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SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. __)*
R.O.C. TAIWAN FUND
--------------------------------------------------------------------------------
(Name of Issuer)
Common Stock
--------------------------------------------------------------------------------
(Title of Class of Securities)
749651105
--------------------------------------------------------------------------------
(CUSIP Number)
August 30, 2002
--------------------------------------------------------------------------------
(Date of Event which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule
is filed:
[ ] Rule 13d-1(b)
[X] Rule 13d-1(c)
[ ] Rule 13d-1(d)
* 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
disclosures provided in a prior cover page.
The information required on 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 (the "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).
SCHEDULE 13G
----------------------------------------------------------------------------------------------------------------------
CUSIP No. 471112102
----------------------------------------------------------------------------------------------------------------------
1) Name of Reporting Persons
I.R.S. Identification No. of Above Persons (entities only)
THE VALUE CATALYST FUND LIMITED
NO I.R.S. IDENTIFICATION NO.
---------- -----------------------------------------------------------------------------------------------------------
2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) [X]
(b) [ ]
---------- -----------------------------------------------------------------------------------------------------------
3) SEC Use Only
---------- -----------------------------------------------------------------------------------------------------------
4) Citizenship or Place of Organization
CAYMAN ISLANDS
-------------------- ------- -----------------------------------------------------------------------------------------
5) Sole Voting Power
0
Number of ------- -----------------------------------------------------------------------------------------
Shares 6) Shared Voting Power
Beneficially 975,840 SHARES
Owned by ------- -----------------------------------------------------------------------------------------
Each 7) Sole Dispositive Power
Reporting 0
Person ------- -----------------------------------------------------------------------------------------
with 8) Shared Dispositive Power
975,840 SHARES
---------- -----------------------------------------------------------------------------------------------------------
9) Aggregate Amount Beneficially Owned by Each Reporting Person
975,840 SHARES
---------- -----------------------------------------------------------------------------------------------------------
10) Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) [ ]
---------- -----------------------------------------------------------------------------------------------------------
11) Percent of Class Represented by Amount in Row (11)
2.98%
---------- -----------------------------------------------------------------------------------------------------------
12) Type of Reporting Person (See Instructions)
IV*
---------- -----------------------------------------------------------------------------------------------------------
*Not registered under the Investment Company Act of 1940.
2
---------------------------------------------------------------------------------------------------------------------
CUSIP No. 471112102
---------------------------------------------------------------------------------------------------------------------
1) Name of Reporting Persons
I.R.S. Identification No. of Above Persons (entities only)
LAXEY INVESTORS LIMITED
NO I.R.S. IDENTIFICATION NO.
--------- -----------------------------------------------------------------------------------------------------------
2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) [X]
(b) [ ]
--------- -----------------------------------------------------------------------------------------------------------
3) SEC Use Only
--------- -----------------------------------------------------------------------------------------------------------
4) Citizenship or Place of Organization
BRITISH VIRGIN ISLANDS
-------------------- ------- ----------------------------------------------------------------------------------------
5) Sole Voting Power
Number of 0
Shares ------- ----------------------------------------------------------------------------------------
Beneficially 6) Shared Voting Power
Owned by 10,000 SHARES
Each ------- ----------------------------------------------------------------------------------------
Reporting 7) Sole Dispositive Power
Person 0
With ------- ----------------------------------------------------------------------------------------
8) Shared Dispositive Power
10,000 SHARES
--------- -----------------------------------------------------------------------------------------------------------
9) Aggregate Amount Beneficially Owned by Each Reporting Person
10,000 SHARES
--------- -----------------------------------------------------------------------------------------------------------
10) Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [ ]
--------- -----------------------------------------------------------------------------------------------------------
11) Percent of Class Represented by Amount in Row (11)
0.03%
--------- -----------------------------------------------------------------------------------------------------------
12) Type of Reporting Person (See Instructions)
IV*
--------- -----------------------------------------------------------------------------------------------------------
*Not registered under the Investment Company Act of 1940.
3
---------------------------------------------------------------------------------------------------------------------
CUSIP No. 471112102
---------------------------------------------------------------------------------------------------------------------
1) Name of Reporting Persons
I.R.S. Identification No. of Above Persons (entities only)
LP VALUE LIMITED
NO I.R.S. IDENTIFICATION NO.
--------- -----------------------------------------------------------------------------------------------------------
2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) [X]
(b) [ ]
--------- -----------------------------------------------------------------------------------------------------------
3) SEC Use Only
--------- -----------------------------------------------------------------------------------------------------------
4) Citizenship or Place of Organization
BRITISH VIRGIN ISLANDS
-------------------- ------- ----------------------------------------------------------------------------------------
5) Sole Voting Power
Number of 0
Shares ------- ----------------------------------------------------------------------------------------
Beneficially 6) Shared Voting Power
Owned by 974,000 SHARES
Each ------- ----------------------------------------------------------------------------------------
Reporting 7) Sole Dispositive Power
Person 0
With ------- ----------------------------------------------------------------------------------------
8) Shared Dispositive Power
974,000 SHARES
--------- -----------------------------------------------------------------------------------------------------------
9) Aggregate Amount Beneficially Owned by Each Reporting Person
974,000 SHARES
--------- -----------------------------------------------------------------------------------------------------------
10) Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [ ]
--------- -----------------------------------------------------------------------------------------------------------
11) Percent of Class Represented by Amount in Row (11)
2.98%
--------- -----------------------------------------------------------------------------------------------------------
12) Type of Reporting Person (See Instructions)
IV*
--------- -----------------------------------------------------------------------------------------------------------
*Not registered under the Investment Company Act of 1940.
4
---------------------------------------------------------------------------------------------------------------------
CUSIP No. 471112102
---------------------------------------------------------------------------------------------------------------------
1) Name of Reporting Persons
I.R.S. Identification No. of Above Persons (entities only)
LAXEY UNIVERSAL VALUE, LP
NO I.R.S. IDENTIFICATION NO.
--------- -----------------------------------------------------------------------------------------------------------
2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) [X]
(b) [ ]
--------- -----------------------------------------------------------------------------------------------------------
3) SEC Use Only
--------- -----------------------------------------------------------------------------------------------------------
4) Citizenship or Place of Organization
DELAWARE
-------------------- ------- ----------------------------------------------------------------------------------------
5) Sole Voting Power
Number of 0
Shares ------- ----------------------------------------------------------------------------------------
Beneficially 6) Shared Voting Power
Owned by 700,000 SHARES
Each ------- ----------------------------------------------------------------------------------------
Reporting 7) Sole Dispositive Power
Person 0
With ------- ----------------------------------------------------------------------------------------
8) Shared Dispositive Power
700,000 SHARES
--------- -----------------------------------------------------------------------------------------------------------
9) Aggregate Amount Beneficially Owned by Each Reporting Person
700,000 SHARES
--------- -----------------------------------------------------------------------------------------------------------
10) Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [ ]
--------- -----------------------------------------------------------------------------------------------------------
11) Percent of Class Represented by Amount in Row (11)
2.1%
--------- -----------------------------------------------------------------------------------------------------------
12) Type of Reporting Person (See Instructions)
PN*
--------- -----------------------------------------------------------------------------------------------------------
*Not registered under the Investment Company Act of 1940.
5
---------------------------------------------------------------------------------------------------------------------
CUSIP No. 471112102
---------------------------------------------------------------------------------------------------------------------
1) Name of Reporting Persons
I.R.S. Identification No. of Above Persons (entities only)
LAXEY INVESTORS L.P.
NO I.R.S. IDENTIFICATION NO.
--------- -----------------------------------------------------------------------------------------------------------
2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) [X]
(b) [ ]
--------- -----------------------------------------------------------------------------------------------------------
3) SEC Use Only
--------- -----------------------------------------------------------------------------------------------------------
4) Citizenship or Place of Organization
DELAWARE
-------------------- ------- ----------------------------------------------------------------------------------------
5) Sole Voting Power
Number of 0
Shares ------- ----------------------------------------------------------------------------------------
Beneficially 6) Shared Voting Power
Owned by 376,160 SHARES
Each ------- ----------------------------------------------------------------------------------------
Reporting 7) Sole Dispositive Power
Person 0
With ------- ----------------------------------------------------------------------------------------
8) Shared Dispositive Power
376,160 SHARES
--------- -----------------------------------------------------------------------------------------------------------
9) Aggregate Amount Beneficially Owned by Each Reporting Person
376,160 SHARES
--------- -----------------------------------------------------------------------------------------------------------
10) Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [ ]
--------- -----------------------------------------------------------------------------------------------------------
11) Percent of Class Represented by Amount in Row (11)
1.2%
--------- -----------------------------------------------------------------------------------------------------------
12) Type of Reporting Person (See Instructions)
PN*
--------- -----------------------------------------------------------------------------------------------------------
*Not registered under the Investment Company Act of 1940.
6
---------------------------------------------------------------------------------------------------------------------
CUSIP No. 471112102
---------------------------------------------------------------------------------------------------------------------
1) Name of Reporting Persons
I.R.S. Identification No. of Above Persons (entities only)
LAXEY PARTNERS LIMITED
NO I.R.S. IDENTIFICATION NO.
--------- -----------------------------------------------------------------------------------------------------------
2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) [X]
(b) [ ]
--------- -----------------------------------------------------------------------------------------------------------
3) SEC Use Only
--------- -----------------------------------------------------------------------------------------------------------
4) Citizenship or Place of Organization
ISLE OF MAN
-------------------- ------- ----------------------------------------------------------------------------------------
5) Sole Voting Power
Number of 0
Shares ------- ----------------------------------------------------------------------------------------
Beneficially 6) Shared Voting Power
Owned by 4,010,000 SHARES
Each ------- ----------------------------------------------------------------------------------------
Reporting 7) Sole Dispositive Power
Person 0
With ------- ----------------------------------------------------------------------------------------
8) Shared Dispositive Power
4,010,000 SHARES
--------- -----------------------------------------------------------------------------------------------------------
9) Aggregate Amount Beneficially Owned by Each Reporting Person
4,010,000 SHARES
--------- -----------------------------------------------------------------------------------------------------------
10) Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [ ]
--------- -----------------------------------------------------------------------------------------------------------
11) Percent of Class Represented by Amount in Row (11)
12.3%
--------- -----------------------------------------------------------------------------------------------------------
12) Type of Reporting Person (See Instructions)
IA*
--------- -----------------------------------------------------------------------------------------------------------
*Not registered under the Investment Company Act of 1940.
7
---------------------------------------------------------------------------------------------------------------------
CUSIP No. 471112102
---------------------------------------------------------------------------------------------------------------------
1) Name of Reporting Persons
I.R.S. Identification No. of Above Persons (entities only)
COLIN KINGSNORTH
--------- -----------------------------------------------------------------------------------------------------------
2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) [X]
(b) [ ]
--------- -----------------------------------------------------------------------------------------------------------
3) SEC Use Only
--------- -----------------------------------------------------------------------------------------------------------
4) Citizenship or Place of Organization
BRITISH
-------------------- ------- ----------------------------------------------------------------------------------------
5) Sole Voting Power
Number of 0
Shares ------- ----------------------------------------------------------------------------------------
Beneficially 6) Shared Voting Power
Owned by 4,010,000 SHARES
Each ------- ----------------------------------------------------------------------------------------
Reporting 7) Sole Dispositive Power
Person 0
With ------- ----------------------------------------------------------------------------------------
8) Shared Dispositive Power
4,010,000 SHARES
--------- -----------------------------------------------------------------------------------------------------------
9) Aggregate Amount Beneficially Owned by Each Reporting Person
4,010,000 SHARES
--------- -----------------------------------------------------------------------------------------------------------
10) Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [ ]
--------- -----------------------------------------------------------------------------------------------------------
11) Percent of Class Represented by Amount in Row (11)
12.3%
--------- -----------------------------------------------------------------------------------------------------------
12) Type of Reporting Person (See Instructions)
IN
--------- -----------------------------------------------------------------------------------------------------------
8
---------------------------------------------------------------------------------------------------------------------
CUSIP No. 471112102
---------------------------------------------------------------------------------------------------------------------
1) Name of Reporting Persons
I.R.S. Identification No. of Above Persons (entities only)
ANDREW PEGGE
--------- -----------------------------------------------------------------------------------------------------------
2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) [X]
(b) [ ]
--------- -----------------------------------------------------------------------------------------------------------
3) SEC Use Only
--------- -----------------------------------------------------------------------------------------------------------
4) Citizenship or Place of Organization
BRITISH
-------------------- ------- ----------------------------------------------------------------------------------------
5) Sole Voting Power
Number of 0
Shares ------- ----------------------------------------------------------------------------------------
Beneficially 6) Shared Voting Power
Owned by 4,010,000 SHARES
Each ------- ----------------------------------------------------------------------------------------
Reporting 7) Sole Dispositive Power
Person 0
With ------- ----------------------------------------------------------------------------------------
8) Shared Dispositive Power
4,010,000 SHARES
--------- -----------------------------------------------------------------------------------------------------------
9) Aggregate Amount Beneficially Owned by Each Reporting Person
4,010,000 SHARES
--------- -----------------------------------------------------------------------------------------------------------
10) Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [ ]
--------- -----------------------------------------------------------------------------------------------------------
11) Percent of Class Represented by Amount in Row (11)
12.3%
--------- -----------------------------------------------------------------------------------------------------------
12) Type of Reporting Person (See Instructions)
IN
--------- -----------------------------------------------------------------------------------------------------------
9
SCHEDULE 13G
ITEM 1(A) NAME OF ISSUER:
This statement on Schedule 13G relates to the Reporting Persons' (as defined in
Item 2 below) beneficial ownership interest in The R.O.C. Taiwan Fund, a
Massachusetts business trust corporation (the "Trust").
1(B) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES:
c/o Citigati Dewe Rogerson
1440 Broadway
16th Floor
New York, New York 10018
ITEMS 2(A) NAMES OF PERSONS FILING:
This statement is being filed jointly by (i) The Value Catalyst Fund Limited, a
Cayman Islands company ("Catalyst"); (ii) Laxey Investors Limited, a British
Virgin Islands company ("LIL"); (iii) LP Value Limited, a British Virgin Islands
company, ("LPV")(iv) Laxey Universal Value, LP, a Delaware limited partnership
("LUV"), (v) Laxey Investors L.P., a Delaware limited partnership ("LLP"), (vi)
Laxey Partners Limited, an Isle of Man company ("Laxey"); (vii) Colin
Kingsnorth, a British citizen ("Kingsnorth"); and (viii) Andrew Pegge, a British
citizen ("Pegge" and, collectively with Catalyst, LIL, LPV, LUV, LLP, Laxey and
Kingsnorth, the "Reporting Persons").
2(B) AND 2(C) ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE,
RESIDENCE AND CITIZENSHIP:
Catalyst, a Cayman Islands company, is a private investment company formed in
May 2000 created to allow investors to take advantage of investment
opportunities in closed-end funds and similar investment entities. The address
of Catalyst's principal business and principal office is P.O. Box 309, Ugland
House, South Church Street, George Town, Grand Cayman, Cayman Islands, British
West Indies.
LIL, a British Virgin Islands company, is a private investment company formed in
March 1999 created to allow investors to take advantage of investment
opportunities in closed-end funds and similar investment entities. The address
of LIL's principal business and principal office is Akara Building, 24 De Castro
Street, Wickams Cay I, Road Town, Tortola, British Virgin Islands.
LPV is an international business company incorporated in the British Virgin
Islands on October 2001 created to allow investors to take advantage of
investment opportunities in closed-end funds and similar investment entities.
LPV is managed by Laxey Partners Limited. The record address of LPV is Craigmuir
Chambers, P.O. Box 71, Road Town, Tortola, British Virgin Islands.
10
LUV is a Delaware limited partnership organized on February 28, 2002 to provide
the partners with an absolute return through capital appreciation with an
emphasis on structural arbitrage. The general partner of LUV is Laxey Partners
GP(2) Limited, a company established in the British Virgin Islands in February
2002 and wholly-owned subsidiary of Laxey, the investment manager of LLP. The
address of LUV's principal business and principal office is c/o BoE
International Fund Services Limited, Samuel Harris House, St. George's Street,
Douglas, Isle of Man IM99 1EZ, British Isles.
LLP is a Delaware limited partnership organized on November 15, 2001 to provide
the partners with an absolute return through realization of increases in the
trading prices of portfolio securities and to take advantage of investment
opportunities in closed-end funds and similar investment entities. The general
partner of LLP is Laxey Partners (GP) Limited, a company established in the
British Virgin Islands in October 2001 and wholly-owned subsidiary of Laxey, the
investment manager of LLP. The address of LLP's principal business and principal
office is c/o BoE International Fund Services Limited, Samuel Harris House, St.
George's Street, Douglas, Isle of Man IM99 1EZ, British Isles.
Laxey, an Isle of Man company, is the investment manager for each of Catalyst,
LIL, LUV, LLP and LPV subject to the overall control of the directors or general
partners, of each of these entities, as applicable. Formed in November 1998,
Laxey is a global active value fund manager specializing in arbitrage-led
investment. The address of Laxey's principal business and principal office is
Stanley House, 7-9 Market Hill, Douglas, Isle of Man IM1 2BF.
Each of Messrs. Kingsnorth and Pegge own one half of the outstanding equity of
Laxey. Kingsnorth's principal occupation is that of portfolio manager and
director of Laxey. Kingsnorth is a British citizen. His business address is 28
Chelsea Wharf, Lots Road, London, SW10 0QJ, United Kingdom. Pegge's principal
occupation is also that of portfolio manager and director of Laxey and his
business address is Stanley House, 7-9 Market Hill, Douglas, Isle of Man, IM1
2BF, United Kingdom. Pegge is a British citizen.
2(D) TITLE OF CLASS OF SECURITIES: Common Stock
2(E) CUSIP NUMBER:
749651105
ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO SS.SS. 240.13D-1(B) OR
240.13D-2(B) OR (C), CHECK WHETHER THE PERSON FILING IS A:
(a) [ ] Broker or dealer registered under section 15 of the Act (15 U.S.C.
78o).
(b) [ ] Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
(c) [ ] Insurance company as defined n section 3(a)(19) of the Act (15
U.S.C. 78c).
(d) [ ] Investment company registered under section 8 of the Investment
Company Act of 1940 (15 U.S.C. 80a-8).
11
(e) [ ] An investment advisor in accordance with ss.240.13d-1(b)(1)(ii)
(E);
(f) [ ] An employee benefit plan or endowment fund in accordance
with ss.240. 13d-1(b)(1)(ii)(F);
(g) [ ] A parent holding company or control person in accordance with ss.
240. 13d-1(b)(1)(ii)(G);
(h) [ ] A savings association as defined in Section 3(b) of the Federal
Deposit Insurance Act (12 U.S.C. 1813);
(i) [ ] A church plan that is excluded from the definition of an
investment company under section 3(c)(14) of the Investment Company
Act of 1940 (15 U.S.C. 80a-3);
(j) [ ] Group, in accordance with ss.240.13d-1(b)(1)(ii)(J).
Not applicable. This statement is not being filed pursuant to Rule
13d-1(b), or 13d-2(b) or (c).
ITEM 4. OWNERSHIP
4(A) AND 4(B) AMOUNT BENEFICIALLY OWNED AND PERCENT OF CLASS:
As of the date hereof, Catalyst, together with Laxey, Kingsnorth and Pegge, are
the beneficial owners of 975,840 shares of Common Stock, which represent
approximately 2.98% of the issued and outstanding Common Stock of the Fund. As
of the date hereof, LIL, together with Laxey, Kingsnorth and Pegge, are the
beneficial owners of 10,000 shares of Common Stock, which represent
approximately 0.03% of the issued and outstanding shares of the Common Stock. As
of the date hereof, LPV, together with Laxey, Kingsnorth and Pegge, are the
beneficial owners of 974,000 shares of Common Stock, which represent
approximately 2.98% of the issued and outstanding shares of the Common Stock. As
of the date hereof, LUV, together with Laxey, Kingsnorth and Pegge, are the
beneficial owners of 700,000 shares of Common Stock, which represent
approximately 2.1% of the issued and outstanding shares of the Common Stock. As
of the date hereof, LLP, together with Laxey, Kingsnorth and Pegge are the
beneficial owners of 376,160 shares of Common Stock, which represent
approximately 1.2% of the issued and outstanding shares of the Common Stock. As
of the date hereof, Laxey, through its management of a discretionary account
held for the benefit of an unaffiliated third party, together with Kingsnorth
and Pegge, are the beneficial owners of 974,000 shares of Common Stock, which
represents approximately 2.98% of the issued and outstanding shares of Common
Stock. Accordingly, Laxey, Kingsnorth and Pegge are, as of the date hereof,
beneficial owners of an aggregate of 4,010,000 shares of Common Stock,
constituting approximately 12.3% of the shares of Common Stock outstanding. No
other person identified in Item 2 beneficially owns any shares of Common Stock.
12
4(C) NUMBER OF SHARES AS TO WHICH SUCH PERSON HAS: (I) SOLE POWER TO VOTE
OR TO DIRECT THE VOTE, (II) SHARED POWER TO VOTE OR TO DIRECT THE VOTE,
(III) SOLE POWER TO DISPOSE OR TO DIRECT THE DISPOSITION OF, AND (IV)
SHARED POWER TO DISPOSE OR TO DIRECT THE DISPOSITION OF:
As of the date hereof, Laxey, Kingsnorth and Pegge share with Catalyst the power
to vote and dispose of 975,840 shares of Common Stock. As of the date hereof,
Laxey, Kingsnorth and Pegge share with LIL the power to vote and dispose of
10,000 shares of Common Stock. As of the date hereof, Laxey, Kingsnorth and
Pegge share with LPV the power to vote and dispose of 974,000 shares of Common
Stock. As of the date hereof, Laxey, Kingsnorth and Pegge share with LUV the
power to vote and dispose of 700,000 shares of Common Stock. As of the date
hereof, Laxey, Kingsnorth and Pegge share with LLP the power to vote and dispose
of 376,160 shares of Common Stock. As of the date hereof, Kingsnorth and Pegge
share with Laxey, through its management of a discretionary account held for the
benefit of an unaffiliated third party, the power to vote and dispose of 974,000
shares of Common Stock. Accordingly, Laxey, Kingsnorth and Pegge, as of the date
hereof, have voting power and dispositive power over an aggregate of 4,010,000
shares of Common Stock, constituting approximately 12.3% of the shares of Common
Stock outstanding. No other person identified in Item 2 shares the power to vote
or dispose of any shares of Common Stock.
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:
Not Applicable.
ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP:
The information for this item is contained elsewhere in this Schedule 13G and is
incorporated herein by reference. See also Exhibit A annexed hereto.
ITEM 9. NOTICE OF DISSOLUTION OF 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 and are held in
the ordinary course of business and were not acquired and are not held
for the purpose of or with the
13
effect of changing or influencing the control of the issuer of the
securities and were not acquired and are not held in connection with
or as a participant in any transaction having that purpose or effect.
14
SIGNATURES
After reasonable inquiry and to the best of the knowledge and belief of
the undersigned, the undersigned hereby certifies that the information set forth
in this statement is true, complete and correct.
Dated: September 10, 2002
THE VALUE CATALYST FUND LIMITED
By: /s/ James McCarthy
--------------------------------------
Name: James McCarthy
Title: Chairman
LAXEY INVESTORS LIMITED
By: /s/ Andrew Pegge
--------------------------------------
Name: Andrew Pegge
Title: Director
LAXEY UNIVERSAL VALUE LP
By: Laxey Partners GP(2) Limited, General
Partner
By: /s/ Andrew Pegge
--------------------------------------
Name: Andrew Pegge
Title: its Director
LAXEY INVESTORS L. P.
By: Laxey Partners (GP) Limited, General
Partner
By: /s/ Andrew Pegge
--------------------------------------
Name: Andrew Pegge
Title: its Director
15
LP VALUE LIMITED
By: /s/ Andrew Pegge
--------------------------------------
Name: Andrew Pegge
Title: Director
LAXEY PARTNERS LIMITED
By: /s/ Andrew Pegge
--------------------------------------
Name: Andrew Pegge
Title: Director
/s/ Colin Kingsnorth
-----------------------------------------
Colin Kingsnorth
/s/ Andrew Pegge
-----------------------------------------
Andrew Pegge
16
EXHIBIT A
AGREEMENT OF JOINT FILING
In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as
amended, the undersigned hereby agree to the joint filing with all other persons
signatory below of a statement on Schedule 13G or any amendments thereto, with
respect to the common stock of THE R.O.C. TAIWAN FUND, and that this Agreement
be included as an attachment to such filing.
This Agreement may be executed in any number of counterparts each of which shall
be deemed an original and all of which together shall be deemed to constitute
one and the same Agreement.
IN WITNESS WHEREOF, the undersigned hereby execute this Agreement on the 10th
day of September, 2002.
THE VALUE CATALYST FUND LIMITED
By: /s/ James McCarthy
-----------------------------------------
Name: James McCarthy
Title: Chairman
LAXEY INVESTORS LIMITED
By: /s/ Andrew Pegge
-----------------------------------------
Name: Andrew Pegge
Title: Director
LAXEY UNIVERSAL VALUE LP
By: Laxey Partners GP(2) Limited, General
Partner
By: /s/ Andrew Pegge
-----------------------------------------
Name: Andrew Pegge
Title: its Director
17
LAXEY INVESTORS L. P.
By: Laxey Partners (GP) Limited, General
Partner
By: /s/ Andrew Pegge
-----------------------------------------
Name: Andrew Pegge
Title: its Director
LP VALUE LIMITED
By: /s/ Andrew Pegge
-----------------------------------------
Name: Andrew Pegge
Title: Director
LAXEY PARTNERS LIMITED
By: /s/ Andrew Pegge
-----------------------------------------
Name: Andrew Pegge
Title: Director
/s/ Colin Kingsnorth
---------------------------------------------
Colin Kingsnorth
/s/ Andrew Pegge
---------------------------------------------
Andrew Pegge
18