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Previous: CREDIT SUISSE FIRST BOSTON INC, 3, 1999-08-27 |
Next: CREDIT SUISSE FIRST BOSTON INC, SC 13G/A, 1999-08-27 |
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OMB APPROVAL
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OMB Number: 3235-0362
Expires: December 31, 2001
Estimated average burden
hours per response ....... 1.0
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 5
ANNUAL 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
[_] Check box if no longer subject to Section 16. Form 4 or Form 5 obligations
may continue. See Instruction 1(b).
[X] Form 3 Holdings Reported
[X] Form 4 Transactions Reported
________________________________________________________________________________
1. Name and Address of Reporting Person*
Credit Suisse Group
- --------------------------------------------------------------------------------
(Last) (First) (Middle)
Paradeplatz 8, Postfach 1, CH-8070
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(Street)
Zurich, Switzerland
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(City) (State) (Zip)
________________________________________________________________________________
2. Issuer Name and Ticker or Trading Symbol
Income Opportunities Fund 1999, Inc. (IOF)
________________________________________________________________________________
3. I.R.S. Identification Number of Reporting Person, if an entity (Voluntary)
________________________________________________________________________________
4. Statement for Month/Year
July 1999
________________________________________________________________________________
5. If Amendment, Date of Original (Month/Year)
________________________________________________________________________________
6. Relationship of Reporting Person to Issuer
(Check all applicable)
[_] Director [X] 10% Owner
[_] Officer (give title below) [_] Other (specify below)
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________________________________________________________________________________
7. Individual or Joint/Group Filing
(Check applicable line)
[X] Form filed by One Reporting Person
[_] Form filed by More than One Reporting Person
________________________________________________________________________________
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Table I -- Non-Derivative Securities Acquired, Disposed of,
or Beneficially Owned
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<TABLE>
<CAPTION>
5. 6.
4. Amount of Owner-
Securities Acquired (A) or Securities ship
Disposed of (D) Beneficially Form: 7.
(Instr. 3, 4 and 5) Owned at end Direct Nature of
2. 3. ----------------------------- of Issuer's (D) or Indirect
1. Transaction Transaction (A) Fiscal Year Indirect Beneficial
Title of Security Date Code Amount or Price (Instr. 3 (I) Ownership
(Instr. 3) (mm/dd/yy) (Instr. 8) (D) and 4) (Instr.4) (Instr. 4)
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<S> <C> <C> <C> <C> <C> <C> <C> <C>
See Explanation See Explanation
Common Stock, par value $0.01 04/02/98 3 44,700 of Responses (1) I of Responses (2)
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Common Stock, par value $0.01 4
(See Attachment B)
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</TABLE>
* If the Form is filed by more than one Reporting Person, see Instruction
4(b)(v).
Potential persons who are to respond to the collection of information contained
in this form are not required to respond unless the form displays a currently
valid OMB control number
(Over)
SEC 2270 (7-96)
<PAGE>
FORM 5 (continued)
Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
================================================================================
<TABLE>
<CAPTION>
9. 10.
Number Owner-
of ship
2. Deriv- of
Conver- 5. 7. ative Deriv- 11.
sion Number of Title and Amount Secur- ative Nature
or Derivative 6. of Underlying 8. ities Secur- of
Exer- Securities Date Securities Price Bene- ity: In-
cise 3. Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct
Price Trans- 4. or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene-
1. of action Trans- of (D) (Month/Day/Year) Amount ative at End In- ficial
Title of Deriv- Date action (Instr. 3, ---------------- or Secur- of direct Owner-
Derivative ative (Month/ Code 4 and 5) Date Expira- Number ity Year (I) ship
Security Secur- Day/ (Instr. ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr.
(Instr. 3) ity Year) 8) (A) (D) cisable Date Title Shares 5) 4) 4) 4)
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<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
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====================================================================================================================================
</TABLE>
Explanation of Responses
(1) Reporting Person owned 4,298,879 shares of Common Stock on 4/2/98,
6,014,697 shares at the end of the Issuer's fiscal year (12/31/98) and
9,361,697 shares on July 31, 1999.
(2) See Attachment A
/s/ William W. Chandler 8/26/99
- --------------------------------------------- -----------------------
**Signature of Reporting Person Date
By: William W. Chandler
Director
** 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.
Potential persons who are to respond to the collection of information contained
in this form are not required to respond unless the form displays a currently
valid OMB number.
Page 2
<PAGE>
Attachment A
Explanation of Responses
The securities reported herein are owned by Credit Suisse First Boston
Corporation ("CSFBC"), a Massachusetts corporation and a broker-dealer
registered under Section 15 of the Securities Exchange Act of 1934 (the
"Exchange Act"). CSFBC is a wholly-owned subsidiary of Credit Suisse First
Boston Inc., a Delaware corporation ("CSFBI"). Credit Suisse First Boston, a
Swiss bank (the "Bank"), owns a majority of the voting stock, and all of the
non-voting stock, of CSFBI. The ultimate parent company of the Bank and CSFBI,
and the owner of the remainder of the voting stock of CSFBI, is Credit Suisse
Group, a corporation formed under the laws of Switzerland.
<PAGE>
Attachment B
Page: 1
Statement of Changes in Beneficial Ownership
<TABLE>
<CAPTION>
- ------------------------------------------------------------------------------------------------------------------------------------
Title of Security Transaction Transaction Amount (A) or Price Amount of Securities (D) Nature of Indirect
(Instr. 3) * Date(mm/dd/yy) Code (Instr.#) (D) Owned at End of or Beneficial Ownership
Issuer's Fiscal Year (I)
- ------------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C> <C>
IOF Common Stock 4/02/98 P 44,700 (A) 9.56 I **
IOF Common Stock 4/03/98 P 4,000 (A) 9.56 I **
IOF Common Stock 4/03/98 P 30,700 (A) 9.56 I **
IOF Common Stock 4/06/98 P 22,600 (A) 9.56 I **
IOF Common Stock 4/07/98 P 23,600 (A) 9.56 I **
IOF Common Stock 4/08/98 P 48,200 (A) 9.56 I **
IOF Common Stock 4/09/98 P 600 (A) 9.56 I **
IOF Common Stock 4/16/98 P 2,700 (A) 9.56 I **
IOF Common Stock 4/17/98 P 4,800 (A) 9.56 I **
IOF Common Stock 4/20/98 P 26,500 (A) 9.56 I **
IOF Common Stock 4/20/98 P 91,500 (A) 9.56 I **
IOF Common Stock 4/21/98 P 41,000 (A) 9.56 I **
IOF Common Stock 4/22/98 P 31,500 (A) 9.56 I **
IOF Common Stock 4/22/98 P 500 (A) 9.56 I **
IOF Common Stock 4/23/98 P 17,400 (A) 9.56 I **
IOF Common Stock 4/24/98 P 17,800 (A) 9.56 I **
IOF Common Stock 4/27/98 P 18,200 (A) 9.56 I **
IOF Common Stock 4/28/98 P 10,700 (A) 9.56 I **
IOF Common Stock 4/29/98 P 34,400 (A) 9.56 I **
IOF Common Stock 5/08/98 P 18,400 (A) 9.56 I **
IOF Common Stock 5/11/98 P 9,000 (A) 9.56 I **
IOF Common Stock 5/12/98 P 6,800 (A) 9.56 I **
IOF Common Stock 5/13/98 P 31,700 (A) 9.56 I **
IOF Common Stock 5/14/98 P 7,600 (A) 9.56 I **
IOF Common Stock 5/14/98 P 33,100 (A) 9.56 I **
IOF Common Stock 5/15/98 P 9,200 (A) 9.56 I **
IOF Common Stock 5/18/98 P 17,200 (A) 9.56 I **
IOF Common Stock 5/19/98 P 8,600 (A) 9.56 I **
IOF Common Stock 5/27/98 P 1,800 (A) 9.56 I **
IOF Common Stock 5/29/98 P 5,600 (A) 9.56 I **
IOF Common Stock 6/09/98 P 10,400 (A) 9.56 I **
IOF Common Stock 6/10/98 P 3,100 (A) 9.56 I **
IOF Common Stock 6/15/98 P 3,200 (A) 9.62 I **
IOF Common Stock 6/15/98 P 14,400 (A) 9.62 I **
IOF Common Stock 6/16/98 P 13,700 (A) 9.62 I **
IOF Common Stock 6/17/98 P 9,700 (A) 9.62 I **
IOF Common Stock 6/18/98 P 43,000 (A) 9.56 I **
IOF Common Stock 6/19/98 P 17,300 (A) 9.56 I **
IOF Common Stock 6/22/98 P 8,300 (A) 9.56 I **
IOF Common Stock 6/22/98 P 1,200 (A) 9.56 I **
IOF Common Stock 6/23/98 P 66,700 (A) 9.56 I **
IOF Common Stock 6/24/98 P 6,000 (A) 9.56 I **
IOF Common Stock 6/25/99 P 18,500 (A) 9.56 I **
IOF Common Stock 6/26/98 P 9,400 (A) 9.56 I **
IOF Common Stock 6/29/98 P 13,400 (A) 9.56 I **
IOF Common Stock 6/30/98 P 4,400 (A) 9.56 I **
IOF Common Stock 7/01/98 P 4,700 (A) 9.56 I **
IOF Common Stock 7/10/98 P 46,400 (A) 9.62 I **
IOF Common Stock 8/07/98 P 2,300 (A) 9.56 I **
IOF Common Stock 8/10/98 P 10,600 (A) 9.56 I **
IOF Common Stock 8/11/98 P 6,400 (A) 9.56 I **
IOF Common Stock 8/12/98 P 15,200 (A) 9.56 I **
IOF Common Stock 8/13/98 P 13,700 (A) 9.56 I **
IOF Common Stock 8/14/98 P 700 (A) 9.56 I **
IOF Common Stock 8/17/98 P 10,200 (A) 9.56 I **
IOF Common Stock 8/18/98 P 28,700 (A) 9.56 I **
IOF Common Stock 8/19/98 P 13,600 (A) 9.56 I **
IOF Common Stock 8/19/98 P 11,200 (A) 9.56 I **
IOF Common Stock 8/20/98 P 5,400 (A) 9.56 I **
IOF Common Stock 9/24/98 P 36,900 (A) 9.62 I **
IOF Common Stock 9/25/98 P 16,900 (A) 9.62 I **
IOF Common Stock 9/28/98 P 6,500 (A) 9.62 I **
IOF Common Stock 9/29/98 P 7,900 (A) 9.62 I **
IOF Common Stock 9/30/98 P 7,400 (A) 9.62 I **
IOF Common Stock 10/01/98 P 14,700 (A) 9,62 I **
IOF Common Stock 10/08/98 P 2,200 (A) 9.62 I **
IOF Common Stock 10/08/98 P 8,700 (A) 9.62 I **
IOF Common Stock 10/09/98 P 1,600 (A) 9.62 I **
IOF Common Stock 10/12/98 P 18,000 (A) 9.62 I **
IOF Common Stock 10/13/98 P 36,000 (A) 9.62 I **
IOF Common Stock 10/14/98 P 2,900 (A) 9.62 I **
IOF Common Stock 10/15/98 P 15,900 (A) 9.62 I **
IOF Common Stock 10/16/98 P 6,800 (A) 9.62 I **
IOF Common Stock 10/19/98 P 8,500 (A) 9.62 I **
IOF Common Stock 10/20/98 P 7,100 (A) 9.62 I **
IOF Common Stock 11/02/98 P 65,200 (A) 9.68 I **
IOF Common Stock 11/03/98 P 23,500 (A) 9.68 I **
IOF Common Stock 11/04/98 P 7,100 (A) 9.68 I **
IOF Common Stock 11/05/98 P 3,200 (A) 9.68 I **
IOF Common Stock 11/09/98 P 32,800 (A) 9.68 I **
IOF Common Stock 11/10/98 P 23,500 (A) 9.68 I **
IOF Common Stock 11/11/98 P 11,300 (A) 9.68 I **
IOF Common Stock 11/12/98 P 31,400 (A) 9.68 I **
IOF Common Stock 11/25/98 P 43,800 (A) 9.62 I **
IOF Common Stock 11/27/98 P 1,500 (A) 9.62 I **
IOF Common Stock 11/30/98 P 8,800 (A) 9.62 I **
IOF Common Stock 12/01/98 P 19,700 (A) 9.62 I **
IOF Common Stock 12/02/98 P 9,200 (A) 9.62 I **
IOF Common Stock 12/03/98 P 4,700 (A) 9.62 I **
IOF Common Stock 12/04/98 P 9,400 (A) 9.62 I **
IOF Common Stock 12/07/98 P 1,900 (A) 9.62 I **
IOF Common Stock 12/08/98 P 64,200 (A) 9.68 I **
IOF Common Stock 12/16/98 P 36,600 (A) 9.68 I **
IOF Common Stock 12/17/98 P 38,200 (A) 9.68 I **
IOF Common Stock 12/18/98 P 7,600 (A) 9.68 I **
IOF Common Stock 12/18/98 P 24,200 (A) 9.68 I **
IOF Common Stock 12/21/98 P 21,400 (A) 9.68 I **
IOF Common Stock 12/22/98 P 9,500 (A) 9.68 I **
IOF Common Stock 12/23/98 P 10,800 (A) 9.68 I **
IOF Common Stock 12/24/98 P 21,000 (A) 9.68 6,028,297 I **
IOF Common Stock 1/04/99 P 52,600 (A) 9.68 I **
IOF Common Stock 1/05/99 P 68,700 (A) 9.68 I **
IOF Common Stock 1/05/99 P 99,000 (A) 9.68 I **
IOF Common Stock 1/05/99 P 46,400 (A) 9.68 I **
IOF Common Stock 1/06/99 P 25,000 (A) 9.68 I **
IOF Common Stock 1/07/99 P 1,000 (A) 9.68 I **
IOF Common Stock 1/07/99 P 4,300 (A) 9.68 I **
IOF Common Stock 1/11/99 P 10,600 (A) 9.68 I **
IOF Common Stock 1/12/99 P 16,600 (A) 9.68 I **
IOF Common Stock 1/13/99 P 23,900 (A) 9.68 I **
IOF Common Stock 1/14/99 P 12,300 (A) 9.68 I **
IOF Common Stock 1/15/99 P 10,300 (A) 9.68 I **
IOF Common Stock 1/19/99 P 19,700 (A) 9.68 I **
IOF Common Stock 1/20/99 P 12,100 (A) 9.68 I **
IOF Common Stock 1/20/99 P 5,600 (A) 9.68 I **
IOF Common Stock 1/21/99 P 11,700 (A) 9.68 I **
IOF Common Stock 1/22/99 P 35,000 (A) 9.68 I **
IOF Common Stock 1/25/99 P 11,000 (A) 9.68 I **
IOF Common Stock 1/26/99 P 900 (A) 9.68 I **
IOF Common Stock 1/27/99 P 9,500 (A) 9.75 I **
IOF Common Stock 1/28/99 P 18,500 (A) 9.75 I **
IOF Common Stock 1/29/99 P 22,100 (A) 9.75 I **
IOF Common Stock 2/01/99 P 31,200 (A) 9.75 I **
IOF Common Stock 2/02/99 P 12,000 (A) 9.75 I **
IOF Common Stock 2/03/99 P 20,600 (A) 9.75 I **
IOF Common Stock 2/03/99 P 5,700 (A) 9.75 I **
IOF Common Stock 2/04/99 P 17,000 (A) 9.75 I **
IOF Common Stock 2/05/99 P 19,500 (A) 9.75 I **
IOF Common Stock 2/08/99 P 12,700 (A) 9.75 I **
IOF Common Stock 2/09/99 P 18,500 (A) 9.75 I **
IOF Common Stock 2/10/99 P 10,000 (A) 9.75 I **
IOF Common Stock 2/11/99 P 700 (A) 9.75 I **
IOF Common Stock 2/12/99 P 22,500 (A) 9.75 I **
IOF Common Stock 2/16/99 P 56,600 (A) 9.75 I **
IOF Common Stock 2/17/99 P 27,600 (A) 9.75 I **
IOF Common Stock 2/17/99 P 19,900 (A) 9.75 I **
IOF Common Stock 2/18/99 P 39,900 (A) 9.75 I **
IOF Common Stock 2/19/99 P 17,100 (A) 9.75 I **
IOF Common Stock 2/22/99 P 16,400 (A) 9.75 I **
IOF Common Stock 2/22/99 P 14,400 (A) 9.75 I **
IOF Common Stock 2/23/99 P 47,300 (A) 9.75 I **
IOF Common Stock 2/24/99 P 27,700 (A) 9.75 I **
IOF Common Stock 2/25/99 P 7,600 (A) 9.75 I **
IOF Common Stock 2/26/99 P 6,300 (A) 9.68 I **
IOF Common Stock 3/01/99 P 11,500 (A) 9.68 I **
IOF Common Stock 3/02/99 P 10,500 (A) 9.68 I **
IOF Common Stock 3/03/99 P 14,500 (A) 9.68 I **
IOF Common Stock 3/04/99 P 8,500 (A) 9.68 I **
IOF Common Stock 3/05/99 P 22,000 (A) 9.68 I **
IOF Common Stock 3/08/99 P 8,700 (A) 9.68 I **
IOF Common Stock 3/09/99 P 19,200 (A) 9.68 I **
IOF Common Stock 3/10/99 P 26,100 (A) 9.68 I **
IOF Common Stock 3/22/99 P 21,900 (A) 9.68 I **
IOF Common Stock 3/22/99 P 15,200 (A) 9.68 I **
IOF Common Stock 3/23/99 P 29,000 (A) 9.81 I **
IOF Common Stock 3/23/99 P 99,000 (A) 9.81 I **
IOF Common Stock 3/23/99 P 99,000 (A) 9.81 I **
IOF Common Stock 3/24/99 P 40,000 (A) 9.81 I **
IOF Common Stock 3/24/99 P 8,800 (A) 9.75 I **
IOF Common Stock 3/25/99 P 50,000 (A) 9.81 I **
IOF Common Stock 3/25/99 P 25,000 (A) 9.81 I **
IOF Common Stock 3/25/99 P 23,300 (A) 9.75 I **
IOF Common Stock 3/26/99 P 7,300 (A) 9.75 I **
IOF Common Stock 3/29/99 P 12,600 (A) 9.75 I **
IOF Common Stock 3/30/99 P 6,500 (A) 9.75 I **
IOF Common Stock 3/30/99 P 9,900 (A) 9.75 I **
IOF Common Stock 3/31/99 P 38,200 (A) 9.75 I **
IOF Common Stock 4/01/99 P 17,200 (A) 9.75 I **
IOF Common Stock 4/12/99 P 23,000 (A) 9.75 I **
IOF Common Stock 4/19/99 P 40,600 (A) 9.87 I **
IOF Common Stock 4/19/99 P 99,000 (A) 9.87 I **
IOF Common Stock 4/19/99 P 99,000 (A) 9.87 I **
IOF Common Stock 4/19/99 P 99,000 (A) 9.87 I **
IOF Common Stock 4/19/99 P 7,200 (A) 9.81 I **
IOF Common Stock 4/20/99 P 12,500 (A) 9.81 I **
IOF Common Stock 4/21/99 P 32,400 (A) 9.81 I **
IOF Common Stock 4/22/99 P 17,700 (A) 9.81 I **
IOF Common Stock 4/22/99 P 46,900 (A) 9.81 I **
IOF Common Stock 4/23/99 P 23,000 (A) 9.81 I **
IOF Common Stock 4/26/99 P 19,300 (A) 9.81 I **
IOF Common Stock 4/27/99 P 16,300 (A) 9.81 I **
IOF Common Stock 4/28/99 P 8,900 (A) 9.81 I **
IOF Common Stock 4/29/99 P 13,800 (A) 9.81 I **
IOF Common Stock 5/07/99 P 26,600 (A) 9.81 I **
IOF Common Stock 5/10/99 P 33,700 (A) 9.81 I **
IOF Common Stock 5/11/99 P 21,400 (A) 9.81 I **
IOF Common Stock 5/12/99 P 15,900 (A) 9.81 I **
IOF Common Stock 5/13/99 P 36,100 (A) 9.81 I **
IOF Common Stock 5/14/99 P 14,400 (A) 9.81 I **
IOF Common Stock 5/17/99 P 21,800 (A) 9.81 I **
IOF Common Stock 5/18/99 P 55,000 (A) 9.87 I **
IOF Common Stock 5/18/99 P 17,500 (A) 9.81 I **
IOF Common Stock 5/19/99 P 10,600 (A) 9.81 I **
IOF Common Stock 5/26/99 P 8,600 (A) 9.81 I **
IOF Common Stock 5/27/99 P 20,100 (A) 9.81 I **
IOF Common Stock 5/28/99 P 14,600 (A) 9.81 I **
IOF Common Stock 6/01/99 P 18,300 (A) 9.81 I **
IOF Common Stock 6/02/99 P 12,000 (A) 9.81 I **
IOF Common Stock 6/03/99 P 11,800 (A) 9.81 I **
IOF Common Stock 6/04/99 P 7,800 (A) 9.81 I **
IOF Common Stock 6/07/99 P 9,500 (A) 9.81 I **
IOF Common Stock 6/07/99 P 5,800 (A) 9.81 I **
IOF Common Stock 6/08/99 P 18,000 (A) 9.81 I **
IOF Common Stock 6/09/99 P 18,900 (A) 9.81 I **
IOF Common Stock 6/10/99 P 10,200 (A) 9.81 I **
IOF Common Stock 6/11/99 P 42,400 (A) 9.81 I **
IOF Common Stock 6/18/99 P 2,800 (A) 9.81 I **
IOF Common Stock 6/21/99 P 67,400 (A) 9.81 I **
IOF Common Stock 6/22/99 P 5,100 (A) 9.81 I **
IOF Common Stock 6/22/99 P 28,800 (A) 9.81 I **
IOF Common Stock 6/23/99 P 9,400 (A) 9.81 I **
IOF Common Stock 6/23/99 P 29,700 (A) 9.81 I **
IOF Common Stock 6/24/99 P 54,800 (A) 9.81 I **
IOF Common Stock 6/24/99 P 19,500 (A) 9.81 I **
IOF Common Stock 6/25/99 P 16,400 (A) 9.81 I **
IOF Common Stock 6/28/99 P 28,500 (A) 9.81 I **
IOF Common Stock 6/29/99 P 1,100 (A) 9.81 I **
IOF Common Stock 6/29/99 P 99,000 (A) 9.81 I **
IOF Common Stock 6/29/99 P 34,600 (A) 9.81 I **
IOF Common Stock 6/30/99 P 300 (A) 9.75 I **
IOF Common Stock 6/30/99 P 97,900 (A) 9.81 I **
IOF Common Stock 7/01/99 P 9,300 (A) 9.75 I **
IOF Common Stock 7/07/99 P 72,800 (A) 9.81 I **
IOF Common Stock 7/08/99 P 17,900 (A) 9.81 I **
IOF Common Stock 7/09/99 P 17,900 (A) 9.81 I **
IOF Common Stock 7/09/99 P 8,300 (A) 9.81 I **
IOF Common Stock 7/12/99 P 76,600 (A) 9.81 I **
IOF Common Stock 7/13/99 P 11,300 (A) 9.75 I **
IOF Common Stock 7/13/99 P 1,500 (A) 9.75 I **
IOF Common Stock 7/13/99 P 300 (A) 9.81 I **
IOF Common Stock 7/13/99 P 3,000 (A) 9.75 I **
IOF Common Stock 7/14/99 P 17,700 (A) 9.75 I **
IOF Common Stock 7/15/99 P 13,600 (A) 9.75 I **
</TABLE>
- -------------------------
* "IOF Common Stock" is an abbreviation of Income Opportunities Fund 1999,
Inc. Common Stock.
** See Explanation of Responses.
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