-----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, E/JHGCDsyfz9x9FVnGeWjBeimn3udG5WOPJlrvr/JPyx6qEb/9hgm/m4MiYxIvot Am2qoYkDz5oMMYIesbmUBQ== 0000950157-97-000128.txt : 19970222 0000950157-97-000128.hdr.sgml : 19970222 ACCESSION NUMBER: 0000950157-97-000128 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19970204 FILED AS OF DATE: 19970214 SROS: NYSE SROS: PSE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MORGAN STANLEY GROUP INC /DE/ CENTRAL INDEX KEY: 0000789625 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 132838811 STATE OF INCORPORATION: DE FISCAL YEAR END: 0131 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09085 FILM NUMBER: 97535324 BUSINESS ADDRESS: STREET 1: 1585 BROADWAY CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 2127034000 COMPANY DATA: COMPANY CONFORMED NAME: DEAN WITTER DISCOVER & CO CENTRAL INDEX KEY: 0000895421 STANDARD INDUSTRIAL CLASSIFICATION: PERSONAL CREDIT INSTITUTIONS [6141] OWNER IRS NUMBER: 363145972 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: TWO WORLD TRADE CENTER CITY: NEW YORK STATE: NY ZIP: 10048 BUSINESS PHONE: 2123922222 3 1 INIT. STMNT OF BENEFICIAL OWNERSHIP OF SECUR. ------------------------------ OMB APPROVAL ------------------------------ OMB Number 3235-0104 Expires: April 30, 1997 Estimated average burden hours per response ....... 0.5 ------------------------------ U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 3 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 =============================================================================== 1. Name and Address of Reporting Person Dean Witter, Discover & Co. - ------------------------------------------------------------------------------- (Last) (First) (Middle) Two World Trade Center - ------------------------------------------------------------------------------- (Street) New York, NY 10048 - ------------------------------------------------------------------------------- (City) (State) (Zip) =============================================================================== 2. Date of Event Requiring Statement (Month/Day/Year) 02/04/97 =============================================================================== 3. IRS or Social Security Number of Reporting Person (Voluntary) 36-3145972 =============================================================================== 4. Issuer Name and Ticker or Trading Symbol Morgan Stanley Group Inc. (MS) =============================================================================== 5 Relationship of Reporting Person to Issuer (Check all applicable) [ ] Director [ x ] 10% Owner [ ] Officer (give title below) [ ] Other (specify below) -------------------------------------------------------------------- =============================================================================== 6. If Amendment, Date of Original (Month/Year) =============================================================================== 7. Individual or Joint/Group Filing (Check applicable line) [X] Form filed by One Reporting Person [ ] Form filed by More than One Reporting Person =============================================================================== Table I -- Non-Derivative Securities Beneficially Owned ===============================================================================
3. Ownership Form: 2. Amount of Securities Direct (D) or 1. Title of Security Beneficially Owned Indirect (I) 4. Nature of Indirect Beneficial Ownership (Instr. 4) (Instr. 4) (Instr. 5) (Instr.5) - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- ===================================================================================================================================
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Print or Type Responses) FORM 3 (continued) Table II -- Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ===============================================================================
5. Owner- 3. Title and Amount of Securities ship Underlying Derivative Security Form of 2. Date Exercisable (Instr. 4) Derivative and Expiration Date --------------------------------- 4. Conver- Security: (Month/Day/Year) Amount sion or Direct 6. Nature of ---------------------- or Exercise (D) or Indirect Date Expira- Number Price of Indirect Beneficial 1. Title of Derivative Exer- tion of Derivative (I) Ownership Security (Instr. 4) cisable Date Title Shares Security (Instr.5) (Instr. 5) - ----------------------------------------------------------------------------------------------------------------------------------- Option (see below) (see below) (see below) Common Stock 31,506,582 $62.906 D - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- =================================================================================================================================== Explanation of Responses: In connection with an Agreement and Plan of Merger (the "Merger Agreement") dated as of February 4, 1997, between Dean Witter, Discover & Co. (the "Reporting Person") and Morgan Stanley Group Inc. (the "Issuer"), the Reporting Person and the Issuer entered into a Stock Option Agreement dated as of February 4, 1997, providing for the option described above. The option is exercisable only upon the occurrence of certain events described in the Stock Option Agreement and expires upon, or following a certain period after, the occurrence of certain events described in the Stock Option Agreement. The number of shares of common stock of the Issuer purchasable by the Reporting Person under the option will be adjusted if necessary so that the number of shares purchasable by the Reporting Person upon exercise of the option at the time of such exercise will equal 19.9% of the ourstanding shares of Common Stock of the Issuer at such time. Prior to such exercise, the Reporting Person expressly disclaims beneficial ownership of the shares of Common Stock of the Issuer which are purchasable by the Reporting Person upon Exercise of such option.
/s/ Ronald T. Carman February 14, 1997 - --------------------------------------------- ---------------------- **Signature of Reporting Person Date By Ronald T. Carman Title: Senior Vice President and Associate General Counsel ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient. See Instruction 6 for procedure. -----END PRIVACY-ENHANCED MESSAGE-----