-----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, PLpXgIvBR9wknKAI45ngIFH6tLQfZvXIO5pYy848U44FcC2P+HVkxWG4Cj616/Nc S2ZdkPaDZpb6FyHTC+5vyQ== 0000950123-97-000956.txt : 19970221 0000950123-97-000956.hdr.sgml : 19970221 ACCESSION NUMBER: 0000950123-97-000956 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 19970210 SROS: NONE GROUP MEMBERS: ALLIED DUNBAR UNIT TRUSTS PLC GROUP MEMBERS: BAT INDUSTRIES PLC /FI SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GOVETT STRATEGIC INVESTMENT TRUST PLC CENTRAL INDEX KEY: 0001032172 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-48837 FILM NUMBER: 97522592 BUSINESS ADDRESS: STREET 1: SHACKLETON HOUSE STREET 2: 4 BATTLE BRIDGE LANE CITY: LONDON STATE: X0 ZIP: 00000 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BAT INDUSTRIES PLC /FI CENTRAL INDEX KEY: 0000799853 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 000000000 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: P O BOX 345 STREET 2: 50 VICTORIA ST WINDSOR HOUSE CITY: LONDON ENGLAND STATE: X0 ZIP: 00000 BUSINESS PHONE: 01101712227979 MAIL ADDRESS: STREET 1: WINDSOR HOUSE STREET 2: 50 VICTORIA STREET CITY: LONDON ENGLAND STATE: X0 ZIP: 00000 FORMER COMPANY: FORMER CONFORMED NAME: BAT INDUSTRIES PLC /FI DATE OF NAME CHANGE: 19950214 SC 13G 1 SCHEDULE 13G 1 ------------------------------ OMB APPROVAL ------------------------------ OMB NUMBER: 3235-0145 Expires: December 31, 1997 Estimated average burden hours per response . . 14.90 ------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (RULE 13d-102) INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. )* ------------ GOVETT STRATEGIC INVESTMENT TRUST PLC - ------------------------------------------------------------------------------- (Name of Issuer) Common Stock, par value pound sterling 0.10 per share - ------------------------------------------------------------------------------- (Title of Class of Securities) 383792207 ------------------------- (CUSIP Number) Check the following box if a fee is being paid with this statement [X]. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7). *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). Ppage 1 of 10 pages 2 CUSIP No. 383792207 13G Page 2 of 10 Pages ----------------------- ----- ------ - ------------------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON B.A.T Industries p.l.c. - ------------------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - ------------------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION England - ------------------------------------------------------------------------------------------------------------------------------- 5 SOLE VOTING POWER -0- ----------------------------------------------------------------------------------------------------- 6 SHARED VOTING POWER NUMBER OF SHARES 7,500,000 BENEFICIALLY OWNED BY ----------------------------------------------------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON -0- WITH ----------------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 7,500,000 - ------------------------------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 7,500,000 - ------------------------------------------------------------------------------------------------------------------------------- 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 7.64% - ------------------------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* HC - -------------------------------------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! Page 2 of 10 pages 3 CUSIP No. 383792207 13G Page 3 of 10 Pages ----------------------- ----- ------ - ------------------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Allied Dunbar Unit Trusts plc - ------------------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - ------------------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION England - ------------------------------------------------------------------------------------------------------------------------------- 5 SOLE VOTING POWER -0- ------------------------------------------------------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 7,500,000 OWNED BY EACH -------------------------------------------------------------------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH -0- ------------------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 7,500,000 - ------------------------------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 7,500,000 - ------------------------------------------------------------------------------------------------------------------------------- 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 7.64% - ------------------------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IC - -------------------------------------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! Page 3 of 10 pages 4 Item 1 (a). Name of Issuer: - ---------- GOVETT STRATEGIC INVESTMENT TRUST PLC Item 1 (b). Address of Issuer's Principal Executive Office: - ---------- Shackleton House 4 Battle Bridge Lane London SE 1 2HR England Item 2(a). Name of Person Filing: - --------- B.A.T Industries p.l.c., an English corporation ("B.A.T"), and Allied Dunbar Unit Trusts plc ("Allied Dunbar"), an English corporation; Allied Dunbar, a subsidiary of B.A.T, is the beneficial owner of the Issuer's securities identified in Item 2(d) below through various subsidiaries of Allied Dunbar, by insurance exchanges for which Allied Dunbar acts as attorney-in-fact or by benefit plans for employees of Allied Dunbar and its investment funds for which Allied Dunbar acts as manager and investment adviser and exercises investment discretion. No such entity beneficially owns in excess of 5% of the class of shares in respect of which this report is being made; and B.A.T may be deemed to be the indirect beneficial owner of such securities by indirectly owning 100% of the issued and outstanding shares of Allied Dunbar through B.A.T's wholly-owned subsidiary, British American Financial Services (U.K. and International) Limited. The filing of this statement by B.A.T shall not be construed as an admission that B.A.T is, for the purposes of Section 13(d) or 13(g) of the Act or under the laws or regulations of the United Kingdom, the beneficial owner of any securities covered by this statement. Item 2(b). Address of Principal Business Office or, if none, Residence: - --------- B.A.T Industries p.l.c. Windsor House 50 Victoria Street London SW1H ONL England Allied Dunbar Unit Trusts plc Allied Dunbar Centre Swindon SN1 1EL England Item 2(c). Citizenship: - --------- B.A.T Industries p.l.c. - England Allied Dunbar Unit Trusts p.l.c. - England
Page 4 of 10 pages 5 Item 2(d). Title of Class of Securities: - --------- Common stock, par value pound sterling 0.10 per share Item 2(e). CUSIP Number: - --------- 383792207 Item 3. This statement is filed pursuant to Rule 13d-1(b) by B.A.T, a Parent Holding Company, in - ------ accordance with Rule 13d-1(b)(ii)(G), and by Allied Dunbar, an Insurance Company (as defined in Section 3(a)(19) of the Act) incorporated under the laws of England. Item 4. Ownership: - ------ (a) Amount Beneficially Owned: 7,500,000 The shares being reported were acquired by various subsidiaries of Allied Dunbar by insurance exchanges for which Allied Dunbar acts as attorney-in-fact or by benefit plans for employees of Allied Dunbar and its investment funds for which Allied Dunbar acts as manager and investment adviser and exercises investment discretion. No such entity beneficially owns in excess of 5% of the class of shares in respect of which this report is being made. (b) Percent of Class: 7.64% (c) Number of shares as to which person has: (i) Sole voting power: -0- (ii) Shared voting power: 7,500,000 (iii) Sole disposition power: -0- (iv) Shared disposition power: 7,500,000
Page 5 of 10 pages 6 Item 5. Ownership of Five Percent or Less of a Class: - ------ Not Applicable. Item 6. Ownership of More than Five Percent on Behalf of Another Person: - ------ Not Applicable. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the - ------ Parent Holding Company: See Exhibit I. Item 8. Identification and Classification of Members of the Group: - ------ Not Applicable. Item 9. Notice of Dissolution of the Group: - ------ Not Applicable. Item 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.
Page 6 of 10 pages 7 SIGNATURES 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. B.A.T INDUSTRIES p.l.c. Dated February 5, 1997 By: /s/ Anthony Robert Holliman ------------------------------------- Name: Anthony Robert Holliman Title: Assistant Corporate Secretary Page 7 of 10 pages 8 SIGNATURES 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. For and on behalf of ALLIED DUNBAR UNIT TRUSTS plc Dated February 5, 1997 By: /s/ Ross MacLean ------------------------------ Name: Ross MacLean Title: Assistant Co. Secretary- Threadneedle Investment Managers Limited Page 8 of 10 pages 9 Exhibit Index
Exhibit Description Page Number - ------- ----------- ----------- I Identification and Classification of Subsidiaries 10
Page 9 of 10 pages EX-99.I 2 ID AND CLASSIFICATION OF SUBSIDIARIES 1 Exhibit I This statement is filed pursuant to Rule 13d-1(b) by B.A.T Industries p.l.c., a Parent Holding Company, in accordance with Rule 13d-1(b)(1)(ii)(G), with respect to securities held by Allied Dunbar Unit Trusts plc, an Insurance Company (as defined in Section 3(a)(19) of the Act) incorporated under the laws of England. Page 10 of 10 pages -----END PRIVACY-ENHANCED MESSAGE-----