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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM N-8A
NOTIFICATION OF REGISTRATION
FILED PURSUANT TO SECTION 8(A) OF THE
INVESTMENT COMPANY ACT OF 1940
The undersigned investment company hereby notifies the Securities and
Exchange Commission that it registers under and pursuant to the provisions of
Section 8(a) of the Investment Company Act of 1940 and in connection with such
notification of registration submits the following information:
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NAME:* Emigrant Securities Corp.
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ADDRESS OF PRINCIPAL BUSINESS OFFICE (NO. & STREET, CITY, STATE, ZIP CODE):
5 East 42nd Street, New York, New York, 10017
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TELEPHONE NUMBER (INCLUDING AREA CODE): (213) 850-4000
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NAME AND ADDRESS OF AGENT FOR SERVICE OF PROCESS:
Corporation Trust Center, 1209 Orange Street, Wilmington, Delaware 19801
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CHECK APPROPRIATE BOX:
REGISTRANT IS FILING A REGISTRATION STATEMENT PURSUANT TO SECTION 8(B) OF
THE INVESTMENT COMPANY ACT OF 1940 CONCURRENTLY WITH THE FILING OF FORM
N-8A:
YES / / ** No /X/
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*See footnote 1 to Item 1.
**See Instructions 4(b) and 4(f).
<PAGE>
Item 1. Exact name of registrant.
Emigrant Securities Corp.
Item 2. Name of state under the laws of which registrant was
organized or created and the date of such organization or
creation.
State of Organization: Delaware
Date of Organization: August 12, 1999
Item 3. Form of organization of registration (for example,
corporation, partnership, trust, joint stock company,
association, fund).
Corporation
Item 4. Classification of registrant (face-amount certificate
company, unit investment trust, or management company).
Management Company
Item 5. If registrant is a management company:
(a) state whether registrant is a "closed-end" company or an
"open-end" company:
Closed-end
(b) state whether registrant is registering as a "diversified"
company or a "non-diversified" company (read Instruction 4(i)
carefully before replying).
Diversified company.
Item 6. Name and address of each investment adviser of registrant.
Not Applicable.
Item 7. If registrant is an investment company having a board of
directors, state the name and address of each officer and
director of the registrant.
(1) Philip L. Milstein, Director
2 Kennsington Road
Scarsdale, NY 10583
(2) Gilbert S. Stein, Director, President
and Chief Executive Officer
8 High Meadow Court
Old Brookville, NY 11545
<PAGE>
(3) Stephen Goldsmith, Director, Senior Vice President
Tripp Street
Mount Kisco, NY 10549
(4) Michael J. Jackson, Director
2112 Cayuga Drive
Merrick, NY 11566
(5) Michael Kahmann, Director
58 Betsy's Lane
New Canaan, CT 06840
(6) Richard Wald, Director
526 Third Street
Brooklyn, NY 11215
(7) Douglas J. McClintock, Director 5 Hamilton Road
Scarsdale, NY 10583
(8) Francis R. May, Senior Vice President and Treasurer
613 Nod Hill Road
Wilton, CT 06897
(9) Daniel C. Hickey, Senior Vice President and Secretary
14 Ferris Lane
Bedford, NY 10506
(10) John R. Hart, Senior Vice President
731 Hillside Road
Fairfield, CT 06340
(11) Jansen Noyes, III, Senior Vice President
101 Otter Rock Drive
Greenwich, CT 06830
(12) James C. Woolsey, Executive Vice President
109 Oakford Circle
Wayne, PA 19087
Item 8. If registrant is an unincorporated investment company not
having a board of directors
(a) state the name and address of each sponsor of registrant;
Not Applicable
<PAGE>
(b) state the name and address of each officer and director of
each sponsor of registrant;
Not Applicable
(c) state the name and address of each trustee and each
custodian of registrant.
Not Applicable
Item 9. (a) state whether registrant is currently issuing and offering
its securities directly to the public (yes or no).
No
(b) If registrant is currently issuing and offering its
securities to the public through an underwriter, state the
name and address of such underwriter.
Not Applicable
(c) If the answer to Item 9(a) is "no" and the answer to Item
9(b) is "not applicable," state whether registrant presently
proposes to make a public offering of its securities (yes or
no).
No
(d) State whether registrant has any securities currently
issued and outstanding (yes or no)
No
(e) If the answer to Item 9(d) is "yes," state as of a date
not to exceed ten days prior to the filing, of this
notification of registration the number of beneficial owners
of registrant's outstanding securities (other than short-term
paper) and the name of any company owning 10 percent or more
of registrant's outstanding voting securities.
Not Applicable
Item 10. State the current value of registrant's total assets.
$0.00
<PAGE>
Item 11. State whether registrant has applied or intends to apply
for a license to operate as a small business investment
company under the Small Business Investment Act of 1958 (yes
or no).
No
Item 12. Attach as an exhibit a copy of the registrant's last
regular periodic report to its securityholders, if any.
Not Applicable
Pursuant to the requirements of the Investment Company Act of 1940, the
registrant has caused this notification of registration to be duly signed on its
behalf in the City of New York and the State of New York on the 16th day of
August, 1999.
EMIGRANT SECURITIES CORP.
By: /s/ Francis R. May
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Francis R. May
Senior Vice President and Treasurer
Attest:
By: /s/ Daniel C. Hickey
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Daniel C. Hickey
Senior Vice President and Secretary
