-----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, OTPDJe6eEmu1an32KVRE0r9K8fQrjlsOmvpJ1LH5CBlEnFVbKuj5D12U5Q6pHSK/ qbJgCTprHomA6q58O8VLIg== /in/edgar/work/0000732905-00-000051/0000732905-00-000051.txt : 20001115 0000732905-00-000051.hdr.sgml : 20001115 ACCESSION NUMBER: 0000732905-00-000051 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20001114 GROUP MEMBERS: TBK PARTNERS,LLC GROUP MEMBERS: TWEEDY BROWNE CO LLC// GROUP MEMBERS: TWEEDY, BROWNE COMPANY LLC GROUP MEMBERS: VANDERBILT PARTNERS, L.P. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: JEFFERIES GROUP INC CENTRAL INDEX KEY: 0000717867 STANDARD INDUSTRIAL CLASSIFICATION: [6211 ] IRS NUMBER: 952848406 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-34762 FILM NUMBER: 766579 BUSINESS ADDRESS: STREET 1: 11100 SANTA MONICA BLVD STREET 2: 10TH FL CITY: LOS ANGELES STATE: CA ZIP: 90025 BUSINESS PHONE: 3104451199 MAIL ADDRESS: STREET 1: 11100 SANTA MONICA BLVD STREET 2: 10TH FLR CITY: LOS ANGELES STATE: CA ZIP: 90025 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: TWEEDY BROWNE CO LLC// CENTRAL INDEX KEY: 0000732905 STANDARD INDUSTRIAL CLASSIFICATION: [ ] IRS NUMBER: 133381587 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 350 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2129160600 MAIL ADDRESS: STREET 1: 350 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: TWEEDY BROWNE CO L P DATE OF NAME CHANGE: 19950926 SC 13D/A 1 0001.txt SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 1 )* of Tweedy, Browne Company LLC SCHEDULE 13D (Amendment No. 1 )* of TBK Partners, LLC SCHEDULE 13D (Amendment No. 1)* of Vanderbilt Partners, L.P. Under the Securities Exchange Act of 1934 Jefferies Group, Inc. (Name of Issuer) Common Stock, Par Value $.01 per Share (Title of Class of Securities) 472319102 (CUSIP Number) John D. Spears 350 Park Avenue New York, New York 10022 (212) 916-0600 (Name, Address and Telephone Number of Persons Authorized to Receive Notices and Communications) November 1, 2000 (Date of Event which Required 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 [ ]. Check the following box if a fee is paid with the statement [ ]. (A fee is not required only if the reporting person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) * 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 the provisions of the Act (however, see the Notes). CUSIP No. 472319102 - ---------------------------------------------------------------------------- Names of Reporting Persons I.R.S. Identification Nos. of Above Persons Tweedy, Browne Company LLC ("TBC") - ---------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) [ ] (b) [x] - ---------------------------------------------------------------------------- (3) SEC Use Only - ---------------------------------------------------------------------------- (4) Source of Funds (See Instructions) 00 - ---------------------------------------------------------------------------- (5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items (2)(d) or 2(e) [ ] - ---------------------------------------------------------------------------- (6) Citizenship or Place of Organization Delaware - ---------------------------------------------------------------------------- (7) Sole Voting Power TBC has sole voting power with respect to 925,982 shares held in certain TBC accounts (as hereinafter defined). Additionally, certain of the Members of TBC may be deemed to have sole power to vote certain shares as more fully set forth herein. Number of Shares ------------------------------------------------------- Beneficially (8) Shared Voting Power Owned by Each 0 shares Reporting Person With: ------------------------------------------------------- (9) Sole Dispositive Power 0 shares, except that certain of the members of TBC may be deemed to have sole power to vote certain shares as more fully set forth herein. ------------------------------------------------------- (10) Shared Dispositive Power 995,489 shares held in accounts of TBC (as hereinafter defined). - ---------------------------------------------------------------------------- (11) Aggregate Amount Beneficially Owned by Each Reporting Person 995,489 shares - ---------------------------------------------------------------------------- (12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [x] - ---------------------------------------------------------------------------- (13) Percent of Class Represented by Amount in Row (11) 4.08% - ---------------------------------------------------------------------------- (14) Type of Reporting Person (See Instructions) BD, IA & 00 CUSIP No. 472319102 - ---------------------------------------------------------------------------- (1) Names of Reporting Persons I.R.S. Identification Nos. of Above Persons TBK Partners, LLC (FKA TBK Partners, L.P.) ("TBK") - ---------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) [ ] (b) [ x] - ---------------------------------------------------------------------------- (3) SEC Use Only - ---------------------------------------------------------------------------- (4) Source of Funds (See Instructions) WC and BK - ---------------------------------------------------------------------------- (5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items (2)(d) or 2(e) [ ] - ---------------------------------------------------------------------------- (6) Citizenship or Place of Organization Delaware - ---------------------------------------------------------------------------- (7) Sole Voting Power 226,040 shares, except that the the Members of TBC, solely by reason of their being the manager of TBK, may be deemed to shared power to vote these shares. Number of Shares ----------------------------------------------------- Beneficially (8) Shared Voting Power Owned by Each 0 shares Reporting Person With: ----------------------------------------------------- (9) Sole Dispositive Power 226,040 shares, except that the members of TBC, solely by reason of their being the manager of TBC may be deemed to have shared power to vote these shares. ----------------------------------------------------- (10) Shared Dispositive Power 0 shares - ---------------------------------------------------------------------------- (11) Aggregate Amount Beneficially Owned by Each Reporting Person 226,040 shares - ---------------------------------------------------------------------------- (12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [ ] - ---------------------------------------------------------------------------- (13) Percent of Class Represented by Amount in Row (11) 0.92% - ---------------------------------------------------------------------------- (14) Type of Reporting Person (See Instructions) 00 CUSIP No. 472319102 - ---------------------------------------------------------------------------- (1) Names of Reporting Persons I.R.S. Identification Nos. of Above Persons Vanderbilt Partners, L.P. ("Vanderbilt") - ---------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) [ ] (b) [X] - ---------------------------------------------------------------------------- (3) SEC Use Only - ---------------------------------------------------------------------------- (4) Source of Funds (See Instructions) WC and BK - ---------------------------------------------------------------------------- (5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items (2)(d) or 2(e) [ ] - ---------------------------------------------------------------------------- (6) Citizenship or Place of Organization Delaware - ---------------------------------------------------------------------------- (7) Sole Voting Power 55,044 shares, except that the general partners in Vanderbilt, solely by reason of their positions as such, may be deemed to have shared power to vote these shares. Number of Shares ------------------------------------------------------ Beneficially (8) Shared Voting Power Owned by each 0 shares Reporting Person ------------------------------------------------------ With: (9) Sole Dispositive Power 55,044 shares, except that the general partners in Vanderbilt, solely by reason of their positions as such, may be deemed to have shared power to vote these shares. ------------------------------------------------------- (10) Shared Dispositive Power 0 shares - ---------------------------------------------------------------------------- (11) Aggregate Amount Beneficially Owned by Each Reporting Person 55,044 shares - ---------------------------------------------------------------------------- (12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [ ] - ---------------------------------------------------------------------------- (13) Percent of Class Represented by Amount in Row (11) 0.23% - ---------------------------------------------------------------------------- (14) Type of Reporting Person (See Instructions) PN PRELIMINARY NOTE The persons filing this Amendment No. 1 are (i) Tweedy, Browne Company LLC ("TBC"), a Delaware limited liability company, (ii) TBK Partners, LLC (formerly known as TBK Partners, L.P. ("TBK"), a Delaware limited liability company and (iii) Vanderbilt Partners, L.P. ("Vanderbilt"), a Delaware limited partnership. This Amendment No. 1 amends a Statement on Schedule 13D filed by TBC, TBK and Vanderbilt dated May 12, 1999 (the "Statement"). The filing of this Amendment No. 1 should not be deemed an admission that TBC, TBK and Vanderbilt comprise a group within the meaning of Section 13(d)(3) of the Securities and Exchange Act of 1934, as amended (the "Act"). This Amendment No. 1 relates to the Common Stock, $.01 par value (the "Common Stock") of Jefferies Group, Inc. (the "Company"), which, to the best knowledge of the persons filing this Amendment No. 1, is a company organized under the laws of Delaware, with its principal executive offices located at 11100 Santa Monica Boulevard, Los Angeles, CA 90025. This Amendment No. 1 contains information regarding shares of Common Stock that may be deemed to be beneficially owned by TBC. Such shares are held in the accounts of various customers of TBC, with respect to which it has investment discretion and sole or shared voting power (the "TBC Accounts"). Other than as set forth below, to the best knowledge of TBC, TBK and Vanderbilt, there has been no material change in the information set forth in response to Items 1,3,6 and 7 of the Statement, as amended. Accordingly, those Items are omitted from this Amendment No. 1. ITEM 2. IDENTITY AND BACKGROUND Other than as set forth herein, to the best knowledge of TBC, TBK and Vanderbilt, there has been no material change in the information set forth in Item 2 of the Statement, as amended. (a) The managing member of TBK is TBC, the members of which are Christopher H. Browne, William H. Browne and John D. Spears, Thomas H. Shrager, Robert Q. Wyckoff, Jr. and AMG/TBC Holdings, Inc. ("Holdings") (the "TBC Members"). The general partners of Vanderbilt are Christopher H. Browne, William H. Browne and John D. Spears (the "Vanderbilt General Partners"). (b) The business address of each of TBC, TBK, Vanderbilt, the TBC Members (except Holdings), and the Vanderbilt General Partners is 350 Park Avenue, New York, NY 10022. The business address of Holdings is Two International Place, 23rd Floor, Boston, MA 02110. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER (a) As of the date hereof, TBC may be deemed to be the beneficial owner of an aggregate of 995,489 shares of Common Stock, which constitutes approximately 4.08% of the 24,417,431 shares of Common Stock which TBC believes to be the total number of shares of Common Stock outstanding. The TBC Shares are held in the TBC Accounts. Also included in the TBC Shares are 580 shares of Common Stock held in a certain TBC Account for a charitable foundation of which Christopher H. Browne is a trustee. Mr. Browne is a TBC Member and is also a Vanderbilt General Partner. Also included in the TBC Shares are 20,980 shares of Common Stock held in a certain TBC Account for John D. Spears and 3,200 shares of Common Stock held in a certain TBC Account for John D. Spears and his wife. Mr. Spears is a TBC Member and is also a Vanderbilt General Partner. As of the date hereof, TBK beneficially owns directly 226,040 shares of Common Stock, which constitutes approximately 0.92% of the 24,417,431 shares of Common Stock which TBK believes to be the total number of shares of Common Stock outstanding. As of the date hereof, Vanderbilt beneficially owns directly 55,044 shares of Common Stock, which constitutes approximately 0.23% of the 24,417,431 shares of Common Stock which Vanderbilt believes to be the total number of shares of Common Stock outstanding. Each of TBC, TBK and Vanderbilt disclaims that it is the beneficial owner of any of the shares of Common Stock held in the TBC Accounts. The aggregate number of shares of Common Stock with respect to which TBC, TBK and Vanderbilt could be deemed to be the beneficial owner as of the date hereof, is 1,276,573 shares, which constitutes approximately 5.23% of the 24,417,431 shares of Common Stock, which the filing persons believe to be the total number of shares of Common Stock outstanding. Nothing contained herein shall be construed as an admission that TBC is the beneficial owner of any of the TBC Shares. The aggregate number of shares and percentage of Common Stock with respect to which each of the Members of TBC which is the Manager of TBK, and who are also Vanderbilt General Partners, may be deemed to be the beneficial owner by reason of their being a Member of TBC and a general partner in Vanderbilt, respectively, is 1,276,573 shares, which constitutes approximately 5.23% of the 24,417,431 shares of Common Stock outstanding. However, nothing contained herein shall be construed as an admission that any of the Members of TBC, some of whom are also Vanderbilt General Partners, is the beneficial owner of any shares of Common Stock, except as set forth herein as expressly and admittedly being beneficially owned by a particular General Partner. Each of TBC, TBK and Vanderbilt disclaims beneficial ownership of Common Stock held by the other. Except as described herein, to the best knowledge of TBC, TBK and Vanderbilt, no person who may be deemed to comprise a group with any of TBC, TBK, Vanderbilt, or any other person named in Item 2 of the Statement, as amended, beneficially owns any shares of Common Stock. (b) TBC has investment discretion with respect to 995,489 shares of Common Stock held by the TBC Accounts and has sole power to dispose or direct the disposition of all of such shares. Of these shares of Common Stock, TBC has sole power to vote or to direct the voting of 925,982 shares of Common Stock held in certain TBC Accounts. Each of the TBC Members, solely by reason of their positions as such, may be deemed to have (i) shared power to dispose or to direct the disposition of all of the shares of Common Stock held in the TBC Accounts; (ii) shared power to vote or direct the vote of 925,982 shares of Common Stock held in certain TBC Accounts and (iii) shared power to vote or direct the vote of and to dispose or direct the disposition of the TBK Shares. TBK has the sole power to vote or direct the voting of and dispose or direct the disposition of the TBK Shares. Vanderbilt has the sole power to vote or direct the voting of and dispose or direct the disposition of the Vanderbilt Shares. Each of the Vanderbilt General Partners, solely by reason of their positions as such, may be deemed to have shared power to vote or direct the vote of and to dispose or direct the disposition of the Vanderbilt Shares. ( c) No transactions were effected by TBK and Vanderbilt during the sixty-day period ended as of the date hereof. Transactions in Common Stock effected by TBC during the sixty-day period ended as of the date hereof are set forth below:
REPORTING NO. OF SHARES NO. OF SHARES PRICE PERSON DATE PURCHASED SOLD Other PER SHARE TBC Accounts 10/06/00 300 $25 1/16 10/12/00 *280 10/26/00 **34,100 10/31/00 2,760 $27.3125 11/01/00 ***1,190 * 280 shares of Common Stock were delivered out of a certain TBC Account pursuant to a Client's instructions. ** 34,100 shares of Common Stock were delivered out of a certain TBC Account pursuant to a Client's instructions. *** 1,190 shares of Common Stock were delivered out of a certain TBC Account pursuant to a Client's instructions.
(d) To the best knowledge of TBC, each of the persons maintaining an account with TBC has the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the shares of Common Stock held in said person's TBC Account. To the best knowledge of TBK, no person other than TBK has the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the TBK Shares, except that the TBC Members may be deemed to have such rights and powers solely by reason of being the Members of TBC, which is the Manager of TBK. To the best knowledge of Vanderbilt, no person other than Vanderbilt has the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the Vanderbilt Shares, except that the Vanderbilt General Partners may be deemed to have such rights and powers solely by reason of being general partners in Vanderbilt. (e) Not applicable. SIGNATURE Each of Tweedy, Browne Company LLC ("TBC") TBK Partners, LLC ("TBK")and Vanderbilt Partners, L.P. ("Vanderbilt") after reasonable inquiry and to the best of its knowledge and belief, hereby certifies that the information set forth in this Amendment No. 1 is true, complete and correct. TWEEDY, BROWNE COMPANY LLC By: /s/ Christopher H. Browne -------------------------------- Christopher H. Browne Member TBK PARTNERS, LLC By: Tweedy, Browne Company LLC, Manager By: /s/ Christopher H. Browne -------------------------------- Christopher H. Browne Managing Director VANDERBILT PARTNERS, L.P. By : /s/ Christopher H. Browne -------------------------------- Christopher H. Browne General Partner Dated: November 1, 2000 -----END PRIVACY-ENHANCED MESSAGE-----