-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, LgVuOznXf+uAOv9YfWUhpX3CbaAzn36PpjzWctZ9BN9NE8xKdi4hnTbkQJGGMWAg 5rf7KGbsiYrI28+WBKp4mg== 0001021408-01-503749.txt : 20020425 0001021408-01-503749.hdr.sgml : 20020425 ACCESSION NUMBER: 0001021408-01-503749 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19950822 DATE AS OF CHANGE: 20011129 GROUP MEMBERS: AFFILIATE STKHLDRS OF MORGAN STANLEY DEAN WITTER DISCOVER&CO GROUP MEMBERS: APPENDIX A GROUP MEMBERS: BARTON M BIGGS GROUP MEMBERS: JOHN J MACK GROUP MEMBERS: RICHARD B. FICHER SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MORGAN STANLEY GROUP INC /DE/ CENTRAL INDEX KEY: 0000789625 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 132838811 STATE OF INCORPORATION: DE FISCAL YEAR END: 0131 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-37333 FILM NUMBER: 01686277 BUSINESS ADDRESS: STREET 1: 1585 BROADWAY CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 2127034000 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: AFFILIATE STKHLDRS OF MORGAN STANLEY DEAN WITTER DISCOVER&CO CENTRAL INDEX KEY: 0000909465 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 132838811 STATE OF INCORPORATION: DE FISCAL YEAR END: 0131 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 1251 AVE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10020 BUSINESS PHONE: 2127034000 SC 13D/A 1 dsc13da.txt AMENDMENT NO. 22 TO SCHEDULE 13D SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 22) Morgan Stanley Group Inc. ------------------------- (Name of Issuer) Common Stock, $1.00 par value ----------------------------- (Title of Class of Securities) 617446 10 9 ------------ (CUSIP Number) Jonathan M. Clark, Esq. General Counsel and Secretary Morgan Stanley Group Inc. 1251 Avenue of the Americas New York, NY 10020 (212) 703-4000 -------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) July 1, 1995 ------------------------------------------------------ (Date of Event Which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1 (b) (3) or (4), check the following box: [_] Check the following box if a fee is being paid with this statement: [_] SCHEDULE 13D CUSIP No. 617446109 ----------------- - - ------------------------------------------------------------------------------ 1. NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NUMBER OF ABOVE PERSON Richard B. Fisher - - ------------------------------------------------------------------------------ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [_] - - ------------------------------------------------------------------------------ 3. SEC USE ONLY - - ------------------------------------------------------------------------------ 4. SOURCE OF FUNDS* 00 - - ------------------------------------------------------------------------------ 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(E) [_] - - ------------------------------------------------------------------------------ 6. CITIZENSHIP OR PLACE OF ORGANIZATION United States - - ------------------------------------------------------------------------------ 7. SOLE VOTING POWER NUMBER OF less than 1% SHARES ----------------------------------------------------------- 8. SHARED VOTING POWER BENEFICIALLY OWNED BY 30,247,338 ----------------------------------------------------------- EACH 9. SOLE DISPOSITIVE POWER REPORTING 2-3% PERSON ----------------------------------------------------------- 10. SHARED DISPOSITIVE POWER WITH - - ------------------------------------------------------------------------------ 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 30,248,395 - - ------------------------------------------------------------------------------ 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [_] - - ------------------------------------------------------------------------------ 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 35.8% - - ------------------------------------------------------------------------------ 14. TYPE OF REPORTING PERSON IN - - ------------------------------------------------------------------------------ SCHEDULE 13D CUSIP No. 617446109 ----------------- - - ------------------------------------------------------------------------------ 1. NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NUMBER OF ABOVE PERSON John J. Mack - - ------------------------------------------------------------------------------ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [_] - - ------------------------------------------------------------------------------ 3. SEC USE ONLY - - ------------------------------------------------------------------------------ 4. SOURCE OF FUNDS* 00 - - ------------------------------------------------------------------------------ 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(E) [_] - - ------------------------------------------------------------------------------ 6. CITIZENSHIP OR PLACE OF ORGANIZATION United States - - ------------------------------------------------------------------------------ 7. SOLE VOTING POWER NUMBER OF less than 1% SHARES ----------------------------------------------------------- 8. SHARED VOTING POWER BENEFICIALLY OWNED BY 30,247,337 ----------------------------------------------------------- EACH 9. SOLE DISPOSITIVE POWER REPORTING 1-2% PERSON ----------------------------------------------------------- 10. SHARED DISPOSITIVE POWER WITH - - ------------------------------------------------------------------------------ 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 30,248,395 - - ------------------------------------------------------------------------------ 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [_] - - ------------------------------------------------------------------------------ 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 35.8% - - ------------------------------------------------------------------------------ 14. TYPE OF REPORTING PERSON IN - - ------------------------------------------------------------------------------ SCHEDULE 13D CUSIP No. 617446109 ----------------- - - ------------------------------------------------------------------------------ 1. NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NUMBER OF ABOVE PERSON Barton M. Biggs - - ------------------------------------------------------------------------------ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [_] - - ------------------------------------------------------------------------------ 3. SEC USE ONLY - - ------------------------------------------------------------------------------ 4. SOURCE OF FUNDS* 00 - - ------------------------------------------------------------------------------ 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(E) [_] - - ------------------------------------------------------------------------------ 6. CITIZENSHIP OR PLACE OF ORGANIZATION United States - - ------------------------------------------------------------------------------ 7. SOLE VOTING POWER NUMBER OF less than 1% SHARES ----------------------------------------------------------- 8. SHARED VOTING POWER BENEFICIALLY OWNED BY 30,247,338 ----------------------------------------------------------- EACH 9. SOLE DISPOSITIVE POWER REPORTING 1-2% PERSON ----------------------------------------------------------- 10. SHARED DISPOSITIVE POWER WITH - - ------------------------------------------------------------------------------ 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 30,248,395 - - ------------------------------------------------------------------------------ 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [_] - - ------------------------------------------------------------------------------ 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 35.8% - - ------------------------------------------------------------------------------ 14. TYPE OF REPORTING PERSON IN - - ------------------------------------------------------------------------------ SCHEDULE 13D CUSIP No. 617446109 ----------------- - - ------------------------------------------------------------------------------ 1. NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NUMBER OF ABOVE PERSON Each of the persons described on Appendix A. - - ------------------------------------------------------------------------------ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [_] (Applies to each person listed on Appendix A) - - ------------------------------------------------------------------------------ 3. SEC USE ONLY - - ------------------------------------------------------------------------------ 4. SOURCE OF FUNDS* 00 (Applies to each person listed on Appendix A) - - ------------------------------------------------------------------------------ 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(E) [_] (Applies to each person listed on Appendix A) - - ------------------------------------------------------------------------------ 6. CITIZENSHIP OR PLACE OF ORGANIZATION As stated on Appendix A - - ------------------------------------------------------------------------------ 7. SOLE VOTING POWER NUMBER OF less than 1% (Applies to each person listed on Appendix A) SHARES ----------------------------------------------------------- 8. SHARED VOTING POWER BENEFICIALLY OWNED BY 30,247,338 (Applies to each person listed on Appendix A) ----------------------------------------------------------- EACH 9. SOLE DISPOSITIVE POWER REPORTING Less than 1% (Applies to each person listed on Appendix A) PERSON ----------------------------------------------------------- 10. SHARED DISPOSITIVE POWER WITH - - ------------------------------------------------------------------------------ 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON As stated on Appendix A - - ------------------------------------------------------------------------------ 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* (Applies to each person listed on Appendix A) [_] - - ------------------------------------------------------------------------------ 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) As stated on Appendix A - - ------------------------------------------------------------------------------ 14. TYPE OF REPORTING PERSON IN (Applies to each person listed on Appendix A) - - ------------------------------------------------------------------------------
Appendix A LINE 1 LINE 6 LINE 11 LINE 13 Aggregate Percent of Class Amount Represented By NAME Citizenship Beneficially Held Amount in Line 11 - - ---------------------------- ----------- ------------------ ----------------- AARON, DEBRA M. USA 30,247,886 35.8% ABDEL-MEGUID, TAREK F. USA 30,248,007 35.8% ABE, MITSUHIRO Japan 30,247,338 35.8% ABOURACHED, CHARBEL E. USA 30,247,758 35.8% ABRAMOVITZ, DEBRA USA 30,247,771 35.8% ACKERMAN III, WARREN USA 30,247,338 35.8% ADAIR, BARRY L. USA 30,254,924 35.9% ADAMS, JOHN C. USA 30,247,742 35.8% ADAMS, NICHOLAS UK 30,247,338 35.8% AIRO, ROBERT USA 30,247,680 35.8% ALBERS, ALEXANDRIA USA 30,247,824 35.8% ALKIRE, JOHN R. USA 30,247,638 35.8% ALLEN, PETER G. USA 30,248,132 35.8% ALLEY, STEVEN J. USA 30,247,789 35.8% ALLWIN, JAMES M. USA 30,248,320 35.8% AMATO, DANIELLE D. USA 30,247,873 35.8% ANDA, JON A. USA 30,247,887 35.8% ANDERSON, STEPHEN P. USA 30,247,338 35.8% ANDRYC, PHILIP J. USA 30,248,158 35.8% ANFANG, RICHARD L. USA 30,247,755 35.8% ANGEVINE, ROBERT E. USA 30,247,933 35.8% ARMITAGE, MICHAEL R. UK 30,248,189 35.8% ARMSTRONG, R. MICHAEL USA 30,247,687 35.8% ASPREM, MADS MICHAEL Denmark 30,247,376 35.8% ATKINSON, RICHARD N. UK 30,248,268 35.8% ATKINS, CHARLES N. USA 30,247,619 35.8% ATKINS, WILLIAM JOHN UK 30,247,338 35.8% ATWELL, R. WAYNE USA 30,247,660 35.8% BAIRD, STEPHEN W. USA 30,248,359 35.8% BAKER, DAVID M. USA 30,247,624 35.8% BALSBAUGH, R. DUNCAN USA 30,247,796 35.8% BANDEEN, R. DEREK Canada 30,247,776 35.8% BARANCIK, GARY S. USA 30,247,716 35.8% BARBER, RICHARD T. USA 30,247,856 35.8% BARDEN, ROBERT A. USA 30,247,762 35.8% BARDWELL, TIMOTHY J. UK 30,248,037 35.8% BARKER, RODNEY J. UK 30,247,338 35.8% BARNETT, PHILLIP S. USA 30,247,687 35.8% BAROUDI, JACK J. USA 30,247,338 35.8% BARRETT, DAVID J. USA 30,247,732 35.8% BARRETT, TIMOTHY UK 30,247,338 35.8% BARTH-WEHRENALP, GERALD P. USA 30,247,816 35.8% BARTLETT, MICHAEL E. UK 30,247,338 35.8% BASES, EDWARD H. USA 30,247,664 35.8% BASIROV, OLGA A. UK 30,247,338 35.8% BAUER, DAVID S. USA 30,247,338 35.8% BAYER, JEROME W. USA 30,247,853 35.8% BEARDEN, DAVID A. USA 30,247,692 35.8% BECHTEL, KAREN H. USA 30,248,269 35.8% BEDELL, JAMES M. USA 30,247,598 35.8% BELL, JAMES J. USA 30,247,597 35.8% BENARDETE, STEVEN M. USA 30,249,453 35.8% BERCHTOLD, MICHAEL J. USA 30,247,716 35.8% BERGMAN, BARRY USA 30,247,738 35.8% BERGMAN, JEROME USA 30,247,776 35.8% BERLER, MATTHEW K. USA 30,247,338 35.8% BERNER III, ROBERT L. USA 30,247,738 35.8% BIANCO, FRANK USA 30,247,807 35.8% BILLINGS, MARK B. USA 30,247,695 35.8% BILOTTI JR, RICHARD A. USA 30,247,338 35.8% BILSBY, KEVIN A. UK 30,247,815 35.8% BIRDSALL, JOHN S. USA 30,247,772 35.8% BLACK MACKINNON, SUSAN L. USA 30,247,810 35.8% BLAIN, PAUL F. UK 30,251,296 35.8% BLAIR, DAVID H. USA 30,248,127 35.8% BLAIS, WILLIAM L. USA 30,248,076 35.8% BLUMSTEIN, MICHAEL W. USA 30,247,551 35.8% BLUM, JON E. USA 30,247,376 35.8%
BODSON, MICHAEL C. USA 30,247,803 35.8% BOHL, THERESA J. USA 30,247,807 35.8% BOIARSKY, ROBERT USA 30,247,597 35.8% BOK, SCOTT L. USA 30,247,768 35.8% BONOFF, AMY L. USA 30,248,079 35.8% BOOTH, DAVID USA 30,247,338 35.8% BOPP, WALTER S. USA 30,248,171 35.8% BOROSH, DAVID A. USA 30,247,479 35.8% BOSCO, ANTHONY B. USA 30,247,753 35.8% BOUCHER II, CHARLES L. USA 30,247,533 35.8% BOUTROS, GEORGE F. Lebanon 30,247,742 35.8% BOVICH, FRANCINE J. USA 30,247,412 35.8% BRADFORD, LESLIE EMBS USA 30,248,277 35.8% BRAKEBILL, SCOTT R. USA 30,247,887 35.8% BRENNAN, DONALD PATRICK USA 30,248,395 35.8% BRESLOW, STUART J.M. USA 30,247,820 35.8% BRICKMAN, KEITH D. USA 30,247,509 35.8% BRIERWOOD, DAVID C. UK 30,252,331 35.8% BRILLE, BRIAN J. USA 30,247,716 35.8% BROBERG, CHRISTIAN P. Denmark 30,247,338 35.8% BROCK, WILLIAM G. Canada 30,259,807 35.9% BROLLEY, KEVIN USA 30,247,618 35.8% BROOKE, PAUL A. USA 30,248,127 35.8% BROWNE, KEVIN J. USA 30,247,821 35.8% BROWN, ERNEST W. USA 30,247,365 35.8% BROWN, DOUGLAS L. USA 30,247,443 35.8% BROWN, JEFFRY P. USA 30,247,794 35.8% BROWN, KEITH UK 30,253,592 35.9% BROWN, RANDOLPH B. USA 30,247,338 35.8% BRUNDLER, ADOLF Switzerland 30,247,338 35.8% BRYANT, MALCOLM P. UK 30,248,469 35.8% BRYCE, COLIN UK 30,251,037 35.8% BUCK, LEE M. USA 30,250,652 35.8% BUECHTER, MARKUS Germany 30,247,338 35.8% BULCHANDANI, RAVI A. India 30,247,338 35.8% BUNCHE JR, RALPH J. USA 30,249,203 35.8% BURIAN, SANFORD F. USA 30,247,744 35.8% BURKE, LAUREN M. USA 30,247,374 35.8% BURNS, DENNIS J. USA 30,248,171 35.8% BUSCH, MAY C. USA 30,247,763 35.8% BYRD, CAREN USA 30,247,777 35.8% BYRNES, FRANCIS J. USA 30,247,720 35.8% CALDECOTT, P. DOMINIC UK 30,254,026 35.9% CALLAHAN, DANIEL H. USA 30,247,352 35.8% CALVET, JORGE Spain 30,247,338 35.8% CAPPUCCI, GUY T. USA 30,247,675 35.8% CAPUTO, A. MACDONALD USA 30,248,320 35.8% CARACAPPA, MARY USA 30,247,719 35.8% CAREY, JAMES P. USA 30,247,893 35.8% CARLETON, BRUCE T. USA 30,248,158 35.8% CARLIN, JANE D. USA 30,247,770 35.8% CARLTON, PAMELA G. USA 30,247,794 35.8% CARMICHAEL, TERENCE P. USA 30,247,828 35.8% CARR JR, LOUIS J. USA 30,248,320 35.8% CARRARA JR, MATTHEW A. USA 30,247,617 35.8% CARROLL JR, JESSE L. USA 30,253,672 35.9% CARROLL, DAVID C. USA 30,247,684 35.8% CARUSO, CHRISTOPHER J. USA 30,247,804 35.8% CASSEDY, MICHAEL J. USA 30,247,966 35.8% CASSOU, BEATRICE M. USA 30,247,716 35.8% CASTELLANO, RICHARD R. USA 30,247,869 35.8% CAWSEY, RICHARD Australia 30,247,338 35.8% CERTOSIMO, ARTHUR USA 30,247,338 35.8% CHAMBERLAIN, STEPHEN P. UK 30,250,954 35.8% CHAMMAH, WALID A. Lebanon 30,247,395 35.8% CHAN, OLIVER S. USA 30,247,629 35.8% CHAN, JOE M.F. Hong Kong 30,247,814 35.8% CHASIN, CHARLES USA 30,247,770 35.8% CHENEVIX-TRENCH, JONATHAN UK 30,248,601 35.8% CHENG, JAMES K.K. Malaysia 30,247,338 35.8% CHESTER III, JOHN E. USA 30,247,801 35.8% CHIARELLO, GUY USA 30,247,744 35.8% CHIN, EAN WAH Malaysia 30,247,338 35.8% CHURCHOUSE, FREDERICK P. New Zealand 30,247,338 35.8% CHUTTER, JESSICA C. USA 30,247,738 35.8% CITRINO, MARY ANNE USA 30,247,738 35.8% CLARK, JONATHAN M. USA 30,247,465 35.8% CLARK, MAYREE C. USA 30,248,127 35.8% CLARK, WILLIAM THOMAS USA 30,249,432 35.8% CLEMENTE LA BRUM, J. PAUL USA 30,248,445 35.8% CLEPHANE, THOMAS P. USA 30,248,012 35.8%
CLIFFORD, KENNETH F. USA 30,247,764 35.8% COBBY, NIGEL UK 30,250,171 35.8% COHAN, TIMOTHY P. USA 30,248,055 35.8% COHEN, BRUCE L. USA 30,247,879 35.8% COHEN, DAVID L. USA 30,247,867 35.8% COHEN, LAWRENCE H. USA 30,247,751 35.8% COLBY-JONES, LISA R. USA 30,247,887 35.8% COLEMAN JR, JOHN C. USA 30,250,755 35.8% COLEY II, JAMES C. USA 30,247,750 35.8% COLE, JAMES S. USA 30,247,950 35.8% COLOSIMO, LOUIS A. USA 30,247,437 35.8% COMFORT, STEPHANIE G. USA 30,247,403 35.8% CONNOR, MARY T. USA 30,247,718 35.8% COOPER, ADAM D. Canada 30,247,338 35.8% COOPER, ALASTAIR W.P. UK 30,247,763 35.8% COOPER, ANDREW C. USA 30,247,687 35.8% COOPER, SCOTT H. Canada 30,247,742 35.8% CORDNER, CARTER W. USA 30,247,798 35.8% CORDY, STEPHEN C. USA 30,247,756 35.8% CORKRAN, JO ANN USA 30,247,338 35.8% CORRADO, CHRISTOPHER F. USA 30,247,766 35.8% CORSI, STEFANO Italy 30,247,628 35.8% CORY, CHARLES R. USA 30,247,900 35.8% COX, CHRISTOPHER UK 30,248,002 35.8% COYNER, KEVIN B. USA 30,247,746 35.8% CRANDALL, TERRANCE M. USA 30,247,854 35.8% CREGAN, JOHN F. USA 30,247,966 35.8% CRESHAM, EILEEN F. USA 30,248,309 35.8% CRNKOVICH, PETER N. USA 30,248,463 35.8% CROFT, ROBERT G.E. UK 30,248,419 35.8% CROMPTON, JOHN D. UK 30,248,458 35.8% CROWDER, GARRY B. USA 30,247,823 35.8% CROWE, MICHAEL A. USA 30,247,956 35.8% CRUZ, ZOE Greece 30,248,127 35.8% CRYSTAL, BRUCE A. USA 30,247,810 35.8% CUMMINS, NEIL A. USA 30,253,264 35.9% CUNNINGHAM, MICHAEL JOHN UK 30,247,385 35.8% CUNNINGHAM, PETER USA 30,247,898 35.8% CURTIS, MICHAEL S. USA 30,247,708 35.8% CURTIS, PAUL D. USA 30,247,708 35.8% CZINSKY, MICHAEL J. USA 30,247,760 35.8% DAL LAGO, FRANK C. USA 30,247,756 35.8% D'ANGELO, PETER J. USA 30,247,982 35.8% DANIEL, PAUL R. UK 30,255,891 35.9% D'ANTONIO, STEPHEN H. USA 30,247,700 35.8% DAVIDSON III, NORTON A. USA 30,254,655 35.9% DAVIDSON III, JOHN P. USA 30,247,338 35.8% DAVIDSON, JOHN H. USA 30,248,165 35.8% DAVIS JR, JOSEPH F. USA 30,247,910 35.8% DAVIS, BARRY USA 30,247,998 35.8% DAWSON, KENNETH E. UK 30,250,608 35.8% DAY, JACQUELINE A. UK 30,247,885 35.8% DE CHAZAL, GUY L. USA 30,248,706 35.8% DE COTIS, DEBORAH A. USA 30,248,158 35.8% DE MONTFORT, PIERS UK 30,251,945 35.8% DE REGT, KENNETH M. USA 30,248,269 35.8% DE SAINT-AIGNAN, PATRICK USA 30,248,269 35.8% DE WAZIERS, MARTIN France 30,247,798 35.8% DEAN, GORDON G. USA 30,247,742 35.8% DEAN, ANGELA H. UK 30,247,487 35.8% DEE, MICHAEL E. USA 30,247,780 35.8% DELECROIX, MICHEL UK 30,247,800 35.8% DELONG, THOMAS J. USA 30,247,391 35.8% DEMEURE, THOMAS Belgium 30,247,338 35.8% DERBES, RICHARD A. USA 30,275,495 35.9% DESALVO, MATTHEW S. USA 30,248,703 35.8% DESMARAIS, REJEAN Canada 30,247,338 35.8% DEY, PETER Canada 30,247,338 35.8% DHAR, MADHAV India 30,248,462 35.8% DIAZ-PEREZ, EDUARDO USA 30,247,689 35.8% DICKMAN, MICHAEL J. USA 30,247,687 35.8% DIDIER, NICHOLAS V. Luxembourg 30,247,715 35.8% DINGER, JEFFREY E. USA 30,247,743 35.8% DIXON, ROBERT D. USA 30,247,597 35.8% DOHA, NASEER Bangladesh 30,247,338 35.8% DONOGHUE, MICHAEL J. USA 30,247,713 35.8% DONOVAN, PETER J. USA 30,247,542 35.8% DORAN JR, WILLIAM M. USA 30,248,127 35.8% DORFMAN, JONATHAN L. USA 30,247,717 35.8% DOSHI, MIHIR J. India 30,247,691 35.8% DUFF, PHILIP N. USA 30,247,869 35.8%
- - -------------------------------------------------------------------------------- Page 7 DUNO, ALPHONSUS J. USA 30,247,770 35.8% DYAL, GORDON E. USA 30,247,588 35.8% EDWARDS, JEFFREY G. USA 30,247,561 35.8% ELLMAN, MARK A. USA 30,247,338 35.8% ENGLISH JR, FRANK E. USA 30,247,966 35.8% EPSTEIN, STUART J. USA 30,247,636 35.8% ESAKI, HOWARD Y. USA 30,247,416 35.8% ESSIG, KARL P. USA 30,249,440 35.8% ESTES, SUSAN M. USA 30,247,798 35.8% EVANS, R. BRADFORD USA 30,248,383 35.8% EWELL, C. DANIEL USA 30,247,716 35.8% FAGEN, ROBERT A. USA 30,247,338 35.8% FALCO, DOMINICK F. USA 30,247,581 35.8% FANG, KEVIN S. USA 30,247,665 35.8% FANLO, IGNACIO J. USA 30,247,374 35.8% FAN, LINDA C. USA 30,247,751 35.8% FAWCETT, AMELIA C. USA 30,247,790 35.8% FEDERICO, GIACOMO USA 30,247,350 35.8% FEELEY, MARK J. USA 30,247,734 35.8% FEIGELES, EDWARD M. USA 30,247,648 35.8% FELDMANN, JOEL P. USA 30,247,338 35.8% FELDMAN, KIRSTEN J. Canada 30,248,056 35.8% FELIX, RICHARD B. USA 30,248,323 35.8% FELT, RONALD G. USA 30,247,728 35.8% FERNANDEZ, HENRY A. USA 30,247,338 35.8% FEUERMAN, KURT A. USA 30,247,807 35.8% FIEDOREK, BRUCE D. USA 30,250,420 35.8% FINNEGAN, DANIEL M. USA 30,247,597 35.8% FINNICAN, PETER M. USA 30,247,734 35.8% FISHER IV, GEORGE ROSS USA 30,248,727 35.8% FITZPATRICK, STEVEN B. USA 30,247,687 35.8% FLANNERY, HUGH J. USA 30,247,616 35.8% FLEISCHER, SPENCER C. USA 30,251,547 35.8% FLOOD JR, EUGENE USA 30,247,828 35.8% FLYNN, THOMAS J. USA 30,247,791 35.8% FOLAND, STEVEN R. USA 30,247,338 35.8% FOLEY, JOSEPH G. USA 30,247,527 35.8% FOSTER, CEDRIC G. USA 30,248,245 35.8% FOX, NIGEL UK 30,247,832 35.8% FRALICK, JAMES S. USA 30,249,654 35.8% FRANCESCOTTI, MARIO UK 30,263,878 35.9% FRANCOIS-PONCET, ANDRE France 30,247,338 35.8% FRANK, ALEXANDER C. USA 30,247,711 35.8% FREEMAN, IVAN K. USA 30,247,768 35.8% FRIEDMAN, CATHERINE J. USA 30,247,742 35.8% FRIEDMAN, PHILIP W. USA 30,247,725 35.8% FRIED, PETER C. USA 30,247,740 35.8% FRIEND, WARREN H. USA 30,247,715 35.8% FROST, RONALD X. USA 30,247,799 35.8% FUNG, E. MICHAEL Hong Kong 30,247,338 35.8% FUTAKI, AKIFUMI Japan 30,247,338 35.8% GALE, ANDREW UK 30,247,789 35.8% GALGANO, V. JAMES USA 30,247,796 35.8% GALPER, MIRON USA 30,247,793 35.8% GANTSOUDES, JAMES G. USA 30,247,338 35.8% GARBER, VICTOR S. USA 30,247,928 35.8% GARONZIK, NEAL USA 30,283,805 35.9% GARTIN, CLINTON G. USA 30,249,461 35.8% GARTLAND, ROBERT F. USA 30,248,269 35.8% GAULT, BERNARD France 30,247,338 35.8% GENOVA, LISA A. USA 30,247,713 35.8% GEORGE, PATRICK ROBERT France 30,247,423 35.8% GEORGE, TIMOTHY M. USA 30,248,171 35.8% GHAFFARI, PAUL B. USA 30,247,446 35.8% GIORGIO, MICHAEL C. USA 30,247,909 35.8% GIRSKY, STEPHEN J. USA 30,247,338 35.8% GLASCOTT, JAMES D. USA 30,247,656 35.8% GLASER, WILLIAM A. USA 30,247,466 35.8% GLAS, MICHEL T. France 30,247,369 35.8% GOLDBERG, ALAN E. USA 30,248,171 35.8% GOLDSMITH, RICHARD A. USA 30,247,767 35.8% GOLDSTEIN, CAROL S. USA 30,247,703 35.8% GOLDSTEIN, ROSS H. USA 30,247,756 35.8% GORDON, DAVID J. USA 30,247,338 35.8% GORDON, MARC W. USA 30,247,837 35.8% GORDON-BROWN, PAUL D. UK 30,247,456 35.8% GORT, MICHAEL A. USA 30,247,764 35.8% GOULD III, RICHARD G. USA 30,257,924 35.9% GRAHAM, JAMES R. Ireland 30,248,539 35.8% GRAY, STEPHEN E. UK 30,247,848 35.8% GRAY, GORDON S. USA 30,248,269 35.8%
GREENBERG, EDWARD M. USA 30,247,338 35.8% GREENSHIELDS, SIMON UK 30,247,902 35.8% GREENWALD, JAMIE USA 30,247,338 35.8% GREMONT, ARNAUD JEAN-MARIE France 30,247,338 35.8% GRISHAM, JAMES WAYNE USA 30,247,789 35.8% GROHSKOPF JR, ROBERT H. USA 30,247,700 35.8% GRONQUIST, CATHERINE D. USA 30,248,389 35.8% GROS, FRANCISCO R.A. Brazil 30,247,338 35.8% GRUPPO, DAVID M. USA 30,247,338 35.8% GRZECZKA, KEITH L. USA 30,247,718 35.8% GULLEY, MARK R. USA 30,247,774 35.8% GUTHEIM, PAUL G. USA 30,247,816 35.8% GYE, DAVID H. UK 30,247,338 35.8% HADDAD, MICHAEL D. USA 30,247,672 35.8% HAFFNER, LYNN CARLOS USA 30,248,626 35.8% HAGER, FRANCIS J. USA 30,247,738 35.8% HALL II, PERRY E. USA 30,249,699 35.8% HALL, C. BARROWS USA 30,248,127 35.8% HAMILTON, PETER F. USA 30,247,794 35.8% HANEY, WILLIAM C. USA 30,248,367 35.8% HANTHO, MARK A. Canada 30,247,366 35.8% HAPPEL, MICHAEL A. USA 30,247,687 35.8% HARA, FUSAO Japan 30,247,338 35.8% HARDING, WILLIAM J. USA 30,247,338 35.8% HARDY, MICHAEL W. USA 30,247,712 35.8% HARLAND, CHRISTOPHER M. USA 30,247,832 35.8% HARMAN, WILLIAM R. USA 30,248,008 35.8% HARPE, MICHAEL G. Canada 30,247,738 35.8% HARRINGTON, ANNA R. USA 30,247,409 35.8% HARRISON, MARK E. UK 30,248,383 35.8% HASSEN, THOMAS E. USA 30,248,127 35.8% HAVENS, JOHN P. USA 30,248,127 35.8% HAYASHI, KAZUSHI Japan 30,247,338 35.8% HAYES, MICHAEL A. UK 30,247,743 35.8% HAYES, DAVID L. USA 30,247,597 35.8% HAYTHE, DAVID O. USA 30,251,349 35.8% HAY, MARIANNE LAING UK 30,247,338 35.8% HEANEY, MICHAEL C. USA 30,247,676 35.8% HEATH, STEPHEN M. UK 30,249,497 35.8% HEGGLIN, DANIEL R. Switzerland 30,252,052 35.8% HEMEL, ERIC I. USA 30,247,508 35.8% HENDEL, STUART J. USA 30,247,645 35.8% HENDRY, DANIELE N. Switzerland 30,247,338 35.8% HENNESSY, ROBERT F. USA 30,247,836 35.8% HEPBURN, JOHN K. Canada 30,260,652 35.9% HEPP, STEFAN Germany 30,247,338 35.8% HERSHY, ROBERT J. USA 30,247,665 35.8% HERSKOVITZ, MICHAEL D. USA 30,247,338 35.8% HEYES, RICHARD C. UK 30,247,338 35.8% HIGGINS, MICHAEL J. USA 30,247,709 35.8% HIGGINS, WILLIAM X. USA 30,247,937 35.8% HILL II, JOSEPH W. USA 30,248,023 35.8% HILZENRATH, EUGENE B. USA 30,247,775 35.8% HINTZ, CHARLES B. USA 30,247,983 35.8% HIRSCH, STEVEN E. USA 30,247,803 35.8% HOCH, JAMES S. USA 30,247,742 35.8% HOCH, KENNETH C. USA 30,247,793 35.8% HOFFMAN, MICHAEL C. USA 30,247,737 35.8% HOLLIHAN III, JOHN P. USA 30,247,966 35.8% HOLZSCHUH, JEFFREY R. USA 30,247,858 35.8% HONG, JUN K. USA 30,247,414 35.8% HSIEH, JACKSON USA 30,247,338 35.8% HULLAR, JOHN P. USA 30,248,002 35.8% HUMPHERY, MARYE L. UK 30,247,338 35.8% HUNEKE III, JOHN H. USA 30,247,880 35.8% HUNTLEY, KRISTEN S. USA 30,247,716 35.8% IMANISHI, JUN Japan 30,247,338 35.8% IMRIE, BRIAN C. Canada 30,247,338 35.8% IP, HONSUM Hong Kong 30,247,338 35.8% IRISH, JOHN S. USA 30,247,631 35.8% ISASI, LUIS Spain 30,248,344 35.8% IVES, BRUCE S. USA 30,247,903 35.8% JACOBS, DAVID A. USA 30,247,399 35.8% JAMES, GEORGE MICHAEL USA 30,255,420 35.9% JANER, RAGNAR L. USA 30,247,368 35.8% JANSON, MICHAEL M. USA 30,249,100 35.8% JOHANSSON, JERKER M. Sweden 30,247,662 35.8% JOHNSON, MARGARET KINSLEY USA 30,247,642 35.8% JOHNSON, DAVID USA 30,250,773 35.8% JOHNSON, R. SHELDON USA 30,248,171 35.8% JOHNSON, NICHOLAS G. UK 30,247,338 35.8%
JONES, ALAN K. USA 30,247,363 35.8% JONES, DONALD J. USA 30,247,759 35.8% JONES, MARGARET K. USA 30,247,702 35.8% JONES, ROBERT W. USA 30,249,769 35.8% JOUHAR, KELVIN JAN UK 30,247,338 35.8% JOYCE JR, RICHARD E. USA 30,247,726 35.8% JUTERBOCK, THOMAS M. USA 30,248,427 35.8% KAGEYAMA, TOSHIJI Japan 30,247,374 35.8% KAITO, MASAO Japan 30,247,338 35.8% KAMEN, ERIC M. USA 30,247,906 35.8% KAMINS, HAROLD W. USA 30,247,633 35.8% KANAMITSU, YASUO Japan 30,247,338 35.8% KANI, TAKEO Japan 30,247,338 35.8% KARCHES, PETER F. USA 30,248,395 35.8% KARY, MARK R. UK 30,247,338 35.8% KASANOFF, KATHRYN JONAS USA 30,247,709 35.8% KASSIN, PHILIP USA 30,247,867 35.8% KATSIHTIS, PAUL E. USA 30,247,631 35.8% KAUFFMAN, RICHARD L. USA 30,247,427 35.8% KEANE, MICHAEL DAVID UK 30,247,338 35.8% KELLEHER, COLM THOMAS UK 30,247,772 35.8% KELLEY, SCOTT M. USA 30,247,716 35.8% KELLEY, SEAN P. USA 30,247,338 35.8% KELLNER, PETER L. USA 30,251,061 35.8% KELLY, GEORGE J. USA 30,247,871 35.8% KELLY, TIMOTHY D. USA 30,247,775 35.8% KENT, DAVID S. Australia 30,247,338 35.8% KENT, RONALD S. UK 30,249,540 35.8% KHADJAVI, LAYA Iran 30,247,691 35.8% KIDWELL, JEFFREY S. USA 30,247,771 35.8% KIHLE, DAG Norway 30,249,524 35.8% KIMAK, MARK M. USA 30,247,816 35.8% KIMBALL, PAUL G. USA 30,248,269 35.8% KIMEDA, TOSHIO Japan 30,247,355 35.8% KINDRED, JONATHAN B. USA 30,247,768 35.8% KINGSTON III, DOUGLAS P. USA 30,247,714 35.8% KINKEAD, BRIAN M. USA 30,247,741 35.8% KIRKLAND, DEREK G. USA 30,247,768 35.8% KISHIMOTO, SATOSHI Japan 30,247,697 35.8% KITTS, ROBERT W. USA 30,247,338 35.8% KNEISEL, WILLIAM J. USA 30,252,003 35.8% KOEDERITZ, CANDICE E. USA 30,248,187 35.8% KOENEN, AUSTIN V. USA 30,248,082 35.8% KOERLING, HEINRICH Germany 30,253,766 35.9% KOHNHORST, ADOLF Netherlands 30,247,338 35.8% KOLLAR, JOHN S. USA 30,247,450 35.8% KOON, MAY USA 30,247,338 35.8% KOPPENOL, ROBERT G. USA 30,247,715 35.8% KOURAKOS JR, WILLIAM USA 30,247,806 35.8% KRAMMER, MARLENE G. USA 30,247,784 35.8% KRAUSE, PETER C. USA 30,250,337 35.8% KREITLER JR, CARL J. USA 30,247,649 35.8% KRESSNER, J. THOMAS Sweden 30,249,958 35.8% KROM III, FREDERICK B. USA 30,247,998 35.8% KRONENBERG, ANNE C. USA 30,247,713 35.8% KUPFERBERG, BARRY D. USA 30,247,687 35.8% KURTZ, PATRICIA A. USA 30,247,821 35.8% KUSHMA, DEBRA A.F. USA 30,247,535 35.8% LA ROCHE, ELAINE USA 30,248,269 35.8% LADD, SUSAN C. USA 30,247,748 35.8% LAFAMAN, JAMES T. USA 30,247,701 35.8% LAL, NAINA India 30,247,338 35.8% LAMOUNTAIN, JON USA 30,247,812 35.8% LANCKSWEERT, DOMINIQUE Belgium 30,248,230 35.8% LANDERS JR, JOHN Q. USA 30,247,642 35.8% LANDI, ANTHONY J. USA 30,248,320 35.8% LANDMAN, DAVID USA 30,247,787 35.8% LANDRY, CHRISTINA M. USA 30,248,415 35.8% LANDRY, BRENDA LEE USA 30,249,975 35.8% LANGSAM, JOSEPH A. USA 30,247,914 35.8% LAP, MICHIEL P. Netherlands 30,247,821 35.8% LARKINS, GARY T. USA 30,247,873 35.8% LARSON, ERIC J. USA 30,247,521 35.8% LASHENDOCK, MICHAEL J. USA 30,247,753 35.8% LATAINER, GARY D. USA 30,248,013 35.8% LATIF, NADIR S. UK 30,247,338 35.8% LAXMI, JOHN S. USA 30,248,098 35.8% LAYNG, JOHN G. USA 30,247,810 35.8% LEACH, BRIAN USA 30,247,785 35.8% LEBLANC, PAUL L. USA 30,247,772 35.8% LEBOWITZ, MICHAEL USA 30,247,764 35.8%
LEFKOWITZ, ROBERT M. USA 30,247,338 35.8% LEIMER, WILLI KURT Austria 30,247,338 35.8% LEITCH, DONALD S. USA 30,247,738 35.8% LENOWITZ, SCOTT J. USA 30,247,338 35.8% LEVINE, JOSHUA S. USA 30,247,826 35.8% LEVIN, DEBRA J. USA 30,247,512 35.8% LEVY, THOMAS A. USA 30,247,616 35.8% LEWIS JR, WILLIAM M. USA 30,248,127 35.8% LEWIS, RICHARD GRAHAM UK 30,247,338 35.8% LIANG, JAMES L. USA 30,247,416 35.8% LICHNER, JEANNETTE A. USA 30,247,660 35.8% LIM, CHIN Y. Malaysia 30,247,571 35.8% LIM, EDWIN R. Philippines 30,247,338 35.8% LINDSAY, IAN E. UK 30,247,528 35.8% LIPPMANN, MARIANNE J. USA 30,247,819 35.8% LIPTON, STEPHEN C. UK 30,247,944 35.8% LITTLE, JAMES W. USA 30,247,603 35.8% LIU, JIALIN China 30,247,441 35.8% LIU, ANDREW Y.S. UK 30,251,627 35.8% LIU, THEODORE EM-PO USA 30,247,375 35.8% LLOYD, ELAINE C. USA 30,247,869 35.8% LOARIE, ROBERT J. USA 30,247,502 35.8% LOCOSA, LAURA E. USA 30,247,697 35.8% LORENTZEN, KENT R. USA 30,248,913 35.8% LOURIE, JONATHAN H. USA 30,247,625 35.8% LUCAYA, JORGE Spain 30,247,404 35.8% LUMPKINS, DAVID B. D. USA 30,247,338 35.8% LUND, DAVID USA 30,247,798 35.8% LUTZ, MERRITT M. USA 30,247,338 35.8% LYCHE, EINAR OLOF Norway 30,247,338 35.8% LYCHE, IVER USA 30,247,763 35.8% LYLES JR, RAY V. USA 30,247,953 35.8% LYNCH, ELIZABETH W. USA 30,247,664 35.8% MACCHIAVERNA, GLENN J. USA 30,247,606 35.8% MACDONALD, GAVIN L. UK 30,247,338 35.8% MACKIN, JOHN J. USA 30,247,854 35.8% MAGEE, STEVEN G. USA 30,247,769 35.8% MAGUIRE, J. ROBERT USA 30,247,787 35.8% MAHONEY, JAMES P. USA 30,247,986 35.8% MAHON, JAMES J. USA 30,248,671 35.8% MAINEY, RICHARD E. USA 30,247,338 35.8% MAIT, MICHELE M. USA 30,248,503 35.8% MALONE, CHRISTIAN B. USA 30,247,764 35.8% MAMDANI, MAHMOUD A. USA 30,247,742 35.8% MANGINO, GARY J. USA 30,247,761 35.8% MANGI, JOSEPH A. USA 30,247,832 35.8% MANSON, CHRISTOPHER J.J. USA 30,247,389 35.8% MARATOS, JASON G. Greece 30,247,338 35.8% MARKS, KENNETH R. USA 30,248,119 35.8% MARKWALTER JR, JOHN S. USA 30,247,657 35.8% MARTIN, M. PAUL USA 30,247,338 35.8% MARTINEZ, LOURDES LINDEN USA 30,248,010 35.8% MASSEY, STEWART R. USA 30,247,785 35.8% MASSOT, SYLVAIN P. France 30,247,646 35.8% MASUCCI, FERDINAND D. USA 30,247,901 35.8% MATTNER, GREG USA 30,247,338 35.8% MAUDE, FRANCIS ANTHONY UK 30,247,338 35.8% MAXWELL, PHILIP MOULTON Australia 30,247,338 35.8% MAYERS, LAURIE N. USA 30,247,818 35.8% MAYER, KIMBALL P. USA 30,247,716 35.8% MAYNARD JR, WALTER USA 30,247,917 35.8% MAYOROS, ALAN E. USA 30,247,726 35.8% MAZZILLI, PAUL J. USA 30,249,964 35.8% MAZZUCCHELLI, MARCO G. Italy 30,247,338 35.8% MCARTHUR, JAMES New Zealand 30,247,338 35.8% MCCARTHY, ANTHONY P. USA 30,247,903 35.8% MCCOMBE, WILLIAM D. Australia 30,247,793 35.8% MCCONNELL, JOSEPH M. USA 30,248,765 35.8% MCDONNELL GAIL P. USA 30,247,385 35.8% MCDONOUGH, PATRICK J. USA 30,247,716 35.8% MCGEEHAN, JOHN D. USA 30,247,765 35.8% MCGUINNESS, NANCY A. USA 30,247,443 35.8% MCILROY, WILLIAM USA 30,247,621 35.8% MCLAUGHLIN, GREGORY USA 30,248,269 35.8% MCMAHON, WILLIAM C. USA 30,248,849 35.8% MCMANUS, THOMAS M. USA 30,247,519 35.8% MEEKER, MARY G. USA 30,247,536 35.8% MERLIS, SCOTT F. USA 30,248,397 35.8% MERRITT, PETER G. USA 30,247,647 35.8% MERSON, VLADIMIR USA 30,247,776 35.8% METZLER, ROBERT A. USA 30,248,320 35.8%
MEYER, JOSEPH F. USA 30,247,766 35.8% MEYER, ROBERT L. USA 30,247,604 35.8% MEYER, BRUCE A. USA 30,249,192 35.8% MIAO, EUGENE A. USA 30,247,716 35.8% MICHNOWICH, SALVATORE E. USA 30,248,328 35.8% MICIONI, PETER J. USA 30,247,643 35.8% MILLER, FREDERIC A. USA 30,247,696 35.8% MILLER, PAUL S. USA 30,247,850 35.8% MILUNOVICH, STEVEN M. USA 30,247,532 35.8% MIN, EUOO SUNG Korea 30,247,338 35.8% MINTON, PETER A. USA 30,247,543 35.8% MINTZ, DANIEL R. USA 30,247,687 35.8% MISSETT, BRUCE M. USA 30,247,734 35.8% MIZEN, GREG E. USA 30,247,762 35.8% MOECKEL, ALFRED KARL-HEINZ Germany 30,247,338 35.8% MOELLER, SCOTT D. USA 30,247,854 35.8% MOLE, MARIE L. USA 30,247,717 35.8% MOLLOY, WILLIAM S. USA 30,248,127 35.8% MOONIER, JAMES F. USA 30,247,725 35.8% MOORE JR, DONALD A. USA 30,248,269 35.8% MOORE,DUNCAN CHARLES MCNAUGHT UK 30,247,601 35.8% MORAN, JOHN G. USA 30,247,982 35.8% MORE, DANIEL B. USA 30,247,346 35.8% MORGAN, DAVID H. UK 30,248,090 35.8% MORPHETT, JONATHAN G. USA 30,247,942 35.8% MORTIMER, PATRICK J. USA 30,247,690 35.8% MOSCATI, LEONARD F. USA 30,247,794 35.8% MOURRE, MARC France 30,248,148 35.8% MOZER, FRANCINE L. USA 30,247,793 35.8% MUELLER III, JOHN M. USA 30,247,633 35.8% MULLANEY, BRIAN V. USA 30,247,708 35.8% MULLER, PETER USA 30,247,425 35.8% MULLER, THOMAS R. USA 30,247,872 35.8% MULLIN, SEAN C.V. Canada 30,247,687 35.8% MUNARI, ANDREA Italy 30,247,338 35.8% MUNGER, STEPHEN R. USA 30,247,887 35.8% MURPHY, DEVIN I. USA 30,247,504 35.8% MURPHY, CHARLES W. USA 30,247,631 35.8% MURPHY, DANIEL H. USA 30,247,816 35.8% MURPHY, DAVID J. USA 30,247,810 35.8% MURPHY, KEVIN C. USA 30,247,745 35.8% MURRAY, ANTHONY UK 30,247,669 35.8% MURRAY, PETER J. UK 30,247,744 35.8% MURRAY, EILEEN K. USA 30,247,860 35.8% MURRAY, MIRIAM E. USA 30,247,909 35.8% NADOSY, PETER USA 30,248,320 35.8% NAKADA, KENJI Japan 30,247,338 35.8% NASON, PETER G. USA 30,247,578 35.8% NAYLOR, MARGARET P. UK 30,247,772 35.8% NEAMTU, ALEXANDER USA 30,248,807 35.8% NEEDHAM, PETER A. USA 30,248,087 35.8% NELSON, THOMAS R. USA 30,249,137 35.8% NEUBERGER, MARK A. USA 30,247,649 35.8% NEUBOHN, NANEEN H. USA 30,248,171 35.8% NEUWIRTH, DAVID N. USA 30,247,668 35.8% NEWCOMB, PHILIP V. USA 30,247,720 35.8% NEWHOUSE, STEPHAN F. USA 30,248,171 35.8% NEWMAN, DAVID F. USA 30,247,771 35.8% NICOL, DAVID UK 30,250,179 35.8% NIEHAUS, CHRISTOPHER J. USA 30,247,842 35.8% NIEHAUS, ROBERT H. USA 30,249,577 35.8% NOSSEIR, AMR M. USA 30,247,602 35.8% NOTLEY, SEAN J. UK 30,248,191 35.8% NOUJAIM, ALEXANDER J. USA 30,247,626 35.8% OBERLIN, DANA M. USA 30,247,755 35.8% O'BRIEN, DONALD S. USA 30,247,794 35.8% O'BRIEN, JAMES M. USA 30,247,807 35.8% OCAMPO, EDWARD J. USA 30,247,603 35.8% OELERICH III, FRANCIS J. USA 30,247,738 35.8% O'FLYNN, THOMAS M. USA 30,247,738 35.8% O'FRIEL, MARK L. USA 30,247,456 35.8% O'HARE, MICHAEL T. USA 30,247,812 35.8% O'KEEFE, WILLIAM B. USA 30,247,896 35.8% OKUSU, TAIJI Japan 30,247,338 35.8% O'LEARY, WILLIAM F. USA 30,248,540 35.8% OLESKY, JONATHAN D. USA 30,247,708 35.8% OLSEN, WARREN USA 30,247,862 35.8% ONUMA, TAKASHI Japan 30,247,551 35.8% OREM, JOHN R. USA 30,247,687 35.8% ORMEROD, MARK UK 30,248,504 35.8% OVERLANDER, KEITH F. USA 30,247,490 35.8%
OYARBIDE, CARLOS ALFONSO Spain 30,247,338 35.8% OZEKI, TOSHIO USA 30,247,879 35.8% PACE, JOANNE USA 30,247,406 35.8% PACE, PHILLIP USA 30,247,338 35.8% PAGLIARI, MICHAEL UK 30,247,678 35.8% PALMIOTTI, JOSEPH C. USA 30,247,675 35.8% PANDIT, VIKRAM S. India 30,248,127 35.8% PANNELL, CAROL AMANDA UK 30,247,338 35.8% PARKER, ANDREW M. USA 30,247,575 35.8% PARKER, KEVIN E. USA 30,247,932 35.8% PARR, GARY W. USA 30,247,338 35.8% PASCIUCCO, GERARD USA 30,247,742 35.8% PASTRANA, GEORGE USA 30,247,503 35.8% PATEL, MUKESH D. USA 30,247,733 35.8% PATE, BRUCE A. USA 30,247,573 35.8% PATTEN, VEESWANADEN R. Mauritius 30,247,338 35.8% PAVONCELLI, RICCARDO Italy 30,247,785 35.8% PECORI GIRALDI, GALEAZZO Italy 30,249,810 35.8% PELGRIFT, JAMES D. USA 30,248,318 35.8% PELLECCHIO, RALPH L. USA 30,247,927 35.8% PELOSKY JR, ROBERT J. USA 30,247,548 35.8% PENINGTON, MICHAEL UK 30,248,109 35.8% PENWELL, STEPHEN B. USA 30,247,594 35.8% PEREIRA, IAN C.T. Kenya 30,247,508 35.8% PEREIRA, PAULO C. Portugal 30,247,338 35.8% PERELLA, JOSEPH R. USA 30,247,360 35.8% PETERSON, C. SCOTT USA 30,247,653 35.8% PETERSON, WAYNE D. USA 30,247,759 35.8% PETERS, HANS PETER Germany 30,247,338 35.8% PETERY, ANDRAS R. USA 30,248,269 35.8% PETITGAS, FRANCK R. USA 30,247,357 35.8% PETRICK, MICHAEL J. USA 30,247,671 35.8% PETRILLI, ANTHONY M. USA 30,247,739 35.8% PETRI, LAWRENCE M. USA 30,247,804 35.8% PETROW, CHRISTOPHER G. USA 30,247,769 35.8% PHILLIPS, CRAIG S. USA 30,247,338 35.8% PIDDEN, ANDREW F. UK 30,247,667 35.8% PLACENTRA, DANIEL R. USA 30,247,666 35.8% PLATT, RUSSELL C. USA 30,247,742 35.8% POCHTAR, ELAINE N. USA 30,247,784 35.8% POOR, DAVID B. USA 30,247,850 35.8% POPE, PATRICIA USA 30,247,534 35.8% PORTE, THIERRY G. USA 30,250,155 35.8% PORTOGALLO, RICHARD USA 30,247,764 35.8% POULOS, PERRY USA 30,247,769 35.8% POULTON, ROGER UK 30,247,812 35.8% PRATT, FRANK T. USA 30,248,269 35.8% PRINCE, SCOTT S. USA 30,247,579 35.8% PUTCHA, RAMAKRISHNA N. USA 30,247,813 35.8% PUTTERMAN, JULES B. USA 30,247,541 35.8% QUARTNER, DOUGLAS M. USA 30,249,804 35.8% QUATTRONE, FRANK P. USA 30,248,015 35.8% QUERY JR, JAMES B. USA 30,247,723 35.8% RABIN, MICHAEL D. USA 30,247,485 35.8% RAFFEL, ANDREAS Germany 30,247,739 35.8% RAMAKRISHNAN, GURU K. India 30,247,691 35.8% RANDOLPH III, GUY D. USA 30,247,691 35.8% RANKINE, NIGEL J. UK 30,247,338 35.8% RANKOWITZ, MICHAEL L. USA 30,247,940 35.8% RAULT III, JOSEPH M. USA 30,248,015 35.8% RAVITZ, LESLIE C. USA 30,247,532 35.8% REEKE, GAIL HUNT USA 30,248,906 35.8% REFVIK, OLAV N. Norway 30,247,624 35.8% REID, WILLIAM R. USA 30,247,465 35.8% REILLY, TIMOTHY B. USA 30,247,810 35.8% REILLY, CHRISTINE I. USA 30,247,978 35.8% REIS, NORBERT J. Germany 30,247,338 35.8% REMEC, MARKO C. USA 30,247,832 35.8% RENEHAN, DAVID USA 30,248,269 35.8% RENTON, STEPHEN UK 30,251,225 35.8% RESTAINO, PAOLO ANTHONY Italy 30,247,338 35.8% REVELLI, PAOLO Italy 30,247,338 35.8% REYNOLDS, RALPH F. USA 30,247,583 35.8% RICHARDSON, BLAIR E. Canada 30,248,127 35.8% RICHARDSON, GERALD P. USA 30,247,828 35.8% RICHARDS, DRUCILLA A. USA 30,247,338 35.8% RICHTER, MARIA DEL CARM Panama 30,247,399 35.8% RIEFLER, LINDA H. USA 30,247,641 35.8% RIEPER, ALAN G. USA 30,247,384 35.8% RILEY, THOMAS R. USA 30,247,985 35.8% ROACH, STEPHEN S. USA 30,247,854 35.8%
ROBBINS, DAVID I. USA 30,247,720 35.8% ROBERT, PETER USA 30,247,338 35.8% ROBERTS, JOHN A. UK 30,247,776 35.8% ROBEY, SIMON C. UK 30,247,338 35.8% ROBINO, CHRISTOPHER M. USA 30,247,612 35.8% ROBINSON, JOHN D. USA 30,247,741 35.8% RODMAN, KEVIN L. USA 30,247,778 35.8% ROHRBACH III, CLAYTON J. USA 30,248,320 35.8% ROLLYSON, MIKEL M. USA 30,247,338 35.8% ROOKWOOD, MARK S. USA 30,247,650 35.8% ROSENTHAL, RICHARD S. USA 30,247,820 35.8% ROSENTHAL, NORMAN USA 30,247,978 35.8% ROSENTHAL, ANDREW USA 30,247,338 35.8% ROWE, TAMSIN E.E. UK 30,247,584 35.8% ROWLEY, ANDREW F. USA 30,248,023 35.8% RUDOLPH, SIMON UK 30,247,751 35.8% RUNDE, JAMES A. USA 30,248,279 35.8% RUSSINELLI, THOMAS W. USA 30,247,773 35.8% RYAN, ROBERT J. Canada 30,247,461 35.8% SACHS, NED R. USA 30,250,887 35.8% SAITO, MAKOTO Japan 30,247,338 35.8% SAKIMA, GLENN J. USA 30,247,711 35.8% SALANT, MARSHAL L. USA 30,247,832 35.8% SALZMAN, JEFFREY H. USA 30,248,269 35.8% SAMA, ALOK USA 30,247,716 35.8% SANDBERG, BRUCE R. USA 30,247,804 35.8% SANDLING III, M. JAMES USA 30,247,746 35.8% SARGENT, ROBERT A. UK 30,248,072 35.8% SASAKI, MAMI Japan 30,247,338 35.8% SAUNDERS, RICHARD J. UK 30,247,909 35.8% SAXE, SUSAN E. USA 30,247,788 35.8% SAXTON, THOMAS J. USA 30,247,684 35.8% SCHAAFF JR, HAROLD J. USA 30,247,738 35.8% SCHEUER, ALAN USA 30,247,367 35.8% SCHIEFFELIN, ALLISON USA 30,247,640 35.8% SCHLESINGER, DONALD E. USA 30,247,644 35.8% SCHLUETER, JAMES B. USA 30,247,715 35.8% SCHNEIDER, DONALD J. USA 30,247,794 35.8% SCHUETTLER, HANS JOERG Germany 30,247,338 35.8% SCHWARTZ, RICHARD C. USA 30,247,338 35.8% SCOTT, ANDREW C. USA 30,247,893 35.8% SCOTT, CHARLES H. UK 30,250,440 35.8% SCOTT, ROBERT G. USA 30,248,395 35.8% SEAH, KIAT SENG Singapore 30,247,338 35.8% SEIGEL, MARK A. USA 30,249,327 35.8% SEKARAN, RAJAN USA 30,247,338 35.8% SEN, BIDYUT C. India 30,248,127 35.8% SETHI, VINOD R. USA 30,247,568 35.8% SEXAUER, STEPHEN C. USA 30,247,721 35.8% SHAH, DHIREN H. USA 30,247,768 35.8% SHAPIRO, JOHN A. USA 30,247,990 35.8% SHAY, DEWEY K. USA 30,247,738 35.8% SHEAR, NEAL A. USA 30,248,171 35.8% SHEA, THOMAS J. USA 30,247,749 35.8% SHEA, DENNIS F. USA 30,248,420 35.8% SHELTON, RICHARD DAVID USA 30,247,611 35.8% SHEN, BING China 30,247,868 35.8% SHERVA, DENNIS G. USA 30,248,320 35.8% SHORT, CHARLES B. USA 30,247,824 35.8% SHORT, MARIUM A. USA 30,247,811 35.8% SICA, FRANK USA 30,248,171 35.8% SIMONIAN, JON D. USA 30,250,799 35.8% SINE, JEFFREY A. USA 30,247,850 35.8% SINE, THOMAS USA 30,247,755 35.8% SIPPRELLE, DWIGHT D. USA 30,247,840 35.8% SIPPRELLE, SCOTT M. USA 30,247,622 35.8% SITARZ, PAUL J. USA 30,247,807 35.8% SITLINGTON, JAMES R. III USA 30,247,338 35.8% SKERRITT, SUSAN E. USA 30,247,338 35.8% SKIBA, JACK L. USA 30,247,818 35.8% SLADKUS, MARK H. USA 30,248,081 35.8% SLAINE, DAVID R. USA 30,247,773 35.8% SLESS, HENRY J. UK 30,247,338 35.8% SMITH, ROBERT M. USA 30,247,338 35.8% SMITH, CHARISSA H. USA 30,247,778 35.8% SMITH, JUDITH A. USA 30,247,966 35.8% SMITH, MICHAEL K. USA 30,247,597 35.8% SMITH, PAUL E. USA 30,247,771 35.8% SONNENBORN, MONROE R. USA 30,247,970 35.8% SORELL, MICHAEL USA 30,247,338 35.8% SORREL, LAWRENCE B. USA 30,247,742 35.8%
SOTER, ARTHUR P. USA 30,248,158 35.8% SPECTOR, ALVIN H. USA 30,248,065 35.8% SPELLMAN, MICHAEL F. USA 30,247,854 35.8% SPENCE, ANTHONY D. UK 30,247,842 35.8% SPITZLEY, RAY L. USA 30,247,385 35.8% SPOSITO, CLAUDIO Italy 30,247,338 35.8% STEIN, JENS-PETER Germany 30,247,406 35.8% STEWART, TIMOTHY DONALD Australia 30,247,338 35.8% STEWART, JOHN R. USA 30,248,015 35.8% STONEHILL, CHARLES UK 30,250,863 35.8% STONE, DUNCAN R. UK 30,247,506 35.8% STOTT, PETER UK 30,249,528 35.8% STRAUS, JOHN A. USA 30,247,880 35.8% STRONG, WILLIAM H. USA 30,247,465 35.8% STRUBLE, K. LYNN MEDLIN USA 30,247,726 35.8% STUDZINSKI, JOHN J. USA 30,250,917 35.8% STURZENEGGER, RONALD D. USA 30,247,738 35.8% STUX, IVAN E. USA 30,247,901 35.8% STYNES, JAMES B. USA 30,248,608 35.8% SUZUKI, HIROHIKO Japan 30,247,338 35.8% SWEENEY, FRANCIS J. USA 30,247,766 35.8% SWIFT, RICHARD W. USA 30,247,926 35.8% SZILASI, WILLIAM J. USA 30,247,905 35.8% TAGGART, RICHARD G. USA 30,247,690 35.8% TAKASUGI, TETSUO Japan 30,247,710 35.8% TANNER, JAMES L. USA 30,251,248 35.8% TAN, TOMMY CHIN-CHIU Thailand 30,247,338 35.8% TARADASH, MICHAEL H. USA 30,247,635 35.8% TARIKA, ROGER C. USA 30,247,851 35.8% TAUBMAN, PAUL J. USA 30,247,742 35.8% TAYLOR, DAVID J. USA 30,247,722 35.8% TAYLOR, ROSS UK 30,250,549 35.8% TELL, MARTIN R. USA 30,247,676 35.8% THARNSTROM, CHARLES A. USA 30,247,712 35.8% THEES, THOMAS M. USA 30,247,819 35.8% THOMAS, OWEN D. USA 30,247,716 35.8% THOMAS, PHILIP M. UK 30,248,310 35.8% THOMAS, RICHARD H. UK 30,248,481 35.8% THORMAN, WALTER E. USA 30,247,772 35.8% TIERNEY, RAYMOND M. III USA 30,247,338 35.8% TILLEY, JAMES A. Canada 30,248,171 35.8% TOMINAGA, HIROSHI Japan 30,247,338 35.8% TOPPER, DAVID J. USA 30,247,887 35.8% TOROP, ROBERT USA 30,247,703 35.8% TOWSE, ROBERT C. USA 30,248,127 35.8% TRACY, JOHN M. USA 30,247,775 35.8% TRAPP, GORAN PAR Sweden 30,247,338 35.8% TRENCHARD, DAVID F. UK 30,247,479 35.8% TSAI, ANDREW S. Hong Kong 30,247,338 35.8% TUFARIELLO, ANTHONY B. USA 30,247,690 35.8% TULP, ALLAN J. USA 30,247,798 35.8% TWIST, CAROLYN M. UK 30,247,831 35.8% TYNAN, BRENDAN TIMOTHY UK 30,251,052 35.8% UVA, MICHAEL D. USA 30,247,777 35.8% VADALA JR, CHARLES F. USA 30,248,203 35.8% VAN AMSON, GEORGE L. USA 30,247,427 35.8% VAN DYKE V, HENRY USA 30,247,738 35.8% VAN NIEUWENHUIZEN, JAN L. Netherlands 30,247,417 35.8% VANDERCAR, ERIC M. USA 30,247,695 35.8% VAROLI, CORRADO P. Canada 30,247,644 35.8% VAUGHAN, GREGORY V. USA 30,247,597 35.8% VIVEASH, F. THOMAS UK 30,253,079 35.9% VON ARENTSCHILDT, CHARLES USA 30,247,865 35.8% VON NATHUSIUS, FRIEDRICH Germany 30,247,338 35.8% VON SCHRODER, BENEDIKT Germany 30,247,776 35.8% VON UFFEL, GEORGE KURT USA 30,248,697 35.8% VONDERHEIDE, MARK L. USA 30,247,392 35.8% VOREYER, ROBERT J. USA 30,247,683 35.8% VOUTE, GUSTAVE A. Netherlands 30,248,574 35.8% VRCELJ, STEVAN Australia 30,247,338 35.8% WADSWORTH JR, JOHN S. USA 30,248,395 35.8% WAGER, MALCOLM UK 30,247,812 35.8% WAGNER, GLENN N. USA 30,247,555 35.8% WAHL, FREDERICK J. USA 30,247,693 35.8% WAKAMOTO, HIDENORI Japan 30,247,338 35.8% WALLACE, EILEEN S. USA 30,247,769 35.8% WALSH JR, FREDERICK R. USA 30,247,934 35.8% WALSH, MARK K. USA 30,247,794 35.8% WALKER, SIR DAVID ALAN UK 30,247,338 35.8% WANG, HUEY C. USA 30,247,338 35.8% WARD, J. STEVEN UK 30,362,868 36.0%
WARNER, PHILIP WARD USA 30,247,960 35.8% WARREN, DAVID R. USA 30,247,338 35.8% WASSON, DAVID F. USA 30,247,838 35.8% WATERS, STEPHEN M. USA 30,248,276 35.8% WATSON, GORDON O. USA 30,247,775 35.8% WAXMAN, SCOTT USA 30,247,573 35.8% WEAVER, IAN L. UK 30,247,652 35.8% WEBER, JON F. USA 30,247,499 35.8% WEBLEY, JOHN UK 30,248,994 35.8% WEIANT, WILLIAM M. USA 30,247,338 35.8% WELLEMEYER, JOHN C. USA 30,251,653 35.8% WENDELL, JONATHAN P. USA 30,251,356 35.8% WESTERFIELD, JOHN USA 30,247,462 35.8% WESTERINK, ERIK J. Netherlands 30,247,369 35.8% WESTON, MICHAEL A. New Zealand 30,248,378 35.8% WHALEN, PATRICK J. USA 30,247,535 35.8% WHELAN, THOMAS B. USA 30,248,127 35.8% WHITEHAND, ROBERT C. UK 30,254,756 35.9% WHITE, WILLIAM H. USA 30,247,687 35.8% WHITE, KATHLEEN E. USA 30,247,338 35.8% WIEN, BYRON R. USA 30,248,269 35.8% WILLIAMS, JEFFREY P. USA 30,248,171 35.8% WILLNER, ANDREW D. UK 30,247,338 35.8% WILSON, KIRK R. USA 30,247,768 35.8% WINNINGTON-INGRAM, REBECCA S. UK 30,247,637 35.8% WINTERS, PHILIP W. USA 30,247,917 35.8% WIPF, THOMAS G. USA 30,247,768 35.8% WISCOMB, THOMAS T. USA 30,248,317 35.8% WOLKOWITZ, BENJAMIN USA 30,248,758 35.8% WOOD, JEROME C. USA 30,247,953 35.8% WOOLFORD, ANDREW K. USA 30,247,443 35.8% WOOLWORTH JR, RICHARD G. USA 30,247,926 35.8% WRIGHT II, WILLIAM H. USA 30,247,716 35.8% YAFFE, RANDY S. USA 30,247,764 35.8% YAMADA, HARUNOBU Japan 30,247,697 35.8% YAMAMOTO, TAKATOSHI Japan 30,247,338 35.8% YAMANE, STEVEN K. USA 30,247,718 35.8% YANKOU, THOMAS J. USA 30,247,682 35.8% YOSHIDA, HIDEO Japan 30,247,338 35.8% YOUNG, HARRISON USA 30,247,338 35.8% YOUNG, JOAN P. USA 30,247,863 35.8% YUKI, KOHEI Japan 30,247,338 35.8% ZAOUI, MICHAEL A. France 30,249,613 35.8% ZAUMSEIL, BRICE W. USA 30,247,992 35.8% ZIAI, YOUSSEF UK 30,247,600 35.8% ZICHERMAN, JOSEPH R. USA 30,247,636 35.8% ZICK JR, ALFORD E. USA 30,247,731 35.8% ZORN, ERNEST P. USA 30,247,748 35.8% ZUCKERT, MICHAEL USA 30,247,770 35.8%
Item 1. Security and Issuer. ------------------- This statement relates to the Common Stock, par value $1.00 per share (the "Shares"), of Morgan Stanley Group Inc., a Delaware corporation (the "Company"). The address of the principal executive office of the Company is 1251 Avenue of the Americas, New York, New York 10020. Item 2. Identity and Background. ----------------------- (a)-(c), (f) The cover sheets to this statement and Appendix A hereto contain the names of the persons (the "Reporting Persons") who beneficially own Shares that are subject to the voting and any disposition restrictions set forth in the employee Stockholders' Agreement and/or any of the Plan Agreements, all as described in Item 6, to which such persons are party to and on whose behalf this filing is made. The cover sheets to this statement and Appendix A provide the name, citizenship and aggregate amount beneficially held by each Reporting Person. The business address of each of the Reporting Persons is 1251 Avenue of the Americas, New York, NY 10020. (d)-(e) No Reporting Person during the last five years has been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or has been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, Federal or state securities laws or finding any violation with respect to such laws. Item 3. Source and Amount of Funds or Other Consideration. -------------------------- The Shares held by the Reporting Persons are beneficially owned pursuant to one or more of the following: (1) Pursuant to the recapitalization (the "Recapitalization") effective February 14, 1986 in which holders of the Company's then outstanding privately-held common stock and non-cumulative preferred stock received Shares, and holders of the Company's outstanding $8 cumulative senior preferred stock received shares of $8 Cumulative Convertible Preferred Stock, stated value $100 per share (the "Convertible Preferred Shares"), all of which were subsequently converted into Shares (the Shares beneficially owned pursuant to such Recapitalization (including through the conversion of the Convertible Preferred Shares) being referred to herein as "Recapitalization Shares"); (2) Pursuant to participation in the Company's 1986 Stock Option Plan (the "Option Plan"), the Company's Performance Unit Plan (the "PUP Plan"), the Company's 1988 Equity Incentive Compensation Plan (the "Equity Incentive Plan") and/or the Morgan Stanley U.K. Group Profit Sharing Scheme (the "U.K. Profit Sharing Scheme") and/or similar employee benefit plans or arrangements (the Option Plan, the PUP Plan 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"); and (3) Pursuant to privately negotiated or open market transactions (the Shares beneficially owned pursuant to such transactions being referred to herein as "Separately Acquired Shares"). In addition, many of the Reporting Persons are participants in the Morgan Stanley Group Inc. and Subsidiaries Employee Stock Ownership Plan (the "ESOP"), under which they have been allocated shares of the Company's ESOP Convertible Preferred Stock (the "ESOP Stock"). Shares of ESOP Stock are convertible into Shares, and shares of ESOP Stock are entitled to vote on all matters submitted to a vote of the holders of Shares, voting together with the holders of Shares as one class, all as described more fully below. Each Reporting Person's Recapitalization Shares, if any, were acquired in exchange for such Person's shares of the Company's privately-held common stock and non-cumulative preferred stock and/or as a result of the conversion of the Convertible Preferred Shares; each Reporting Person's Benefit Plan Shares and shares of ESOP Stock, if any, were acquired pursuant to the terms of the Plans, the U.K. Profit Sharing Scheme and the ESOP in consideration of services rendered and, in the case of Shares to be acquired pursuant to an exercise of options granted under a Plan will be acquired by payment of the exercise price of the option; and each Reporting Person's Separately Acquired Shares, if any, were acquired by payment of personal funds or as a gift. Item 4. Purpose of Transaction. ---------------------- Recapitalization Shares The Recapitalization was effected as of February 14, 1986, and the Recapitalization Shares were acquired in order to facilitate an initial public offering of the 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 in Item 6. Benefit Plan Shares Subsequent to May 2, 1991 up to an aggregate of 24,000,000 Shares may be issued pursuant to the Plans. Each of the Plans is administered by the Compensation Committee of the Board of Directors (the "Compensation Committee"), which selects the particular eligible persons who will receive awards under the Plans and determines the size and terms of such awards. The Compensation Committee consists of at least three disinterested persons. Option Plan The purpose of the Option Plan is to provide an incentive to certain Managing Directors, Principals, officers, key employees and consultants of the Company and its subsidiaries ("Certain Personnel") to remain in the employ of the Company and such subsidiaries and to increase their interest in the success of the Company by offering them an opportunity to obtain a proprietary interest in the Company through the grant of options to purchase Shares. The Option Plan provides for the issuance of incentive stock options ("Incentive Stock Options") which meet the requirements of Section 422 of the Internal Revenue Code of 1986, as amended (the "Code"), options that are not qualified under the Code ("Nonqualified Options" and collectively with the Incentive Stock Options, the "SOP Options") and stock appreciation rights. 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. 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 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). Separately Acquired Shares Separately Acquired Shares are held by Reporting Persons for investment purposes. Such Shares are not subject to the restrictions on voting and disposition contained in the Stockholders' Agreement or the Plan Agreements (as defined in Item 6). ESOP Stock Shares of ESOP Stock are allocated to each participant in the ESOP on December 31 in each year. Each share of ESOP Stock is convertible into Shares by the trustee of the ESOP at any time prior to the date fixed for redemption of the ESOP Stock at an initial conversion rate of one share of ESOP Stock to one Share, which rate is subject to adjustment. On the date hereof the conversion price per share at which Shares will be issued upon conversion of any shares of ESOP Stock is $35.88 (subject to adjustment). The ESOP Stock is redeemable at the Company's option at $35.88 per share (subject to adjustment) plus accrued dividends at any time after September 19, 2000 and prior thereto under certain circumstances at specified prices. The Company may pay the redemption price of the ESOP Stock in cash, in Shares or a combination thereof. Neither ESOP Stock nor Shares issued to participants in the ESOP are subject to the restrictions on voting and disposition contained in the Stockholders' Agreement or the Plan Agreements. * * * Except for (i) the possible acquisition from time to time of additional Separately Acquired Shares for investment purposes and (ii) the acquisition of Shares issued by the Company in the ordinary course of business pursuant to the Plans and the U.K. Profit Sharing Scheme, none of the Reporting Persons has any plans or proposals which relate to or would result in their acquisition of additional Shares. Subject to the restrictions described in Item 6, dispositions of Shares by Reporting Persons may be made from time to time pursuant to (i) Rule 144 under the Securities Act of 1933, as amended (the "Act"), (ii) a registration statement filed under the Act or (iii) any available exemption from registration under the Act, and in accordance with the individual investment objectives of the Reporting Person disposing of such Shares. Except as previously described in this Item 4, the Reporting Persons as a group do not have any plans or proposals that relate to or would result in any of the matters described in subparagraphs (a)-(j) of Item 4 of Schedule 13D. Item 5. Interest in Securities of the Issuer. ------------------------------------ (a) Items (11) and (13) of the cover page for each of the Reporting Persons are hereby incorporated by reference. As of the date of this report, the Reporting Persons as a group may be deemed to beneficially own an aggregate of 30,247,338 Shares, or approximately 36%, which represents a 1.9% decrease from the amount reported in Amendment No. 21. Since Amendment No. 21, the retirement or termination of certain employees became effective with the result that they are no longer Reporting Persons. The Reporting Persons' beneficial ownership of Shares, after accounting for such retired or terminated employees and for dispositions and changes in the number of total Shares outstanding, decreased by approximately 1.9%. In addition, since Amendment No. 21, awards under the Equity Incentive Plan resulted in an increase in the Reporting Persons' beneficial ownership of Shares of less than 1%. The Reporting Persons' as a group hereby disclaim beneficial ownership of any Shared held by any Reporting Person as to which such Reporting Person has sole voting and dispositive power. Each Reporting Person hereby disclaims beneficial ownership of any Shares which may be deemed to be beneficially owned by other Reporting Persons as members of a group. Except as described in Schedule I, no Reporting Person has the right to acquire Shares within 60 days from the date hereof. (b) Items (7) - (10) of the cover page or the information provided on Appendix A for each of the Reporting Persons are hereby incorporated by reference. (c) Except as described in Schedule II, no Reporting Person has effected any transactions in any Shares during the past 60 days. (d) None. (e) Not applicable. Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer. --------------------------------------- Reporting Persons who own Recapitalization Shares have entered into a Stockholders' Agreement dated as of February 14, 1986 (the "Stockholders' Agreement") (Exhibit A hereto) which contains restrictions regarding the voting and disposition of the Recapitalization Shares. Pursuant to the terms of the Plans, the Compensation Committee has required that certain participants in such Plans enter into agreements that place restrictions on the voting and disposition of Shares acquired pursuant to such Plans similar to those restrictions set forth in the Stockholders' Agreement. Reference is hereby made to the terms of the agreements or certificates that impose such restrictions pursuant to the Plans (collectively, the "Plan Agreements"), the forms of which are included as Exhibits E, F, H, I, and J hereto, and the following description is qualified in its entirety by reference to such Plan Agreements. Voting Restrictions and Arrangements Each of the individuals listed on the cover pages to this report and Appendix A hereto is a party to one or more of the Stockholders' Agreement and the Plan Agreements. Pursuant to the voting restrictions contained in the Stockholders' Agreement and the Plan Agreements, the Reporting Persons, prior to any vote of the stockholders of the Company at a meeting called with respect to any corporate action or before action is taken by written consent, may vote all Shares subject to the voting restrictions in a preliminary vote in such manner as each Reporting Person may determine in his sole discretion (the "Preliminary Vote"). At the subsequent stockholders' meeting or in connection with any action taken by written consent, the Reporting Persons must then vote all such Shares on the matter at issue in accordance with the vote of the majority of the Shares present and voting in the Preliminary Vote. Reporting Persons who cease to be employed by the Company or any of its subsidiaries on or prior to the date of the Preliminary Vote do not participate in the Preliminary Vote. Recipients of Stock Awards are entitled to exercise voting rights with respect to the Shares underlying such awards upon receipt of such awards. On March 6, 1991 the Company established a trust (the "Trust") pursuant to the Trust Agreement between the Company and State Street Bank and Trust Company, as Trustee (the "Trustee"), dated March 5, 1991 (the "Trust Agreement") (Exhibit K) pursuant to which the Shares that correspond to Stock Unit Awards are placed in the Trust pending vesting and conversion. Subject to the Company's right to amend or terminate the Trust at any time, the terms of the Trust Agreement permit the active employees of the Company who are holders of Stock Units (other than Certain Personnel in certain non-U.S. jurisdictions as described below) to direct the vote of the Shares held in the Trust for purposes of the Preliminary Vote. In accordance with the terms of the Voting Agreement between the Trustee and the Company dated March 5, 1991 (Exhibit L), the Trustee has the obligation to vote the Shares held in the Trust in accordance with the result of the Preliminary Vote. Holders of ESOP Stock are entitled to vote on all matters submitted to a vote of the holders of Shares, voting together with the holders of Shares as one class. Each share of ESOP Stock is entitled to the number of votes equal to 1.35 times the number of Shares into which such share of ESOP Stock could be converted on the record date for such vote. Each Reporting Person who is a participant in the ESOP has the ability to instruct the trustee of the ESOP how to vote the shares of ESOP Stock allocated to his account. In addition, unallocated shares of ESOP Stock are voted by the trustee on a pro rata basis with the instructions received with respect to the allocated ESOP Stock. Restrictions on Disposition and Other Arrangements The Stockholders' Agreement presently permits each Reporting Person to dispose of Recapitalization Shares and/or Shares acquired pursuant to the Option Plan and PUP Plan (together with the Recapitalization Shares, "Total Restricted Stock") in the following amounts: % of Total Restricted Stock Age at Date of Sale Permitted to be Sold ------------------- --------------------------- 35 through 38 10% 39 through 42 Additional 10% 43 through 46 Additional 10% 47 through 49 Additional 10% 50 and above Additional 10% If a Reporting Person ceases to be an employee of the Company or any of its subsidiaries, the Stockholders' Agreement permits such Reporting Person to dispose of his Recapitalization Shares without restriction. Reporting Persons may dispose of 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. Option Plan The transfer restrictions contained in the Option Agreements permit the transfer, at any time, without restriction, of only that number of Shares having a value equal to the excess of the fair market value (as of the date of exercise) of the Shares acquired upon exercise over the aggregate amount paid upon exercise multiplied by the highest statutory federal, state, local and foreign tax rates at the time of exercise (but in no event greater than 50% of such excess). The balance of the Shares acquired upon the exercise of such SOP Options will be transferable only in accordance with a schedule, substantially similar to that contained in the Stockholders' Agreement, that permits the transfer of a number of such Shares representing a specified percentage of the total number of Shares held by the optionee that are subject to restrictions and according to the optionee's age. If a Reporting Person ceases to be an employee of the Company or any of its subsidiaries, these transfer restrictions will no longer apply to Shares acquired pursuant to the Option Plan. The Compensation Committee has adopted certain additional and/or different terms and conditions for the grant of options ("U.K. 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 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. 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 quality for favorable tax treatment under the laws of such non-U.S. jurisdictions. U.K. Profit Sharing Scheme The U.K. Profit Sharing Scheme provides that Shares awarded to the participants are held by a trustee in the name and on behalf of each participant for a period of two years from the date of such award (the "Retention Period"). Each participant is fully vested in, and is the beneficial owner of, the shares held on his behalf as of the award date of the Shares. During the Retention Period, a participant may not assign, pledge or otherwise dispose of such Shares; however, a participant is able to instruct the trustee how to vote such Shares on his behalf. Item 7. Material to be Filed as Exhibits. -------------------------------- Certain of the following exhibits, as indicated parenthetically, were previously filed as exhibits to registration statements or reports filed by the Company under the Securities Act of 1933 or the Securities Exchange Act of 1934, respectively, or reports filed by the Reporting Persons under the Securities Exchange Act of 1934 and are hereby incorporated by reference to such statements or reports. Exhibit A Stockholders' Agreement dated February 14, 1986 among 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)). Exhibit G Morgan Stanley Group Inc. 1988 Equity Incentive Compensation Plan, as amended and restated to date (Annual Report on Form 10-K for the fiscal year ended January 31, 1993). Exhibit H Form of Stock Unit Certificate Under the Morgan Stanley Group Inc. 1988 Equity Incentive Compensation Plan (Previously filed as Exhibit V with Amendment No. 5 to Schedule 13D dated December 31, 1990). Exhibit I Form of Stock Option Certificate Under the Morgan Stanley Group Inc. 1988 Equity Incentive Compensation Plan (Previously filed as Exhibit W with Amendment No. 5 to Schedule 13D dated December 31, 1990). Exhibit J Form of Voting Agreement Under the Morgan Stanley Group Inc. 1988 Equity Incentive Compensation Plan (Previously filed as Exhibit X with Amendment No. 5 to Schedule 13D dated December 31, 1990). Exhibit K Trust Agreement between Morgan Stanley Group Inc. and State Street Bank and Trust Company dated March 5, 1991 (Annual Report on Form 10-K for the fiscal year ended January 31, 1993). Exhibit L Voting Agreement among Morgan Stanley Group Inc., State Street Bank and Trust Company and Other Persons Signing Similar Agreements dated March 5, 1991 (Annual Report on Form 10-K for the fiscal year ended January 31, 1993). Schedule I RIGHTS TO ACQUIRE SHARES As of October 21, 1995 (60 days from August 22, 1995), 930 Reporting Persons have the right to acquire 6,891,652 Shares pursuant to the exercise of options. No Reporting Person individually has options presently exercisable covering more than 1% of the Shares outstanding as of the date hereof. Schedule II RECENT TRANSACTIONS During the last 60 days, 91 Reporting Persons sold an aggregate of 477,414 shares at an average price of $79.82 per Share, and/or effected a transfer by gift of an aggregate of 79,995 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. 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: August 22, 1995 By: /s/ Ralph L. Pellecchio ------------------------- Ralph L. Pellecchio Attorney-in-Fact -----END PRIVACY-ENHANCED MESSAGE-----