SC 13D/A 1 dsc13da.txt AMENDMENT NO. 24 TO SCHEDULE 13D SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 24) 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. 1585 Broadway New York, NY 10036 (212) 761-4000 -------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) January 2, 1996 ------------------------------------------------------- (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 PERSON 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 59,258,392 ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 9 REPORTING 2-3% PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 10 ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11 59,260,876 ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* 12 [_] ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 13 35.4 ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON 14 IN ------------------------------------------------------------------------------ 2 -------------- 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 59,258,392 ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 9 REPORTING 1-2% PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 10 ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11 59,260,876 ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* 12 [_] ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 13 35.4 ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON 14 IN ------------------------------------------------------------------------------ 3 -------------- 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 59,258,392 ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 9 REPORTING 1-2% PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 10 ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11 59,260,838 ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* 12 [_] ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 13 35.4 ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON 14 IN ------------------------------------------------------------------------------ 4 -------------- 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) [_] (Applies to each person listed on Appendix A) ------------------------------------------------------------------------------ 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 stated 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 59,258,392 (Applies to each person OWNED BY 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 ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON 14 IN (Applies to each person listed on Appendix A) ------------------------------------------------------------------------------ 5
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 59,259,788 35.4% ABDEL-MEGUID, TAREK F. USA 59,260,074 35.4% ABE, MITSUHIRO Japan 59,258,392 35.4% ABOURACHED, CHARBEL E. USA 59,259,434 35.4% ABRAMOVITZ, DEBRA USA 59,259,498 35.4% ACKERMAN III, WARREN USA 59,258,618 35.4% ADAIR, BARRY L. USA 59,273,806 35.4% ADAMS, JOHN C. USA 59,259,448 35.4% ADAMS, NICHOLAS UK 59,258,392 35.4% AINSWORTH, DAVID N. UK 59,258,392 35.4% AIRO, ROBERT USA 59,259,302 35.4% ALARCO, SANTIAGO Spain 59,258,392 35.4% ALBANESE, TOMMASO MATTEO Italy 59,258,392 35.4% ALBERS, ALEXANDRIA USA 59,259,576 35.4% ALKIRE, JOHN R. USA 59,259,238 35.4% ALLEN, PETER G. USA 59,260,312 35.4% ALLEY, STEVEN J. USA 59,259,622 35.4% ALLWIN, JAMES M. USA 59,260,684 35.4% ALTOMARE, GERALD C. USA 59,258,392 35.4% AMATO, DANIELLE D. USA 59,259,462 35.4% ANDA, JON A. USA 59,259,826 35.4% ANDERSON, STEPHEN P. USA 59,258,540 35.4% ANDRYC, PHILIP J. USA 59,260,350 35.4% ANFANG, RICHARD L. USA 59,259,448 35.4% ANGEVINE, ROBERT E. USA 59,259,886 35.4% ARMITAGE, MICHAEL R. UK 59,260,094 35.4% ARMSTRONG, ARDEN C. USA 59,258,392 35.4% ARMSTRONG, R. MICHAEL USA 59,259,332 35.4% ASHIZAWA, KATSUSHIRO Japan 59,258,392 35.4% ASPREM, MADS MICHAEL Denmark 59,258,468 35.4% ATKINS, CHARLES N. USA 59,259,184 35.4% ATKINS, WILLIAM JOHN UK 59,258,392 35.4% ATKINSON, RICHARD N. UK 59,260,252 35.4% ATWELL, R. WAYNE USA 59,259,318 35.4% AUERBACH,NEIL Z. USA 59,258,436 35.4% BAIRD, STEPHEN W. USA 59,260,738 35.4% BAKER, DAVID M. USA 59,259,160 35.4% BANDEEN, R. DEREK Canada 59,259,596 35.4% BARANCIK, GARY S. USA 59,259,376 35.4% BARBER, RICHARD T. USA 59,259,702 35.4% BARDEN, ROBERT A. USA 59,259,490 35.4% BARDWELL, TIMOTHY J. UK 59,259,790 35.4% BARKER, RODNEY J. UK 59,258,392 35.4% BARNETT, PHILLIP S. USA 59,259,306 35.4% BAROUDI, JACK J. USA 59,258,542 35.4% BARRETT, DAVID J. USA 59,259,418 35.4%
6
LINE 1 LINE 6 LINE 11 LINE 13 ----------------------------------------------------------------------------------------------------- AGGREGATE PERCENT OF CLASS AMOUNT REPRESENTED BY NAME CITIZENSHIP BENEFICIALLY HELD AMOUNT IN LINE 11 ----------------------------------------------------------------------------------------------------- BARRETT, TIMOTHY UK 59,258,392 35.4% BARTH-WEHRENALP, GERALD P. USA 59,259,606 35.4% BARTLETT, MICHAEL E. UK 59,258,392 35.4% BASES, EDWARD H. USA 59,259,260 35.4% BASIROV, OLGA A. UK 59,258,392 35.4% BAUER, DAVID S. USA 59,258,506 35.4% BAYER, JEROME W. USA 59,259,702 35.4% BEARDEN, DAVID A. USA 59,259,326 35.4% BECHTEL, KAREN H. USA 59,260,616 35.4% BECKER, GLENN E. USA 59,258,392 35.4% BEDELL, JAMES M. USA 59,259,148 35.4% BEJJANI, GHASSAN J. Lebanon 59,259,300 35.4% BELL, JAMES J. USA 59,259,068 35.4% BENARDETE, STEVEN M. USA 59,262,962 35.4% BENET, LINCOLN E. USA 59,259,280 35.4% BENNETT, THOMAS L. USA 59,258,392 35.4% BERCHTOLD, MICHAEL J. USA 59,259,376 35.4% BERGMAN, BARRY USA 59,259,432 35.4% BERGMAN, JEROME USA 59,259,518 35.4% BERLER, MATTHEW K. USA 59,258,612 35.4% BERNER III, ROBERT L. USA 59,259,422 35.4% BIANCO, FRANK USA 59,259,582 35.4% BIERT, GISEP Switzerland 59,258,392 35.4% BILLINGS, MARK B. USA 59,259,316 35.4% BILOTTI JR, RICHARD A. USA 59,258,392 35.4% BILSBY, KEVIN A. UK 59,259,346 35.4% BIRDSALL, JOHN S. USA 59,259,508 35.4% BIRNBAUM, JEFFREY M. USA 59,258,812 35.4% BLACK MACKINNON, SUSAN L. USA 59,259,666 35.4% BLAIN, PAUL F. UK 59,266,308 35.4% BLAIR, DAVID H. USA 59,260,322 35.4% BLAIS, WILLIAM L. USA 59,260,110 35.4% BLUM, JON E. USA 59,258,666 35.4% BLUMSTEIN, MICHAEL W. USA 59,259,054 35.4% BODSON, MICHAEL C. USA 59,259,598 35.4% BOHL, THERESA J. USA 59,259,622 35.4% BOIARSKY, ROBERT USA 59,259,068 35.4% BOK, SCOTT L. USA 59,259,580 35.4% BOOTH, DAVID USA 59,259,642 35.4% BOPP, WALTER S. USA 59,260,414 35.4% BOROSH, DAVID A. USA 59,258,894 35.4% BOSCO, ANTHONY B. USA 59,259,462 35.4% BOUCHER II, CHARLES L. USA 59,259,008 35.4% BOUTROS, GEORGE F. Lebanon 59,259,526 35.4% BOUYOUCOS, PETER J. USA 59,258,392 35.4% BOVICH, FRANCINE J. USA 59,258,808 35.4%
7
LINE 1 LINE 6 LINE 11 LINE 13 ----------------------------------------------------------------------------------------------------- AGGREGATE PERCENT OF CLASS AMOUNT REPRESENTED BY NAME CITIZENSHIP BENEFICIALLY HELD AMOUNT IN LINE 11 ----------------------------------------------------------------------------------------------------- BRADFORD, LESLIE EMBS USA 59,260,556 35.4% BRADLEY, MARK H. USA 59,259,118 35.4% BRAKEBILL, SCOTT R. USA 59,259,826 35.4% BRENNAN, DONALD PATRICK USA 59,260,876 35.4% BRENNER, ANDREW F. USA 59,259,088 35.4% BRESLOW, STUART J.M. USA 59,259,618 35.4% BREWER, SIMON UK 59,258,392 35.4% BRICKMAN, KEITH D. USA 59,258,940 35.4% BRIERWOOD, DAVID C. UK 59,268,378 35.4% BRILLE, BRIAN J. USA 59,259,376 35.4% BROBERG, CHRISTIAN P. Denmark 59,258,392 35.4% BROCK, WILLIAM G. Canada 59,283,584 35.5% BROLLEY, KEVIN USA 59,259,164 35.4% BROOKE, PAUL A. USA 59,260,322 35.4% BROWN, ERNEST W. USA 59,258,658 35.4% BROWN, ANDREW C. USA 59,258,624 35.4% BROWN, DOUGLAS L. USA 59,258,906 35.4% BROWN, JEFFRY P. USA 59,259,554 35.4% BROWN, KEITH UK 59,270,900 35.4% BROWN, RANDOLPH B. USA 59,258,574 35.4% BROWNE, KEVIN J. USA 59,259,628 35.4% BRUNDLER, ADOLF Switzerland 59,258,392 35.4% BRYANT, MALCOLM P. UK 59,260,654 35.4% BRYCE, COLIN UK 59,261,930 35.4% BUCK, LEE M. USA 59,265,232 35.4% BUECHTER, MARKUS Germany 59,258,392 35.4% BULCHANDANI, RAVI A. India 59,258,552 35.4% BUNCHE JR, RALPH J. USA 59,262,148 35.4% BUOBOLO, ANTHONY J. USA 59,259,506 35.4% BURDICK, LEIGH S. USA 59,258,790 35.4% BURIAN, SANFORD F. USA 59,259,450 35.4% BURKE, LAUREN M. USA 59,258,464 35.4% BURNS, DENNIS J. USA 59,260,414 35.4% BUSCH, MAY C. USA 59,259,490 35.4% BYRD, CAREN USA 59,259,502 35.4% CAFFREY, TIMOTHY J. USA 59,259,072 35.4% CAHILL JR., THOMAS F. USA 59,258,920 35.4% CALDECOTT, P. DOMINIC UK 59,271,768 35.4% CALLAHAN, DANIEL H. USA 59,258,596 35.4% CAMPION, FRANCES Ireland 59,258,392 35.4% CAPPUCCI, GUY T. USA 59,259,266 35.4% CAPUTO, A. MACDONALD USA 59,260,684 35.4% CARACAPPA, MARY USA 59,259,154 35.4% CAREY, JAMES P. USA 59,259,732 35.4% CARLETON, BRUCE T. USA 59,260,386 35.4% CARLIN, JANE D. USA 59,259,506 35.4%
8
LINE 1 LINE 6 LINE 11 LINE 13 --------------------------------------------------------------------------------------------------- AGGREGATE PERCENT OF CLASS AMOUNT REPRESENTED BY NAME CITIZENSHIP BENEFICIALLY HELD AMOUNT IN LINE 11 --------------------------------------------------------------------------------------------------- CARLTON, PAMELA G. USA 59,259,554 35.4% CARMICHAEL, TERENCE P. USA 59,259,606 35.4% CARR JR, LOUIS J. USA 59,260,722 35.4% CARRARA JR, MATTHEW A. USA 59,259,146 35.4% CARROLL, ALLAN R. USA 59,258,392 35.4% CARROLL JR, JESSE L. USA 59,271,020 35.4% CARROLL, DAVID C. USA 59,259,326 35.4% CARROLL, JOHN E. USA 59,258,496 35.4% CARUSO, CHRISTOPHER J. USA 59,259,576 35.4% CASSEDY, MICHAEL J. USA 59,259,988 35.4% CASSOU, BEATRICE M. USA 59,259,376 35.4% CASTELLANO, RICHARD R. USA 59,259,788 35.4% CAUFIELD, PATRICK J. USA 59,258,392 35.4% CAWSEY, RICHARD Australia 59,258,392 35.4% CERTOSIMO, ARTHUR USA 59,258,392 35.4% CHAMBERLAIN, PAUL E. USA 59,259,132 35.4% CHAMBERLAIN, STEPHEN P. UK 59,265,624 35.4% CHAMMAH, WALID A. Lebanon 59,258,770 35.4% CHAN, OLIVER S. USA 59,259,204 35.4% CHAN, JOE M.F. Hong Kong 59,259,344 35.4% CHANDLER, ELIZABETH R. USA 59,258,920 35.4% CHASIN, CHARLES USA 59,259,498 35.4% CHENEVIX-TRENCH, JONATHAN UK 59,260,918 35.4% CHENG, JAMES K.K. Malaysia 59,258,392 35.4% CHESTER III, JOHN E. USA 59,259,562 35.4% CHIARELLO, GUY USA 59,259,452 35.4% CHIN, EAN WAH Malaysia 59,258,392 35.4% CHIRLS, CATHERINE E. USA 59,258,794 35.4% CHORBAJIAN-DEPOL, ANNE USA 59,259,072 35.4% CHURCHOUSE, FREDERICK P. New Zealand 59,258,392 35.4% CHUTTER, JESSICA C. USA 59,259,424 35.4% CITRINO, MARY ANNE USA 59,259,422 35.4% CLARK, JONATHAN M. USA 59,258,952 35.4% CLARK, MAYREE C. USA 59,260,322 35.4% CLARK, WILLIAM THOMAS USA 59,262,918 35.4% CLEMENTE LA BRUM, J. PAUL USA 59,260,836 35.4% CLEPHANE, THOMAS P. USA 59,259,740 35.4% CLIFFORD, KENNETH F. USA 59,259,484 35.4% COBBY, NIGEL UK 59,262,938 35.4% COHAN, TIMOTHY P. USA 59,260,074 35.4% COHEN, BRUCE L. USA 59,259,722 35.4% COHEN, DAVID L. USA 59,259,784 35.4% COHEN, LAWRENCE H. USA 59,259,466 35.4% COLBY-JONES, LISA R. USA 59,259,826 35.4% COLE, JAMES S. USA 59,259,616 35.4% COLEMAN JR, JOHN C. USA 59,265,448 35.4%
9
LINE 1 LINE 6 LINE 11 LINE 13 -------------------------------------------------------------------------------------------------- AGGREGATE PERCENT OF CLASS AMOUNT REPRESENTED BY NAME CITIZENSHIP BENEFICIALLY HELD AMOUNT IN LINE 11 --------------------------------------------------------------------------------------------------- COLEY II, JAMES C. USA 59,259,456 35.4% COLOSIMO, LOUIS A. USA 59,258,792 35.4% COMFORT, STEPHANIE G. USA 59,258,790 35.4% CONNOLLY, JOHN D. USA 59,258,392 35.4% CONNOR, MARY T. USA 59,259,360 35.4% COOK, CHARLES R. USA 59,258,392 35.4% COOPER, ALASTAIR W.P. UK 59,259,242 35.4% COOPER, ANDREW C. USA 59,259,300 35.4% COOPER, SCOTT H. Canada 59,259,438 35.4% COOPER, EDITH W. USA 59,258,804 35.4% CORDNER, CARTER W. USA 59,259,556 35.4% CORDY, STEPHEN C. USA 59,259,460 35.4% CORKRAN, JO ANN USA 59,258,488 35.4% CORRADO, CHRISTOPHER F. USA 59,259,468 35.4% CORSI, STEFANO Italy 59,258,992 35.4% CORY, CHARLES R. USA 59,259,852 35.4% COX, CHRISTOPHER UK 59,259,720 35.4% COX, KEVIN C. USA 59,259,246 35.4% COYNER, KEVIN B. USA 59,259,448 35.4% CRANDALL, TERRANCE M. USA 59,259,642 35.4% CRAWFORD, STEPHEN S. USA 59,259,246 35.4% CREGAN, JOHN F. USA 59,259,952 35.4% CRNKOVICH, PETER N. USA 59,259,776 35.4% CROFT, ROBERT G.E. UK 59,260,554 35.4% CROMPTON, JOHN D. UK 59,258,854 35.4% CROWDER, GARRY B. USA 59,259,694 35.4% CROWE, MICHAEL A. USA 59,259,932 35.4% CRUZ, ZOE Greece 59,260,322 35.4% CRYSTAL, BRUCE A. USA 59,259,588 35.4% CUMMINS, NEIL A. USA 59,270,556 35.4% CUNNINGHAM, MICHAEL JOHN UK 59,258,486 35.4% CUNNINGHAM, PETER USA 59,259,538 35.4% CURTIS, MICHAEL S. USA 59,259,350 35.4% CURTIS, PAUL D. USA 59,259,378 35.4% CZINSKY, MICHAEL J. USA 59,259,468 35.4% D'ANGELO, PETER J. USA 59,259,988 35.4% D'ANTONIO, STEPHEN H. USA 59,259,360 35.4% DAL LAGO, FRANK C. USA 59,259,468 35.4% DANIEL, PAUL R. UK 59,259,338 35.4% DAROOKA, PRADIP India 59,258,698 35.4% DAVIDSON III, NORTON A. USA 59,273,250 35.4% DAVIDSON III, JOHN P. USA 59,258,646 35.4% DAVIDSON, JOHN H. USA 59,260,248 35.4% DAVIDSON, RICHARD GAVIN UK 59,258,392 35.4% DAVIS JR, JOSEPH F. USA 59,259,794 35.4% DAVIS, BARRY USA 59,260,056 35.4%
10
LINE 1 LINE 6 LINE 11 LINE 13 ------------------------------------------------------------------------------------------------- AGGREGATE PERCENT OF CLASS AMOUNT REPRESENTED BY NAME CITIZENSHIP BENEFICIALLY HELD AMOUNT IN LINE 11 ------------------------------------------------------------------------------------------------- DAWSON, KENNETH E. UK 59,267,140 35.4% DAY, JACQUELINE A. UK 59,259,486 35.4% DE CHAZAL, GUY L. USA 59,261,478 35.4% DE COTIS, DEBORAH A. USA 59,260,032 35.4% DE MONTFORT, PIERS UK 59,267,606 35.4% DE REGT, KENNETH M. USA 59,260,254 35.4% DE SAINT-AIGNAN, PATRICK USA 59,260,616 35.4% DEAN, GORDON G. USA 59,259,438 35.4% DEAN, ANGELA H. UK 59,258,690 35.4% DEDOMENICO, EDWARD J. USA 59,258,842 35.4% DEE, MICHAEL E. USA 59,259,306 35.4% DELECROIX, MICHEL UK 59,259,316 35.4% DELONG, THOMAS J. USA 59,258,800 35.4% DEMEURE, THOMAS Belgium 59,258,392 35.4% DENAUT, ANNE S. USA 59,258,392 35.4% DERBES, RICHARD A. USA 59,315,010 35.5% DESALVO, MATTHEW S. USA 59,261,444 35.4% DEY, PETER Canada 59,258,392 35.4% DHAR, MADHAV India 59,260,936 35.4% DHAR, VASANT K. India 59,258,392 35.4% DIAZ-PEREZ, EDUARDO USA 59,259,292 35.4% DICKMAN, MICHAEL J. USA 59,259,306 35.4% DINGER, JEFFREY E. USA 59,259,426 35.4% DIXON, ROBERT D. USA 59,259,032 35.4% DOHA, NASEER Bangladesh 59,258,392 35.4% DONOGHUE, MICHAEL J. USA 59,259,380 35.4% DONOVAN, PETER J. USA 59,259,014 35.4% DORAN JR, WILLIAM M. USA 59,260,322 35.4% DORFMAN, JONATHAN L. USA 59,259,400 35.4% DOSHI, MIHIR J. India 59,259,276 35.4% DRISCOLL, THOMAS P. USA 59,258,856 35.4% DUFF, PHILIP N. USA 59,259,788 35.4% DUNN, KENNETH B. USA 59,258,392 35.4% DUNO, ALPHONSUS J. USA 59,259,506 35.4% DYAL, GORDON E. USA 59,259,120 35.4% EDWARDS, JEFFREY G. USA 59,258,994 35.4% EIFLER,CARL M. USA 59,258,392 35.4% ELSESSER, KIM M. USA 59,258,884 35.4% ENGLISH JR, FRANK E. USA 59,259,988 35.4% EPSTEIN, STUART J. USA 59,259,202 35.4% ERTMAN, ANDREW C. USA 59,259,086 35.4% ESAKI, HOWARD Y. USA 59,258,764 35.4% ESQUIVEL, JOSEPHINE R. USA 59,258,392 35.4% ESSER, STEPHEN F. USA 59,258,392 35.4% ESSIG, KARL P. USA 59,262,936 35.4% ESTES, SUSAN M. USA 59,259,556 35.4%
11
LINE 1 LINE 6 LINE 11 LINE 13 --------------------------------------------------------------------------------------------------- AGGREGATE PERCENT OF CLASS AMOUNT REPRESENTED BY NAME CITIZENSHIP BENEFICIALLY HELD AMOUNT IN LINE 11 --------------------------------------------------------------------------------------------------- EVANS, R. BRADFORD USA 59,260,852 35.4% EWELL, C. DANIEL USA 59,259,376 35.4% FAGEN, ROBERT A. USA 59,259,138 35.4% FALCO, DOMINICK F. USA 59,259,096 35.4% FALLS, AMY C. USA 59,258,524 35.4% FAN, LINDA C. USA 59,259,424 35.4% FANG, KEVIN S. USA 59,259,244 35.4% FANLO, IGNACIO J. USA 59,258,694 35.4% FARERI, ROBERT USA 59,259,270 35.4% FAULKNER, JOHN H. USA 59,258,574 35.4% FAWCETT, AMELIA C. USA 59,259,536 35.4% FEDER, ABIGAIL JONES USA 59,259,258 35.4% FEDERICO, GIACOMO USA 59,258,764 35.4% FEELEY, MARK J. USA 59,259,406 35.4% FEENICK, ANTHONY W. USA 59,259,372 35.4% FEIGELES, EDWARD M. USA 59,259,294 35.4% FELDMAN, KIRSTEN J. Canada 59,260,160 35.4% FELDMANN, JOEL P. USA 59,258,574 35.4% FELIX, RICHARD B. USA 59,260,706 35.4% FELT, RONALD G. USA 59,259,418 35.4% FERNANDEZ, HENRY A. USA 59,259,092 35.4% FEUERMAN, KURT A. USA 59,259,660 35.4% FIEDOREK, BRUCE D. USA 59,264,884 35.4% FIELD-MARSHAM, SCOTT R. UK 59,258,392 35.4% FINNEGAN, DANIEL M. USA 59,259,068 35.4% FISHER IV, GEORGE ROSS USA 59,261,522 35.4% FITZPATRICK, STEVEN B. USA 59,259,270 35.4% FLANNERY, HUGH J. USA 59,259,130 35.4% FLEISCHER, SPENCER C. USA 59,267,162 35.4% FLOOD JR, EUGENE USA 59,259,642 35.4% FLYNN, THOMAS J. USA 59,259,540 35.4% FOLAND, STEVEN R. USA 59,258,584 35.4% FOLEY, JOSEPH G. USA 59,258,994 35.4% FORTIER, MICHAEL ALBERT USA 59,258,392 35.4% FOSTER, CEDRIC G. USA 59,260,502 35.4% FOX, NIGEL UK 59,259,380 35.4% FRALICK, JAMES S. USA 59,263,242 35.4% FRANCESCOTTI, MARIO UK 59,291,472 35.5% FRANCOIS-PONCET, ANDRE France 59,258,392 35.4% FRANK, ALEXANDER C. USA 59,259,384 35.4% FREEMAN, IVAN K. USA 59,259,580 35.4% FRIED, PETER C. USA 59,259,444 35.4% FRIEDMAN, CATHERINE J. USA 59,259,438 35.4% FRIEDMAN, PHILIP W. USA 59,259,490 35.4% FRIEND, WARREN H. USA 59,259,392 35.4% FROST, RONALD X. USA 59,259,568 35.4%
12
LINE 1 LINE 6 LINE 11 LINE 13 ------------------------------------------------------------------------------------------------ AGGREGATE PERCENT OF CLASS AMOUNT REPRESENTED BY NAME CITIZENSHIP BENEFICIALLY HELD AMOUNT IN LINE 11 ------------------------------------------------------------------------------------------------ FUNG, E. MICHAEL Hong Kong 59,258,392 35.4% FUREY, JAMES HAMILTON USA 59,259,142 35.4% FUTAKI, AKIFUMI Japan 59,258,392 35.4% GALE, ANDREW UK 59,259,294 35.4% GALGANO, V. JAMES USA 59,259,560 35.4% GALPER, MIRON USA 59,259,562 35.4% GANDHI, VIKRAM S. India 59,259,116 35.4% GANTSOUDES, JAMES G. USA 59,258,632 35.4% GARBER, VICTOR S. USA 59,259,876 35.4% GARDINER, KEVIN LESLIE UK 59,258,392 35.4% GARONZIK, NEAL USA 59,331,638 35.5% GARRISON, ROBERT E. USA 59,259,364 35.4% GARTIN, CLINTON G. USA 59,262,978 35.4% GARTLAND, ROBERT F. USA 59,260,616 35.4% GAULT, BERNARD France 59,258,392 35.4% GENOVA, LISA A. USA 59,259,362 35.4% GEORGE, PATRICK ROBERT France 59,258,562 35.4% GEORGE, TIMOTHY M. USA 59,260,376 35.4% GERMANY, J. DAVID USA 59,258,392 35.4% GHAFFARI, PAUL B. USA 59,258,780 35.4% GIBB, MICHAEL UK 59,258,392 35.4% GIBSON, MICHAEL Switzerland 59,258,392 35.4% GIRSKY, STEPHEN J. USA 59,258,392 35.4% GLAS, MICHEL T. France 59,258,454 35.4% GLASCOTT, JAMES D. USA 59,259,242 35.4% GLASER, WILLIAM A. USA 59,258,868 35.4% GOLDBERG, ALAN E. USA 59,260,414 35.4% GOLDRICH, ROBERT F. USA 59,259,162 35.4% GOLDSMITH, RICHARD A. USA 59,259,578 35.4% GOLDSTEIN, CAROL S. USA 59,259,122 35.4% GOLDSTEIN, ROSS H. USA 59,259,460 35.4% GORDON, DAVID J. USA 59,258,502 35.4% GORDON, MARC W. USA 59,259,636 35.4% GORMAN, JESSICA G. USA 59,259,414 35.4% GORT, MICHAEL A. USA 59,259,572 35.4% GOULD III, RICHARD G. USA 59,279,902 35.5% GRAHAM, GILLES UK 59,258,392 35.4% GRAHAM, JAMES R. Ireland 59,260,794 35.4% GRAY, STEPHEN E. UK 59,259,130 35.4% GRAY, GORDON S. USA 59,260,616 35.4% GREENBERG, EDWARD M. USA 59,258,936 35.4% GREENSHIELDS, SIMON UK 59,259,856 35.4% GREENWALD, JAMIE USA 59,258,392 35.4% GREMONT, ARNAUD JEAN-MARIE France 59,258,392 35.4% GRISHAM, JAMES WAYNE USA 59,259,536 35.4% GROGAN, MATTHEW J. USA 59,258,488 35.4%
13
LINE 1 LINE 6 LINE 11 LINE 13 --------------------------------------------------------------------------------------------------- AGGREGATE PERCENT OF CLASS AMOUNT REPRESENTED BY NAME CITIZENSHIP BENEFICIALLY HELD AMOUNT IN LINE 11 --------------------------------------------------------------------------------------------------- GROHSKOPF JR, ROBERT H. USA 59,259,318 35.4% GRONQUIST, CATHERINE D. USA 59,260,706 35.4% GROS, FRANCISCO R.A. Brazil 59,258,392 35.4% GRUPPO, DAVID M. USA 59,258,392 35.4% GRZECZKA, KEITH L. USA 59,259,364 35.4% GULLEY, MARK R. USA 59,259,522 35.4% GUTHEIM, PAUL G. USA 59,259,556 35.4% GYE, DAVID H. UK 59,258,392 35.4% HADDAD, MICHAEL D. USA 59,259,292 35.4% HAFFNER, LYNN CARLOS USA 59,261,152 35.4% HAGER, FRANCIS J. USA 59,259,432 35.4% HAGIN, ROBERT L. USA 59,258,392 35.4% HAHN, JOHN C. USA 59,259,078 35.4% HALL II, PERRY E. USA 59,263,414 35.4% HALL, C. BARROWS USA 59,260,322 35.4% HAMADA, TOSHIYUKI Japan 59,258,392 35.4% HAMILTON, PETER F. USA 59,259,554 35.4% HAMMOND, PAUL UK 59,258,392 35.4% HANEY, WILLIAM C. USA 59,260,654 35.4% HANLON, JOHN USA 59,258,392 35.4% HANTHO, MARK A. Canada 59,258,448 35.4% HAPPEL, MICHAEL A. USA 59,259,306 35.4% HARA, FUSAO Japan 59,258,392 35.4% HARDIE, IAIN RICHARD UK 59,258,392 35.4% HARDING, WILLIAM J. USA 59,258,436 35.4% HARDY, MICHAEL W. USA 59,259,376 35.4% HARLAND, CHRISTOPHER M. USA 59,259,712 35.4% HARMAN, WILLIAM R. USA 59,260,076 35.4% HARMS, JR., THOMAS K. USA 59,259,200 35.4% HARPE, MICHAEL G. Canada 59,259,438 35.4% HARRINGTON, ANNA R. USA 59,258,722 35.4% HARRISON, MARK E. UK 59,260,482 35.4% HARVEY, ELLEN D. USA 59,258,392 35.4% HASSEN, THOMAS E. USA 59,260,284 35.4% HATFIELD, JAY D. USA 59,259,246 35.4% HAVENS, JOHN P. USA 59,260,322 35.4% HAY, MARIANNE LAING UK 59,258,520 35.4% HAYASHI, KAZUSHI Japan 59,258,392 35.4% HAYES, MICHAEL A. UK 59,258,920 35.4% HAYES, DAVID L. USA 59,259,068 35.4% HAYTHE, DAVID O. USA 59,266,746 35.4% HEANEY, MICHAEL C. USA 59,259,294 35.4% HEDLUND, MATS MIKAEL Sweden 59,258,490 35.4% HEGGLIN, DANIEL R. Switzerland 59,267,820 35.4% HEMEL, ERIC I. USA 59,259,012 35.4% HENDEL, STUART J. USA 59,259,228 35.4%
14
LINE 1 LINE 6 LINE 11 LINE 13 ------------------------------------------------------------------------------------------------ AGGREGATE PERCENT OF CLASS AMOUNT REPRESENTED BY NAME CITIZENSHIP BENEFICIALLY HELD AMOUNT IN LINE 11 ------------------------------------------------------------------------------------------------ HENDRY, DANIELE N. Switzerland 59,258,392 35.4% HENNEMUTH, BRUCE W. USA 59,259,460 35.4% HEPBURN, JOHN K. Canada 59,285,020 35.5% HERSHY, ROBERT J. USA 59,259,278 35.4% HERSKOVITZ, MICHAEL D. USA 59,258,562 35.4% HEYES, RICHARD C. UK 59,258,392 35.4% HIGGINS, MICHAEL J. USA 59,259,370 35.4% HIGGINS, WILLIAM X. USA 59,259,896 35.4% HILL II, JOSEPH W. USA 59,260,106 35.4% HILZENRATH, EUGENE B. USA 59,259,448 35.4% HINTZ, CHARLES B. USA 59,260,024 35.4% HIRSCH, STEVEN E. USA 59,259,564 35.4% HIRST, JULIAN CLEMENT UK 59,258,392 35.4% HOCH, JAMES S. USA 59,259,438 35.4% HOCH, KENNETH C. USA 59,259,532 35.4% HOFFEN, HOWARD I. USA 59,259,246 35.4% HOFFMAN, MICHAEL C. USA 59,259,420 35.4% HOLLIHAN III, JOHN P. USA 59,259,692 35.4% HOLLINGER, REGINALD J. USA 59,259,240 35.4% HOLM, ERIC R. USA 59,258,392 35.4% HOLZSCHUH, JEFFREY R. USA 59,259,766 35.4% HONG, JUN K. USA 59,258,770 35.4% HOSLER, C. WILLIAM USA 59,259,102 35.4% HSIEH, JACKSON USA 59,258,508 35.4% HU, WEI-CHUNG BRADFORD Taiwan 59,259,208 35.4% HUFFMAN, RANDALL C. USA 59,259,298 35.4% HULLAR, JOHN P. USA 59,259,954 35.4% HUMPHERY, MARYE L. UK 59,258,392 35.4% HUNEKE III, JOHN H. USA 59,259,742 35.4% HUNTLEY, KRISTEN S. USA 59,259,376 35.4% IKEHARA, SUSUMU Japan 59,258,392 35.4% IMANISHI, JUN Japan 59,258,392 35.4% IMRIE, BRIAN C. Canada 59,258,392 35.4% IP, HONSUM Hong Kong 59,258,392 35.4% IRISH, JOHN S. USA 59,259,208 35.4% ISASI, LUIS Spain 59,260,404 35.4% IVES, BRUCE S. USA 59,259,824 35.4% JACKSON, ALAN New Zealand 59,258,392 35.4% JACOBS, DAVID A. USA 59,258,710 35.4% JAMES, GEORGE MICHAEL USA 59,274,868 35.4% JAMES, MELISSA E. USA 59,259,208 35.4% JANER, RAGNAR L. USA 59,258,644 35.4% JANSON, MICHAEL M. USA 59,262,252 35.4% JODKA, JONATHAN D. USA 59,259,044 35.4% JOHANSSON, JERKER M. Sweden 59,259,062 35.4% JOHNSON, MARGARET KINSLEY USA 59,259,204 35.4%
15
LINE 1 LINE 6 LINE 11 LINE 13 ------------------------------------------------------------------------------------------------- AGGREGATE PERCENT OF CLASS AMOUNT REPRESENTED BY NAME CITIZENSHIP BENEFICIALLY HELD AMOUNT IN LINE 11 ------------------------------------------------------------------------------------------------- JOHNSON, DAVID USA 59,265,482 35.4% JOHNSON, NICHOLAS G. UK 59,258,392 35.4% JOHNSON, R. SHELDON USA 59,260,414 35.4% JOHNSON, THEODORE J. USA 59,258,392 35.4% JONES, ALAN K. USA 59,258,656 35.4% JONES, DONALD J. USA 59,259,482 35.4% JONES, MARGARET K. USA 59,259,328 35.4% JONES, ROBERT W. USA 59,263,616 35.4% JOSEPH, RAVINDRA J. Sri Lanka 59,259,374 35.4% JOUHAR, KELVIN JAN UK 59,258,392 35.4% JOYCE JR, RICHARD E. USA 59,259,372 35.4% JUTERBOCK, THOMAS M. USA 59,260,884 35.4% KAGEYAMA, TOSHIJI Japan 59,258,464 35.4% KAITO, MASAO Japan 59,258,392 35.4% KAMEN, ERIC M. USA 59,259,864 35.4% KAMINS, HAROLD W. USA 59,259,206 35.4% KANAMITSU, YASUO Japan 59,258,392 35.4% KANELLITSAS, JOHN A. USA 59,258,956 35.4% KANI, TAKEO Japan 59,258,392 35.4% KARCHES, PETER F. USA 59,260,876 35.4% KARETSKY, SAMUEL USA 59,258,392 35.4% KARY, MARK R. UK 59,258,392 35.4% KASANOFF, KATHRYN JONAS USA 59,259,372 35.4% KASSIN, PHILIP USA 59,259,750 35.4% KATSIHTIS, PAUL E. USA 59,259,198 35.4% KAUFFMAN, RICHARD L. USA 59,258,836 35.4% KAYELLO, SAMMY Lebanon 59,258,392 35.4% KEANE, MICHAEL DAVID UK 59,258,392 35.4% KEELER, JR., PAUL J. USA 59,258,886 35.4% KEEP, ANN UK 59,258,392 35.4% KELLEHER, COLM THOMAS UK 59,259,260 35.4% KELLEY, SEAN P. USA 59,259,116 35.4% KELLEY, SCOTT M. USA 59,259,376 35.4% KELLY, GEORGE J. USA 59,259,756 35.4% KELLY, TIMOTHY D. USA 59,259,486 35.4% KENT, DAVID S. Australia 59,258,392 35.4% KENT, CLAIRE UK 59,258,392 35.4% KENT, RONALD S. UK 59,263,086 35.4% KEY, NIGEL R. USA 59,258,392 35.4% KHADJAVI, LAYA Iran 59,259,332 35.4% KIDWELL, JEFFREY S. USA 59,259,500 35.4% KIHLE, DAG Norway 59,258,392 35.4% KIMAK, MARK M. USA 59,259,592 35.4% KIMBALL JR., RICHARD A. USA 59,259,246 35.4% KIMBALL, PAUL G. USA 59,260,616 35.4% KIMEDA, TOSHIO Japan 59,258,426 35.4%
16
LINE 1 LINE 6 LINE 11 LINE 13 --------------------------------------------------------------------------------------------------- AGGREGATE PERCENT OF CLASS AMOUNT REPRESENTED BY NAME CITIZENSHIP BENEFICIALLY HELD AMOUNT IN LINE 11 --------------------------------------------------------------------------------------------------- KINDRED, JONATHAN B. USA 59,259,580 35.4% KING, NANCY A. USA 59,259,098 35.4% KING, WILLIAM T. USA 59,259,148 35.4% KINGSTON III, DOUGLAS P. USA 59,259,378 35.4% KINKEAD, BRIAN M. USA 59,259,438 35.4% KINMONT, ALEXANDER UK 59,258,392 35.4% KIRKLAND, DEREK G. USA 59,259,510 35.4% KISHIMOTO, SATOSHI Japan 59,259,110 35.4% KITTS, ROBERT W. USA 59,258,706 35.4% KLAEDTKE, PATRICK G. Germany 59,258,392 35.4% KLOPPENBORG, ROBERT W. USA 59,259,396 35.4% KOEDERITZ, CANDICE E. USA 59,260,426 35.4% KOENEN, AUSTIN V. USA 59,260,228 35.4% KOERLING, HEINRICH Germany 59,271,248 35.4% KOHNHORST, ADOLF Netherlands 59,258,392 35.4% KOLLAR, JOHN S. USA 59,258,836 35.4% KONOLIGE, KIT USA 59,258,558 35.4% KOON, MAY USA 59,258,442 35.4% KOPPENOL, ROBERT G. USA 59,259,384 35.4% KOURAKOS JR, WILLIAM USA 59,259,658 35.4% KOVICH, NICHOLAS J. USA 59,258,392 35.4% KRAMMER, MARLENE G. USA 59,259,534 35.4% KRAUSE, PETER C. USA 59,264,724 35.4% KREIDER, STEVEN K. USA 59,258,392 35.4% KRESSNER, J. THOMAS Sweden 59,263,632 35.4% KROM III, FREDERICK B. USA 59,260,056 35.4% KRONENBERG, ANNE C. USA 59,259,362 35.4% KUPFERBERG, BARRY D. USA 59,259,306 35.4% KURTZ, PATRICIA A. USA 59,259,610 35.4% KUSHMA, DEBRA A.F. USA 59,259,012 35.4% KUSHMA, MICHAEL B. USA 59,258,392 35.4% KWOK, LIONEL Hong Kong 59,258,392 35.4% LA ROCHE, ELAINE USA 59,260,616 35.4% LADD, SUSAN C. USA 59,259,460 35.4% LAFAMAN, JAMES T. USA 59,259,344 35.4% LAIRD, JO BACKER USA 59,259,610 35.4% LAL, NAINA India 59,258,392 35.4% LAMOUNTAIN, JON USA 59,259,618 35.4% LANCKSWEERT, DOMINIQUE Belgium 59,260,176 35.4% LANDERS JR, JOHN Q. USA 59,259,284 35.4% LANDMAN, DAVID USA 59,259,514 35.4% LANDRY, CHRISTINA M. USA 59,260,760 35.4% LANDRY, BRENDA LEE USA 59,263,940 35.4% LANGSAM, JOSEPH A. USA 59,259,786 35.4% LAP, MICHIEL P. Netherlands 59,259,358 35.4% LARKINS, GARY T. USA 59,259,754 35.4%
17
LINE 1 LINE 6 LINE 11 LINE 13 ------------------------------------------------------------------------------------------------------- AGGREGATE PERCENT OF CLASS AMOUNT REPRESENTED BY NAME CITIZENSHIP BENEFICIALLY HELD AMOUNT IN LINE 11 ------------------------------------------------------------------------------------------------------- LARKINS, ROBERT J. USA 59,259,422 35.4% LARSON, ERIC J. USA 59,259,034 35.4% LASHENDOCK, MICHAEL J. USA 59,259,470 35.4% LATAINER, GARY D. USA 59,260,086 35.4% LATIF, NADIR S. UK 59,258,392 35.4% LAXMI, JOHN S. USA 59,260,156 35.4% LAYNG, JOHN G. USA 59,259,588 35.4% LEACH, BRIAN USA 59,259,614 35.4% LEBLANC, PAUL L. USA 59,259,510 35.4% LEBOWITZ, MICHAEL USA 59,259,486 35.4% LEFKOWITZ, ROBERT M. USA 59,258,936 35.4% LEIMER, WILLI KURT Austria 59,258,392 35.4% LEIST, STEPHEN USA 59,258,724 35.4% LEITCH, DONALD S. USA 59,259,432 35.4% LENOWITZ, SCOTT J. USA 59,259,178 35.4% LEVIN, DEBRA J. USA 59,258,962 35.4% LEVINE, JOSHUA S. USA 59,259,700 35.4% LEVY, THOMAS A. USA 59,259,152 35.4% LEVY, WILLIAM D. USA 59,258,524 35.4% LEWIS JR, WILLIAM M. USA 59,260,322 35.4% LEWIS, RICHARD GRAHAM UK 59,258,392 35.4% LIANG, JAMES L. USA 59,258,814 35.4% LIEBLICH, STEVEN USA 59,259,200 35.4% LIM, CHIN Y. Malaysia 59,258,874 35.4% LINDSAY, IAN E. UK 59,258,962 35.4% LIPE, L. ALEX Australia 59,258,392 35.4% LIPPMANN, MARIANNE J. USA 59,259,550 35.4% LIPTON, STEPHEN C. UK 59,259,324 35.4% LITTLE, JAMES W. USA 59,259,152 35.4% LIU, JIALIN China 59,258,782 35.4% LIU, ANDREW Y.S. UK 59,260,322 35.4% LIU, THEODORE EM-PO USA 59,258,468 35.4% LLOYD, CHARLES E.G. USA 59,258,830 35.4% LLOYD, ELAINE C. USA 59,259,788 35.4% LOARIE, ROBERT J. USA 59,259,030 35.4% LOCOSA, LAURA E. USA 59,259,354 35.4% LONGO, VICTORIA A. USA 59,258,392 35.4% LORENTZEN, KENT R. USA 59,261,776 35.4% LOURIE, JONATHAN H. USA 59,259,094 35.4% LOVOI, JOHN V. USA 59,258,392 35.4% LUCAYA, JORGE Spain 59,258,524 35.4% LUMPKINS, DAVID B. D. USA 59,258,550 35.4% LUND, DAVID USA 59,259,562 35.4% LUTZ, MERRITT M. USA 59,258,440 35.4% LYCHE, EINAR OLOF Norway 59,258,392 35.4% LYCHE, IVER USA 59,259,372 35.4%
18
LINE 1 LINE 6 LINE 11 LINE 13 ---------------------------------------------------------------------------------------------------- AGGREGATE PERCENT OF CLASS AMOUNT REPRESENTED BY NAME CITIZENSHIP BENEFICIALLY HELD AMOUNT IN LINE 11 ---------------------------------------------------------------------------------------------------- LYLES JR, RAY V. USA 59,259,874 35.4% LYNCH, ELIZABETH W. USA 59,259,256 35.4% MACCHIAVERNA, GLENN J. USA 59,259,108 35.4% MACDONALD, GAVIN L. UK 59,258,392 35.4% MACKENZIE, DOUGLAS F. USA 59,258,392 35.4% MACKIN, JOHN J. USA 59,259,680 35.4% MAGEE, STEVEN G. USA 59,259,512 35.4% MAGUIRE, J. ROBERT USA 59,259,514 35.4% MAHON, JAMES J. USA 59,261,298 35.4% MAHONEY, JAMES P. USA 59,259,998 35.4% MAINEY, RICHARD E. USA 59,258,466 35.4% MAIT, MICHELE M. USA 59,261,022 35.4% MALONE, CHRISTIAN B. USA 59,259,492 35.4% MAMDANI, MAHMOUD A. USA 59,259,448 35.4% MANGI, JOSEPH A. USA 59,259,596 35.4% MANGINO, GARY J. USA 59,259,484 35.4% MANSON, CHRISTOPHER J.J. USA 59,258,700 35.4% MARATOS, JASON G. Greece 59,258,392 35.4% MARCIN, ROBERT J. USA 59,258,392 35.4% MARGOLIS, JEFFREY USA 59,258,484 35.4% MARKS, KENNETH R. USA 59,260,170 35.4% MARKWALTER JR, JOHN S. USA 59,259,254 35.4% MARTIN, M. PAUL USA 59,259,376 35.4% MARTINEZ, LOURDES LINDEN USA 59,259,986 35.4% MASRI, JACK JOSEPH UK 59,258,392 35.4% MASSEY, STEWART R. USA 59,259,528 35.4% MASSOT, SYLVAIN P. France 59,259,008 35.4% MASUCCI, FERDINAND D. USA 59,259,818 35.4% MATTESON, FREDERICK E. USA 59,258,392 35.4% MAUDE, FRANCIS ANTHONY UK 59,258,392 35.4% MAXWELL, PHILIP MOULTON Australia 59,258,392 35.4% MAYER, KIMBALL P. USA 59,259,340 35.4% MAYNARD JR, WALTER USA 59,259,816 35.4% MAYOROS, ALAN E. USA 59,259,388 35.4% MAZZILLI, PAUL J. USA 59,263,878 35.4% MAZZUCCHELLI, MARCO G. Italy 59,258,392 35.4% MCALLISTER, DEAN E. USA 59,259,176 35.4% MCARTHUR, JAMES New Zealand 59,258,392 35.4% MCCARTHY, ANTHONY P. USA 59,259,780 35.4% MCCOMBE, WILLIAM D. Australia 59,259,552 35.4% MCCONIGLEY, MICHAEL J. Ireland 59,258,392 35.4% MCCONNELL, JOSEPH M. USA 59,261,510 35.4% MCDONALD, JAMES W. USA 59,258,914 35.4% MCDONNELL GAIL P. USA 59,258,750 35.4% MCDONOUGH, PATRICK J. USA 59,259,376 35.4% MCGEEHAN, JOHN D. USA 59,259,496 35.4%
19
LINE 1 LINE 6 LINE 11 LINE 13 ------------------------------------------------------------------------------------------------- AGGREGATE PERCENT OF CLASS AMOUNT REPRESENTED BY NAME CITIZENSHIP BENEFICIALLY HELD AMOUNT IN LINE 11 ------------------------------------------------------------------------------------------------- MCGUINNESS, NANCY A. USA 59,258,610 35.4% MCILROY, WILLIAM USA 59,259,154 35.4% MCINTYRE JR., JOHN P. USA 59,258,392 35.4% MCLAUGHLIN, GREGORY USA 59,260,616 35.4% MCMAHON, WILLIAM C. USA 59,261,664 35.4% MCMANUS, THOMAS M. USA 59,258,930 35.4% MEEKER, MARY G. USA 59,258,976 35.4% MELENDEZ, VICTORIA T. USA 59,258,596 35.4% MERRITT, PETER G. USA 59,259,224 35.4% METZLER, ROBERT A. USA 59,260,722 35.4% MEYER, JOSEPH F. USA 59,259,506 35.4% MEYER, ROBERT L. USA 59,259,134 35.4% MEYER, BRUCE A. USA 59,262,314 35.4% MIAO, EUGENE A. USA 59,259,368 35.4% MICHNOWICH, SALVATORE E. USA 59,260,618 35.4% MILIAS-ST. PETER, MARY ANN USA 59,258,392 35.4% MICIONI, PETER J. USA 59,259,192 35.4% MILLER, FREDERIC A. USA 59,259,336 35.4% MILLER, PAUL S. USA 59,259,662 35.4% MILUNOVICH, STEVEN M. USA 59,259,058 35.4% MIN, EUOO SUNG Korea 59,258,392 35.4% MINTON, PETER A. USA 59,258,990 35.4% MINTZ, DANIEL R. USA 59,259,300 35.4% MISKOVIC, MAUREEN JANET UK 59,258,392 35.4% MISSETT, BRUCE M. USA 59,259,510 35.4% MIZEN, GREG E. USA 59,259,418 35.4% MIZUNO, TOSHIYA Japan 59,258,392 35.4% MOELLER, SCOTT D. USA 59,259,714 35.4% MOLE, MARIE L. USA 59,259,316 35.4% MOLLOY, WILLIAM S. USA 59,260,322 35.4% MOONIER, JAMES F. USA 59,259,412 35.4% MOORE JR, DONALD A. USA 59,260,616 35.4% MOORE,DUNCAN CHARLES MCNAUGHT UK 59,258,918 35.4% MORE, DANIEL B. USA 59,258,706 35.4% MORGAN, DAVID H. UK 59,259,896 35.4% MORPHETT, JONATHAN G. USA 59,259,838 35.4% MORTIMER, PATRICK J. USA 59,259,324 35.4% MOSCATI, LEONARD F. USA 59,259,548 35.4% MOURRE, MARC France 59,258,592 35.4% MOZER, FRANCINE L. USA 59,259,544 35.4% MUELLER III, JOHN M. USA 59,259,194 35.4% MULLER, PETER USA 59,258,766 35.4% MULLER, THOMAS R. USA 59,259,758 35.4% MULLIN, SEAN C.V. Canada 59,259,270 35.4% MUNARI, ANDREA Italy 59,258,392 35.4% MUNGER, STEPHEN R. USA 59,259,826 35.4%
20
LINE 1 LINE 6 LINE 11 LINE 13 --------------------------------------------------------------------------------------------------- AGGREGATE PERCENT OF CLASS AMOUNT REPRESENTED BY NAME CITIZENSHIP BENEFICIALLY HELD AMOUNT IN LINE 11 --------------------------------------------------------------------------------------------------- MURPHY, DEVIN I. USA 59,258,928 35.4% MURPHY, CHARLES W. USA 59,259,226 35.4% MURPHY, DANIEL H. USA 59,259,600 35.4% MURPHY, DAVID J. USA 59,259,588 35.4% MURPHY, KEVIN C. USA 59,259,446 35.4% MURRAY, ANTHONY UK 59,259,054 35.4% MURRAY, PETER J. UK 59,259,204 35.4% MURRAY, EILEEN K. USA 59,259,770 35.4% NADOSY, PETER USA 59,260,722 35.4% NAGRANI, VINEET India 59,258,392 35.4% NAKADA, KENJI Japan 59,258,392 35.4% NAKAMURA, HARUO Japan 59,258,392 35.4% NASON, PETER G. USA 59,259,100 35.4% NAYLOR, MARGARET P. UK 59,259,260 35.4% NEAMTU, ALEXANDER USA 59,261,634 35.4% NEEDHAM, PETER A. USA 59,260,150 35.4% NELSON, THOMAS R. USA 59,262,288 35.4% NEUBERGER, MARK A. USA 59,259,166 35.4% NEUBOHN, NANEEN H. USA 59,260,116 35.4% NEUWIRTH, DAVID N. USA 59,259,282 35.4% NEWCOMB, PHILIP V. USA 59,259,402 35.4% NEWHOUSE, STEPHAN F. USA 59,260,414 35.4% NEWMAN, DAVID F. USA 59,259,490 35.4% NICKOLL, BENJAMIN E. USA 59,258,392 35.4% NICOL, DAVID UK 59,264,074 35.4% NIEHAUS, CHRISTOPHER J. USA 59,259,648 35.4% NIEHAUS, ROBERT H. USA 59,262,722 35.4% NOSSEIR, AMR M. USA 59,259,140 35.4% NOTLEY, SEAN J. UK 59,260,098 35.4% NOUJAIM, ALEXANDER J. USA 59,259,200 35.4% NOWLIN, KEVIN USA 59,258,392 35.4% O'BRIEN, DONALD S. USA 59,259,548 35.4% O'BRIEN, JAMES M. USA 59,259,660 35.4% O'FLYNN, THOMAS M. USA 59,259,422 35.4% O'FRIEL, MARK L. USA 59,258,868 35.4% O'HARE, MICHAEL T. USA 59,259,610 35.4% O'KEEFE, WILLIAM B. USA 59,259,844 35.4% O'LEARY, WILLIAM F. USA 59,261,136 35.4% OBERLIN, DANA M. USA 59,259,412 35.4% OCAMPO, EDWARD J. USA 59,259,164 35.4% OELERICH III, FRANCIS J. USA 59,259,422 35.4% OKAMURA, KAZUMI NAGASHIMA Japan 59,258,392 35.4% OKUBO, TSUTOMU Japan 59,258,392 35.4% OKUSU, TAIJI Japan 59,258,392 35.4% OLESKY, JONATHAN D. USA 59,259,456 35.4% OLSEN, WARREN USA 59,259,722 35.4%
21
LINE 1 LINE 6 LINE 11 LINE 13 -------------------------------------------------------------------------------------------------- AGGREGATE PERCENT OF CLASS AMOUNT REPRESENTED BY NAME CITIZENSHIP BENEFICIALLY HELD AMOUNT IN LINE 11 -------------------------------------------------------------------------------------------------- ONG, RONALD Singapore 59,258,392 35.4% ONUMA, TAKASHI Japan 59,258,818 35.4% OREM, JOHN R. USA 59,259,308 35.4% ORMEROD, MARK UK 59,260,724 35.4% OSBON, JOHN F. USA 59,259,068 35.4% OVERLANDER, KEITH F. USA 59,258,926 35.4% OYARBIDE, CARLOS ALFONSO Spain 59,258,392 35.4% OZEKI, TOSHIO USA 59,259,474 35.4% PACE, JOANNE USA 59,258,744 35.4% PACE, PHILLIP USA 59,258,392 35.4% PAGLIARI, MICHAEL UK 59,259,072 35.4% PALMIOTTI, JOSEPH C. USA 59,259,254 35.4% PANDIT, VIKRAM S. India 59,260,322 35.4% PANJWANI, RAJU H. USA 59,259,548 35.4% PANNELL, CAROL AMANDA UK 59,258,392 35.4% PARENT, MARGARET M. USA 59,258,690 35.4% PARKER, KEVIN E. USA 59,259,882 35.4% PARR, GARY W. USA 59,258,626 35.4% PASCIUCCO, GERARD USA 59,259,410 35.4% PASTRANA, GEORGE USA 59,258,922 35.4% PATE, BRUCE A. USA 59,258,982 35.4% PATEL, MUKESH D. USA 59,259,414 35.4% PATTEN, VEESWANADEN R. Mauritius 59,258,392 35.4% PAVONCELLI, RICCARDO Italy 59,259,286 35.4% PEARSON, SHARON E. UK 59,258,718 35.4% PECORI GIRALDI, GALEAZZO Italy 59,263,336 35.4% PELGRIFT, JAMES D. USA 59,260,600 35.4% PELLECCHIO, RALPH L. USA 59,259,908 35.4% PELOSKY JR, ROBERT J. USA 59,259,046 35.4% PENINGTON, MICHAEL UK 59,259,934 35.4% PENNEY, DAVID J. USA 59,258,392 35.4% PENWELL, STEPHEN B. USA 59,259,130 35.4% PEREIRA, IAN C.T. Kenya 59,258,900 35.4% PEREIRA, PAULO C. Portugal 59,258,392 35.4% PERELLA, JOSEPH R. USA 59,258,736 35.4% PETERSON, C. SCOTT USA 59,259,236 35.4% PETERSON, WAYNE D. USA 59,259,458 35.4% PETERY, ANDRAS R. USA 59,260,578 35.4% PETITGAS, FRANCK R. USA 59,258,596 35.4% PETRI, LAWRENCE M. USA 59,259,568 35.4% PETRICK, MICHAEL J. USA 59,259,292 35.4% PETRILLI, ANTHONY M. USA 59,259,222 35.4% PETROW, CHRISTOPHER G. USA 59,259,512 35.4% PHILLIPS, CHARLES E.,JR. USA 59,258,392 35.4% PHILLIPS, CRAIG S. USA 59,258,690 35.4% PIDDEN, ANDREW F. UK 59,259,050 35.4%
22
LINE 1 LINE 6 LINE 11 LINE 13 ------------------------------------------------------------------------------------------------------------- AGGREGATE PERCENT OF CLASS AMOUNT REPRESENTED BY NAME CITIZENSHIP BENEFICIALLY HELD AMOUNT IN LINE 11 ------------------------------------------------------------------------------------------------------------- PIPA, ANDREW C. USA 59,259,514 35.4% PLACENTRA, DANIEL R. USA 59,259,282 35.4% PLATT, RUSSELL C. USA 59,259,438 35.4% POCHTAR, ELAINE N. USA 59,259,516 35.4% POKRYWINSKI, JENNIFER A. USA 59,259,020 35.4% POOR, DAVID B. USA 59,259,750 35.4% POPE, PATRICIA USA 59,259,018 35.4% PORTE, THIERRY G. USA 59,264,374 35.4% PORTOGALLO, RICHARD USA 59,259,572 35.4% POULOS, PERRY USA 59,259,466 35.4% POULTON, ROGER UK 59,259,572 35.4% PRATT, FRANK T. USA 59,260,616 35.4% PRILL, PATRICK USA 59,258,392 35.4% PRINCE, SCOTT S. USA 59,259,188 35.4% PUTCHA, RAMAKRISHNA N. USA 59,259,586 35.4% PUTTERMAN, JULES B. USA 59,258,996 35.4% QUARTNER, DOUGLAS M. USA 59,263,526 35.4% QUATTRONE, FRANK P. USA 59,260,054 35.4% QUERY JR, JAMES B. USA 59,259,400 35.4% RABIN, MICHAEL D. USA 59,258,916 35.4% RAETTIG, LUTZ Germany 59,258,392 35.4% RAFFEL, ANDREAS Germany 59,259,194 35.4% RAMAKRISHNAN, GURU K. India 59,259,270 35.4% RANDOLPH III, GUY D. USA 59,259,334 35.4% RANKINE, NIGEL J. UK 59,258,392 35.4% RANKOWITZ, MICHAEL L. USA 59,259,898 35.4% RAULT III, JOSEPH M. USA 59,260,090 35.4% RAVITZ, LESLIE C. USA 59,259,092 35.4% REEKE, GAIL HUNT USA 59,261,790 35.4% REFVIK, OLAV N. Norway 59,259,186 35.4% REICIN, GLENN M. USA 59,258,644 35.4% REID, WILLIAM R. USA 59,258,916 35.4% REILLY, TIMOTHY B. USA 59,259,588 35.4% REILLY, CHRISTINE I. USA 59,259,970 35.4% REIS, NORBERT J. Germany 59,258,392 35.4% REMEC, MARKO C. USA 59,259,712 35.4% RENEHAN, DAVID USA 59,260,578 35.4% RENTON, STEPHEN UK 59,262,746 35.4% RESTAINO, PAOLO ANTHONY Italy 59,258,392 35.4% REVELLI, PAOLO Italy 59,258,392 35.4% REYNOLDS, JOHN R. USA 59,258,472 35.4% REYNOLDS, RALPH F. USA 59,259,196 35.4% RICHARD, SCOTT F. USA 59,258,392 35.4% RICHARDSON, GERALD P. USA 59,259,618 35.4% RICHE, EDEN MATTHEW UK 59,258,392 35.4% RICHTER, MARIA DEL CARM Panama 59,258,700 35.4%
23
LINE 1 LINE 6 LINE 11 LINE 13 ------------------------------------------------------------------------------------------------------------- AGGREGATE PERCENT OF CLASS AMOUNT REPRESENTED BY NAME CITIZENSHIP BENEFICIALLY HELD AMOUNT IN LINE 11 ------------------------------------------------------------------------------------------------------------- RIEFLER, LINDA H. USA 59,259,074 35.4% RIEPER, ALAN G. USA 59,258,750 35.4% RILEY, THOMAS R. USA 59,259,686 35.4% ROACH, STEPHEN S. USA 59,259,688 35.4% ROBBINS, DAVID I. USA 59,259,394 35.4% ROBERT, PETER USA 59,258,454 35.4% ROBERTS, JOHN A. UK 59,259,518 35.4% ROBEY, SIMON C. UK 59,258,392 35.4% ROBINO, CHRISTOPHER M. USA 59,259,144 35.4% ROBINSON, JOHN D. USA 59,259,438 35.4% RODMAN, KEVIN L. USA 59,259,522 35.4% ROGER, ROBIN USA 59,259,244 35.4% ROGERS, HARTLEY R. USA 59,259,084 35.4% ROHRBACH III, CLAYTON J. USA 59,260,722 35.4% ROLLYSON, MIKEL M. USA 59,258,392 35.4% ROOKWOOD, MARK S. USA 59,259,208 35.4% ROSENTHAL, ANDREW USA 59,258,774 35.4% ROSENTHAL, RICHARD S. USA 59,259,618 35.4% ROSENTHAL, NORMAN USA 59,260,014 35.4% ROWE, TAMSIN E.E. UK 59,258,884 35.4% ROWLEY, ANDREW F. USA 59,260,106 35.4% RUDOLPH, SIMON UK 59,259,218 35.4% RUNDE, JAMES A. USA 59,260,636 35.4% RUSSELL, DAVID A. UK 59,258,392 35.4% RUSSINELLI, THOMAS W. USA 59,259,512 35.4% RUSSO, STEFANO Italy 59,258,392 35.4% RYAN, ROBERT J. Canada 59,258,856 35.4% RYDER, CHRISTOPHER USA 59,258,914 35.4% SACK, JUDITH B. USA 59,258,392 35.4% SAITO, MAKOTO Japan 59,258,392 35.4% SAKIMA, GLENN J. USA 59,259,354 35.4% SALANT, MARSHAL L. USA 59,259,712 35.4% SALZMAN, JEFFREY H. USA 59,260,616 35.4% SAMA, ALOK USA 59,259,376 35.4% SANDBERG, BRUCE R. USA 59,259,594 35.4% SANDLING III, M. JAMES USA 59,259,534 35.4% SANDO, GREGG STEPHEN USA 59,258,392 35.4% SANDULLI, RICHARD P. USA 59,258,392 35.4% SARGENT, ROBERT A. UK 59,259,860 35.4% SASAKI, MAMI Japan 59,258,392 35.4% SATO, YASUO Japan 59,258,392 35.4% SAUNDERS, RICHARD J. UK 59,259,534 35.4% SAVAGE, LUKE UK 59,258,392 35.4% SAXE, SUSAN E. USA 59,259,542 35.4% SAXTON, THOMAS J. USA 59,259,326 35.4% SCHAAFF JR, HAROLD J. USA 59,259,440 35.4%
24
LINE 1 LINE 6 LINE 11 LINE 13 ------------------------------------------------------------------------------------------------------------- AGGREGATE PERCENT OF CLASS AMOUNT REPRESENTED BY NAME CITIZENSHIP BENEFICIALLY HELD AMOUNT IN LINE 11 ------------------------------------------------------------------------------------------------------------- SCHEUER, ALAN USA 59,258,638 35.4% SCHIAVO, ANTHONY USA 59,258,912 35.4% SCHIEFFELIN, ALLISON USA 59,259,198 35.4% SCHLARBAUM, GARY G. USA 59,258,392 35.4% SCHLESINGER, DONALD E. USA 59,259,184 35.4% SCHLUETER, JAMES B. USA 59,259,390 35.4% SCHMID, JAMES D. USA 59,258,392 35.4% SCHMITT, DIETMAR R. Germany 59,258,392 35.4% SCHNEIDER, DONALD J. USA 59,259,572 35.4% SCHUETTLER, HANS JOERG Germany 59,258,392 35.4% SCHWARTZ, RICHARD C. USA 59,258,636 35.4% SCOTT, ANDREW C. USA 59,259,838 35.4% SCOTT, CHARLES H. UK 59,258,392 35.4% SCOTT, ROBERT G. USA 59,260,876 35.4% SCURLETIS, DENNIS T. USA 59,258,392 35.4% SEAH, KIAT SENG Singapore 59,258,392 35.4% SEERY, CHRISTOPHER S. USA 59,258,392 35.4% SEIGEL, MARK A. USA 59,262,722 35.4% SEILER, ALEX W. USA 59,258,452 35.4% SEKARAN, RAJAN USA 59,258,496 35.4% SEN, BIDYUT C. India 59,260,322 35.4% SETHI, VINOD R. USA 59,259,084 35.4% SEXAUER, STEPHEN C. USA 59,259,396 35.4% SHAH, DHIREN H. USA 59,259,580 35.4% SHAH, PRAVIN India 59,258,392 35.4% SHAPIRO, JOHN A. USA 59,260,038 35.4% SHARMA, SUTESH K. UK 59,258,392 35.4% SHAY, DEWEY K. USA 59,259,422 35.4% SHEA, THOMAS J. USA 59,259,454 35.4% SHEA, DENNIS F. USA 59,260,886 35.4% SHEAR, NEAL A. USA 59,260,414 35.4% SHELTON, RICHARD DAVID USA 59,259,152 35.4% SHEN, BING China 59,259,786 35.4% SHERVA, DENNIS G. USA 59,260,722 35.4% SHORT, MARIUM A. USA 59,259,600 35.4% SICA, FRANK USA 59,260,414 35.4% SILVER, CAROLINE LOUISE UK 59,258,392 35.4% SIMONIAN, JON D. USA 59,265,540 35.4% SINE, JEFFREY A. USA 59,259,712 35.4% SIPPRELLE, DWIGHT D. USA 59,259,728 35.4% SIPPRELLE, SCOTT M. USA 59,259,182 35.4% SITARZ, PAUL J. USA 59,259,574 35.4% SKERRITT, SUSAN E. USA 59,258,476 35.4% SKIBA, JACK L. USA 59,259,596 35.4% SLADKUS, MARK H. USA 59,259,546 35.4% SLAINE, DAVID R. USA 59,259,590 35.4%
25
LINE 1 LINE 6 LINE 11 LINE 13 ------------------------------------------------------------------------------------------------------------- AGGREGATE PERCENT OF CLASS AMOUNT REPRESENTED BY NAME CITIZENSHIP BENEFICIALLY HELD AMOUNT IN LINE 11 ------------------------------------------------------------------------------------------------------------- SLESS, HENRY J. UK 59,258,392 35.4% SMITH, ROBERT M. USA 59,258,486 35.4% SMITH, CHARISSA H. USA 59,259,496 35.4% SMITH, JUDITH A. USA 59,259,990 35.4% SMITH, MICHAEL K. USA 59,259,068 35.4% SMITH, PALMER N. USA 59,258,878 35.4% SMITH, PAUL E. USA 59,259,508 35.4% SMITH, ROBERT M. USA 59,258,392 35.4% SONNENBORN, MONROE R. USA 59,259,998 35.4% SORELL, MICHAEL USA 59,259,100 35.4% SORREL, LAWRENCE B. USA 59,259,438 35.4% SOTER, ARTHUR P. USA 59,260,386 35.4% SPECTOR, ALVIN H. USA 59,260,094 35.4% SPELLMAN, MICHAEL F. USA 59,259,642 35.4% SPENCE, ANTHONY D. UK 59,258,864 35.4% SPENCER, CORDELL G. Canada 59,259,208 35.4% SPINGARDI, TOMASO Italy 59,258,392 35.4% SPITZLEY, RAY L. USA 59,258,708 35.4% SPOSITO, CLAUDIO Italy 59,258,392 35.4% STEIN, JENS-PETER Germany 59,258,674 35.4% STEINBERG, DAVID L. USA 59,258,962 35.4% STEWART, TIMOTHY DONALD Australia 59,258,392 35.4% STEWART, JOHN R. USA 59,260,036 35.4% STOLTZ, MURRAY C. USA 59,258,392 35.4% STONE, DUNCAN R. UK 59,258,728 35.4% STONEHILL, CHARLES UK 59,265,442 35.4% STOTT, PETER UK 59,262,796 35.4% STRAUS, JOHN A. USA 59,259,812 35.4% STRONG, WILLIAM H. USA 59,258,952 35.4% STRUBLE, K. LYNN MEDLIN USA 59,259,414 35.4% STUDZINSKI, JOHN J. USA 59,265,910 35.4% STURZENEGGER, RONALD D. USA 59,259,422 35.4% STUX, IVAN E. USA 59,259,786 35.4% STYNES, JAMES B. USA 59,261,286 35.4% SUGIO, KUNIHIKO Japan 59,258,392 35.4% SUZUKI, HIROHIKO Japan 59,258,392 35.4% SWEENEY, FRANCIS J. USA 59,259,490 35.4% SWIFT, RICHARD W. USA 59,259,906 35.4% SZILASI, WILLIAM J. USA 59,259,818 35.4% TABAH, MARC France 59,259,176 35.4% TAGGART, RICHARD G. USA 59,259,324 35.4% TAKACS, THOMAS P. USA 59,259,170 35.4% TAKASEKI, HITOSHI Japan 59,258,392 35.4% TAKASUGI, TETSUO Japan 59,259,136 35.4% TANNER, JAMES L. USA 59,266,540 35.4% TARADASH, MICHAEL H. USA 59,259,208 35.4%
26
LINE 1 LINE 6 LINE 11 LINE 13 ------------------------------------------------------------------------------------------------------------- AGGREGATE PERCENT OF CLASS AMOUNT REPRESENTED BY NAME CITIZENSHIP BENEFICIALLY HELD AMOUNT IN LINE 11 ------------------------------------------------------------------------------------------------------------- TARAS, RAYMOND C. USA 59,259,398 35.4% TARIKA, ROGER C. USA 59,259,752 35.4% TAUBMAN, PAUL J. USA 59,259,488 35.4% TAYLOR, DAVID J. USA 59,259,360 35.4% TELL, MARTIN R. USA 59,259,294 35.4% THARNSTROM, CHARLES A. USA 59,259,384 35.4% THEES, THOMAS M. USA 59,259,608 35.4% THIVIERGE, ANN D. USA 59,259,186 35.4% THOMAS, OWEN D. USA 59,259,386 35.4% THOMAS, PAUL UK 59,258,392 35.4% THOMAS, PHILIP M. UK 59,260,336 35.4% THOMAS, RICHARD H. UK 59,260,678 35.4% THORMAN, WALTER E. USA 59,259,500 35.4% TIERNEY, RAYMOND M. III USA 59,258,536 35.4% TILLEY, JAMES A. Canada 59,260,414 35.4% TIMMINS, DAVID JOHN UK 59,258,392 35.4% TOMINAGA, HIROSHI Japan 59,258,392 35.4% TOPPER, DAVID J. USA 59,259,826 35.4% TOROP, ROBERT USA 59,259,366 35.4% TORY, MICHAEL ALEXANDER Canada 59,258,392 35.4% TOWSE, ROBERT C. USA 59,260,282 35.4% TRACY, JOHN M. USA 59,259,526 35.4% TRAPP, GORAN PAR Sweden 59,258,392 35.4% TRAUBER, STEPHEN M. USA 59,258,392 35.4% TRENCHARD, DAVID F. UK 59,258,674 35.4% TSAI, ANDREW S. Hong Kong 59,258,392 35.4% TUFARIELLO, ANTHONY B. USA 59,259,304 35.4% TULP, ALLAN J. USA 59,259,556 35.4% TURNBULL, MICHAEL G. UK 59,258,392 35.4% TWIST, CAROLYN M. UK 59,259,378 35.4% TYNAN, BRENDAN TIMOTHY UK 59,265,820 35.4% UPTON, NANCY B. USA 59,259,628 35.4% UVA, MICHAEL D. USA 59,259,560 35.4% VALEIRAS, HORACIO A. USA 59,258,392 35.4% VADALA JR, CHARLES F. USA 59,260,426 35.4% VAN AMSON, GEORGE L. USA 59,258,770 35.4% VAN DYKE V, HENRY USA 59,259,422 35.4% VAN NIEUWENHUIZEN, JAN L. Netherlands 59,258,550 35.4% VANCE, SETH W. USA 59,258,392 35.4% VANDERCAR, ERIC M. USA 59,259,340 35.4% VAROLI, CORRADO P. Canada 59,259,218 35.4% VAUGHAN, GREGORY V. USA 59,259,068 35.4% VIVEASH, THOMAS F. UK 59,269,874 35.4% VON ARENTSCHILDT, CHARLES USA 59,259,780 35.4% VON NATHUSIUS, FRIEDRICH Germany 59,258,392 35.4% VON SCHRODER, BENEDIKT Germany 59,259,298 35.4%
27
LINE 1 LINE 6 LINE 11 LINE 13 --------------------------------------------------------------------------------------------------------------- AGGREGATE PERCENT OF CLASS AMOUNT REPRESENTED BY NAME CITIZENSHIP BENEFICIALLY HELD AMOUNT IN LINE 11 --------------------------------------------------------------------------------------------------------------- VON UFFEL, GEORGE KURT USA 59,259,346 35.4% VONDERHEIDE, MARK L. USA 59,258,706 35.4% VOREYER, ROBERT J. USA 59,259,318 35.4% VOUTE, GUSTAVE A. Netherlands 59,260,864 35.4% VRCELJ, STEVAN Australia 59,258,392 35.4% WADSWORTH JR, JOHN S. USA 59,260,876 35.4% WAGER, MALCOLM UK 59,259,340 35.4% WAGNER, GLENN N. USA 59,259,052 35.4% WAHL, FREDERICK J. USA 59,259,338 35.4% WAKAMOTO, HIDENORI Japan 59,258,392 35.4% WALKER, SIR DAVID ALAN UK 59,258,470 35.4% WALLACE, EILEEN S. USA 59,259,504 35.4% WALSH JR, FREDERICK R. USA 59,259,922 35.4% WALSH, MARK K. USA 59,259,548 35.4% WALSH, NELSON S. USA 59,259,154 35.4% WANG, HUEY C. USA 59,258,392 35.4% WARD, J. STEVEN UK 59,266,180 35.4% WARNER, PHILIP WARD USA 59,259,934 35.4% WARREN, DAVID R. USA 59,258,574 35.4% WASSON, DAVID F. USA 59,259,576 35.4% WATERS, STEPHEN M. USA 59,260,630 35.4% WATSON, GORDON O. USA 59,259,486 35.4% WAXMAN, SCOTT USA 59,259,018 35.4% WEAVER, IAN L. UK 59,259,020 35.4% WEBER, JON F. USA 59,258,936 35.4% WEBLEY, JOHN UK 59,261,370 35.4% WEIANT, WILLIAM M. USA 59,258,538 35.4% WEINHOFFER, JOSEPH C. USA 59,258,392 35.4% WELLEMEYER, JOHN C. USA 59,267,354 35.4% WENDELL, JONATHAN P. USA 59,259,712 35.4% WESTERFIELD, JOHN USA 59,258,868 35.4% WESTERINK, ERIK J. Netherlands 59,258,454 35.4% WESTON, MICHAEL A. New Zealand 59,260,472 35.4% WHALEN, PATRICK J. USA 59,259,060 35.4% WHITE, WILLIAM H. USA 59,259,270 35.4% WHITE, KATHLEEN E. USA 59,258,622 35.4% WHITEHAND, ROBERT C. UK 59,273,228 35.4% WHITTINGTON, MARNA C. USA 59,258,392 35.4% WIEN, BYRON R. USA 59,260,578 35.4% WILLIAMS, A. MORRIS USA 59,258,392 35.4% WILLIAMS, JEFFREY P. USA 59,260,414 35.4% WILLIAMS, T. DEAN USA 59,258,392 35.4% WILLNER, ANDREW D. UK 59,258,392 35.4% WILSON, KIRK R. USA 59,259,580 35.4% WINNINGTON-INGRAM, REBECCA S. UK 59,258,990 35.4% WINTERS, PHILIP W. USA 59,259,852 35.4%
28
LINE 1 LINE 6 LINE 11 LINE 13 --------------------------------------------------------------------------------------------------------------- AGGREGATE PERCENT OF CLASS AMOUNT REPRESENTED BY NAME CITIZENSHIP BENEFICIALLY HELD AMOUNT IN LINE 11 --------------------------------------------------------------------------------------------------------------- WIPF, THOMAS G. USA 59,259,494 35.4% WISCOMB, THOMAS T. USA 59,260,600 35.4% WOLKOWITZ, BENJAMIN USA 59,261,346 35.4% WOOD, JEROME C. USA 59,259,962 35.4% WOOLFORD, ANDREW K. USA 59,258,812 35.4% WOOLWORTH JR, RICHARD G. USA 59,259,906 35.4% WORLEY, RICHARD B. USA 59,258,392 35.4% WRIGHT II, WILLIAM H. USA 59,259,340 35.4% XU, ZIWANG China 59,258,392 35.4% YAFFE, RANDY S. USA 59,259,492 35.4% YAMADA, HARUNOBU Japan 59,259,110 35.4% YAMAGUCHI, MASAHIRO Japan 59,258,392 35.4% YAMAMOTO, TAKATOSHI Japan 59,258,392 35.4% YAMANE, STEVEN K. USA 59,259,476 35.4% YANKOU, THOMAS J. USA 59,259,292 35.4% YATES, MARTIN J. UK 59,259,386 35.4% YOSHIDA, HIDEO Japan 59,258,392 35.4% YOUNG, HARRISON USA 59,258,786 35.4% YUKI, KOHEI Japan 59,258,392 35.4% ZAOUI, MICHAEL A. France 59,261,548 35.4% ZAUMSEIL, BRICE W. USA 59,259,894 35.4% ZHANG, SONGYI Hong Kong 59,258,540 35.4% ZIAI, YOUSSEF UK 59,258,916 35.4% ZICHERMAN, JOSEPH R. USA 59,259,158 35.4% ZICK JR, ALFORD E. USA 59,259,416 35.4% ZORN, ERNEST P. USA 59,259,444 35.4% ZUCKERT, MICHAEL USA 59,259,506 35.4%
29 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 1585 Broadway, New York, New York 10036. The Share information contained in this Amendment No. 24 has been adjusted to reflect a 2-for-1 common stock split effected in the form of a 100% stock dividend that was paid on January 26, 1996 to holders of record on January 16, 1996. 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 (1) the employee Stockholders' Agreement and/or any of the Plan Agreements or (2) the MAS 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 1585 Broadway, New York, NY 10036. (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 30 Scheme") and/or similar employee benefit plans or arrangements (the Option Plan, the PUP Plan and 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"); (3) Pursuant to the acquisition of Shares as part of the purchase price paid to certain of the Reporting Persons (the "Former MAS General Partners") in respect of the sale on January 3, 1996 of their general partnership interests in Miller Anderson & Sherrerd, LLP, a Pennsylvania registered limited liability partnership ("MAS"), to Morgan Stanley Asset Management Holdings Inc., an indirect wholly owned subsidiary of the Company ("MSAMHI") (such Shares being referred to herein as the "MAS Shares"); and (4) 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; each MAS General Partner's MAS Shares were acquired as part of the purchase price paid in connection with the sale of their general partnership interests in MAS as described above; and for 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 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 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 31 in Item 6. BENEFIT PLAN SHARES Subsequent to May 2, 1991 up to an aggregate of 48,000,000 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. To date only Nonqualified Options have been granted under the Option Plan. The exercise price of a SOP Option may not be less than 100% of the fair market value of the Shares subject to the SOP Option as of the grant date, as determined by the Compensation Committee. A SOP Option becomes exercisable at a rate of one-third of the number of Shares covered by such SOP Option grant 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. 32 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 Plan 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 ("EIP 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 Agreement and PUP Agreement (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 EIP 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. EIP 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 EIP Option exercise price in Shares would, unless prohibited by the Compensation Committee, enable an optionee to engage in a series of 33 successive stock-for-stock exercises of EIP Options and thereby fully exercise EIP 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 (as defined in Item 6). MAS SHARES The acquisition of MAS by MSAMHI (together with two of its affiliates) was effected on January 3, 1996, and the MAS Shares were acquired by the Former MAS General Partners as part of the purchase price paid in connection with the sale of their general partnership interests in MAS. The voting and disposition of the MAS Shares are subject to the MAS Agreements (as defined below in Item 6). The voting and disposition and other restrictions currently applicable to the MAS Shares are discussed in Item 6. 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 two Shares, which rate is subject to adjustment. On the date hereof the conversion price per share at which such two 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 34 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 59,258,392 Shares, or approximately 35.4%, which represents a .70% increase from the amount reported in Amendment No. 23. Since Amendment No. 23, the Company granted awards under the Equity Incentive Plan (principally in connection with fiscal 1995 awards which commenced vesting on January 2, 1996) and issued Shares in respect of awards previously granted to Japanese local employees; the Reporting Persons' beneficial ownership of Shares, after accounting solely for such grants and issuances and changes in the number of total shares outstanding, increased by approximately 1.6%. On January 3, 1996, the acquisition of MAS by MSAMHI (together with two of its affiliates) was effected and the MAS Shares were acquired by the Former MAS General Partners as part of the purchase price paid in connection with the sale of their general partnership interests in MAS; the Reporting Persons' beneficial ownership of Shares, after accounting solely for the acquisitions of the MAS Shares and changes in the number of total shares outstanding, increased by approximately 1%. In addition, since Amendment No. 23, the retirement or termination of certain employees became effective with the result that they are no longer Reporting Persons, certain Reporting Persons' disposed of Shares and the voting restrictions relating to Shares that were issued to certain retired or terminated employees upon the conversion of Stock Units previously awarded under the Equity Incentive Plan lapsed; the Reporting Persons' beneficial ownership of Shares, after accounting solely for such retired or terminated employees, dispositions and conversions and changes in the number of total Shares outstanding, decreased by approximately 1.9%. 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. 35 (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. Reporting Persons who own MAS Shares have entered into a Purchase Agreement dated as of June 29, 1995, as amended (the "MAS Purchase Agreement"), the relevant provisions of which relating to transfer and other restrictions with respect to the MAS Shares are described under "MAS Shares" below, and have executed (or agreed to become subject to) voting agreements (the "MAS Voting Agreements" (substantially in the form of Exhibit L hereto) and collectively with the MAS Purchase Agreement, the "MAS Agreements"), that place restrictions on voting and disposition of the MAS Shares that are substantially similar to restrictions contained in the Plan Agreements. The following descriptions are qualified in their entirety by reference to the Stockholders' Agreement, the Plan Agreements and the MAS Voting Agreements. VOTING RESTRICTIONS AND ARRANGEMENTS Each of the individuals listed on the cover pages to this report and Appendix A hereto is a party to one or more of the Stockholders' Agreement and the Plan Agreements and, in the case of the Former MAS General Partners, the MAS Agreements. Pursuant to the voting restrictions contained in the Stockholders' Agreement, the Plan Agreements and the MAS Voting 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 36 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 that is a party thereto 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 their Total Restricted Stock Shares at any time, in any amount regardless of the foregoing restrictions, with the consent of the Board of Directors of the Company. For information on disposition and other restrictions applicable to the MAS Shares, see "MAS Shares" below. OPTION PLAN The transfer restrictions contained in the Option Agreements permit the transfer, at any 37 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. Options"), including SOP Options, to Certain Personnel under the jurisdiction of the United Kingdom. Any Shares issued, or issuable, upon exercise of U.K. 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 EIP 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 EIP 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 38 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 EIP 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 or the underlying Shares may not be subject to the restrictions on voting described under "Voting Restrictions and Arrangements" above. The Compensation Committee also has adopted certain additional and/or different terms and conditions for the grant of Option Awards (including U.K. 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. MAS SHARES The MAS Shares are subject to the following transfer and other restrictions under the MAS Purchase Agreement. The MAS Shares issued to each Former MAS General Partner generally vest in accordance with the following vesting schedule: (i) one-sixth of such shares vested on January 3, 1996 (the "MAS Closing Date"); and (ii) one-sixth of such shares shall vest on each of the next five succeeding anniversaries of the MAS Closing Date (each date referred to in this clause (ii), a "Vesting Date"); provided, that no shares registered in the name of any Former MAS General Partner shall vest on any Vesting Date unless such Former MAS General Partner is actively employed by Morgan Stanley Asset Management Inc. ("MSAM") on such Vesting Date pursuant to an employment agreement with MSAM, unless such failure to be so employed is (a) as a result of such Former MAS General Partner's death or disability, or (b) as a result of the termination of such Former MAS General Partner's employment by MSAM without "Cause" or by the Former MAS General Partner for "Good Reason," as such terms are defined in such employment agreement. Notwithstanding the 39 foregoing, in the case described in clause (b) of the foregoing proviso, the continued vesting of shares as aforesaid shall be subject to the Former MAS General Partner's continued compliance with the noncompetition, nonsolicitation and confidentiality provisions of his or her employment agreement with MSAM for a period of one year from the date of termination of employment, or if shorter, for a period from the date of termination of employment to December 1, 2000. If the Former MAS General Partner does not comply continuously with the provisions for such period, any remaining unvested shares shall be forfeited as of the date of the first failure to so comply. Any shares so vested shall thereafter be free of any such vesting requirements, and any shares which are so forfeited shall be returned to the Company. Prior to vesting, all MAS Shares shall be nontransferable. Sales of vested MAS Shares by a Former MAS General Partner will also be subject to the Company's internal rules and policies applicable from time to time with respect to shares of common stock held by officers of the Company or its affiliates. In accordance with the MAS Voting Agreements, so long as a MAS General Partner is an employee of the Company or any of its subsidiaries, such MAS General Partner will be subject to the voting restrictions and procedures described in the first paragraph under "Voting Restrictions and Arrangements" above in this Item 6. 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 certain 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)). 40 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). 41 Schedule I RIGHTS TO ACQUIRE SHARES As of April 23, 1996 (60 days from February 23, 1996), 1,088 Reporting Persons have the right to acquire 11,706,262 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. 42 Schedule II RECENT TRANSACTIONS* During the last 60 days, 107 Reporting Persons sold an aggregate of 821,516 shares at average prices ranging from $40.50 to $42.125 per Share, and/or effected a transfer by gift of an aggregate of 67,338 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% of the Shares outstanding. During such period, no Reporting Person individually acquired Shares in excess of 1% of the Shares outstanding. - --------------------- * The share information contained herein has been adjusted to reflect a 2-for-1 common stock split effected in the form of a 100% stock dividend that was paid on January 26, 1996 to holders of record on January 16, 1996. 43 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: February 23, 1996 By: /s/ Ralph L. Pellecchio ----------------------- Ralph L. Pellecchio Attorney-in-Fact 44