SC 13D/A 1 dsc13da.txt AMENDMENT NO. 21 TO SCHEDULE 13D SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 21) Morgan Stanley Group Inc. ------------------------- (Name of Issuer) Common Stock, $1.00 par value ----------------------------- (Title of Class of Securities) 617446 10 9 -------------- (CUSIP Number) Jonathan M. Clark, Esq. General Counsel and Secretary Morgan Stanley Group Inc. 1251 Avenue of the Americas New York, NY 10020 (212) 703-4000 -------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) February 28, 1995 ------------------------------------------------------- (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: [_] Check the following box if a fee is being paid with this statement: [_] SCHEDULE 13D CUSIP No. 617446109 ----------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 S.S. or I.R.S. IDENTIFICATION NUMBER OF ABOVE PERSONS Richard B. Fisher - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [X] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ SOURCE OF FUNDS* 4 00 - ------------------------------------------------------------------------------ CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [_] 5 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 6 United States - ------------------------------------------------------------------------------ SOLE VOTING POWER 7 NUMBER OF less than 1% SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 8 OWNED BY 32,122,947 ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 9 REPORTING 3-4% PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 10 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11 32,124,004 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* 12 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 13 37.8% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON 14 IN - ------------------------------------------------------------------------------ SCHEDULE 13D CUSIP No. 617446109 ----------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 S.S. or I.R.S. IDENTIFICATION NUMBER OF ABOVE PERSON John J. Mack - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [X] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ SOURCE OF FUNDS* 4 00 - ------------------------------------------------------------------------------ CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [_] 5 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 6 United States - ------------------------------------------------------------------------------ SOLE VOTING POWER 7 NUMBER OF less than 1% SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 8 OWNED BY 32,122,947 ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 9 REPORTING 1-2% PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 10 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11 32,124,004 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* 12 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 13 37.8% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON 14 IN - ------------------------------------------------------------------------------ SCHEDULE 13D CUSIP No. 617446109 ----------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 S.S. or I.R.S. IDENTIFICATION NUMBER OF ABOVE PERSON Barton M. Biggs - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [X] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ SOURCE OF FUNDS* 4 00 - ------------------------------------------------------------------------------ CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [_] 5 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 6 United States - ------------------------------------------------------------------------------ SOLE VOTING POWER 7 NUMBER OF less than 1% SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 8 OWNED BY 32,122,947 ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 9 REPORTING 1-2% PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 10 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11 32,124,004 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* 12 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 13 37.8% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON 14 IN - ------------------------------------------------------------------------------ SCHEDULE 13D CUSIP No. 617446109 ----------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 S.S. or I.R.S. IDENTIFICATION NUMBER OF ABOVE PERSON Each of the persons described on Appendix A. - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [X] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ SOURCE OF FUNDS* 4 00 (Applies to each person listed on Appendix A) - ------------------------------------------------------------------------------ CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [_] 5 (Applies to each person listed on Appendix A) [_] - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 6 As started on Appendix A - ------------------------------------------------------------------------------ SOLE VOTING POWER 7 NUMBER OF less than 1% (Applies to each person listed on Appendix A) SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 8 OWNED BY 32,122,947 (Applies to each person listed on Appendix A) ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 9 REPORTING less than 1% (Applies to each person listed on Appendix A) PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 10 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11 As stated on Appendix A - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* 12 (Applies to each person listed on Appendix A) [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 13 As stated on Appendix A - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON 14 IN (Applies to each person listed on Appendix A) - ------------------------------------------------------------------------------ Appendix A
LINE 1 LINE 6 LINE 11 LINE 13 Aggregate Percent of Class Amount Represented By NAME Citizenship Beneficially Held Amount in Line 11 - --------------------------- ----------- ----------------- ----------------- AARON, DEBRA M. USA 32,123,495 37.8% ABBEY, SCOTT G. USA 32,123,830 37.8% ABDEL-MEGUID, TAREK F. USA 32,123,616 37.8% ABE, MITSUHIRO Japan 32,122,947 37.8% ABOURACHED, CHARBEL E. USA 32,123,367 37.8% ABRAMOVITZ, DEBRA USA 32,123,380 37.8% ACKERMAN III, WARREN USA 32,122,947 37.8% ADAIR, BARRY L. USA 32,132,033 37.8% ADAMS, JOHN C. USA 32,123,351 37.8% ADAMS, NICHOLAS UK 32,122,947 37.8% AIRO, ROBERT USA 32,123,289 37.8% ALBERS, ALEXANDRIA USA 32,123,957 37.8% ALKIRE, JOHN R. USA 32,123,247 37.8% ALLEN, PETER G. USA 32,123,741 37.8% ALLEY, STEVEN J. USA 32,123,398 37.8% ALLWIN, JAMES M. USA 32,123,929 37.8% ALMERINI, LOUIS A. USA 32,123,416 37.8% AMATO, DANIELLE D. USA 32,123,482 37.8% ANDA, JON A. USA 32,123,496 37.8% ANDERSON, STEPHEN P. USA 32,122,947 37.8% ANDRYC, PHILIP J. USA 32,123,767 37.8% ANFANG, RICHARD L. USA 32,123,364 37.8% ANGEVINE, ROBERT E. USA 32,123,542 37.8% ARMITAGE, MICHAEL R. UK 32,122,947 37.8% ARMSTRONG, R. MICHAEL USA 32,123,296 37.8% ASPREM, MADS MICHAEL Denmark 32,122,947 37.8% ATKINSON, RICHARD N. UK 32,122,947 37.8% ATKINS, CHARLES N. USA 32,123,228 37.8% ATKINS, WILLIAM JOHN UK 32,122,947 37.8% ATWELL, R. WAYNE USA 32,123,269 37.8% BAIRD, STEPHEN W. USA 32,123,968 37.8% BAKER, DAVID M. USA 32,123,233 37.8% BALSBAUGH, R. DUNCAN USA 32,123,405 37.8% BANDEEN, BONNIE MIAO USA 32,125,336 37.8% BANDEEN, ROBERT D. Canada 32,123,385 37.8% BARANCIK, GARY S. USA 32,123,325 37.8% BARBER, RICHARD T. USA 32,123,465 37.8% BARDEN, ROBERT A. USA 32,123,371 37.8% BARDWELL, TIMOTHY J. UK 32,122,947 37.8% BARKER, RODNEY J. UK 32,122,947 37.8% BARNETT, PHILLIP S. USA 32,123,296 37.8% BAROUDI, JACK J. USA 32,122,947 37.8% BARRETT, DAVID J. USA 32,123,341 37.8% BARRETT, TIMOTHY UK 32,122,947 37.8% BARTH-WEHRENALP, GERALD P. USA 32,123,425 37.8% BARTLETT, MICHAEL E. UK 32,122,947 37.8% BARTOLOTTA, FRANK J. USA 32,123,482 37.8% BASES, EDWARD H. USA 32,123,273 37.8% BASIROV, OLGA A. UK 32,122,947 37.8% BAUER, DAVID S. USA 32,122,947 37.8% BAYER, JEROME W. USA 32,123,462 37.8% BEALE, CHRISTOPHER W. Australia 32,122,947 37.8% BEARDEN, DAVID A. USA 32,123,301 37.8% BECHTEL, KAREN H. USA 32,123,878 37.8% BEDELL, JAMES M. USA 32,123,207 37.8% BELL, JAMES J. USA 32,123,206 37.8% BENARDETE, STEVEN M. USA 32,125,062 37.8% BERCHTOLD, MICHAEL J. USA 32,123,325 37.8% BERGMAN, BARRY USA 32,123,347 37.8% BERGMAN, JEROME USA 32,123,385 37.8% BERLER, MATTHEW K. USA 32,122,947 37.8% BERNER III, ROBERT L. USA 32,123,347 37.8% BIANCO, FRANK USA 32,123,416 37.8%
BILLINGS, MARK B. USA 32,123,304 37.8% BILOTTI JR, RICHARD A. USA 32,122,947 37.8% BILSBY, KEVIN A. UK 32,122,947 37.8% BIRDSALL, JOHN S. USA 32,123,381 37.8% BLACK MACKINNON, SUSAN L. USA 32,123,419 37.8% BLAIN, PAUL F. UK 32,126,905 37.8% BLAIR, DAVID H. USA 32,123,736 37.8% BLAIS, WILLIAM L. USA 32,123,685 37.8% BLUMSTEIN, MICHAEL W. USA 32,123,160 37.8% BLUM, JON E. USA 32,122,985 37.8% BODSON, MICHAEL C. USA 32,123,412 37.8% BOHL, THERESA J. USA 32,123,416 37.8% BOIARSKY, ROBERT USA 32,123,206 37.8% BOK, SCOTT L. USA 32,123,377 37.8% BONOFF, AMY L. USA 32,123,688 37.8% BOOTH, DAVID USA 32,122,947 37.8% BOPP, WALTER S. USA 32,123,780 37.8% BOROSH, DAVID A. USA 32,123,088 37.8% BOSCO, ANTHONY B. USA 32,123,362 37.8% BOUCHER II, CHARLES L. USA 32,123,142 37.8% BOUTROS, GEORGE Lebanon 32,123,351 37.8% BOVICH, FRANCINE J. USA 32,123,021 37.8% BRADFORD, LESLIE EMBS USA 32,123,886 37.8% BRAKEBILL, SCOTT R. USA 32,123,496 37.8% BRENNAN, DONALD PATRICK USA 32,124,004 37.8% BRESLOW, STUART J.M. USA 32,123,429 37.8% BRICKMAN, KEITH D. USA 32,123,118 37.8% BRIERWOOD, DAVID C. UK 32,127,452 37.8% BRILLE, BRIAN J. USA 32,123,325 37.8% BROBERG, POUL CHRISTIAN Denmark 32,122,947 37.8% BROCK, WILLIAM G. Canada 32,135,416 37.8% BROLLEY, KEVIN USA 32,123,227 37.8% BROOKE, PAUL A. USA 32,123,736 37.8% BROWNE, KEVIN J. USA 32,123,430 37.8% BROWN, ERNEST W. USA 32,122,974 37.8% BROWN, DOUGLAS L. USA 32,123,052 37.8% BROWN, JEFFRY P. USA 32,123,403 37.8% BROWN, KEITH UK 32,129,201 37.8% BROWN, RANDOLPH B. USA 32,122,947 37.8% BRUNDLER, ADOLF Switzerland 32,122,947 37.8% BRYANT, MALCOLM P. UK 32,122,947 37.8% BRYCE, COLIN UK 32,126,634 37.8% BUCK, LEE M. USA 32,126,261 37.8% BUECHTER, MARKUS Germany 32,122,947 37.8% BULCHANDANI, RAVI A. India 32,122,947 37.8% BUNCHE JR, RALPH J. USA 32,124,812 37.8% BURIAN, SANFORD F. USA 32,123,353 37.8% BURKE, LAUREN M. USA 32,122,983 37.8% BURNS, DENNIS J. USA 32,123,780 37.8% BUSCH, MAY C. USA 32,123,372 37.8% BUTLER, MICHAEL J. USA 32,123,240 37.8% BYRD, CAREN USA 32,123,386 37.8% BYRNES, FRANCIS J. USA 32,123,329 37.8% CALDECOTT, P. DOMINIC UK 32,129,209 37.8% CALLAHAN, DANIEL H. USA 32,122,961 37.8% CALVET, JORGE Spain 32,122,947 37.8% CAPPUCCI, GUY T. USA 32,123,284 37.8% CAPUTO, A. MACDONALD USA 32,123,929 37.8% CARACAPPA, MARY USA 32,123,328 37.8% CAREY, JAMES P. USA 32,123,502 37.8% CARLETON, BRUCE T. USA 32,123,767 37.8% CARLIN, JANE D. USA 32,123,379 37.8% CARLTON, PAMELA G. USA 32,123,403 37.8% CARMICHAEL, TERENCE P. USA 32,123,437 37.8% CARR JR, LOUIS J. USA 32,123,929 37.8% CARRARA JR, MATTHEW A. USA 32,123,226 37.8% CARROLL JR, JESSE L. USA 32,129,281 37.8% CARROLL, DAVID C. USA 32,123,293 37.8% CARUSO, CHRISTOPHER J. USA 32,123,413 37.8% CASSEDY, MICHAEL J. USA 32,123,575 37.8% CASSOU, BEATRICE M. USA 32,123,325 37.8% CASTELLANO, RICHARD R. USA 32,123,478 37.8% CAWSEY, RICHARD Australia 32,122,947 37.8% CERTOSIMO, ARTHUR USA 32,122,947 37.8% CHAMBERLAIN, STEPHEN P. UK 32,126,405 37.8% CHAMMAH, WALID A. Lebanon 32,123,004 37.8% CHAN, OLIVER S. USA 32,123,238 37.8% CHAN, JOE M.F. Hong Kong 32,122,947 37.8% CHASIN, CHARLES USA 32,123,379 37.8% CHENEVIX-TRENCH, JONATHAN UK 32,122,947 37.8% CHENG, JAMES K.K. Malaysia 32,122,947 37.8%
CHESTER III, JOHN E. USA 32,123,410 37.8% CHIARELLO, GUY USA 32,123,353 37.8% CHIN, EAN WAH Malaysia 32,122,947 37.8% CHURCHOUSE, FREDERICK P. New Zealand 32,122,947 37.8% CHUTTER, JESSICA C. USA 32,123,347 37.8% CITRINO, MARY ANNE USA 32,123,347 37.8% CLARK, JONATHAN M. USA 32,123,074 37.8% CLARK, MAYREE C. USA 32,123,736 37.8% CLARK, WILLIAM THOMAS USA 32,125,041 37.8% CLEMENTE LA BRUM, J. PAUL USA 32,124,054 37.8% CLEPHANE, THOMAS P. USA 32,123,621 37.8% CLIFFORD, KENNETH F. USA 32,123,373 37.8% COBBY, NIGEL UK 32,125,289 37.8% COHAN, TIMOTHY P. USA 32,123,664 37.8% COHEN, BRUCE L. USA 32,123,488 37.8% COHEN, DAVID L. USA 32,123,476 37.8% COHEN, LAWRENCE H. USA 32,123,360 37.8% COLBY-JONES, LISA R. USA 32,123,496 37.8% COLEMAN JR, JOHN C. USA 32,126,364 37.8% COLEY II, JAMES C. USA 32,123,359 37.8% COLE, JAMES S. USA 32,123,559 37.8% COLOSIMO, LOUIS A. USA 32,123,046 37.8% COMFORT, STEPHANIE G. USA 32,123,012 37.8% CONNOR, MARY T. USA 32,123,327 37.8% COOPER, ADAM D. Canada 32,122,947 37.8% COOPER, ALASTAIR W.P. UK 32,122,947 37.8% COOPER, ANDREW C. USA 32,123,296 37.8% COOPER, SCOTT H. Canada 32,123,351 37.8% CORDNER, CARTER W. USA 32,123,407 37.8% CORDY, STEPHEN C. USA 32,123,365 37.8% CORKRAN, JO ANN USA 32,122,947 37.8% CORRADO, CHRISTOPHER F. USA 32,123,375 37.8% CORSI, STEFANO Italy 32,123,237 37.8% CORY, CHARLES R. USA 32,123,509 37.8% COWAN, MICHAEL J.J. UK 32,128,481 37.8% COX, CHRISTOPHER UK 32,123,833 37.8% COYNER, KEVIN B. USA 32,123,355 37.8% CRANDALL, TERRANCE M. USA 32,123,463 37.8% CREGAN, JOHN F. USA 32,123,575 37.8% CRESHAM, EILEEN F. USA 32,123,918 37.8% CRNKOVICH, PETER N. USA 32,124,072 37.8% CROFT, ROBERT G.E. UK 32,122,947 37.8% CROMPTON, JOHN D. UK 32,122,947 37.8% CROWDER, GARRY B. USA 32,123,432 37.8% CROWE, MICHAEL A. USA 32,123,565 37.8% CRUZ, ZOE Greece 32,123,736 37.8% CRYSTAL, BRUCE A. USA 32,123,419 37.8% CUMMINS, NEIL A. USA 32,128,873 37.8% CUNNINGHAM, MICHAEL JOHN UK 32,122,947 37.8% CUNNINGHAM, PETER USA 32,123,507 37.8% CURTIS, MICHAEL S. USA 32,123,317 37.8% CURTIS, PAUL D. USA 32,123,317 37.8% CZINSKY, MICHAEL J. USA 32,123,369 37.8% DAL LAGO, FRANK C. USA 32,123,365 37.8% D'ANGELO, PETER J. USA 32,123,591 37.8% DANIEL, PAUL R. UK 32,131,177 37.8% D'ANTONIO, STEPHEN H. USA 32,123,309 37.8% DAVIDSON III, NORTON A. USA 32,130,264 37.8% DAVIDSON III, JOHN P. USA 32,122,947 37.8% DAVIDSON, JOHN H. USA 32,123,774 37.8% DAVIS JR, JOSEPH F. USA 32,123,519 37.8% DAVIS, BARRY USA 32,123,607 37.8% DAVIS, FLORENCE A. USA 32,123,461 37.8% DAWSON, KENNETH E. UK 32,127,771 37.8% DAY, JACQUELINE A. UK 32,122,947 37.8% DE CHAZAL, GUY L. USA 32,124,315 37.8% DE COTIS, DEBORAH A. USA 32,123,767 37.8% DE MONTFORT, PIERS UK 32,127,096 37.8% DE REGT, KENNETH M. USA 32,123,878 37.8% DE SAINT-AIGNAN, PATRICK USA 32,123,878 37.8% DE WAZIERS, MARTIN France 32,123,407 37.8% DEAN, GORDON G. USA 32,123,351 37.8% DEAN, ANGELA H. UK 32,122,947 37.8% DEE, MICHAEL E. USA 32,123,389 37.8% DELECROIX, MICHEL UK 32,122,947 37.8% DELONG, THOMAS J. USA 32,123,000 37.8% DEMEURE, THOMAS Belgium 32,122,947 37.8% DERBES, RICHARD A. USA 32,151,104 37.8% DESALVO, MATTHEW S. USA 32,124,312 37.8% DESMARAIS, REJEAN Canada 32,122,947 37.8% DEY, PETER Canada 32,122,947 37.8%
DHAR, MADHAV India 32,124,071 37.8% DIAZ-PEREZ, EDUARDO USA 32,123,298 37.8% DICKMAN, MICHAEL J. USA 32,123,296 37.8% DIDIER, NICHOLAS V. Luxembourg 32,123,324 37.8% DINGER, JEFFREY E. USA 32,123,352 37.8% DIXON, ROBERT D. USA 32,123,206 37.8% DOHA, NASEER Bangladesh 32,122,947 37.8% DONOGHUE, MICHAEL J. USA 32,123,322 37.8% DONOVAN, PETER J. USA 32,123,151 37.8% DORAN JR, WILLIAM M. USA 32,123,736 37.8% DORFMAN, JONATHAN L. USA 32,123,326 37.8% DOSHI, MIHIR J. India 32,123,300 37.8% DOYLE, GAVIN J. USA 32,127,494 37.8% DUFF, PHILIP N. USA 32,123,478 37.8% DUNO, ALPHONSUS J. USA 32,123,379 37.8% DYAL, GORDON E. USA 32,123,197 37.8% EDWARDS, JEFFREY G. USA 32,123,170 37.8% EGAN, GEORGE W. USA 32,123,404 37.8% ELLMAN, MARK A. USA 32,122,947 37.8% ENDROM, ELIZABETH M. USA 32,123,385 37.8% ENGLISH JR, FRANK E. USA 32,123,575 37.8% EPSTEIN, STUART J. USA 32,123,245 37.8% ESAKI, HOWARD Y. USA 32,123,025 37.8% ESPOSITO, JAMES S. USA 32,123,375 37.8% ESSIG, KARL P. USA 32,125,049 37.8% ESTES, SUSAN M. USA 32,123,407 37.8% EVANS, R. BRADFORD USA 32,123,992 37.8% EWELL, C. DANIEL USA 32,123,325 37.8% FAGEN, ROBERT A. USA 32,122,947 37.8% FALCO, DOMINICK F. USA 32,123,190 37.8% FANG, KEVIN S. USA 32,123,274 37.8% FANLO, IGNACIO J. USA 32,122,983 37.8% FAN, LINDA C. USA 32,123,360 37.8% FAWCETT, AMELIA C. USA 32,123,399 37.8% FEDERICO, GIACOMO USA 32,122,959 37.8% FEELEY, MARK J. USA 32,123,343 37.8% FEIGELES, EDWARD M. USA 32,123,257 37.8% FELDMANN, JOEL P. USA 32,122,947 37.8% FELDMAN, KIRSTEN J. Canada 32,123,665 37.8% FELIX, RICHARD B. USA 32,123,932 37.8% FELT, RONALD G. USA 32,123,337 37.8% FERNANDEZ, HENRY A. USA 32,122,947 37.8% FEUERMAN, KURT A. USA 32,123,416 37.8% FIEDOREK, BRUCE D. USA 32,126,029 37.8% FINNEGAN, DANIEL M. USA 32,123,206 37.8% FINNICAN, PETER M. USA 32,123,343 37.8% FISHER IV, GEORGE ROSS USA 32,124,336 37.8% FITZPATRICK, STEVEN B. USA 32,123,296 37.8% FLANNERY, HUGH J. USA 32,123,225 37.8% FLEISCHER, SPENCER C. USA 32,127,156 37.8% FLOOD JR, EUGENE USA 32,123,437 37.8% FLYNN, THOMAS J. USA 32,123,400 37.8% FOLAND, STEVEN R. USA 32,122,947 37.8% FOLEY, JOSEPH G. USA 32,123,136 37.8% FOSTER, CEDRIC G. USA 32,123,854 37.8% FOX, NIGEL UK 32,122,947 37.8% FRALICK, JAMES S. USA 32,125,263 37.8% FRANCESCOTTI, MARIO UK 32,139,487 37.8% FRANCOIS-PONCET, ANDRE France 32,122,947 37.8% FRANK, ALEXANDER C. USA 32,123,320 37.8% FREEMAN, IVAN K. USA 32,123,377 37.8% FRIEDMAN, CATHERINE J. USA 32,123,351 37.8% FRIEDMAN, PHILIP W. USA 32,123,334 37.8% FRIED, PETER C. USA 32,123,349 37.8% FRIEND, WARREN H. USA 32,123,324 37.8% FROST, RONALD X. USA 32,123,408 37.8% FUKSMAN, IGOR S. USA 32,123,326 37.8% FUNG, E. MICHAEL Hong Kong 32,122,947 37.8% FUTAKI, AKIFUMI Japan 32,122,947 37.8% GALBRAITH, EVAN G. USA 32,123,835 37.8% GALE, ANDREW UK 32,122,947 37.8% GALGANO, V. JAMES USA 32,123,405 37.8% GALLAGHER, PAUL J. USA 32,123,565 37.8% GALPER, MIRON USA 32,123,402 37.8% GARBER, VICTOR S. USA 32,123,537 37.8% GARONZIK, NEAL USA 32,159,414 37.8% GARTIN, CLINTON G. USA 32,125,070 37.8% GARTLAND, ROBERT F. USA 32,123,878 37.8% GAULT, BERNARD France 32,122,947 37.8% GENOVA, LISA A. USA 32,123,322 37.8% GEORGE, PATRICK ROBERT France 32,122,947 37.8%
GEORGE, TIMOTHY M. USA 32,123,780 37.8% GHAFFARI, PAUL B. USA 32,123,055 37.8% GIORGIO, MICHAEL C. USA 32,123,518 37.8% GLASCOTT, JAMES D. USA 32,123,265 37.8% GLASER, WILLIAM A. USA 32,123,075 37.8% GLAS, MICHEL T. France 32,122,947 37.8% GOLDBERG, ALAN E. USA 32,123,780 37.8% GOLDSMITH, RICHARD A. USA 32,123,376 37.8% GOLDSTEIN, CAROL S. USA 32,123,312 37.8% GOLDSTEIN, ROSS H. USA 32,123,365 37.8% GORDON, DAVID J. USA 32,122,947 37.8% GORDON, MARC W. USA 32,123,446 37.8% GORDON-BROWN, PAUL D. UK 32,122,947 37.8% GORT, MICHAEL A. USA 32,123,373 37.8% GOULD III, RICHARD G. USA 32,133,533 37.8% GRAHAM, JAMES R. Ireland 32,123,022 37.8% GRANT, DENNIS G. USA 32,123,347 37.8% GRAY, STEPHEN E. UK 32,122,947 37.8% GRAY, GORDON S. USA 32,123,878 37.8% GREENBERG, EDWARD M. USA 32,122,947 37.8% GREENSHIELDS, SIMON UK 32,123,511 37.8% GREMONT, ARNAUD JEAN-MARIE France 32,122,947 37.8% GRISHAM, JAMES WAYNE USA 32,123,398 37.8% GROHSKOPF JR, ROBERT H. USA 32,123,309 37.8% GRONQUIST, CATHERINE D. USA 32,123,998 37.8% GROS, FRANCISCO R.A. Brazil 32,122,947 37.8% GRUPPO, DAVID M. USA 32,122,947 37.8% GRZECZKA, KEITH L. USA 32,123,327 37.8% GULLEY, MARK R. USA 32,123,383 37.8% GUTHEIM, PAUL G. USA 32,123,425 37.8% GYE, DAVID H. UK 32,122,947 37.8% HADDAD, MICHAEL D. USA 32,123,281 37.8% HAFFNER, LYNN CARLOS USA 32,124,235 37.8% HAGER, FRANCIS J. USA 32,123,347 37.8% HALL II, PERRY E. USA 32,125,308 37.8% HALL, C. BARROWS USA 32,123,736 37.8% HAMILTON, PETER F. USA 32,123,403 37.8% HAMMAR, BENGT Sweden 32,123,429 37.8% HANEY, WILLIAM C. USA 32,123,976 37.8% HANTHO, MARK A. Canada 32,122,947 37.8% HAPPEL, MICHAEL A. USA 32,123,296 37.8% HARA, FUSAO Japan 32,122,947 37.8% HARDING, WILLIAM J. USA 32,122,947 37.8% HARDY, MICHAEL W. USA 32,123,321 37.8% HARLAND, CHRISTOPHER M. USA 32,123,441 37.8% HARMAN, WILLIAM R. USA 32,123,617 37.8% HARPE, MICHAEL G. Canada 32,123,347 37.8% HARRINGTON, ANNA R. USA 32,123,018 37.8% HARRISON, MARK E. UK 32,123,765 37.8% HASSEN, THOMAS E. USA 32,123,736 37.8% HAVENS, JOHN P. USA 32,123,736 37.8% HAYASHI, KAZUSHI Japan 32,122,947 37.8% HAYES, MICHAEL A. UK 32,122,947 37.8% HAYES, DAVID L. USA 32,123,206 37.8% HAYTHE, DAVID O. USA 32,126,958 37.8% HAY, MARIANNE LAING UK 32,122,947 37.8% HEANEY, MICHAEL C. USA 32,123,285 37.8% HEATH, STEPHEN M. UK 32,124,701 37.8% HEGGLIN, DANIEL R. Switzerland 32,127,661 37.8% HEMEL, ERIC I. USA 32,123,117 37.8% HENDEL, STUART J. USA 32,123,254 37.8% HENDRY, DANIELE N. Switzerland 32,122,947 37.8% HENNESSY, ROBERT F. USA 32,123,445 37.8% HEPBURN, JOHN K. Canada 32,136,261 37.8% HEPP, STEFAN Germany 32,122,947 37.8% HERSHY, ROBERT J. USA 32,123,274 37.8% HERSKOVITZ, MICHAEL D. USA 32,122,947 37.8% HEYES, RICHARD C. UK 32,122,947 37.8% HIGGINS, MICHAEL J. USA 32,123,318 37.8% HIGGINS, WILLIAM X. USA 32,123,546 37.8% HILL II, JOSEPH W. USA 32,123,632 37.8% HILZENRATH, EUGENE B. USA 32,123,384 37.8% HINTZ, CHARLES B. USA 32,123,592 37.8% HIRSCH, STEVEN E. USA 32,123,412 37.8% HOCH, JAMES S. USA 32,123,351 37.8% HOCH, KENNETH C. USA 32,123,402 37.8% HOFFMAN, MICHAEL C. USA 32,123,346 37.8% HOLLIHAN III, JOHN P. USA 32,123,575 37.8% HOLZSCHUH, JEFFREY R. USA 32,123,467 37.8% HONG, JUN K. USA 32,123,023 37.8% HONIG, BARRY S. USA 32,122,947 37.8%
HOWELL, LAWRENCE M. USA 32,123,074 37.8% HSIEH, JACKSON USA 32,122,947 37.8% HULLAR, JOHN P. USA 32,123,611 37.8% HUMPHERY, MARYE L. UK 32,122,947 37.8% HUNEKE III, JOHN H. USA 32,123,489 37.8% HUNTLEY, KRISTEN S. USA 32,123,325 37.8% IMANISHI, JUN Japan 32,122,947 37.8% IMRIE, BRIAN C. Canada 32,122,947 37.8% IP, HONSUM Hong Kong 32,122,947 37.8% IRISH, JOHN S. USA 32,123,240 37.8% ISASI, LUIS Spain 32,123,953 37.8% ISHIKAWA, HIROSHI Japan 32,122,947 37.8% IVES, BRUCE S. USA 32,123,512 37.8% JACKSON, PAUL J. UK 32,122,947 37.8% JACOBS, DAVID A. USA 32,123,008 37.8% JAMES, GEORGE MICHAEL USA 32,131,029 37.8% JANER, RAGNAR L. USA 32,122,977 37.8% JANSON, MICHAEL M. USA 32,124,709 37.8% JENKINS, PAUL R. UK 32,128,005 37.8% JOHANSSON, JERKER M. Sweden 32,123,271 37.8% JOHNSON, MARGARET KINSLEY USA 32,123,251 37.8% JOHNSON, DAVID USA 32,126,382 37.8% JOHNSON, R. SHELDON USA 32,123,780 37.8% JOHNSON, NICHOLAS G. UK 32,122,947 37.8% JONES, ALAN K. USA 32,122,972 37.8% JONES, DONALD J. USA 32,123,368 37.8% JONES, MARGARET K. USA 32,123,311 37.8% JONES, ROBERT W. USA 32,125,378 37.8% JOUHAR, KELVIN JAN UK 32,122,947 37.8% JOYCE JR, RICHARD E. USA 32,123,335 37.8% JUTERBOCK, THOMAS M. USA 32,124,036 37.8% KAGEYAMA, TOSHIJI Japan 32,122,983 37.8% KAITO, MASAO Japan 32,122,947 37.8% KAMEN, ERIC M. USA 32,123,515 37.8% KAMINS, HAROLD W. USA 32,123,242 37.8% KANAMITSU, YASUO Japan 32,122,947 37.8% KANI, TAKEO Japan 32,122,947 37.8% KARCHES, PETER F. USA 32,124,004 37.8% KARY, MARK R. UK 32,122,947 37.8% KASANOFF, KATHRYN JONAS USA 32,123,318 37.8% KASSAN, ALAN USA 32,123,332 37.8% KASSIN, PHILIP USA 32,123,476 37.8% KATSIHTIS, PAUL E. USA 32,123,240 37.8% KAUFFMAN, RICHARD L. USA 32,123,036 37.8% KEANE, MICHAEL DAVID UK 32,122,947 37.8% KELLEHER, COLM THOMAS UK 32,122,947 37.8% KELLEY, SCOTT M. USA 32,123,325 37.8% KELLEY, SEAN P. USA 32,122,947 37.8% KELLNER, PETER L. USA 32,126,670 37.8% KELLY, GEORGE J. USA 32,123,480 37.8% KELLY, TIMOTHY D. USA 32,123,384 37.8% KENT, DAVID S. Australia 32,122,947 37.8% KENT, RONALD S. UK 32,125,149 37.8% KHADJAVI, LAYA Iran 32,123,300 37.8% KIDWELL, JEFFREY S. USA 32,123,380 37.8% KIHLE, DAG Norway 32,125,133 37.8% KIMAK, MARK M. USA 32,123,425 37.8% KIMBALL, PAUL G. USA 32,123,878 37.8% KIMEDA, TOSHIO Japan 32,122,964 37.8% KINDRED, JONATHAN B. USA 32,123,377 37.8% KINGSTON III, DOUGLAS P. USA 32,123,323 37.8% KING, GEORGE USA 32,123,463 37.8% KINKEAD, BRIAN M. USA 32,123,350 37.8% KIRKLAND, DEREK G. USA 32,123,377 37.8% KISHIMOTO, SATOSHI Japan 32,123,306 37.8% KITTS, ROBERT W. USA 32,122,947 37.8% KNEISEL, WILLIAM J. USA 32,127,612 37.8% KOEDERITZ, CANDICE E. USA 32,123,796 37.8% KOENEN, AUSTIN V. USA 32,123,691 37.8% KOERLING, HEINRICH Germany 32,129,375 37.8% KOHNHORST, ADOLF Netherlands 32,122,947 37.8% KOLLAR, JOHN S. USA 32,123,059 37.8% KOON, MAY USA 32,122,947 37.8% KOPPENOL, ROBERT G. USA 32,123,324 37.8% KOURAKOS JR, WILLIAM USA 32,123,415 37.8% KRAMMER, MARLENE G. USA 32,123,393 37.8% KRAUSE, PETER C. USA 32,125,946 37.8% KREITLER JR, CARL J. USA 32,123,258 37.8% KRESSNER, J. THOMAS Sweden 32,125,567 37.8% KROM III, FREDERICK B. USA 32,123,607 37.8% KRONENBERG, ANNE C. USA 32,123,322 37.8%
KUPFERBERG, BARRY D. USA 32,123,296 37.8% KUPHALL, GRANT F. USA 32,123,397 37.8% KURTZ, PATRICIA A. USA 32,123,430 37.8% KUSHMA, DEBRA A.F. USA 32,123,144 37.8% LA ROCHE, ELAINE USA 32,123,878 37.8% LADD, SUSAN C. USA 32,123,357 37.8% LAFAMAN, JAMES T. USA 32,123,310 37.8% LAL, NAINA India 32,122,947 37.8% LAMOUNTAIN, JON USA 32,123,421 37.8% LANCKSWEERT, DOMINIQUE Belgium 32,123,839 37.8% LANDERS JR, JOHN Q. USA 32,123,251 37.8% LANDI, ANTHONY J. USA 32,123,929 37.8% LANDMAN, DAVID USA 32,123,396 37.8% LANDRY, CHRISTINA M. USA 32,124,024 37.8% LANDRY, BRENDA LEE USA 32,125,584 37.8% LANGSAM, JOSEPH A. USA 32,123,523 37.8% LANZA, ROBERT W. USA 32,123,767 37.8% LAP, MICHIEL P. Netherlands 32,122,947 37.8% LARKINS, GARY T. USA 32,123,482 37.8% LARSON, ERIC J. USA 32,123,130 37.8% LASHENDOCK, MICHAEL J. USA 32,123,362 37.8% LATAINER, GARY D. USA 32,123,622 37.8% LATIF, NADIR S. UK 32,122,947 37.8% LAURENS, JEAN-LOUIS France 32,122,947 37.8% LAXMI, JOHN S. USA 32,123,707 37.8% LAYNG, JOHN G. USA 32,123,419 37.8% LEACH, BRIAN USA 32,123,394 37.8% LEBLANC, PAUL L. USA 32,123,381 37.8% LEBOWITZ, MICHAEL USA 32,123,373 37.8% LEFKOWITZ, ROBERT M. USA 32,122,947 37.8% LEIMER, WILLI KURT Austria 32,122,947 37.8% LEITCH, DONALD S. USA 32,123,347 37.8% LENOWITZ, SCOTT J. USA 32,122,947 37.8% LEVINE, JOSHUA S. USA 32,123,435 37.8% LEVIN, DEBRA J. USA 32,123,121 37.8% LEVY, THOMAS A. USA 32,123,225 37.8% LEWIS JR, WILLIAM M. USA 32,123,736 37.8% LEWIS, RICHARD GRAHAM UK 32,122,947 37.8% LIANG, JAMES L. USA 32,123,025 37.8% LICHNER, JEANNETTE A. USA 32,123,269 37.8% LIM, CHIN Y. Malaysia 32,123,180 37.8% LIM, EDWIN R. Philippines 32,122,947 37.8% LINDSAY, IAN E. UK 32,123,137 37.8% LIPPMANN, MARIANNE J. USA 32,123,428 37.8% LIPTON, STEPHEN C. UK 32,122,947 37.8% LITTLE, JAMES W. USA 32,123,212 37.8% LIU, JIALIN China 32,123,050 37.8% LIU, ANDREW Y.S. UK 32,127,236 37.8% LIU, THEODORE EM-PO USA 32,122,984 37.8% LLOYD, ELAINE C. USA 32,123,478 37.8% LOARIE, ROBERT J. USA 32,123,111 37.8% LOCOSA, LAURA E. USA 32,123,306 37.8% LODEN, NEIL ANDREW UK 32,122,947 37.8% LORENTZEN, KENT R. USA 32,124,522 37.8% LOURIE, JONATHAN H. USA 32,123,234 37.8% LOVE, LAWRENCE THOMAS USA 32,122,947 37.8% LUCAYA, JORGE Spain 32,122,947 37.8% LUND, DAVID USA 32,123,407 37.8% LUTZ, MERRITT M. USA 32,122,947 37.8% LYCHE, EINAR OLOF Norway 32,122,947 37.8% LYCHE, IVER USA 32,123,372 37.8% LYLES JR, RAY V. USA 32,123,562 37.8% LYNCH, ELIZABETH W. USA 32,123,273 37.8% MACCHIAVERNA, GLENN J. USA 32,123,215 37.8% MACDONALD, GAVIN L. UK 32,122,947 37.8% MACKIN, JOHN J. USA 32,123,463 37.8% MAGEE, STEVEN G. USA 32,123,378 37.8% MAGUIRE, J. ROBERT USA 32,123,396 37.8% MAHONEY, JAMES P. USA 32,123,595 37.8% MAHON, JAMES J. USA 32,124,280 37.8% MAINEY, RICHARD E. USA 32,122,947 37.8% MAIT, MICHELE M. USA 32,124,112 37.8% MALONE, CHRISTIAN B. USA 32,123,373 37.8% MAMDANI, MAHMOUD A. USA 32,123,501 37.8% MANGINO, GARY J. USA 32,123,370 37.8% MANGI, JOSEPH A. USA 32,123,441 37.8% MANSON, CHRISTOPHER J.J. USA 32,122,998 37.8% MARATOS, JASON G. Greece 32,122,947 37.8% MARKS, KENNETH R. USA 32,123,728 37.8% MARKWALTER JR, JOHN S. USA 32,123,266 37.8% MARTINEZ, LOURDES LINDEN USA 32,123,619 37.8%
MASSEY, STEWART R. USA 32,123,394 37.8% MASSOT, SYLVAIN P. France 32,122,947 37.8% MASUCCI, FERDINAND D. USA 32,123,510 37.8% MATSCHULLAT, ROBERT W. USA 32,124,004 37.8% MAUDE, FRANCIS ANTHONY UK 32,122,947 37.8% MAXWELL, PHILIP MOULTON Australia 32,122,947 37.8% MAYERS, LAURIE N. USA 32,123,427 37.8% MAYER, KIMBALL P. USA 32,123,325 37.8% MAYNARD JR, WALTER USA 32,123,526 37.8% MAYOROS, ALAN E. USA 32,123,335 37.8% MAZZILLI, PAUL J. USA 32,125,573 37.8% MAZZUCCHELLI, MARCO G. Italy 32,122,947 37.8% MCARTHUR, JAMES New Zealand 32,122,947 37.8% MCCARTHY, ANTHONY P. USA 32,123,512 37.8% MCCOMBE, WILLIAM D. Australia 32,123,402 37.8% MCCONNELL, JOSEPH M. USA 32,124,374 37.8% MCDONNELL GAIL P. USA 32,122,994 37.8% MCDONOUGH, PATRICK J. USA 32,123,325 37.8% MCGEEHAN, JOHN D. USA 32,123,374 37.8% MCGUINNESS, NANCY A. USA 32,123,052 37.8% MCILROY, WILLIAM USA 32,123,230 37.8% MCLAUGHLIN, GREGORY USA 32,123,878 37.8% MCMAHON, WILLIAM C. USA 32,124,458 37.8% MCMANUS, THOMAS M. USA 32,123,128 37.8% MEEKER, MARY G. USA 32,123,145 37.8% MERLIS, SCOTT F. USA 32,124,006 37.8% MERRITT, PETER G. USA 32,123,256 37.8% MERSON, VLADIMIR USA 32,123,385 37.8% METZLER, ROBERT A. USA 32,123,929 37.8% MEYER, JOSEPH F. USA 32,123,375 37.8% MEYER, ROBERT L. USA 32,123,213 37.8% MEYER, BRUCE A. USA 32,124,801 37.8% MIAO, EUGENE A. USA 32,123,325 37.8% MICHNOWICH, SALVATORE E. USA 32,123,937 37.8% MICIONI, PETER J. USA 32,123,252 37.8% MILLER, FREDERIC A. USA 32,123,305 37.8% MILLER, PAUL S. USA 32,123,459 37.8% MILUNOVICH, STEVEN M. USA 32,123,141 37.8% MIN, EUOO SUNG Korea 32,122,947 37.8% MINTON, PETER A. USA 32,123,152 37.8% MINTZ, DANIEL R. USA 32,123,296 37.8% MIRABILE, KEVIN R. USA 32,123,333 37.8% MISSETT, BRUCE M. USA 32,123,343 37.8% MIZEN, GREG E. USA 32,123,371 37.8% MLOTOK, PAUL D. USA 32,123,540 37.8% MOECKEL, ALFRED KARL-HEINZ Germany 32,122,947 37.8% MOELLER, SCOTT D. USA 32,123,463 37.8% MOLE, MARIE L. USA 32,123,326 37.8% MOLLOY, WILLIAM S. USA 32,123,736 37.8% MOONIER, JAMES F. USA 32,123,334 37.8% MOORE JR, DONALD A. USA 32,123,878 37.8% MOORE,DUNCAN CHARLES UK 32,122,947 37.8% MCNAUGHT MORAN, JOHN G. USA 32,123,591 37.8% MORE, DANIEL B. USA 32,122,955 37.8% MORGAN, DAVID H. UK 32,122,947 37.8% MORPHETT, JONATHAN G. USA 32,123,551 37.8% MORTIMER, PATRICK J. USA 32,123,299 37.8% MOSCATI, LEONARD F. USA 32,123,403 37.8% MOURRE, MARC France 32,123,657 37.8% MOZER, FRANCINE L. USA 32,123,402 37.8% MUELLER III, JOHN M. USA 32,123,242 37.8% MULLANEY, BRIAN V. USA 32,123,317 37.8% MULLER, PETER USA 32,123,034 37.8% MULLER, THOMAS R. USA 32,123,481 37.8% MULLIN, SEAN C.V. Canada 32,123,296 37.8% MUNARI, ANDREA Italy 32,122,947 37.8% MUNEMURA, KENJI Japan 32,122,947 37.8% MUNGER, STEPHEN R. USA 32,123,496 37.8% MURPHY, DEVIN I. USA 32,123,113 37.8% MURPHY, CHARLES W. USA 32,123,240 37.8% MURPHY, DANIEL H. USA 32,123,425 37.8% MURPHY, DAVID J. USA 32,123,419 37.8% MURPHY, KEVIN C. USA 32,123,354 37.8% MURRAY, ANTHONY UK 32,122,947 37.8% MURRAY, PETER J. UK 32,122,947 37.8% MURRAY, EILEEN K. USA 32,123,469 37.8% MURRAY, MIRIAM E. USA 32,123,518 37.8% NADOSY, PETER USA 32,123,929 37.8% NAKADA, KENJI Japan 32,122,947 37.8% NAKAGAWA, HIROSHI Japan 32,122,947 37.8% NASON, PETER G. USA 32,123,187 37.8%
NAYLOR, MARGARET P. UK 32,122,947 37.8% NEAMTU, ALEXANDER USA 32,124,416 37.8% NEEDHAM, PETER A. USA 32,123,696 37.8% NELSON, THOMAS R. USA 32,124,746 37.8% NEUBERGER, MARK A. USA 32,123,258 37.8% NEUBOHN, NANEEN H. USA 32,123,780 37.8% NEUWIRTH, DAVID N. USA 32,123,277 37.8% NEWCOMB, PHILIP V. USA 32,123,329 37.8% NEWHOUSE, STEPHAN F. USA 32,123,780 37.8% NEWMAN, DAVID F. USA 32,123,380 37.8% NICOL, DAVID UK 32,125,298 37.8% NIEHAUS, CHRISTOPHER J. USA 32,123,451 37.8% NIEHAUS, ROBERT H. USA 32,125,186 37.8% NOSSEIR, AMR M. USA 32,123,211 37.8% NOTLEY, SEAN J. UK 32,122,947 37.8% NOUJAIM, ALEXANDER J. USA 32,123,235 37.8% OBERLIN, DANA M. USA 32,123,364 37.8% O'BRIEN, DONALD S. USA 32,123,403 37.8% O'BRIEN, JAMES M. USA 32,123,416 37.8% OCAMPO, EDWARD J. USA 32,123,212 37.8% ODESCALCHI, CHARLES MARK UK 32,122,947 37.8% OELERICH III, FRANCIS J. USA 32,123,347 37.8% O'FLYNN, THOMAS M. USA 32,123,347 37.8% O'FRIEL, MARK L. USA 32,123,065 37.8% O'HARE, MICHAEL T. USA 32,123,421 37.8% O'KEEFE, WILLIAM B. USA 32,123,505 37.8% OKUSU, TAIJI Japan 32,122,947 37.8% O'LEARY, WILLIAM F. USA 32,124,149 37.8% OLESKY, JONATHAN D. USA 32,123,317 37.8% OLSEN, WARREN USA 32,123,471 37.8% ONUMA, TAKASHI Japan 32,123,160 37.8% OREM, JOHN R. USA 32,123,296 37.8% ORMEROD, MARK UK 32,122,947 37.8% OVERLANDER, KEITH F. USA 32,123,099 37.8% OYARBIDE, CARLOS ALFONSO Spain 32,122,947 37.8% OZEKI, TOSHIO USA 32,123,488 37.8% PACE, JOANNE USA 32,123,015 37.8% PAGLIARI, MICHAEL UK 32,122,947 37.8% PALMIOTTI, JOSEPH C. USA 32,123,284 37.8% PANDIT, VIKRAM S. India 32,123,736 37.8% PANNELL, CAROL AMANDA UK 32,122,947 37.8% PARKER, ANDREW M. USA 32,123,184 37.8% PARKER, KEVIN E. USA 32,123,541 37.8% PARR, GARY W. USA 32,122,947 37.8% PASCIUCCO, GERARD USA 32,123,351 37.8% PASTRANA, GEORGE USA 32,123,112 37.8% PATEL, MUKESH D. USA 32,123,342 37.8% PATE, BRUCE A. USA 32,123,182 37.8% PATTEN, VEESWANADEN R. Mauritius 32,122,947 37.8% PAVONCELLI, RICCARDO Italy 32,122,947 37.8% PECORI GIRALDI, GALEAZZO Italy 32,125,419 37.8% PELGRIFT, JAMES D. USA 32,123,927 37.8% PELLECCHIO, RALPH L. USA 32,123,536 37.8% PELOSKY JR, ROBERT J. USA 32,123,157 37.8% PENINGTON, MICHAEL UK 32,123,273 37.8% PENWELL, STEPHEN B. USA 32,123,203 37.8% PEREIRA, IAN C.T. Kenya 32,123,117 37.8% PEREIRA, PAULO C. Portugal 32,122,947 37.8% PERELLA, JOSEPH R. USA 32,122,969 37.8% PETERSON, C. SCOTT USA 32,123,262 37.8% PETERSON, WAYNE D. USA 32,123,368 37.8% PETERS, HANS PETER Germany 32,122,947 37.8% PETERY, ANDRAS R. USA 32,123,878 37.8% PETITGAS, FRANCK R. USA 32,122,966 37.8% PETRICK, MICHAEL J. USA 32,123,280 37.8% PETRILLI, ANTHONY M. USA 32,123,348 37.8% PETRI, LAWRENCE M. USA 32,123,413 37.8% PETROW, CHRISTOPHER G. USA 32,123,378 37.8% PHILLIPS, CRAIG S. USA 32,122,947 37.8% PIDDEN, ANDREW F. UK 32,122,947 37.8% PLACENTRA, DANIEL R. USA 32,123,275 37.8% PLATT, RUSSELL C. USA 32,123,351 37.8% POCHTAR, ELAINE N. USA 32,123,393 37.8% POOR, DAVID B. USA 32,123,459 37.8% POPE, PATRICIA USA 32,123,143 37.8% PORTE, THIERRY G. USA 32,125,764 37.8% PORTOGALLO, RICHARD USA 32,123,373 37.8% POULOS, PERRY USA 32,123,378 37.8% POULTON, ROGER UK 32,123,421 37.8% PRATT, FRANK T. USA 32,123,878 37.8% PRINCE, SCOTT S. USA 32,123,188 37.8%
PUTCHA, RAMAKRISHNA N. USA 32,123,422 37.8% PUTTERMAN, JULES B. USA 32,123,150 37.8% QUARTNER, DOUGLAS M. USA 32,125,413 37.8% QUATTRONE, FRANK P. USA 32,123,624 37.8% QUERY JR, JAMES B. USA 32,123,332 37.8% RABIN, MICHAEL D. USA 32,123,094 37.8% RAFFEL, ANDREAS Germany 32,122,947 37.8% RAMAKRISHNAN, GURU K. India 32,123,300 37.8% RANDOLPH III, GUY D. USA 32,123,300 37.8% RANKINE, NIGEL J. UK 32,122,947 37.8% RANKOWITZ, MICHAEL L. USA 32,123,549 37.8% RAULT III, JOSEPH M. USA 32,123,624 37.8% RAVITZ, LESLIE C. USA 32,123,141 37.8% REEKE, GAIL HUNT USA 32,124,515 37.8% REFVIK, OLAV N. Norway 32,123,233 37.8% REID, WILLIAM R. USA 32,123,074 37.8% REILLY, TIMOTHY B. USA 32,123,419 37.8% REILLY, CHRISTINE I. USA 32,123,587 37.8% REIS, NORBERT J. Germany 32,122,947 37.8% REMEC, MARKO C. USA 32,123,441 37.8% RENEHAN, DAVID USA 32,123,878 37.8% RENTON, STEPHEN UK 32,126,387 37.8% RESTAINO, PAOLO ANTHONY Italy 32,122,947 37.8% REVELLI, PAOLO Italy 32,122,947 37.8% REYNOLDS, RALPH F. USA 32,123,192 37.8% RICHARDSON, BLAIR E. Canada 32,123,736 37.8% RICHARDSON, GERALD P. USA 32,123,437 37.8% RICHARDS, DRUCILLA A. USA 32,122,947 37.8% RICHTER, MARIA DEL CARM Panama 32,123,008 37.8% RIEFLER, LINDA H. USA 32,123,250 37.8% RIEPER, ALAN G. USA 32,122,993 37.8% RILEY, THOMAS R. USA 32,123,594 37.8% ROACH, STEPHEN S. USA 32,123,463 37.8% ROBBINS, DAVID I. USA 32,123,329 37.8% ROBERT, PETER USA 32,122,947 37.8% ROBERTS, JOHN A. UK 32,123,385 37.8% ROBEY, SIMON C. UK 32,122,947 37.8% ROBINO, CHRISTOPHER M. USA 32,123,221 37.8% ROBINSON, JOHN D. USA 32,123,350 37.8% RODMAN, KEVIN L. USA 32,123,387 37.8% ROHRBACH III, CLAYTON J. USA 32,123,929 37.8% ROOKWOOD, MARK S. USA 32,123,259 37.8% ROSEMAN, CAREN R. USA 32,123,722 37.8% ROSENTHAL, RICHARD S. USA 32,123,429 37.8% ROSENTHAL, NORMAN USA 32,123,587 37.8% ROSENTHAL, ANDREW USA 32,122,947 37.8% ROSE, ANTHONY UK 32,122,947 37.8% ROWE, TAMSIN E.E. UK 32,122,947 37.8% ROWLEY, ANDREW F. USA 32,123,632 37.8% RUDOLPH, SIMON UK 32,122,947 37.8% RUNDE, JAMES A. USA 32,123,888 37.8% RUSSINELLI, THOMAS W. USA 32,123,382 37.8% RYAN, ROBERT J. Canada 32,123,070 37.8% SACHS, NED R. USA 32,126,496 37.8% SAITO, MAKOTO Japan 32,122,947 37.8% SAKIMA, GLENN J. USA 32,123,320 37.8% SALANT, MARSHAL L. USA 32,123,441 37.8% SALZMAN, JEFFREY H. USA 32,123,878 37.8% SAMA, ALOK USA 32,123,325 37.8% SANDBERG, BRUCE R. USA 32,123,413 37.8% SANDLING III, M. JAMES USA 32,123,355 37.8% SARGENT, ROBERT A. UK 32,122,947 37.8% SASAKI, MAMI Japan 32,122,947 37.8% SAUNDERS, RICHARD J. UK 32,122,947 37.8% SAXE, SUSAN E. USA 32,123,397 37.8% SAXTON, THOMAS J. USA 32,123,293 37.8% SCHAAFF JR, HAROLD J. USA 32,123,347 37.8% SCHEUER, ALAN USA 32,122,976 37.8% SCHIEFFELIN, ALLISON USA 32,123,249 37.8% SCHLESINGER, DONALD E. USA 32,123,253 37.8% SCHLUETER, JAMES B. USA 32,123,324 37.8% SCHNEIDER, DONALD J. USA 32,123,403 37.8% SCHUETTLER, HANS JOERG Germany 32,122,947 37.8% SCHWARTZ, RICHARD C. USA 32,122,947 37.8% SCHWEITZER, SAMUEL USA 32,123,472 37.8% SCOTT, ANDREW C. USA 32,123,502 37.8% SCOTT, CHARLES H. UK 32,126,049 37.8% SCOTT, ROBERT G. USA 32,124,004 37.8% SEAH, KIAT SENG Singapore 32,122,947 37.8% SEIGEL, MARK A. USA 32,124,936 37.8% SEKARAN, RAJAN USA 32,122,947 37.8%
SEN, BIDYUT C. India 32,123,736 37.8% SETHI, VINOD R. USA 32,123,177 37.8% SEXAUER, STEPHEN C. USA 32,123,330 37.8% SEXTON, O. GRIFFITH USA 32,123,929 37.8% SHAH, DHIREN H. USA 32,123,377 37.8% SHAPIRO, JOHN A. USA 32,123,599 37.8% SHAY, DEWEY K. USA 32,123,347 37.8% SHEAR, NEAL A. USA 32,123,780 37.8% SHEA, THOMAS J. USA 32,123,358 37.8% SHEA, DENNIS F. USA 32,124,029 37.8% SHELTON, RICHARD DAVID USA 32,123,220 37.8% SHEN, BING China 32,123,477 37.8% SHERVA, DENNIS G. USA 32,123,929 37.8% SHORT, CHARLES B. USA 32,123,433 37.8% SHORT, MARIUM A. USA 32,123,420 37.8% SICA, FRANK USA 32,123,780 37.8% SIMONIAN, JON D. USA 32,126,408 37.8% SINE, JEFFREY A. USA 32,123,459 37.8% SINE, THOMAS USA 32,123,364 37.8% SIPPRELLE, DWIGHT D. USA 32,123,449 37.8% SIPPRELLE, SCOTT M. USA 32,123,231 37.8% SITARZ, PAUL J. USA 32,123,416 37.8% SITLINGTON, JAMES R. III USA 32,122,947 37.8% SKERRITT, SUSAN E. USA 32,122,947 37.8% SKIBA, JACK L. USA 32,123,427 37.8% SLADKUS, MARK H. USA 32,123,690 37.8% SLAINE, DAVID R. USA 32,123,382 37.8% SLESS, HENRY J. UK 32,122,947 37.8% SMITH, ROBERT M. USA 32,122,947 37.8% SMITH, CHARISSA H. USA 32,123,387 37.8% SMITH, JUDITH A. USA 32,123,575 37.8% SMITH, MICHAEL K. USA 32,123,206 37.8% SMITH, PAUL E. USA 32,123,380 37.8% SONNENBORN, MONROE R. USA 32,123,579 37.8% SORELL, MICHAEL USA 32,122,947 37.8% SORREL, LAWRENCE B. USA 32,123,351 37.8% SOTER, ARTHUR P. USA 32,123,767 37.8% SPECTOR, ALVIN H. USA 32,123,674 37.8% SPELLMAN, MICHAEL F. USA 32,123,463 37.8% SPENCE, ANTHONY D. UK 32,122,947 37.8% SPITZLEY, RAY L. USA 32,122,994 37.8% SPOSITO, CLAUDIO Italy 32,122,947 37.8% STEIN, JENS-PETER Germany 32,123,015 37.8% STEWART, TIMOTHY DONALD Australia 32,122,947 37.8% STEWART, JOHN R. USA 32,123,624 37.8% STOCKMAN, MICHAEL G. USA 32,122,947 37.8% STOCKWELL, DAVID W. UK 32,123,410 37.8% STONEHILL, CHARLES UK 32,126,472 37.8% STONE, DUNCAN R. UK 32,122,947 37.8% STOTT, PETER UK 32,125,137 37.8% STRAUS, JOHN A. USA 32,123,489 37.8% STRONG, WILLIAM H. USA 32,123,074 37.8% STRUBLE, K. LYNN MEDLIN USA 32,123,335 37.8% STUDZINSKI, JOHN J. USA 32,126,526 37.8% STURZENEGGER, RONALD D. USA 32,123,347 37.8% STUX, IVAN E. USA 32,123,510 37.8% STYNES, JAMES B. USA 32,124,217 37.8% SUZUKI, HIROHIKO Japan 32,122,947 37.8% SWEENEY, FRANCIS J. USA 32,123,375 37.8% SWIFT, RICHARD W. USA 32,123,535 37.8% SZILASI, WILLIAM J. USA 32,123,514 37.8% TAGGART, RICHARD G. USA 32,123,299 37.8% TAKASUGI, TETSUO Japan 32,123,319 37.8% TANNER, JAMES L. USA 32,126,857 37.8% TAN, TOMMY CHIN-CHIU Thailand 32,122,947 37.8% TARADASH, MICHAEL H. USA 32,123,244 37.8% TARIKA, ROGER C. USA 32,123,460 37.8% TAUBMAN, PAUL J. USA 32,123,351 37.8% TAYLOR, DAVID J. USA 32,123,331 37.8% TAYLOR, ROSS UK 32,125,998 37.8% TELL, MARTIN R. USA 32,123,285 37.8% THARNSTROM, CHARLES A. USA 32,123,321 37.8% THEES, THOMAS M. USA 32,123,428 37.8% THOMAS, OWEN D. USA 32,123,325 37.8% THOMAS, PHILIP M. UK 32,122,947 37.8% THOMAS, RICHARD H. UK 32,123,645 37.8% THORMAN, WALTER E. USA 32,123,381 37.8% TIERNEY, RAYMOND M. III USA 32,122,947 37.8% TILLEY, JAMES A. Canada 32,123,780 37.8% TOMINAGA, HIROSHI Japan 32,122,947 37.8% TOPPER, DAVID J. USA 32,123,496 37.8%
TOROP, ROBERT USA 32,123,312 37.8% TOWSE, ROBERT C. USA 32,123,736 37.8% TRACY, JOHN M. USA 32,123,384 37.8% TRAPP, GORAN PAR Sweden 32,122,947 37.8% TRENCHARD, DAVID F. UK 32,122,947 37.8% TSAI, ANDREW S. Hong Kong 32,122,947 37.8% TUFARIELLO, ANTHONY B. USA 32,123,299 37.8% TULP, ALLAN J. USA 32,123,407 37.8% TWIST, CAROLYN M. UK 32,123,468 37.8% TYNAN, BRENDAN TIMOTHY UK 32,127,196 37.8% UVA, MICHAEL D. USA 32,123,386 37.8% VADALA JR, CHARLES F. USA 32,123,812 37.8% VALLET, JUAN M. USA 32,123,262 37.8% VAN AMSON, GEORGE L. USA 32,123,036 37.8% VAN DYKE V, HENRY USA 32,123,347 37.8% VAN NIEUWENHUIZEN, JAN L. Netherlands 32,122,947 37.8% VANDERCAR, ERIC M. USA 32,123,304 37.8% VAROLI, CORRADO P. Canada 32,123,253 37.8% VAUGHAN, GREGORY V. USA 32,123,206 37.8% VIVEASH, F. THOMAS UK 32,128,480 37.8% VON ARENTSCHILDT, CHARLES USA 32,123,474 37.8% VON NATHUSIUS, FRIEDRICH Germany 32,122,947 37.8% VON SCHRODER, BENEDIKT Germany 32,123,385 37.8% VON UFFEL, GEORGE KURT USA 32,124,306 37.8% VONDERHEIDE, MARK L. USA 32,123,001 37.8% VOREYER, ROBERT J. USA 32,123,292 37.8% VOUTE, GUSTAVE A. Netherlands 32,124,142 37.8% VRCELJ, STEVAN Australia 32,122,947 37.8% WADSWORTH JR, JOHN S. USA 32,124,004 37.8% WAGER, MALCOLM UK 32,122,947 37.8% WAGNER, GLENN N. USA 32,123,164 37.8% WAHL, FREDERICK J. USA 32,123,302 37.8% WAKAMOTO, HIDENORI Japan 32,122,947 37.8% WALLACE, EILEEN S. USA 32,123,378 37.8% WALSH JR, FREDERICK R. USA 32,123,543 37.8% WALSH, MARK K. USA 32,123,403 37.8% WALKER, SIR DAVID ALAN UK 32,122,947 37.8% WANG, HUEY C. USA 32,122,947 37.8% WARD, P. STEWART USA 32,123,361 37.8% WARD, J. STEVEN UK 32,238,477 37.9% WARNER, PHILIP WARD USA 32,123,569 37.8% WARREN, DAVID R. USA 32,122,947 37.8% WASSON, DAVID F. USA 32,123,647 37.8% WATERS, STEPHEN M. USA 32,123,885 37.8% WATSON, GORDON O. USA 32,123,384 37.8% WAXMAN, SCOTT USA 32,123,182 37.8% WEAVER, IAN L. UK 32,122,947 37.8% WEBER, JON F. USA 32,123,108 37.8% WEBLEY, JOHN UK 32,124,131 37.8% WEIANT, WILLIAM M. USA 32,122,947 37.8% WELLEMEYER, JOHN C. USA 32,127,262 37.8% WENDELL, JONATHAN P. USA 32,126,965 37.8% WESTERFIELD, JOHN USA 32,123,071 37.8% WESTERINK, ERIK J. Netherlands 32,122,947 37.8% WESTON, MICHAEL A. New Zealand 32,122,947 37.8% WHALEN, PATRICK J. USA 32,123,144 37.8% WHELAN, THOMAS B. USA 32,123,736 37.8% WHITEHAND, ROBERT C. UK 32,130,365 37.8% WHITE, WILLIAM H. USA 32,123,296 37.8% WHITE, KATHLEEN E. USA 32,122,947 37.8% WIEN, BYRON R. USA 32,123,878 37.8% WILEY, JANET M. DESEL USA 32,124,008 37.8% WILLIAMS, JEFFREY P. USA 32,123,780 37.8% WILLNER, ANDREW D. UK 32,122,947 37.8% WILSON, KIRK R. USA 32,123,377 37.8% WINNINGTON-INGRAM, REBECCA S. UK 32,122,947 37.8% WINTER, ARTHUR J. III USA 32,122,947 37.8% WINTERS, PHILIP W. USA 32,123,526 37.8% WIPF, THOMAS G. USA 32,123,377 37.8% WISCOMB, THOMAS T. USA 32,123,926 37.8% WOLKOWITZ, BENJAMIN USA 32,124,367 37.8% WOOD, JEROME C. USA 32,123,562 37.8% WOOLFORD, ANDREW K. USA 32,123,052 37.8% WOOLWORTH JR, RICHARD G. USA 32,123,535 37.8% WRIGHT II, WILLIAM H. USA 32,123,325 37.8% YAFFE, RANDY S. USA 32,123,373 37.8% YAMADA, HARUNOBU Japan 32,123,306 37.8% YAMAMOTO, TAKATOSHI Japan 32,122,947 37.8% YAMANE, STEVEN K. USA 32,123,327 37.8% YANKOU, THOMAS J. USA 32,123,291 37.8% YOSHIDA, HIDEO Japan 32,122,947 37.8% YOUNG, HARRISON USA 32,122,947 37.8% YOUNG, JOAN P. USA 32,123,472 37.8% YUKI, KOHEI Japan 32,122,947 37.8% ZAOUI, MICHAEL A. France 32,125,144 37.8% ZAUMSEIL, BRICE W. USA 32,123,601 37.8% ZIAI, YOUSSEF UK 32,122,947 37.8% ZICHERMAN, JOSEPH R. USA 32,123,245 37.8% ZICK JR, ALFORD E. USA 32,123,340 37.8% ZORN, ERNEST P. USA 32,123,357 37.8% ZUCKERT, MICHAEL USA 32,123,379 37.8%
Item 1. Security and Issuer. ------------------- This statement relates to the Common Stock, par value $1.00 per share (the "Shares"), of Morgan Stanley Group Inc., a Delaware corporation (the "Company"). The address of the principal executive office of the Company is 1251 Avenue of the Americas, New York, New York 10020. Item 2. Identity and Background. ----------------------- (a)-(c), (f) The cover sheets to this statement and Appendix A hereto contain the names of the persons (the "Reporting Persons") who beneficially own Shares that are subject to the voting and any disposition restrictions set forth in the employee Stockholders' Agreement and/or any of the Plan Agreements, all as described in Item 6, to which such persons are party to and on whose behalf this filing is made. The cover sheets to this statement and Appendix A provide the name, citizenship and aggregate amount beneficially held by each Reporting Person. The business address of each of the Reporting Persons is 1251 Avenue of the Americas, New York, NY 10020. (d)-(e) No Reporting Person during the last five years has been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or has been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, Federal or state securities laws or finding any violation with respect to such laws. Item 3. Source and Amount of Funds or Other Consideration. -------------------------- The Shares held by the Reporting Persons are beneficially owned pursuant to one or more of the following: (1) Pursuant to the recapitalization (the "Recapitalization") effective February 14, 1986 in which holders of the Company's then outstanding privately-held common stock and non-cumulative preferred stock received Shares, and holders of the Company's outstanding $8 cumulative senior preferred stock received shares of $8 Cumulative Convertible Preferred Stock, stated value $100 per share (the "Convertible Preferred Shares"), all of which were subsequently converted into Shares (the Shares beneficially owned pursuant to such Recapitalization (including through the conversion of the Convertible Preferred Shares) being referred to herein as "Recapitalization Shares"); (2) Pursuant to participation in the Company's 1986 Stock Option Plan (the "Option Plan"), the Company's Performance Unit Plan (the "PUP Plan"), the Company's 1988 Equity Incentive Compensation Plan (the "Equity Incentive Plan") and/or the Morgan Stanley U.K. Group Profit Sharing Scheme (the "U.K. Profit Sharing Scheme") and/or similar employee benefit plans or arrangements (the Option Plan, the PUP Plan, the Equity Incentive Plan are referred to collectively as the "Plans", and the Shares beneficially owned pursuant to participation in such Plans and the U.K. Profit Sharing Scheme being referred to herein as "Benefit Plan Shares"); and (3) Pursuant to privately negotiated or open market transactions (the Shares beneficially owned pursuant to such transactions being referred to herein as "Separately Acquired Shares"). In addition, many of the Reporting Persons are participants in the Morgan Stanley Group Inc. and Subsidiaries Employee Stock Ownership Plan (the "ESOP"), under which they have been allocated shares of the Company's ESOP Convertible Preferred Stock (the "ESOP Stock"). Shares of ESOP Stock are convertible into Shares, and shares of ESOP Stock are entitled to vote on all matters submitted to a vote of the holders of Shares, voting together with the holders of Shares as one class, all as described more fully below. Each Reporting Person's Recapitalization Shares, if any, were acquired in exchange for such Person's shares of the Company's privately-held common stock and non-cumulative preferred stock and/or as a result of the conversion of the Convertible Preferred Shares; each Reporting Person's Benefit Plan Shares and shares of ESOP Stock, if any, were acquired pursuant to the terms of the Plans, the U.K. Profit Sharing Scheme and the ESOP in consideration of services rendered and, in the case of Shares to be acquired pursuant to an exercise of options granted under a Plan will be acquired by payment of the exercise price of the option, and each Reporting Person's Separately Acquired Shares, if any, were acquired by payment of personal funds or as a gift. Item 4. Purpose of Transaction. ---------------------- Recapitalization Shares The Recapitalization was effected as of February 14, 1986, and the Recapitalization Shares were acquired in order to facilitate an initial public offering of the Company's Shares. Prior to the Recapitalization, the then Managing Directors and Principals of Morgan Stanley & Co. Incorporated, a subsidiary of the Company, owned all of the Company's common stock. After the Recapitalization and the initial public offering of the Company's Shares, such Managing Directors and Principals (as a group) owned approximately 79% of the Company's Shares, the voting and disposition of which were subject to the Stockholders' Agreement (defined below in Item 6). The voting and disposition restrictions currently applicable to the Recapitalization Shares are discussed in Item 6. Benefit Plan Shares Subsequent to May 2, 1991 up to an aggregate of 24,000,000 Shares may be issued pursuant to the Plans. Each of the Plans is administered by the Compensation Committee of the Board of Directors (the "Compensation Committee"), which selects the particular eligible persons who will receive awards under the Plans and determines the size and terms of such awards. The Compensation Committee consists of at least three disinterested persons. Option Plan The purpose of the Option Plan is to provide an incentive to certain Managing Directors, Principals, officers, key employees and consultants of the Company and its subsidiaries ("Certain Personnel") to remain in the employ of the Company and such subsidiaries and to increase their interest in the success of the Company by offering them an opportunity to obtain a proprietary interest in the Company through the grant of options to purchase Shares. The Option Plan provides for the issuance of incentive stock options ("Incentive Stock Options") which meet the requirements of Section 422 of the Internal Revenue Code of 1986, as amended (the "Code"), options that are not qualified under the Code ("Nonqualified Options" and collectively with the Incentive Stock Options, the "SOP Options") and stock appreciation rights. The exercise price of an Option granted under the Option Plan may not be less than 100% of the fair market value of the Shares subject to the Option as of the date the Option is granted, as determined by the Compensation Committee. An Option becomes exercisable at a rate of one-third of the number of Shares covered by such Option after each of the first three anniversaries of the date of grant, unless the Compensation Committee otherwise provides. All SOP Options, other than Incentive Stock Options, are required to expire within 10 years and one day of the date of grant. The individual Option Agreement entered into by any Reporting Person pursuant to the Option Plan (an "Option Agreement") contains restrictions on voting and disposition of any Shares acquired pursuant to the Option Plan that are similar to the restrictions applicable to the Recapitalization Shares (as discussed in Item 6). The Option Plan will terminate upon the earlier of (i) the adoption of a resolution of the Board of Directors authorizing its termination and (ii) March 21, 1996. PUP Plan The purpose of the PUP Plan is to benefit and advance the interests of the Company and its subsidiaries by rewarding Certain Personnel for their contributions to the financial success of the Company and thereby motivate them to continue to make such contributions in the future by awarding performance units (the "Performance Units") whose value is determined by reference to earnings per share of the Shares over a stated period of time. The value of a Performance Unit is equal to the Company's consolidated earnings per share (as determined by the Compensation Committee in accordance with the terms of the PUP Plan) during the period commencing on the first date of the Company's fiscal quarter which includes the date as of which a Performance Unit is awarded (the "Base Date") and ending on the earlier of (i) the last day of the Company's fiscal year which includes the date on which such Performance Unit is awarded and (ii) the last day of the Company's fiscal quarter in which a participant's employment is terminated by reason of death, long-term disability or retirement, or to such other date as is determined by the Compensation Committee (the "Valuation Date"). After the value of Performance Units is determined, such value generally will be distributed to the recipient in equal installments on or as soon as practicable following each of the first and second anniversaries of the Valuation Date. The PUP Plan provides that 50% of each installment of such value is paid in Shares, and the balance is paid in cash, although the Compensation Committee may increase the percentage paid in cash or in Shares. The individual PUP agreement entered into by a Reporting Person pursuant to the PUP Plan (a "PUP Agreement") contains restrictions on voting and disposition of any shares acquired that are similar to the restrictions applicable to the Recapitalization Shares (as discussed in Item 6). The PUP Plan will terminate upon the earlier of (i) the adoption of a resolution of the Board of Directors terminating such Plan and (ii) March 21, 1996. Equity Incentive Plan The purpose of the Equity Incentive Plan is to attract, retain and motivate Certain Personnel, to compensate them for their contributions to the growth and profits of the Company and to encourage ownership by them of Shares. Awards under the Equity Incentive Plan may be in the form of Shares ("Restricted Shares"), stock units ("Stock Units") and/or options to purchase Shares ("EICP Options"). Shares issued pursuant to the Equity Incentive Plan may, in the discretion of the Compensation Committee, be made subject to the same voting restrictions that are set forth in the Stockholders' Agreement and in the Option and PUP Agreements (as discussed in Item 6). Under the terms of the Equity Incentive Plan, the Compensation Committee may grant Restricted Shares, valued at a discount (not to exceed 50%) of fair market value as of the date of grant (a "Stock Award"), in lieu of, or in addition to, all or a portion of a participant's cash incentive compensation for a particular year. A participant may be allowed to elect to receive a portion of this award in the form of EICP Options (an "Option Award") or to receive additional Shares or options in lieu of some or all of the cash portion of his compensation. Awards may also be made in the form of Stock Units representing the number of Shares a participant would otherwise have been eligible to receive under a Stock Award (a "Stock Unit Award"). A participant may also elect to receive Stock Units in lieu of some or all of the cash portion of his compensation. An Option Award entitles the participant to acquire a specified number of Shares at an exercise price of no less than 50% of fair market value on the date of the award, as determined by the Compensation Committee. EICP Options vest and become exercisable in accordance with a schedule established by the Compensation Committee. The exercise price may be paid in cash or Shares or a combination thereof. The ability to pay the EICP Option exercise price in Shares would, unless prohibited by the Compensation Committee, enable an optionee to engage in a series of successive stock-for-stock exercises of EICP Options and thereby fully exercise EICP Options with little or no cash investment by the optionee. Option Awards expire not later than ten years from the date of award. The Equity Incentive Plan will terminate upon the earlier of (i) the adoption of a resolution of the Board of Directors and (ii) May 4, 1999. U.K. Profit Sharing Scheme Shares purchased on behalf of certain Reporting Persons pursuant to the U.K. Profit Sharing Scheme are purchased with profit-sharing awards and are held pursuant to the terms of the U.K. Profit Sharing Scheme for investment purposes. Such Shares are not subject to the restrictions on voting and disposition contained in the Stockholders' Agreement. Separately Acquired Shares Separately Acquired Shares are held by Reporting Persons for investment purposes. Such Shares are not subject to the restrictions on voting and disposition contained in the Stockholders' Agreement or the Plan Agreements (as defined in Item 6). ESOP Stock Shares of ESOP Stock are allocated to each participant in the ESOP on December 31 in each year. Each share of ESOP Stock is convertible into Shares by the trustee of the ESOP at any time prior to the date fixed for redemption of the ESOP Stock at an initial conversion rate of one share of ESOP Stock to one Share, which rate is subject to adjustment. On the date hereof the conversion price per share at which Shares will be issued upon conversion of any shares of ESOP Stock is $35.88 (subject to adjustment). The ESOP Stock is redeemable at the Company's option at $35.88 per share (subject to adjustment) plus accrued dividends at any time after September 19, 2000 and prior thereto under certain circumstances at specified prices. The Company may pay the redemption price of the ESOP Stock in cash, in Shares or a combination thereof. Neither ESOP Stock nor Shares issued to participants in the ESOP are subject to the restrictions on voting and disposition contained in the Stockholders' Agreement or the Plan Agreements. * * * Except for (i) the possible acquisition from time to time of additional Separately Acquired Shares for investment purposes and (ii) the acquisition of Shares issued by the Company in the ordinary course of business pursuant to the Plans and the U.K. Profit Sharing Scheme, none of the Reporting Persons has any plans or proposals which relate to or would result in their acquisition of additional Shares. Subject to the restrictions described in Item 6, dispositions of Shares by Reporting Persons may be made from time to time pursuant to (i) Rule 144 under the Securities Act of 1933, as amended (the "Act"), (ii) a registration statement filed under the Act or (iii) any available exemption from registration under the Act, and in accordance with the individual investment objectives of the Reporting Person disposing of such Shares. Except as previously described in this Item 4, the Reporting Persons as a group do not have any plans or proposals that relate to or would result in any of the matters described in subparagraphs (a)-(j) of Item 4 of Schedule 13D. Item 5. Interest in Securities of the Issuer. ------------------------------------ (a) Items (11) and (13) of the cover page for each of the Reporting Persons are hereby incorporated by reference. As of the date of this report, the Reporting Persons as a group may be deemed to beneficially own an aggregate of 32,122,947 Shares, or approximately 37.9%. Since February 25, 1994, the retirement or termination of certain employees became effective. Such employees are no longer Reporting Persons and the Reporting Persons' beneficial ownership of Shares, after accounting for changes in the number of total Shares outstanding, decreased by 1.9%. On February 28, 1995 (February 13, 1995 in the case of U.K. Approved Options (as defined in Item 6)), an aggregate of 1,738,225 Stock Units and an aggregate of 5,618,244 EICP Options (certain of which are exercisable within 60 days from the date hereof) were issued under the Equity Incentive Plan resulting in an increase in the Reporting Persons' beneficial ownership of Shares of 4.5%. The Reporting Persons as a group hereby disclaim beneficial ownership of any Shares held by any Reporting Person as to which such Reporting Person has sole voting and dispositive power. Each Reporting Person hereby disclaims beneficial ownership of any Shares which may be deemed to be beneficially owned by other Reporting Persons as members of a group. Except as described in Schedule I, no Reporting Person has the right to acquire Shares within 60 days from the date hereof. (b) Items (7) - (10) of the cover page or the information provided on Appendix A for each of the Reporting Persons are hereby incorporated by reference. (c) Except as described in Schedule II, no Reporting Person has effected any transactions in any Shares during the past 60 days. (d) None. (e) Not applicable. Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer. --------------------------------------- Reporting Persons who own Recapitalization Shares have entered into a Stockholders' Agreement dated as of February 14, 1986 (the "Stockholders' Agreement") (Exhibit A hereto) which contains restrictions regarding the voting and disposition of the Recapitalization Shares. Pursuant to the terms of the Plans, the Compensation Committee has required that certain participants in such Plans enter into agreements that place restrictions on the voting and disposition of Shares acquired pursuant to such Plans similar to those restrictions set forth in the Stockholders' Agreement. Reference is hereby made to the terms of the agreements or certificates that impose such restrictions pursuant to the Plans (collectively, the "Plan Agreements"), the forms of which are included as Exhibits E, F, H, I, and J hereto, and the following description is qualified in its entirety by reference to such Plan Agreements. Voting Restrictions and Arrangements Each of the individuals listed on the cover sheets to this report and Appendix A hereto is a party to one or more of the Stockholders' Agreement and the Plan Agreements. Pursuant to the voting restrictions contained in the Stockholders' Agreement and the Plan Agreements, the Reporting Persons, prior to any vote of the stockholders of the Company at a meeting called with respect to any corporate action or before action is taken by written consent, may vote all Shares subject to the voting restrictions in a preliminary vote in such manner as each Reporting Person may determine in his sole discretion (the "Preliminary Vote"). At the subsequent stockholders' meeting or in connection with any action taken by written consent, the Reporting Persons must then vote all such Shares on the matter at issue in accordance with the vote of the majority of the Shares present and voting in the Preliminary Vote. Reporting Persons who cease to be employed by the Company or any of its subsidiaries on or prior to the date of the Preliminary Vote do not participate in the Preliminary Vote. Recipients of Stock Awards are entitled to exercise voting rights with respect to the Shares underlying such awards upon receipt of such awards. On March 6, 1991 the Company established a trust (the "Trust") pursuant to the Trust Agreement between the Company and State Street Bank and Trust Company, as Trustee (the "Trustee"), dated March 5, 1991 (the "Trust Agreement") (Exhibit K) pursuant to which the Shares that correspond to Stock Unit Awards are placed in the Trust pending vesting and conversion. Subject to the Company's right to amend or terminate the Trust at any time, the terms of the Trust Agreement permit the active employees of the Company who are holders of Stock Units (other than Certain Personnel in certain non-U.S. jurisdictions as described below) to direct the vote of the Shares held in the Trust for purposes of the Preliminary Vote. In accordance with the terms of the Voting Agreement between the Trustee and the Company dated March 5, 1991 (Exhibit L), the Trustee has the obligation to vote the Shares held in the Trust in accordance with the result of the Preliminary Vote. Holders of ESOP Stock are entitled to vote on all matters submitted to a vote of the holders of Shares, voting together with the holders of Shares as one class. Each share of ESOP Stock is entitled to the number of votes equal to 1.35 times the number of Shares into which such share of ESOP Stock could be converted on the record date for such vote. Each Reporting Person who is a participant in the ESOP has the ability to instruct the trustee of the ESOP how to vote the shares of ESOP Stock allocated to his account. In addition, unallocated shares of ESOP Stock are voted by the trustee on a pro rata basis with the instructions received with respect to the allocated ESOP Stock. Restrictions on Disposition and Other Arrangements The Stockholders' Agreement presently permits each Reporting Person to dispose of Recapitalization Shares and/or Shares acquired pursuant to the Option Plan and PUP Plan (together with the Recapitalization Shares, "Total Restricted Stock") in the following amounts: % of Total Restricted Stock Age at Date of Sale Permitted to be Sold ------------------- ----------------------------- 35 through 38 10% 39 through 42 Additional 10% 43 through 46 Additional 10% 47 through 49 Additional 10% 50 and above Additional 10% If a Reporting Person ceases to be an employee of the Company or any of its subsidiaries, the Stockholders' Agreement permits such Reporting Person to dispose of his Recapitalization Shares without restriction. Reporting Persons may dispose of Recapitalization Shares at any time, in any amount, regardless of the foregoing restrictions with the consent of the Board of Directors of the Company. Option Plan The transfer restrictions contained in the Option Agreements permit the transfer, at any time, without restriction, of only that number of Shares having a value equal to the excess of the fair market value (as of the date of exercise) of the Shares acquired upon exercise over the aggregate amount paid upon exercise multiplied by the highest statutory federal, state, local and foreign tax rates at the time of exercise (but in no event greater than 50% of such excess). The balance of the Shares acquired upon the exercise of such SOP Options will be transferable only in accordance with a schedule, substantially similar to that contained in the Stockholders' Agreement, that permits the transfer of a number of such Shares representing a specified percentage of the total number of Shares held by the optionee that are subject to restrictions and according to the optionee's age. If a Reporting Person ceases to be an employee of the Company or any of its subsidiaries, these transfer restrictions will no longer apply to Shares acquired pursuant to the Option Plan. The Compensation Committee has adopted certain additional and/or different terms and conditions for the grant of options ("U.K. Approved Options"), including SOP Options, to Certain Personnel under the jurisdiction of the United Kingdom in order to permit such persons to qualify for favorable tax treatment under the laws of the United Kingdom. Any Shares issued, or issuable, upon exercise of U.K. Approved Options, however, are not subject to voting or disposition restrictions. PUP Plan Pursuant to the PUP Agreements, Performance Units that have been awarded through the date hereof provide that Shares received thereunder will be transferable only in accordance with a schedule, substantially similar to that contained in the Stockholders' Agreement, that permits the transfer of a number of such Shares representing a specified percentage of the total number of Shares held by the recipient that are subject to restrictions and according to the recipient's age. If a Reporting Person ceases to be an employee of the Company or any of its subsidiaries, these transfer restrictions will no longer apply to the Shares acquired pursuant to the PUP Plan. Shares issued to Certain Personnel under the jurisdiction of the United Kingdom, however, are not subject to voting or disposition restrictions. Equity Incentive Plan A participant will vest in any Stock Awards, Stock Unit Awards or Option Awards, the restrictions on the transferability of Restricted Shares will lapse, any EICP Options awarded will become exercisable and Stock Units will convert into Shares all in accordance with a schedule established by the Compensation Committee. The Compensation Committee may, however, accelerate the vesting of any award, the lapse of restrictions on the transferability of any Restricted Shares, the date on which any EICP Option awarded first becomes exercisable and the date on which Stock Units convert into Shares. Prior to vesting and the lapse of restrictions on transferability, none of the awards under the Equity Incentive Plan may be sold, assigned, exchanged or transferred, pledged, hypothecated or otherwise disposed of or encumbered. Certain awards under the Equity Incentive Plan, whether vested or unvested, are also subject to forfeiture in circumstances specified by the Compensation Committee. Recipients of Stock Awards are entitled to receive dividends with respect to Shares underlying such awards upon receipt of such awards. Recipients of Stock Unit Awards are entitled to receive dividend equivalent amounts prior to receipt of Shares. The Company may require a participant to pay a sum to the Company or, pursuant to reduced Share delivery provisions, the Company may retain the number of Shares having an equivalent value as may be necessary to cover any taxes or charges imposed with respect to property or income received by a participant pursuant to the Equity Incentive Plan. In addition, upon conversion of Stock Units into Shares or exercise of EICP Options, the Company may withhold a number of Shares sufficient to satisfy any obligation a participant owes to the Company resulting from any payment made on the participant's behalf under the tax equalization program for expatriate employees. From time to time the Compensation Committee has adopted certain additional and/or different terms and conditions for the grant of Stock Awards and Stock Unit Awards to Certain Personnel in certain non-U.S. jurisdictions (including to Japanese local employees or expatriates working in Japan) to permit such persons to qualify for favorable tax treatment under, or otherwise to comply with, the laws of such non-U.S. jurisdictions. In such cases the Company may not issue Shares corresponding to Stock Units and recipients may not have the ability to vote. The Compensation Committee also has adopted certain additional and/or different terms and conditions for the grant of Option Awards (including U.K. Approved Options) to Certain Personnel in certain non-U.S. jurisdictions in order to permit such persons to qualify for favorable tax treatment under the laws of such non-U.S. jurisdictions. U.K. Profit Sharing Scheme The U.K. Profit Sharing Scheme provides that Shares awarded to the participants are held by a trustee in the name and on behalf of each participant for a period of two years from the date of such award (the "Retention Period"). Each participant is fully vested in, and is the beneficial owner of, the shares held on his behalf as of the award date of the Shares. During the Retention Period, a participant may not assign, pledge or otherwise dispose of such Shares; however, a participant is able to instruct the trustee how to vote such Shares on his behalf. Item 7. Material to be Filed as Exhibits. -------------------------------- Certain of the following exhibits, as indicated parenthetically, were previously filed as exhibits to registration statements or reports filed by the Company under the Securities Act of 1933 or the Securities Exchange Act of 1934, respectively, or reports filed by the Reporting Persons under the Securities Exchange Act of 1934 and are hereby incorporated by reference to such statements or reports. Exhibit A Stockholders' Agreement dated February 14, 1986 among the Reporting Persons and the Company (Annual Report on Form 10-K for the fiscal year ended January 31, 1993). Exhibit B Morgan Stanley Group Inc. Performance Unit Plan, as amended and restated to date (Annual Report on Form 10-K for the fiscal year ended January 31, 1993). Exhibit C Morgan Stanley Group Inc. 1986 Stock Option Plan, as amended and restated to date (Annual Report on Form 10-K for the fiscal year ended January 31, 1993). Exhibit D Trust Deed and Rules of the Morgan Stanley International Profit Sharing Scheme (approved under the Finance Act 1978 as amended), dated 12 November, 1987, of Morgan Stanley Group Inc., Morgan Stanley International and Noble Lowndes Settlement Trustees Limited (Annual Report on Form 10-K for the fiscal year ended January 31, 1993). Exhibit E Form of Award Agreement Under the Morgan Stanley Group Inc. Performance Unit Plan (Registration Statement on Form S-8 (No. 33-42464)). Exhibit F Form of Nonqualified Stock Option Agreement Under the Morgan Stanley Group Inc. 1986 Stock Option Plan (Registration Statement on Form S-8 (No. 33-42464)). Exhibit G Morgan Stanley Group Inc. 1988 Equity Incentive Compensation Plan, as amended and restated to date (Annual Report on Form 10-K for the fiscal year ended January 31, 1993). Exhibit H Form of Stock Unit Certificate Under the Morgan Stanley Group Inc. 1988 Equity Incentive Compensation Plan (Previously filed as Exhibit V with Amendment No. 5 to Schedule 13D dated December 31, 1990). Exhibit I Form of Stock Option Certificate Under the Morgan Stanley Group Inc. 1988 Equity Incentive Compensation Plan (Previously filed as Exhibit W with Amendment No. 5 to Schedule 13D dated December 31, 1990). Exhibit J Form of Voting Agreement Under the Morgan Stanley Group Inc. 1988 Equity Incentive Compensation Plan (Previously filed as Exhibit X with Amendment No. 5 to Schedule 13D dated December 31, 1990). Exhibit K Trust Agreement between Morgan Stanley Group Inc. and State Street Bank and Trust Company dated March 5, 1991 (Annual Report on Form 10-K for the fiscal year ended January 31, 1993). Exhibit L Voting Agreement among Morgan Stanley Group Inc., State Street Bank and Trust Company and Other Persons Signing Similar Agreements dated March 5, 1991 (Annual Report on Form 10-K for the fiscal year ended January 31, 1993). Schedule I RIGHTS TO ACQUIRE SHARES ------------------------ As of May 27, 1995 (60 days from March 28, 1995), 967 Reporting Persons have the right to acquire 7,593,323 Shares pursuant to the exercise of Options. No Reporting Person individually has Options presently exercisable covering more than 1% of the Shares outstanding as of the date hereof. Schedule II RECENT TRANSACTIONS ------------------- During the last 60 days, 36 Reporting Persons sold an aggregate of 141,966 shares at an average price of $68.81 per Share, and/or effected a transfer by gift of an aggregate of 36,605 Shares. Such sales were effected pursuant to exemptions under the Securities Act of 1933, as amended. During such period, no Reporting Person individually disposed of a number of Shares exceeding 1% the Shares outstanding. During such period, no Reporting Person individually acquired Shares in excess of 1% of the Shares outstanding. Signature After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: March 28, 1995 By: /s/ Ralph L. Pellecchio ------------------------ Ralph L. Pellecchio Attorney-in-Fact - -----END PRIVACY-ENHANCED MESSAGE-----