Reporting Person |_| Form Filed by More than One Reporting Person ________________________________________________________________________________ TABLE I -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED
5. 6. 4. Amount of Owner- Securities Acquired (A) or Securities ship 2. 3. Disposed of (D) Beneficially Form: 7. Trans- Transaction (Instr. 3, 4 and 5) Owned at Direct Nature of action Code ------------------------------- End of (D) or Indirect 1. Date (Instr. 8) (A) Month Indirect Beneficial Title of Security (Month/ ------------ or (Instr. 3 (I) Ownership (Instr. 3) Day/Year) Code V Amount (D) Price and Instr. 4) (Instr.4) (Instr.4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value $.01 per share 11/01/02 P 15,000 A $5.82 5,367,749 D - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------
* If the Form is filed by more than one reporting person, see Instruction 4(b)(v). Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Over) SEC 1474 (7-96) FORM 4 (CONTINUED) TABLE II -- DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES)
- ------------------------------------------------------------------------------------------------------------------------------------ 10. Owner- 9. ship Number Form 2. of of Conver- 5. 7. Deriv- Deriv- 11. sion Number of Title and Amount ative ative Nature or Derivative 6. of Underlying 8. Secur- Secur- of Exer- 4. Securities Date Securities Price ities ity: In- cise Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of Bene- Direct direct Price 3. action or Disposed Expiration Date ---------------- Deriv- ficially (D) or Bene- 1. of Trans- Code of(D) (Month/Day/Year) Amount ative Owned In- ficial Title of Deriv- action (Instr. (Instr. 3, ---------------- or Secur- at End direct Owner- Derivative ative Date 8) 4 and 5) Date Expira- Number ity of Month (I) ship Security Secur- (Month/ ------- ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Day/Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------
Explanation of Responses: **BANKGESELLSCHAFT BERLIN AG By: /s/ Dirk Kipp November 6, 2002 ----------------------------------------- ----------------------- Name: Dirk Kipp Date Title: Managing Director By: /s/ Moritz Sell November 6, 2002 ----------------------------------------- ----------------------- Name: Moritz Sell Date Title: Head of Equity Trading, London ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. Page 2 SEC 1474 (7-96) -----END PRIVACY-ENHANCED MESSAGE-----