High Income Opportunity Fund Inc. Issues Statement
December 01 2003 - 7:28PM
PR Newswire (US)
High Income Opportunity Fund Inc. Issues Statement NEW YORK, Dec. 1
/PRNewswire-FirstCall/ -- High Income Opportunity Fund Inc., which
is traded on the New York Stock Exchange under the symbol "HIO,"
issued today the following statement: The Fund has received the
following information from Citigroup Asset Management ("CAM"), the
Citigroup business unit which includes the Fund's Investment
Manager and other investment advisory companies, all of which are
indirect, wholly-owned subsidiaries of Citigroup. CAM is reviewing
its entry, through an affiliate, into the transfer agent business
in the period 1997- 1999. As CAM currently understands the facts,
at the time CAM decided to enter the transfer agent business, CAM
sub-contracted for a period of five years certain of the transfer
agency services to a third party and also concluded a revenue
guarantee agreement with this sub-contractor providing that the
sub-contractor would guarantee certain benefits to CAM or its
affiliates (the "Revenue Guarantee Agreement"). In connection with
the subsequent purchase of the sub-contractor's business by an
affiliate of the current sub-transfer agent (PFPC Inc.) used by CAM
on many of the funds it manages, this Revenue Guarantee Agreement
was amended eliminating those benefits in exchange for arrangements
that included a one-time payment from the sub-contractor. The
Boards of CAM-managed funds (the "Boards") were not informed of the
Revenue Guarantee Agreement with the sub-contractor at the time the
Boards considered and approved the transfer agent arrangements. Nor
were the Boards informed of the subsequent amendment to the Revenue
Guarantee Agreement when that occurred. CAM has begun to take
corrective actions. CAM will pay to the applicable funds $16
million (plus interest) that CAM and its affiliates received from
the Revenue Guarantee Agreement and its amendment. CAM also plans
an independent review to verify that the transfer agency fees
charged by CAM were fairly priced as compared to competitive
alternatives. CAM is instituting new procedures and making changes
designed to ensure no similar arrangements are entered into in the
future. CAM has briefed the SEC, the New York State Attorney
General and other regulators with respect to this matter, as well
as the U.S. Attorney who is investigating the matter. CAM is
cooperating with governmental authorities on this matter. The
Fund's transfer agent is PFPC Inc., which is not affiliated with
CAM. High Income Opportunity Fund Inc., a diversified investment
management company, is managed by Smith Barney Fund Management LLC,
an indirect wholly owned subsidiary of Citigroup Inc. DATASOURCE:
High Income Opportunity Fund Inc. CONTACT: Brenda Grandell,
Director, Closed-End Funds, +1-212-291-3775, or Investors:
1-888-735-6507
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