UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-K-A
[X] Annual report pursuant to Section 13 or 15 (d) of the Securities Exchange
Act of 1934 [Fee Required]
For the fiscal year ended December 31, 1996 or
[ ] Transition report pursuant to Section 13 or 15 (d) of the Securities
Exchange Act of 1934 [No Fee Required]
For the transition period ___________to _________________.
Commission File Number 0-15442
DEAN WITTER CORNERSTONE FUND IV
(Exact name of registrant as specified in its Limited Partnership Agreement)
NEW YORK 13-3393597
(State or other jurisdiction of (I.R.S. Employer
incorporation of organization) Identification No.)
c/o Demeter Management Corporation
Two World Trade Center, New York, N.Y. - 62nd Flr. 10048
(Address of principal executive offices) (Zip Code)
Registrant's telephone number, including area code (212) 392-5454
Securities registered pursuant to Section 12(b) of the Act:
Title of each class Name of each exchange
on which registered
None None
Securities registered pursuant to Section 12(g) of the Act:
Units of Limited Partnership Interest
(Title of Class)
(Title of Class)
Indicate by check mark whether the registrant (1) has filed all reports
required to be filed by Section 13 or 15(d) of the Securities Exchange Act of
1934 during the preceding 12 months (or for such shorter period that the
registrant was required to file such reports), and (2) has been subject to such
filing requirements for the past 90 days. Yes X No
Indicate by check mark if disclosure of delinquent filers pursuant to Item
405 of Regulation S-K (section 229.405 of this chapter) is not contained
herein, and will not be contained, to the best of registrant's knowledge, in
definitive proxy or information statements incorporated by reference in Part
III of this Form 10-K or any amendment of this Form 10K. [ X ]
State the aggregate market value of the Units of Limited Partnership Interest
held by non-affiliates of the registrant. The aggregate market value shall be
computed by reference to the price at which units were sold, or the average bid
and asked prices of such units, as of a specified date within 60 days prior to
the date of filing: $98,440,463.27 at January 31, 1997.
DOCUMENTS INCORPORATED BY REFERENCE
(See Page 1)
<PAGE>
SIGNATURES
Pursuant to the requirement of Sections 13 or 15(d) of the Securities
Exchange Act of 1934, the registrant has duly caused this report to be signed
on its behalf by the undersigned, thereunto duly authorized.
DEAN WITTER CORNERSTONE FUND IV
(Registrant)
BY: Demeter Management Corporation,
General Partner
March 31, 1997 BY: /s/ Mark J. Hawley
Mark J. Hawley, Director and
President
Pursuant to the requirements of the Securities Exchange Act of 1934, this
report has been signed below by the following persons on behalf of the
registrant and in the capacities and on the dates indicated.
Demeter Management Corporation.
BY: /s/ Mark J. Hawley March 31, 1997
Mark J. Hawley, Director and
President
/s/ Richard M. DeMartini March 31, 1997
Richard M. DeMartini, Director
and Chairman of the Board
/s/ Lawrence Volpe March 31, 1997
Lawrence Volpe, Director
/s/ Laurence E. Mollner March 31, 1997
Laurence E. Mollner, Director
/s/ Joseph G. Siniscalchi March 31, 1997
Joseph G. Siniscalchi, Director
/s/ Edward C. Oelsner III March 31, 1997
Edward C. Oelsner III, Director
/s/ Robert E. Murray March 31, 1997
Robert E. Murray, Director
/s/ Patti L. Behnke March 31, 1997
Patti L. Behnke, Chief Financial
Officer and Principal Accounting
Officer<PAGE>
EXHIBIT INDEX
Item Method of Filing
- - - 3. Limited Partnership Agreement of
the Partnership, dated as of
December 117, 1986. (1)
- - -10. Management Agreement among the
Partnership, Demeter Management
Corporation and John W. Henry and
Co. Inc (former name of John W.
Henry & Company, Inc. dated as
of May 1, 1987. (2)
- - -10. Management Agreement among the
Partnership, Demeter and Sunrise
Commodities Inc. (former name of
Sunrise Capital Management Inc.)
dated as of May 1, 1987 (3)
- - -10. Dean Witter Cornerstone Funds
Exchange Agreement, dated as of
May 31, 1984. (4)
- - -10. Amended and restated Customer Agreement Between
the Partnership and DWR, dated as of September
1, 1996. (5)
- - -13. December 31, 1996 Annual Report to Limited Partners. (6)
(1) Incorporated by reference to Exhibit 3.01 to Partnership's Annual Report
on Form 10-K for the fiscal year ended December 31, 1987 (File No. 0-15442).
(2) Incorporated by reference to Exhibit 10.01 to the Partnership's Annual
Report on Form 10-K for the fiscal year ended December 31, 1987 (File No. 0-
15442).
(3) Incorporated by reference to Exhibit 10.02 to the Partnership's Annual
Report on Form 10-K for the fiscal year ended December 31, 1987 (File No. 0-
15442).
(4) Incorporated by reference to Exhibit 10.04 to the Partnership's Annual
Report on Form 10-K for the fiscal year ended December 31, 1987 (File No. 0-
15442).
(5) Incorporated by reference to Exhibit 10.1(e) to Post Effective Amendment
No. 23 to the Partnership's Registration Statement on Form S-1 (File No. 2-
88587), filed on August 26, 1996.
(6) Filed herewith.
