-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, S6dty6EENb8OGb40UDGNBmh9lB5bz/QczoWHCOjJ9FJjdmuQVdkqLnthhyMZvRAu 7lmF6TJNHzsvo/4PvvpBOA== 0000895421-02-000158.txt : 20021010 0000895421-02-000158.hdr.sgml : 20021010 20021010135322 ACCESSION NUMBER: 0000895421-02-000158 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20021010 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MARVEL ENTERPRISES INC CENTRAL INDEX KEY: 0000933730 STANDARD INDUSTRIAL CLASSIFICATION: DOLLS & STUFFED TOYS [3942] IRS NUMBER: 133711775 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-49226 FILM NUMBER: 02786171 BUSINESS ADDRESS: STREET 1: 387 PARK AVENUE SOUTH CITY: NEW YORK STATE: NY ZIP: 10016 BUSINESS PHONE: 2126960808 MAIL ADDRESS: STREET 1: 387 PARK AVE SOUTH CITY: NEW YORK STATE: NY ZIP: 10016 FORMER COMPANY: FORMER CONFORMED NAME: TOY BIZ INC DATE OF NAME CHANGE: 19941213 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MORGAN STANLEY CENTRAL INDEX KEY: 0000895421 STANDARD INDUSTRIAL CLASSIFICATION: FINANCE SERVICES [6199] IRS NUMBER: 363145972 STATE OF INCORPORATION: DE FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 1585 BROADWAY CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 2127614000 MAIL ADDRESS: STREET 1: 1221 SIXTH AVENUE STREET 2: 27TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10020 FORMER COMPANY: FORMER CONFORMED NAME: DEAN WITTER DISCOVER & CO DATE OF NAME CHANGE: 19960315 FORMER COMPANY: FORMER CONFORMED NAME: MORGAN STANLEY DEAN WITTER & CO DATE OF NAME CHANGE: 19980326 SC 13D/A 1 marvel13d.txt MARVEL ENTERPRISES UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 7)* Marvel Enterprises, Inc. - ------------------------------------------------------------------------------- (Name of Issuer) Common Stock - ------------------------------------------------------------------------------- (Title of Class of Securities) 57383M-10-8 - ------------------------------------------------------------------------------- (CUSIP Number) Robert G. Koppenol Morgan Stanley Dean Witter & Co. 1585 Broadway NY, NY 10036 (212) 761-4000 - ------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) October 9, 2002 ------------------------------------------------------------------------------- (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(b)(3) or (4), check the following box / /. Note: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d-1(a) for other parties to whom copies are to be sent. * 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 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act. CUSIP No. 57383M-10-8 SCHEDULE 13D - ------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Morgan Stanley Dean Witter & Co. IRS # 39-319-5972 - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) /X/ - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* NA - ------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) / / - ------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION The state of organization is Delaware - ------------------------------------------------------------------------------- 7 SOLE VOTING POWER None NUMBER OF ------------------------------------------------------------ SHARES 8 SHARED VOTING POWER BENEFICIALLY . OWNED BY EACH ------------------------------------------------------------ REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH 0 ------------------------------------------------------------ 10 SHARED DISPOSITIVE POWER . - ------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON - ------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / / - ------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) - ------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* CO - ------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. CUSIP No. 57383M-10-8 SCHEDULE 13D - ------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Morgan Stanley & Co. Incorporated IRS # 13-265-5996 - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) /X/ - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* NA - ------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) / / - ------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION The state of organization is Delaware - ------------------------------------------------------------------------------- 7 SOLE VOTING POWER None NUMBER OF ------------------------------------------------------------ SHARES 8 SHARED VOTING POWER BENEFICIALLY OWNED BY EACH ------------------------------------------------------------ REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH 0 ------------------------------------------------------------ 10 SHARED DISPOSITIVE POWER - ------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON - ------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / / - ------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) - ------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* BD,CO - ------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. CUSIP No. 57383M-10-8 SCHEDULE 13D This Amendment No. 7 to Schedule 13D amends and supplements the original Schedule 13D, dated October 19, 1998, and subsequent amendments thereto, which was filed with the Securities and Exchange Commission (the "Commission") on October 29, 1998, on behalf of Morgan Stanley Dean Witter & Co. and Morgan Stanley & Co. Incorporated with respect to the ownership of Common Stock of Marvel Enterprises, Inc. (the "Company"). Each capitalized term not defined in this amendment has the same meaning here as in the original 13D. Item 6. Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer. Item 6 is hereby amended by adding the following: On October 4, 2002, the Stockholders' Agreement was terminated pursuant to Section 4.2(a)(i) thereof. A copy of the Agreement to Terminate the Stockholders' Agreement is attached hereto as Exhibit 5. Item 7. Material to Be Filed as Exhibits. Item 7 is hereby amended and supplemented by adding the following: Exhibit 5 Agreement to Terminate the Stockholders' Agreement. SIGNATURE After reasonable inquiry and to the best of its knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct. Dated: October 9, 2002 MORGAN STANLEY DEAN WITTER & CO. Signature: / s / Robert G. Koppenol ------------------------- Name/Title Robert G. Koppenol/Executive Director Morgan Stanley & Co. Incorporated Dated: October 9, 2002 MORGAN STANLEY & CO. INCORPORATED Signature: / s / Robert G. Koppenol Name/Title Robert G. Koppenol/Executive Director Morgan Stanley & Co. Incorporated SCHEDULE A - - - - - - - - - - - - EXECUTIVE OFFICERS AND DIRECTORS OF MORGAN STANLEY DEAN WITTER & CO. The names of the Directors and the names and titles of the Executive Directors of Morgan Stanley Dean Witter & Co. ("MSDW") and their business addresses and principal occupations are set forth below. If no address is given, the Director's or Executive Officer's business address is that of MSDW at 1585 Broadway, New York, New York 10036. Unless otherwise indicated, each occupation set forth opposite an individual's name refers to MSDW and each individual is a United States citizen. Name, Business Address Present Principal Occupation - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - o Philip J. Purcell Chairman of the Board and Chief Executive Officer o Robert G. Scott President and Chief Operating Officer 1585 Broadway, 39th floor New York, NY 10036 o Robert P. Bauman Retired; former Chief Executive Officer of Smithkline Beecham plc Invensys plc Invensys House Carlisle Place London SW1P 1BX ENGLAND o Edward A. Brennan Retired; former Chairman of the Board 400 North Michigan Avenue President and Chief Executive Suite 400 Officer of Sears, Roebuck and Co Chicago, IL 60611 o John E. Jacob Executive Vice President and Chief Communications Officer of Anheuser-Busch Companies, Inc. Anheuser-Busch Companies, Inc. One Busch Place St. Louis, MO 63118 o C. Robert Kidder Chairman of the Board and Chief Executive Officer of Borden, Inc. Borden, Inc. 180 East Broad St. Columbus, OH 43215 o Charles F. Knight Chairman of Emerson Electric Co. Emerson Electric Co. 8000 West Florissant St. Louis, MO 63136 Name, Business Address Present Principal Occupation - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - o John W. Madigan Chairman, President and Chief Executive Officer of Tribune Tribune Company 435 North Michigan Avenue Suite 2300 Chicago, IL 60611 o Miles L. Marsh Former Chairman of the Board and Chief Executive Officer of W.H. Clark & Associates Fort James Corporation 20 S. Clark St, Suite 2222 Chicago, IL 60603 o Michael A. Miles Special Limited Partner of Forstmann Little and Co. 1350 Lake Road Lake Forest, IL 60045 o Laura D'Andrea Tyson Dean of the Walter A. Haas School of Business at the Walter A. Haas School of Business University of California, Berkeley University of Calif., Berkeley Berkeley, CA 94720-1900 Stephen S. Crawford Executive Vice President and Chief Financial Officer Roger C. Hochschild Executive Vice President and Chief Strategic and Administrative Officer Donald G. Kempf, Jr. Executive Vice President, Chief Legal Officer & Secretary Tarek F. Abdel-Meguid Head of Worldwide Investment Banking Zoe Cruz Head of Worldwide Fixed Income Division John P. Havens Head of Worldwide Institutional Equities Group Mitchell M. Merin President and COO, Investment Management David W. Nelms President and COO, Discover Financial Services Stephan F. Newhouse Co-President and COO, Institutional Securities Group Vikram S. Pandit Co-President and COO, Institutional Securities Group Joseph R. Perella Chairman of Institutional ecurities Group John H. Schaefer President and COO, Individual Investor Group - - - - - - - - - - - - - o Director SCHEDULE B EXECUTIVE OFFICERS AND DIRECTORS MORGAN STANLEY & CO. INCORPORATED The names of the directors and the names and titles of the Executive Officers of Morgan Stanley & Co. Incorporated ("MS&Co." ) and their business addresses and principal occupations are set forth below. If no address is given, the Director's or Executive Officer's business address is that of MS&Co. at 1585 Broadway, New York, New York 10036. Unless otherwise indicated, each occupation set forth opposite an individual's name refers to MS&Co. and each individual is a United States citizen. Name, Business Address Present Principal Occupation - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - Zoe Cruz Managing Director of MS&Co. and Head of Worldwide Fixed Income Division of MSDW Bruce D. Fiedorek Vice Chairman and Managing Director of MS&Co. Mario Francescotti (UK citizen) Managing Director of MS&Co. and President and Chief Operating Officer of MSDW John P. Havens Managing Director of MS&Co. and Head of Worldwide Institutional Equities Group of MSDW Donald G. Kempf, Jr. Managing Director of MS&Co. and Executive Vice President, Chief Legal Officer and Secretary of MSDW Tarek F. Abdel-Meguid Managing Director of MS&Co. and Head of Worldwide Investment Banking of MSDW Eileen K. Murray Managing Director of MS&Co. and Chief Administrative Officer of MS&Co. Stephan F. Newhouse Managing Director of MS&Co. and Co- President and COO, Institutional Securities Group of MSDW Vikram S. Pandit Managing Director of MS&Co. and Co- President and COO, Institutional Securities Group of MSDW Ralph Pellecchio Managing Director of MS&Co. and General Counsel and Secretary of MS&Co. Joseph R. Perella Managing Director of MS&Co. and President of MSDW Japan Limited Thierry G. Porte (French citizen) Managing Director of MS&Co. and President of MSDW Japan Limited Philip J. Purcell Managing Director of MS&Co. and Chairman of the Board and Chief Executive Officer of MSDW Executive Officers - - - - - - - - - - - - Joseph R. Perella Managing Director of MS&Co. and Chairman of Institutional Securities Group of MSDW Bruce D. Fiedorek Vice Chairman and Managing Director of MS&Co. Stephan F. Newhouse Managing Director of MS&Co. and Co- President and COO, Institutional Securities Group of MSDW Vikram S. Pandit Managing Director of MS&Co. and Co- President and COO, Institutional Securities Group of MSDW Ralph Pellecchio Managing Director of MS&Co. and General Counsel and Secretary of MS&Co. Alexander C. Frank Managing Director of MS&Co. and Treasurer of MS&Co. and MSDW Robert G. Scott Managing Director of MS&Co. and CFO of MS&Co. EXHBIT 5 AGREEMENT TO TERMINATE STOCKHOLDERS AGREEMENT The undersigned are all of the parties who remain subject to the Stockholders Agreement, dated as of October 4, 1998 (the Stockholders Agreement), among Avi Arad, various Dickstein entities and individuals, Isaac Perlmutter, Isaac Perlmutter T.A., The Laura & Isaac Perlmutter Foundation Inc., Object Trading Corp., Zib Inc., The Chase Manhattan Bank, Morgan Stanley & Co. Incorporated, Whippoorwill Associates, Incorporated, as agent for or general partner of various accounts, and Marvel Enterprises, Inc. (formerly known as Toy Biz, Inc.). The undersigned desire to terminate the Stockholders Agreement and all of their rights and obligations thereunder. THEREFORE, the undersigned agree as follows: 1. Pursuant to Section 4.2(a)(i) of the Stockholders Agreement, the undersigned agree that the Stockholders Agreement is hereby terminated and all rights and obligations of each of the undersigned thereunder are hereby terminated, all as of the date of this agreement. 2. This agreement contains the entire understanding among the parties hereto with respect to the subject matter hereof, and supersedes all prior and contemporaneous agreements and understandings among the parties. 3. This agreement may be executed in any number of counterparts, each of which shall be deemed an original, but all of which together shall constitute one and the same instrument. 4. This agreement shall be governed by and construed in accordance with the laws of the State of Delaware without giving effect to the principles of the conflict of law thereof. IN WITNESS WHEREOF, the parties have duly executed this agreement as of the date first written above. ________________________ Avi Arad ________________________ Isaac Perlmutter ISAAC PERLMUTTER T.A. By:________________________ Name: Isaac Perlmutter Title: Trustee THE LAURA & ISAAC PERLMUTTER FOUNDATION, INC. By:________________________ Name: Isaac Perlmutter Title: President OBJECT TRADING CORP. By:_________________________ Name: Isaac Perlmutter Title: President ZIB, INC. By:_________________________ Name: Isaac Perlmutter Title: President MORGAN STANLEY & CO. INCORPORATED By:_________________________ Name: Michael J. Petrick Title: Managing Director WHIPPOORWILL ASSOCIATES, INCORPORATED, As agent of and/or general partner for various accounts By:_________________________ Name: Shelley Greenhaus Title: Managing Director MARVEL ENTERPRISES, INC. By:_________________________ Name: Peter Cuneo Title: President and Chief Executive Officer U:llago/shared/marvelkoppenol.doc -----END PRIVACY-ENHANCED MESSAGE-----