<PAGE>
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
Morgan Stanley, Dean Witter, Discover & Co.
------------------------------------------
(Name of Issuer)
Common Stock, $.01 par value
----------------------------
(Title of Class of Securities)
617446448
---------
(CUSIP Number)
Jonathan M. Clark, Esq.
General Counsel and Secretary
Morgan Stanley & Co. Incorporated
1585 Broadway
New York, NY 10036
(212) 761-4000
-------------------------------------------------------
(Name, Address and Telephone Number of Person Authorized
to Receive Notices and Communications)
May 31, 1997
-----------------------------------------------------
(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: [ ]
1
<PAGE>
SCHEDULE 13D
CUSIP NO. 617446448
-----------------
- ------------------------------------------------------------------------------
NAMES 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
OO
- ------------------------------------------------------------------------------
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 94,355,578
-----------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
9
REPORTING
1-2%
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER
WITH 10
- ------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
94,360,127
- ------------------------------------------------------------------------------
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
12
[_]
- ------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
15.7
- ------------------------------------------------------------------------------
TYPE OF REPORTING PERSON*
14
IN
- ------------------------------------------------------------------------------
2
<PAGE>
SCHEDULE 13D
CUSIP NO. 617446448
-----------------
- ------------------------------------------------------------------------------
NAMES 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
OO (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 Apendix A
- ------------------------------------------------------------------------------
SOLE VOTING POWER
7
NUMBER OF
less than 1% (Applies to each person on Appendix A)
SHARES -----------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 8
94,355,578 (Applies to each person listed on Appendix
OWNED BY A)
-----------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
9
REPORTING
less than 1% (Applies to each person on Appendix A)
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER
WITH 10
- ------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
As stated on Appendix A.
- ------------------------------------------------------------------------------
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
12 [_]
(Applies to each person listed on Appendix A)
- ------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
As stated on Appendix A.
- ------------------------------------------------------------------------------
TYPE OF REPORTING PERSON (See Instructions)
14
IN (Applies to each person listed on Appendix A)
- ------------------------------------------------------------------------------
3
<PAGE>
Appendix A
<TABLE>
<CAPTION>
- -----------------------------------------------------------------------------------
Line 1 Line 6 Line 11 Line 13
- -----------------------------------------------------------------------------------
Aggregate Percent of Class
Amount Represented By
Name Citizenship Beneficially Held Amount in Line 11
- -----------------------------------------------------------------------------------
<S> <C> <C> <C>
Aaron, Debra M United States 94,358,259 15.7%
Aaronson, Paul R. United States 94,357,569 15.7%
Abdel-Meguid, Tarek F United States 94,358,769 15.7%
Abe, Mitsuhiro Japan 94,370,752 15.7%
Abrahams, Steven W. United States 94,356,549 15.7%
Abramovitz, Debra United States 94,357,713 15.7%
Ackerman, Warren, III United States 94,356,266 15.7%
Adair, Barry L. United States 94,362,306 15.7%
Adams, Charles S. United States 94,355,965 15.7%
Adams, John C. United States 94,357,711 15.7%
Adams, Nicholas United Kingdom 94,358,059 15.7%
Ainsworth, David N. United Kingdom 94,356,308 15.7%
Airo, Robert United States 94,357,368 15.7%
Akers, Suzanne S. United States 94,357,447 15.7%
Akhrass, Jameel K. United States 94,355,896 15.7%
Albanese, Tommaso Matteo Italy 94,355,578 15.7%
Albers, Alexandria J. United States 94,357,798 15.7%
Alkire, John R. United States 94,357,279 15.7%
Allery, Stephen A. United Kingdom 94,355,850 15.7%
Alley, Steven J. United States 94,358,006 15.7%
Allwin, James M United States 94,359,759 15.7%
Altman, Emily M. United States 94,356,115 15.7%
Altomare, Gerald C. United States 94,355,754 15.7%
Anda, Jon A. United States 94,358,351 15.7%
Anderson, Stephen J. United States 94,355,578 15.7%
Anderson, Steven P United States 94,356,081 15.7%
Andryc, Philip J United States 94,358,977 15.7%
Anfang, Richard L. United States 94,357,650 15.7%
Angevine, Robert E United States 94,358,416 15.7%
Arata, Patrick J. United States 94,356,889 15.7%
Armitage, Michael R. United Kingdom 94,358,574 15.7%
Armstrong, Arden C. United States 94,355,924 15.7%
Armstrong, R. Michael United States 94,357,437 15.7%
Arthur, Douglas M. United States 94,355,842 15.7%
Asprem, Mads Michael Denmark 94,355,771 15.7%
Atkins, Charles N. United States 94,357,183 15.7%
Atkins, William John United Kingdom 94,355,761 15.7%
Atkinson, Richard N. United Kingdom 94,356,386 15.7%
Attorri, Gregory J. United States 94,356,051 15.7%
Atwell, R. Wayne United States 94,357,447 15.7%
Auerbach, Neil Z. United States 94,355,860 15.7%
Bachiller, Francisco Spain 94,355,615 15.7%
Bachynski, Marianne United States 94,357,566 15.7%
Baker, Kurt A. United States 94,355,837 15.7%
Balgarnie, Andrew J. United Kingdom 94,357,056 15.7%
Ballantyne, Alastair I. United Kingdom 94,357,983 15.7%
Bandeen, R. Derek Canada 94,357,962 15.7%
Barancik, Gary S. United States 94,357,501 15.7%
Barden, Robert A United States 94,357,711 15.7%
Bardong, Shawn P. United States 94,360,414 15.7%
Bardonnet, Emmanuel France 94,355,630 15.7%
Bardwell, Timothy J. United Kingdom 94,359,828 15.7%
Barker, Francis B. United States 94,357,206 15.7%
Barker, Rodney J. United Kingdom 94,355,675 15.7%
Barnett, Phillip S United States 94,357,368 15.7%
- ------------------------------------------------------------------------------------
</TABLE>
4
<PAGE>
<TABLE>
<CAPTION>
- ------------------------------------------------------------------------------------
Line 1 Line 6 Line 11 Line 13
- ------------------------------------------------------------------------------------
Aggregate Percent of Class
Amount Represented By
Name Citizenship Beneficially Held Amount in Line 11
- ------------------------------------------------------------------------------------
<S> <C> <C> <C>
Baroudi, Jack J. United States 94,356,101 15.7%
Barrett, David J. United States 94,357,576 15.7%
Barrett, Kenneth W. United States 94,355,578 15.7%
Barrett, Timothy United Kingdom 94,356,569 15.7%
Barsky, Neil S. United States 94,356,299 15.7%
Barth-Wehrenalp, Gerald P. United States 94,357,897 15.7%
Bartlett, Michael E. United Kingdom 94,355,578 15.7%
Bartlett, Philip S. United States 94,357,427 15.7%
Bases, Edward H United States 94,357,289 15.7%
Basirov, Olga A. United Kingdom 94,359,366 15.7%
Bayer, Jerome W. United States 94,358,095 15.7%
Bearden, David A. United States 94,357,407 15.7%
Bechtel, Karen H United States 94,359,686 15.7%
Becker, Glenn E. United States 94,355,924 15.7%
Bedell, James M. United States 94,357,119 15.7%
Behler, Richard M. United States 94,355,604 15.7%
Bejjani, Ghassan J Lebanon 94,357,364 15.7%
Belgrad, Stephen H. United States 94,356,840 15.7%
Bell, Andrew J. United Kingdom 94,355,578 15.7%
Bell, James J United States 94,356,934 15.7%
Bello, Rafael Canada 94,356,223 15.7%
Benardete, Steven M United States 94,363,531 15.7%
Beneke, John United States 94,357,534 15.7%
Bennett, Thomas L. United States 94,355,881 15.7%
Berchtold, Michael J. United States 94,357,498 15.7%
Bergman, Jerome United States 94,357,752 15.7%
Berler, Matthew K. United States 94,356,257 15.7%
Best, Eric P. United States 94,355,578 15.7%
Bianco, Frank United States 94,357,861 15.7%
Biert, Gisep Switzerland 94,355,578 15.7%
Biggs, Barton M United States 94,360,019 15.7%
Bigman, Theodore R. Canada 94,355,757 15.7%
Bilgore, Bradley Alan United States 94,356,774 15.7%
Bilotti, Richard A., JR. United States 94,356,201 15.7%
Bilsby, Kevin A. United Kingdom 94,357,569 15.7%
Birnbaum, Jeffrey M. United States 94,356,495 15.7%
Black, Susan Mackinnon United States 94,358,079 15.7%
Blain, Paul F. United Kingdom 94,355,578 15.7%
Blair, David H United States 94,355,888 15.7%
Blais, William L United States 94,357,731 15.7%
Blau, Andrew M. United States 94,356,614 15.7%
Blum, Jon E. United States 94,356,295 15.7%
Blumstein, Michael W. United States 94,356,992 15.7%
Bodson, Michael C. United States 94,357,963 15.7%
Boggs, E. Clayton United States 94,355,924 15.7%
Boiarsky, Robert United States 94,357,517 15.7%
Bonafide, Robert M. United States 94,357,450 15.7%
Bopp, Walter S United States 94,359,344 15.7%
Borosh, David A. United States 94,356,680 15.7%
Bosco, Anthony B. United States 94,357,653 15.7%
Boublik, Michael J. United States 94,357,003 15.7%
Boucher, Charles L., II United States 94,356,879 15.7%
Bouyoucos, Peter J. United States 94,355,777 15.7%
Bovich, Francine J. United States 94,356,591 15.7%
Boyer, Amy A. United States 94,355,812 15.7%
- -----------------------------------------------------------------------------------
</TABLE>
5
<PAGE>
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------
Line 1 Line 6 Line 11 Line 13
- --------------------------------------------------------------------------------------
Aggregate Percent of Class
Amount Represented By
Name Citizenship Beneficially Held Amount in Line 11
- --------------------------------------------------------------------------------------
<S> <C> <C> <C>
Bradford, Leslie Embs United States 94,359,544 15.7%
Bradley, Mark H. United States 94,357,036 15.7%
Bradway, Robert A. United States 94,356,952 15.7%
Brakebill, Scott R United States 94,358,351 15.7%
Brawer, Steven A. United States 94,356,437 15.7%
Brennan, Donald Patrick United States 94,359,780 15.7%
Breslow, Stuart J.M. United States 94,357,934 15.7%
Brewer, Simon United Kingdom 94,355,870 15.7%
Brickman, Keith D. United States 94,356,761 15.7%
Brierwood, David C United Kingdom 94,372,734 15.7%
Brille, Brian J. United States 94,357,501 15.7%
Broadbent, Peregrine Charles United Kingdom 94,356,351 15.7%
Broberg, Christian P Denmark 94,355,653 15.7%
Brock, William G. Canada 94,392,472 15.7%
Brodheim, Theodore K. United States 94,355,578 15.7%
Brodsky, Jeffrey S. United States 94,357,173 15.7%
Brolley, Kevin United States 94,357,120 15.7%
Brombach, Theodore J. United States 94,356,714 15.7%
Brooke, Paul A United States 94,359,188 15.7%
Brous, Leonard United States 94,357,317 15.7%
Brown, Andrew C. United States 94,356,195 15.7%
Brown, Douglas L. United States 94,356,797 15.7%
Brown, Ernest W. United States 94,356,289 15.7%
Brown, Jeffry P. United States 94,357,817 15.7%
Brown, Keith United Kingdom 94,394,365 15.7%
Brown, Randolph B. United States 94,356,185 15.7%
Browne, Kevin J. United States 94,357,962 15.7%
Brundler, Adolf Switzerland 94,355,578 15.7%
Bryant, Malcolm P. United Kingdom 94,359,310 15.7%
Bryce, Colin United Kingdom 94,356,832 15.7%
Buck, Lee M United States 94,367,139 15.7%
Buechter, Markus Germany 94,355,665 15.7%
Bulchandani, Ravi A India 94,356,117 15.7%
Buovolo, Anthony J United States 94,357,721 15.7%
Burdick, Leigh S. United States 94,356,478 15.7%
Burke, Lauren M. United States 94,356,322 15.7%
Burns, Dennis J United States 94,359,344 15.7%
Busch, May C. United States 94,358,196 15.7%
Byrd, Caren United States 94,357,709 15.7%
Caffrey, Timothy J. United States 94,356,964 15.7%
Cahill, Thomas F., JR. United States 94,356,703 15.7%
Caldecott, P.Dominic United Kingdom 94,356,568 15.7%
Callahan, Daniel H. United States 94,356,145 15.7%
Campbell, Laurie G. Canada 94,356,440 15.7%
Campbell, Randall S. United States 94,356,919 15.7%
Campion, Frances Ireland 94,355,578 15.7%
Cappucci, Guy T United States 94,357,287 15.7%
Caputo, A Macdonald United States 94,359,802 15.7%
Caracappa, Mary United States 94,357,529 15.7%
Carey, James P United States 94,358,086 15.7%
Carleton, Bruce T. United States 94,359,297 15.7%
Carlin, Jane D. United States 94,357,732 15.7%
Carmichael, Terence P United States 94,357,909 15.7%
Carr, Louis J, JR United States 94,359,866 15.7%
Carrafiell, John A. United States 94,357,099 15.7%
- --------------------------------------------------------------------------------------
</TABLE>
6
<PAGE>
<TABLE>
<CAPTION>
- -------------------------------------------------------------------------------------
Line 1 Line 6 Line 11 Line 13
- -------------------------------------------------------------------------------------
Aggregate Percent of Class
Amount Represented By
Name Citizenship Beneficially Held Amount in Line 11
- -------------------------------------------------------------------------------------
<S> <C> <C> <C>
Carroll, Allan R. United States 94,355,863 15.7%
Carroll, David C. United States 94,357,419 15.7%
Carroll, Jesse L, JR United States 94,372,642 15.7%
Carroll, John E United States 94,355,987 15.7%
Carruthers, Alan Thomas United Kingdom 94,355,578 15.7%
Caruso, Christopher J. United States 94,357,851 15.7%
Cashel, Michael Sean United States 94,356,437 15.7%
Casper, Robert Y. United States 94,356,026 15.7%
Cassedy, Michael J United States 94,358,625 15.7%
Cassou, Beatrice M. United States 94,357,501 15.7%
Castellano, Richard R United States 94,358,288 15.7%
Caufield, Patrick J. United States 94,355,711 15.7%
Cawsey, Richard Australia 94,356,194 15.7%
Certosimo, Arthur United States 94,355,886 15.7%
Chamberlain, Paul E. United States 94,357,061 15.7%
Chamberlain, Stephen P United Kingdom 94,362,488 15.7%
Chammah, Walid A. Lebanon 94,356,520 15.7%
Chan, Oliver S. United States 94,357,213 15.7%
Chandler, Elizabeth R United States 94,356,704 15.7%
Chaney, Eric France 94,355,578 15.7%
Chang, Victor United States 94,356,016 15.7%
Chasin, Charles United States 94,357,709 15.7%
Chenevix-Trench, Jonathan United Kingdom 94,360,425 15.7%
Chester, John E, III United States 94,357,817 15.7%
Chiarello, Guy United States 94,357,643 15.7%
Chin, Ean Wah Malaysia 94,355,578 15.7%
Chirls, Catherine E. United States 94,356,521 15.7%
Christianakis, Leonidas Ioanni United Kingdom 94,355,578 15.7%
Chui, Vincent Y C Hong Kong 94,355,578 15.7%
Churchouse, Frederick P New Zealand 94,355,578 15.7%
Chutter, Jessica C. Canada 94,357,323 15.7%
Citrino, Mary Anne United States 94,357,572 15.7%
Clark, Jonathan M. United States 94,356,873 15.7%
Clark, Mayree C. United States 94,359,188 15.7%
Clark, William Thomas United States 94,363,456 15.7%
Clemente La Brum, John P United States 94,357,597 15.7%
Clephane, Thomas P United States 94,359,168 15.7%
Clifford, Kenneth F United States 94,357,690 15.7%
Cobby, Nigel United Kingdom 94,359,646 15.7%
Cohan, Timothy P United States 94,358,671 15.7%
Cohen, Bruce L United States 94,358,090 15.7%
Cohen, David L United States 94,358,280 15.7%
Cohen, Robert A. United States 94,356,855 15.7%
Cohen, Stephen A. United States 94,355,693 15.7%
Colby-Jones, Lisa R United States 94,358,348 15.7%
Cole, James S United States 94,359,117 15.7%
Coleman, Christopher John United Kingdom 94,355,578 15.7%
Coleman, Kevin P. United States 94,355,736 15.7%
Coleman, Maureen E. United States 94,357,152 15.7%
Coley, James C., II United States 94,357,642 15.7%
Colman, Mark M. United States 94,357,473 15.7%
Colosimo, Louis A. United States 94,356,516 15.7%
Comfort, Stephanie G. United States 94,356,568 15.7%
Connolly, John D. United States 94,355,924 15.7%
Connor, Mary T United States 94,357,485 15.7%
- -------------------------------------------------------------------------------------
</TABLE>
7
<PAGE>
<TABLE>
<CAPTION>
- -------------------------------------------------------------------------------------
Line 1 Line 6 Line 11 Line 13
- -------------------------------------------------------------------------------------
Aggregate Percent of Class
Amount Represented By
Name Citizenship Beneficially Held Amount in Line 11
- -------------------------------------------------------------------------------------
<S> <C> <C> <C>
Conway, Andrew J. United States 94,355,578 15.7%
Cook, Charles R United States 94,357,450 15.7%
Coombe, Christopher John United Kingdom 94,355,630 15.7%
Cooper, Alastair W.P. United Kingdom 94,357,472 15.7%
Cooper, Scott H. Canada 94,357,610 15.7%
Cordner, Carter W. United States 94,357,807 15.7%
Cordy, Stephen C United States 94,357,635 15.7%
Corsi, Stefano Italy 94,356,591 15.7%
Cory, Charles R United States 94,358,396 15.7%
Cox, Christopher United Kingdom 94,356,440 15.7%
Cox, Kevin C. United States 94,357,252 15.7%
Coyner, Kevin B. United States 94,357,627 15.7%
Crane-Griffith, Elizabeth United States 94,357,171 15.7%
Crawford, Stephen S. United States 94,357,252 15.7%
Crespi, Marc United States 94,355,924 15.7%
Crnkovich, Peter N. United States 94,358,265 15.7%
Croft, Robert G.E. United Kingdom 94,356,742 15.7%
Crompton, Bradley Canada 94,355,578 15.7%
Crompton, John D. United Kingdom 94,357,138 15.7%
Crowder, Garry B. United States 94,358,127 15.7%
Cruz, Zoe Greece 94,359,188 15.7%
Cunningham, Michael John United Kingdom 94,356,191 15.7%
Cunningham, Peter United Kingdom 94,357,901 15.7%
Cunningham, Stephen M. United States 94,355,578 15.7%
Curtis, Michael S United States 94,357,432 15.7%
Curtis, Paul D United States 94,357,516 15.7%
Czinsky, Michael J United States 94,357,648 15.7%
D'Antonio, Stephen H. United States 94,357,492 15.7%
Dal Lago, Frank C United States 94,357,660 15.7%
Daniel, Paul R United Kingdom 94,357,138 15.7%
Davidson, John H United States 94,358,902 15.7%
Davidson, John P., III United States 94,356,317 15.7%
Davidson, Norton A, III United States 94,380,712 15.7%
Davidson, Richard Gavin United Kingdom 94,356,398 15.7%
Davies, Peter E. United States 94,356,226 15.7%
Davis, Barry United States 94,358,739 15.7%
Davis, Joseph F., JR United States 94,357,741 15.7%
Day, Jacqueline A. United Kingdom 94,357,850 15.7%
Day, Paul A. United Kingdom 94,356,122 15.7%
De Chazal, Guy L. United States 94,359,117 15.7%
De Montfort, Piers United Kingdom 94,371,374 15.7%
De Saint-Aignan, Patrick United States 94,359,686 15.7%
Dean, Angela H. United Kingdom 94,356,069 15.7%
Dean, Gordon G. United States 94,357,615 15.7%
Dedomenico, Edward J. United States 94,356,602 15.7%
Dee, Michael E. United States 94,357,429 15.7%
Deforest, Laura I. United States 94,356,360 15.7%
Denaut, Anne S. United States 94,357,206 15.7%
Denaut, James A. United States 94,355,578 15.7%
Derbes, Richard A United States 94,449,365 15.7%
Deregt, Kenneth M. United States 94,359,686 15.7%
Desalvo, Matthew S. United States 94,357,706 15.7%
Dewan, Hasanat M. Bangladesh 94,356,038 15.7%
Dewolfe, D. James United States 94,363,142 15.7%
Dey, Peter J. Canada 94,355,578 15.7%
- -------------------------------------------------------------------------------------
</TABLE>
8
<PAGE>
<TABLE>
<CAPTION>
- ------------------------------------------------------------------------------------
Line 1 Line 6 Line 11 Line 13
- ------------------------------------------------------------------------------------
Aggregate Percent of Class
Amount Represented By
Name Citizenship Beneficially Held Amount in Line 11
- ------------------------------------------------------------------------------------
<S> <C> <C> <C>
Dhar, Madhav India 94,360,138 15.7%
Diaz-Perez, Eduardo United States 94,357,330 15.7%
Dickman, Michael J United States 94,357,368 15.7%
Din, Stephen Trevor United Kingdom 94,355,663 15.7%
Dinger, Jeffrey E United States 94,357,587 15.7%
Ditkoff, Charles J. United States 94,356,041 15.7%
Dixon, Robert D United States 94,356,827 15.7%
Doha, Naseer Bangladesh 94,355,578 15.7%
Donoghue, Geoffrey M. Canada 94,357,595 15.7%
Donoghue, Michael J. United States 94,357,513 15.7%
Donovan, Peter J. United States 94,356,883 15.7%
Doran, William M, JR United States 94,359,188 15.7%
Dorfman, Jonathan L United States 94,357,515 15.7%
Dortone, Dana L. United States 94,355,924 15.7%
Doshi, Mihir J United States 94,357,289 15.7%
Drayson, Timothy Seccombe United Kingdom 94,356,091 15.7%
Driscoll, Thomas P. United States 94,356,622 15.7%
Dube, Raye L. United States 94,357,117 15.7%
Dubeck, Michael R. United States 94,355,936 15.7%
Duff, Philip N United States 94,358,288 15.7%
Dunn, Kenneth B. United States 94,355,881 15.7%
Dyal, Gordon E. United States 94,357,157 15.7%
Earnshaw, Scott D. United States 94,356,259 15.7%
Ebers-Franckowiak, Gay L. United States 94,355,578 15.7%
Eichorn, Mark D. United States 94,356,143 15.7%
Eifler, Carl M. United States 94,355,804 15.7%
Elliott, James G. United States 94,357,729 15.7%
Elmaghrabi, Ehab E. United States 94,357,056 15.7%
Elmasry, Hassan United States 94,355,863 15.7%
Engebretson, Kathryn J. United States 94,355,924 15.7%
English, Frank E, JR United States 94,358,625 15.7%
Epstein, Patricia N. United States 94,357,571 15.7%
Epstein, Stuart J United States 94,357,188 15.7%
Erb, William F. United States 94,357,020 15.7%
Ertman, Andrew C. United States 94,357,010 15.7%
Esaki, Howard Y. United States 94,356,469 15.7%
Esquivel, Josephine R. United States 94,355,799 15.7%
Esser, Stephen F. United States 94,355,924 15.7%
Essig, Karl P United States 94,363,484 15.7%
Estes, Susan M. United States 94,357,812 15.7%
Evans, R Bradford United States 94,360,085 15.7%
Ewell, C. Daniel United States 94,357,501 15.7%
Fadel, James P. United States 94,355,578 15.7%
Fagen, Brian R. United States 94,356,808 15.7%
Fagen, Robert A United States 94,357,648 15.7%
Falls, Amy C. United States 94,356,018 15.7%
Fan, Linda C United States 94,357,539 15.7%
Fanelli, Peter R. United States 94,357,001 15.7%
Fanlo, Ignacio J. United States 94,356,434 15.7%
Fappiano, Maryann United States 94,357,553 15.7%
Fareri, Robert United States 94,357,298 15.7%
Faulkner, John H. United States 94,356,135 15.7%
Fawcett, Amelia C. United States 94,357,767 15.7%
Fear, Oliver United Kingdom 94,356,464 15.7%
Feder, Abigail Jones United States 94,357,297 15.7%
- ------------------------------------------------------------------------------------
</TABLE>
9
<PAGE>
<TABLE>
<CAPTION>
- ------------------------------------------------------------------------------------
Line 1 Line 6 Line 11 Line 13
- ------------------------------------------------------------------------------------
Aggregate Percent of Class
Amount Represented By
Name Citizenship Beneficially Held Amount in Line 11
- ------------------------------------------------------------------------------------
<S> <C> <C> <C>
Federico, Giacomo United States 94,356,457 15.7%
Feeley, Mark J United States 94,357,544 15.7%
Feenick, Anthony W. United States 94,357,477 15.7%
Feldman, Kirsten J Canada 94,358,656 15.7%
Feldman, Robert A. United States 94,355,578 15.7%
Feldmann, Joel P. United States 94,356,139 15.7%
Felix, Richard B United States 94,359,816 15.7%
Fernandez, Henry A United States 94,357,105 15.7%
Ferriso, Peter W. United States 94,356,353 15.7%
Feuerman, Kurt A. United States 94,358,069 15.7%
Ficke, Mark D. United States 94,357,551 15.7%
Fiedorek, Bruce D United States 94,359,759 15.7%
Field-Marsham, Scott R. Canada 94,357,414 15.7%
Finnegan, Daniel M. United States 94,356,934 15.7%
Fisher, George Ross, IV United States 94,361,168 15.7%
Fitzpatrick, Steven B. United States 94,357,305 15.7%
Flanagan, Malachi J., JR. United States 94,355,703 15.7%
Flannery, Hugh J. United States 94,357,034 15.7%
Flaum, James E. United States 94,356,061 15.7%
Fleischer, Spencer C United States 94,359,145 15.7%
Flood, Eugene, JR United States 94,357,983 15.7%
Flynn, Thomas J United States 94,357,784 15.7%
Foland, Steven R. United States 94,356,147 15.7%
Foley, Jake United States 94,356,124 15.7%
Foley, Joseph G. United States 94,356,860 15.7%
Fortier, Michael Albert United States 94,355,739 15.7%
Foster, Cedric G. United States 94,358,930 15.7%
Foster, Michael E. United States 94,355,883 15.7%
Fox, Nigel Jonathan Paget United Kingdom 94,357,531 15.7%
Fralick, James S United States 94,363,861 15.7%
Frame, Thomas C. United States 94,355,578 15.7%
Francescotti, Mario United Kingdom 94,368,552 15.7%
Francois-Poncet, Andre France 94,355,578 15.7%
Frank, Alexander C. United States 94,357,518 15.7%
Freeman, Ivan K United States 94,357,932 15.7%
Fried, Peter C. United States 94,357,628 15.7%
Friedman, Catherine J. United States 94,357,610 15.7%
Friedman, Philip W. United States 94,357,782 15.7%
Friend, Warren H United States 94,357,539 15.7%
Frost, Ronald X United States 94,357,850 15.7%
Fung, E. Michael Hong Kong 94,355,578 15.7%
Futaki, Akifumi Japan 94,362,797 15.7%
Gaffney, Monica Josephine Ireland 94,355,578 15.7%
Gaillard, Vincent M. J. France 94,355,578 15.7%
Gajendragadkar, Dilip S. India 94,356,589 15.7%
Gale, Andrew United Kingdom 94,357,066 15.7%
Galgano, V James United States 94,357,823 15.7%
Galper, Myron United States 94,357,836 15.7%
Gandhi, Vikram S India 94,357,031 15.7%
Gantsoudes, James G United States 94,356,287 15.7%
Garber, Victor S United States 94,358,434 15.7%
Gardiner, Kevin Leslie United Kingdom 94,355,972 15.7%
Garrison, Robert E. United States 94,357,472 15.7%
Gartin, Clinton G United States 94,363,560 15.7%
Gartland, Robert F United States 94,359,686 15.7%
- ------------------------------------------------------------------------------------
</TABLE>
10
<PAGE>
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------
Line 1 Line 6 Line 11 Line 13
- --------------------------------------------------------------------------------------
Aggregate Percent of Class
Amount Represented By
Name Citizenship Beneficially Held Amount in Line 11
- --------------------------------------------------------------------------------------
<S> <C> <C> <C>
Gault, Bernard France 94,355,578 15.7%
Gauntt, Robert P. United States 94,355,578 15.7%
Genova, Lisa A. United States 94,357,459 15.7%
George, Patrick Robert France 94,355,578 15.7%
Germany, J. David United States 94,355,924 15.7%
Gerner, Rolf Michael Germany 94,355,578 15.7%
Ghaffari, Paul B. United States 94,356,488 15.7%
Gibson, Michael Switzerland 94,355,578 15.7%
Gibson, Thomas C United States 94,355,578 15.7%
Girsky, Stephen J. United States 94,355,767 15.7%
Glas, Michel T. France 94,355,680 15.7%
Glascott, James D. United States 94,357,589 15.7%
Goldberg, Alan E United States 94,359,344 15.7%
Golding, David R. United States 94,355,578 15.7%
Goldrich, Robert F. United States 94,366,994 15.7%
Goldstein, Carol S United States 94,357,450 15.7%
Gordon, Marc W United States 94,357,945 15.7%
Gorman Taylor, Jessica G. United States 94,357,525 15.7%
Gort, Michael A. United States 94,357,919 15.7%
Gould, Richard G., III United States 94,391,479 15.7%
Graflund, Scott R. United States 94,357,063 15.7%
Graham, Gilles United Kingdom 94,355,657 15.7%
Graham, James R. Ireland 94,359,318 15.7%
Grant, Adam D. United Kingdom 94,355,668 15.7%
Gray, Gordon S United States 94,359,686 15.7%
Gray, Stephen Edward United Kingdom 94,356,333 15.7%
Greenberg, Edward M. United States 94,356,800 15.7%
Greenlaw, David J. United States 94,357,119 15.7%
Greenshields, Simon United Kingdom 94,358,402 15.7%
Greenwald, Jamie United States 94,355,903 15.7%
Gremont, Arnaud Jean-Marie France 94,355,578 15.7%
Grimes, Michael D. United States 94,355,723 15.7%
Grinnell, Christopher C. United States 94,357,435 15.7%
Grisham, James Wayne United States 94,356,828 15.7%
Groesbeck, Jonathan M. United States 94,355,777 15.7%
Grogan, Matthew J. United States 94,355,974 15.7%
Grohskopf, Robert H., JR United States 94,357,379 15.7%
Gronquist, Catherine D United States 94,357,686 15.7%
Gros, Francisco R.A. Brazil 94,356,478 15.7%
Grzeczka, Keith L. United States 94,357,442 15.7%
Gulley, Mark R United States 94,357,770 15.7%
Gully, Joshua P. United States 94,356,165 15.7%
Gutheim, Paul G. United States 94,357,762 15.7%
Haffner, Lynn Carlos United States 94,360,381 15.7%
Hafstad, Einar F. United States 94,355,578 15.7%
Hager, Francis J United States 94,357,599 15.7%
Hagin, Robert L. United States 94,355,881 15.7%
Haguenauer, Olivier P. France 94,356,096 15.7%
Hahn, John C United States 94,356,968 15.7%
Hall, C. Barrows United States 94,359,188 15.7%
Hall, Perry E., II United States 94,358,292 15.7%
Halliday, Christopher I United Kingdom 94,355,578 15.7%
Hamidi, Shahram Iran 94,357,067 15.7%
Hamilton, Peter F United States 94,357,815 15.7%
Hammond, Paul United Kingdom 94,355,634 15.7%
- --------------------------------------------------------------------------------------
</TABLE>
11
<PAGE>
<TABLE>
<CAPTION>
- -----------------------------------------------------------------------------------
Line 1 Line 6 Line 11 Line 13
- -----------------------------------------------------------------------------------
Aggregate Percent of Class
Amount Represented By
Name Citizenship Beneficially Held Amount in Line 11
- -----------------------------------------------------------------------------------
<S> <C> <C> <C>
Hancock, Mark R. United States 94,357,378 15.7%
Haney, William C United States 94,359,617 15.7%
Hanlon, John P. United States 94,355,776 15.7%
Hantho, Mark A. Canada 94,355,670 15.7%
Happel, Michael A United States 94,357,368 15.7%
Hara, Fusao Japan 94,478,334 15.7%
Hardie, Iain Richard United Kingdom 94,355,578 15.7%
Harding, William J. United States 94,355,998 15.7%
Hardy, Michael W. United States 94,357,503 15.7%
Harland, Christopher M United States 94,358,158 15.7%
Harman, William R United States 94,358,774 15.7%
Harms, Thomas K., JR United States 94,357,196 15.7%
Harpe, Michael G. Canada 94,357,607 15.7%
Harrington, Anna R. United States 94,356,353 15.7%
Harris, Carla A. United States 94,357,343 15.7%
Harris, W. Brooks United States 94,356,812 15.7%
Harvey, Ellen D. United States 94,355,578 15.7%
Hassen, Thomas E. United States 94,359,082 15.7%
Hatfield, Jay D United States 94,357,252 15.7%
Havens, John P. United States 94,359,188 15.7%
Hawkins, Chris Alan United Kingdom 94,355,756 15.7%
Hay, Marianne Laing United Kingdom 94,356,099 15.7%
Hayashi, Kazushi Japan 94,373,849 15.7%
Hayes, David L. United States 94,356,934 15.7%
Hayes, Mary-Anne Australia 94,355,954 15.7%
Hayes, Michael A. United Kingdom 94,355,660 15.7%
Haythe, David O United States 94,359,927 15.7%
Hedlund, Mats Mikael Sweden 94,355,975 15.7%
Hegglin, Daniel R Switzerland 94,371,134 15.7%
Hendel, Stuart J. United States 94,357,246 15.7%
Hendry, Daniele N. Switzerland 94,355,578 15.7%
Henkel, Eleni D. United States 94,357,145 15.7%
Hennemuth, Bruce W. United States 94,357,645 15.7%
Hennessy, Miguel E. United States 94,356,980 15.7%
Hennigan, Patrick J. United States 94,356,010 15.7%
Hepburn, John K Canada 94,399,514 15.7%
Hershy, Robert J United States 94,357,338 15.7%
Herskovitz, Michael D. United States 94,356,176 15.7%
Hevner, John D. United States 94,355,894 15.7%
Heyes, Richard C. United Kingdom 94,356,657 15.7%
Higgins, William X United States 94,358,450 15.7%
Hilder, David B. United States 94,356,134 15.7%
Hill, Joseph W, II United States 94,358,826 15.7%
Hilzenrath, Eugene B United States 94,357,551 15.7%
Hirsch, Steven E. United States 94,357,813 15.7%
Hirschfeld, David J. United States 94,355,578 15.7%
Hirshorn, William D. United States 94,357,013 15.7%
Hirst, Julian Clement United Kingdom 94,355,578 15.7%
Hoch, James S. United States 94,357,610 15.7%
Hoch, Kenneth C United States 94,357,777 15.7%
Hoffen, Howard I. United States 94,357,252 15.7%
Hoffman, Michael C. United States 94,357,567 15.7%
Hogan, Jeffrey N. United States 94,355,578 15.7%
Hollihan, John P, III United States 94,358,120 15.7%
Holzschuh, Jeffrey R United States 94,358,249 15.7%
- -----------------------------------------------------------------------------------
</TABLE>
12
<PAGE>
<TABLE>
<CAPTION>
- -------------------------------------------------------------------------------------
Line 1 Line 6 Line 11 Line 13
- -------------------------------------------------------------------------------------
Aggregate Percent of Class
Amount Represented By
Name Citizenship Beneficially Held Amount in Line 11
- -------------------------------------------------------------------------------------
<S> <C> <C> <C>
Hoornweg, Roberto Netherlands 94,356,726 15.7%
Hornbeck, Geoffrey H. United States 94,356,290 15.7%
Hosler, C. William United States 94,357,010 15.7%
Houston, James S. United States 94,355,578 15.7%
Howland, Christopher John United Kingdom 94,355,657 15.7%
Hsieh, Jackson United States 94,356,018 15.7%
Hu, Wei-Chung Bradford Taiwan 94,357,173 15.7%
Huang, Susan S. United States 94,356,945 15.7%
Huffman, Randall C United States 94,357,373 15.7%
Hughes-Guden, Ruth A. United States 94,355,578 15.7%
Humphery, Marye L. United Kingdom 94,355,578 15.7%
Huneke, John H, III United States 94,358,132 15.7%
Huntley, Kristen S. United States 94,357,501 15.7%
Hyman, John Edward United Kingdom 94,356,223 15.7%
Imanishi, Jun Japan 94,414,049 15.7%
Ip, Honsum Hong Kong 94,355,578 15.7%
Ireland, Jenny Fiona United Kingdom 94,355,578 15.7%
Irish, John S. United States 94,357,218 15.7%
Isasi, Luis Spain 94,357,749 15.7%
Ishikawa, Hiroshi Japan 94,364,731 15.7%
Ivey, Tracey H. United States 94,355,924 15.7%
Jabbour, Reynold A. United States 94,355,578 15.7%
Jacobs, David A. United States 94,356,315 15.7%
Jalouneix, Olivier France 94,355,578 15.7%
James, George Michael United States 94,374,509 15.7%
James, Melissa E United States 94,357,147 15.7%
Jamesley, Karen C. United States 94,357,315 15.7%
Janson, Michael M. United States 94,362,356 15.7%
Jarvis, Timothy E. United States 94,356,952 15.7%
Jodka, Jonathan D United States 94,356,894 15.7%
Johansson, Jerker M. Sweden 94,356,744 15.7%
Johnson, David United States 94,357,655 15.7%
Johnson, David L. United States 94,355,578 15.7%
Johnson, Margaret Kinsley United States 94,357,185 15.7%
Johnson, R Sheldon United States 94,359,344 15.7%
Johnson, Theodore J. United States 94,355,851 15.7%
Jones, Alan K. United States 94,356,371 15.7%
Jones, Andrew C. United States 94,357,020 15.7%
Jones, David G. United States 94,355,700 15.7%
Jones, Robert W United States 94,364,636 15.7%
Joseph, Ravindra J. Sri Lanka 94,357,449 15.7%
Jouhar, Kelvin Jan United Kingdom 94,355,578 15.7%
Joyce, Richard E, JR United States 94,357,470 15.7%
Juterbock, Thomas M United States 94,360,072 15.7%
Kagan, Samuel J. Canada 94,356,832 15.7%
Kageyama, Toshiji Japan 94,362,945 15.7%
Kamen, Eric M United States 94,358,417 15.7%
Kamins, Harold W. United States 94,357,211 15.7%
Kanellitsas, John A. United States 94,356,762 15.7%
Kani, Takeo Japan 94,403,302 15.7%
Kaplan, Stephanie B. United States 94,356,041 15.7%
Karches, Peter F United States 94,360,127 15.7%
Kary, Mark R. United Kingdom 94,355,578 15.7%
Kassin, Philip United States 94,358,181 15.7%
Katsihtis, Paul E. United States 94,357,195 15.7%
- -------------------------------------------------------------------------------------
</TABLE>
13
<PAGE>
<TABLE>
<CAPTION>
- -------------------------------------------------------------------------------------
Line 1 Line 6 Line 11 Line 13
- -------------------------------------------------------------------------------------
Aggregate Percent of Class
Amount Represented By
Name Citizenship Beneficially Held Amount in Line 11
- -------------------------------------------------------------------------------------
<S> <C> <C> <C>
Kauffman, Richard L. United States 94,356,635 15.7%
Kay, S. Carolyn H. Australia 94,355,578 15.7%
Kayello, Sammy Lebanon 94,356,746 15.7%
Kazazes, Thomas P. United States 94,356,769 15.7%
Keane, Michael David United Kingdom 94,355,673 15.7%
Keays, Thomas R. United States 94,357,559 15.7%
Keeler, Paul J., JR. United States 94,356,655 15.7%
Keep, Ann United Kingdom 94,359,204 15.7%
Kelleher, Colm Thomas United Kingdom 94,357,480 15.7%
Kelley, Scott M. United States 94,357,501 15.7%
Kelley, Sean P. United States 94,357,033 15.7%
Kelly, Christopher R. United States 94,356,135 15.7%
Kelly, George J United States 94,358,188 15.7%
Kelly, Kevin M. United States 94,357,424 15.7%
Kelly, Timothy D. United States 94,357,684 15.7%
Kemp, Stephen C. United Kingdom 94,355,578 15.7%
Kennedy, Catherine A. United States 94,356,002 15.7%
Kennedy, Douglas A. Canada 94,357,379 15.7%
Kent, Claire United Kingdom 94,355,578 15.7%
Kent, David Australia 94,355,578 15.7%
Kent, Ronald S. United Kingdom 94,363,677 15.7%
Key, Nigel R. United States 94,355,797 15.7%
Khadjavi, Laya Iran 94,357,429 15.7%
Kidwell, Jeffrey S United States 94,357,713 15.7%
Kilcoyne, Moira A. United States 94,356,993 15.7%
Kimak, Mark M United States 94,357,869 15.7%
Kimball, Paul G United States 94,359,686 15.7%
Kimball, Richard A., JR United States 94,357,252 15.7%
Kimeda, Toshio Japan 94,369,758 15.7%
Kindred, Jonathan B United States 94,357,932 15.7%
King, Nancy A. United States 94,356,983 15.7%
King, William T United States 94,357,086 15.7%
Kingston, Douglas P., III United States 94,357,508 15.7%
Kinkead, Brian M. United States 94,357,610 15.7%
Kinmont, Alexander United Kingdom 94,355,893 15.7%
Kircher, Hillary E. United States 94,356,082 15.7%
Kirkland, Derek G. United States 94,357,813 15.7%
Kishimoto, Satoshi Japan 94,554,263 15.8%
Kitts, Robert W. United States 94,356,365 15.7%
Klaedtke, Patrick G. Germany 94,355,578 15.7%
Klein, Michael F. United States 94,355,693 15.7%
Kloppenborg, Robert W United States 94,357,521 15.7%
Knowles, James H L Canada 94,355,733 15.7%
Koederitz, Candice E United States 94,359,341 15.7%
Koenen, Austin V United States 94,359,031 15.7%
Koerling, Heinrich Germany 94,376,790 15.7%
Kohnhorst, Adolf Netherlands 94,355,662 15.7%
Konolige, Kit United States 94,356,165 15.7%
Koppenol, Robert G. United States 94,357,518 15.7%
Kourakos, William United States 94,358,066 15.7%
Kovich, Nicholas J. United States 94,355,924 15.7%
Kraft, Joseph A., JR. United States 94,362,059 15.7%
Krammer, Marlene G. United States 94,357,782 15.7%
Kreider, Steven K. United States 94,355,881 15.7%
Kressner, J. Thomas Sweden 94,360,264 15.7%
- -------------------------------------------------------------------------------------
</TABLE>
14
<PAGE>
<TABLE>
<CAPTION>
- -------------------------------------------------------------------------------------
Line 1 Line 6 Line 11 Line 13
- -------------------------------------------------------------------------------------
Aggregate Percent of Class
Amount Represented By
Name Citizenship Beneficially Held Amount in Line 11
- -------------------------------------------------------------------------------------
<S> <C> <C> <C>
Krom, Frederick B, III United States 94,358,739 15.7%
Kronenberg, Anne C United States 94,357,459 15.7%
Kupferberg, Barry D. United States 94,357,368 15.7%
Kurtz, Patricia A. United States 94,357,911 15.7%
Kushma, Debra A F United States 94,356,888 15.7%
Kushma, Michael B. United States 94,357,223 15.7%
La Roche, Elaine United States 94,359,686 15.7%
Ladd, Susan C. United States 94,357,657 15.7%
Lafaman, James T United States 94,357,440 15.7%
Laird, Jo Backer United States 94,358,392 15.7%
Lal, Naina India 94,355,578 15.7%
Lamountain, Jon United States 94,357,952 15.7%
Lancksweert, Dominique Belgium 94,355,578 15.7%
Landers, John Q., JR. United States 94,357,407 15.7%
Landman, David United States 94,357,718 15.7%
Landry, Brenda Lee United States 94,365,078 15.7%
Landry, Christina M. United States 94,359,755 15.7%
Langford, Thomas R. United States 94,355,967 15.7%
Langsam, Joseph A. United States 94,358,185 15.7%
Langston, Willie United States 94,355,578 15.7%
Lap, Michiel P Netherlands 94,356,277 15.7%
Larkins, Gary T. United States 94,358,191 15.7%
Larkins, Robert J United States 94,357,582 15.7%
Lashendock, Michael J United States 94,357,673 15.7%
Latainer, Gary D United States 94,358,790 15.7%
Latif, Nadir S. United Kingdom 94,356,432 15.7%
Layng, John G United States 94,357,861 15.7%
Leach, Brian United States 94,357,991 15.7%
Leblanc, Paul L United States 94,357,739 15.7%
Lebowitz, Michael United States 94,357,701 15.7%
Lefkowitz, Robert M United States 94,359,689 15.7%
Leimer, Willi Kurt Austria 94,355,578 15.7%
Leitch, Donald S United States 94,357,594 15.7%
Lenowitz, Scott J United States 94,357,256 15.7%
Levin, Debra J. United States 94,356,805 15.7%
Levy, Thomas A United States 94,357,092 15.7%
Levy, William D. United States 94,355,990 15.7%
Lewis, Richard Graham United Kingdom 94,355,578 15.7%
Lewis, William M, JR. United States 94,359,188 15.7%
Liang, James L. United States 94,356,592 15.7%
Lieblich, Steven United States 94,357,198 15.7%
Lien, Michael Jown Leam Singapore 94,355,578 15.7%
Likins, Jane United States 94,356,761 15.7%
Lilly, Kevin J. United States 94,355,578 15.7%
Lim, Chin Y Malaysia 94,356,394 15.7%
Lim, Khoon-Min United States 94,355,655 15.7%
Lindsay, Ian E. United Kingdom 94,356,762 15.7%
Lipe, L. Alex Australia 94,355,578 15.7%
Lippi, Marco Italy 94,356,398 15.7%
Lippmann, Marianne J United States 94,357,246 15.7%
Lipton, Stephen C. United Kingdom 94,357,033 15.7%
Litt, Michael C. United States 94,356,513 15.7%
Little, James W United States 94,357,115 15.7%
Liu, Andrew Y.S. United Kingdom 94,359,145 15.7%
Liu, Jialin China 94,356,469 15.7%
- -------------------------------------------------------------------------------------
</TABLE>
15
<PAGE>
<TABLE>
<CAPTION>
- -------------------------------------------------------------------------------------
Line 1 Line 6 Line 11 Line 13
- -------------------------------------------------------------------------------------
Aggregate Percent of Class
Amount Represented By
Name Citizenship Beneficially Held Amount in Line 11
- -------------------------------------------------------------------------------------
<S> <C> <C> <C>
Liu, Theodore Em-Po United States 94,355,974 15.7%
Lloyd, Charles E.G. United States 94,356,549 15.7%
Loarie, Robert J. United States 94,357,003 15.7%
Locosa, Laura E United States 94,357,478 15.7%
Longley, Yvonne United Kingdom 94,355,578 15.7%
Longo, Victoria A. United States 94,355,695 15.7%
Lorentzen, Kent R. United States 94,361,462 15.7%
Lourie, Jonathan H. United States 94,356,932 15.7%
Lovoi, John V. United States 94,355,719 15.7%
Lucaya, Jorge Spain 94,355,795 15.7%
Lumpkins, David B D United States 94,356,193 15.7%
Lutz, Merritt M. United States 94,355,962 15.7%
Lyche, Iver United States 94,355,960 15.7%
Lyles, Ray V, JR United States 94,358,338 15.7%
Lynch, Elizabeth W. United States 94,357,279 15.7%
Lynch, Patrick D. United States 94,355,578 15.7%
Macchiaverna, Glenn J. United States 94,357,020 15.7%
Macdonald, Gavin L United Kingdom 94,355,578 15.7%
Macdonald, Robert Cumming United Kingdom 94,355,578 15.7%
Macelwee, Elizabeth M. United States 94,355,959 15.7%
Mack, Andrew John United Kingdom 94,355,578 15.7%
Mack, John J United States 94,360,127 15.7%
Mackenzie, Douglas F. United States 94,355,789 15.7%
Mackin, John J United States 94,358,028 15.7%
Magee, Steven G. United States 94,357,742 15.7%
Maguire, J. Robert United States 94,357,718 15.7%
Maguire, John F. United States 94,356,190 15.7%
Mahon, James J. United States 94,357,704 15.7%
Mahoney, James P United States 94,358,620 15.7%
Mainey, Richard E. United States 94,356,011 15.7%
Maiwald, Maryann K. United States 94,355,924 15.7%
Malone, Christian B. United States 94,357,943 15.7%
Mamdani, Mahmoud A. United States 94,357,711 15.7%
Maner, William A., IV United States 94,356,931 15.7%
Mangi, Joseph A. United States 94,357,843 15.7%
Mangino, Gary J United States 94,357,686 15.7%
Manley, James J. United States 94,355,924 15.7%
Manson, Christopher J. J. United Kingdom 94,356,355 15.7%
Mantz, Jay H. United States 94,356,107 15.7%
Maratos, Jason G. Greece 94,355,578 15.7%
Marcin, Robert J. United States 94,355,881 15.7%
Margolis, Jeffrey United States 94,356,030 15.7%
Marks, Kenneth R United States 94,358,782 15.7%
Markwalter, John S., JR United States 94,357,292 15.7%
Marren, John W. United States 94,355,578 15.7%
Martin, M. Paul United States 94,357,553 15.7%
Martinez, Lourdes Linden United States 94,357,789 15.7%
Mason, Alexander Maurice Ireland 94,355,657 15.7%
Masri, Jack Joseph United Kingdom 94,356,261 15.7%
Massot, Sylvain P. France 94,356,904 15.7%
Masucci, Ferdinand D. United States 94,358,292 15.7%
Maxwell, Philip Moulton Australia 94,355,578 15.7%
Mayer, Kimball P United States 94,357,391 15.7%
Maynard, Daniel V. United States 94,357,193 15.7%
Maynard, Walter, JR United States 94,358,252 15.7%
- -------------------------------------------------------------------------------------
</TABLE>
16
<PAGE>
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------
Line 1 Line 6 Line 11 Line 13
- --------------------------------------------------------------------------------------
Aggregate Percent of Class
Amount Represented By
Name Citizenship Beneficially Held Amount in Line 11
- --------------------------------------------------------------------------------------
<S> <C> <C> <C>
Mayoros, Alan E United States 94,357,505 15.7%
Mazzilli, Paul J United States 94,358,315 15.7%
Mazzucchelli, Marco G. Italy 94,355,578 15.7%
Mcallister, Dean E United States 94,357,117 15.7%
Mcarthur, James New Zealand 94,355,578 15.7%
Mcbee, Phoebe United States 94,355,578 15.7%
Mccombe, William D Australia 94,357,807 15.7%
Mcconigley, Michael J. Ireland 94,358,194 15.7%
Mcdade, John Wesley, JR. United States 94,355,912 15.7%
Mcdonald, James W. United States 94,356,678 15.7%
Mcdonnell, Gail P. United States 94,356,487 15.7%
Mcdonough, Patrick J. United States 94,357,496 15.7%
Mcgeehan, John D United States 94,357,716 15.7%
Mcgill, James F. United States 94,355,578 15.7%
Mcginnis, James P., JR. United States 94,356,099 15.7%
Mcguinness, Nancy A. United States 94,356,175 15.7%
Mchugh, Daniel United States 94,355,578 15.7%
Mchugh, Florence Q. United States 94,356,313 15.7%
Mcinerney, John J. United States 94,356,868 15.7%
Mcinerney, Thomas J. United States 94,356,945 15.7%
Mcintyre, John P, JR. United States 94,356,061 15.7%
Mcmahon, Kevin A. United States 94,355,578 15.7%
Mcmahon, William C United States 94,357,727 15.7%
Mcvicker, Michael J. United States 94,356,416 15.7%
Meeker, Mary G. United States 94,356,789 15.7%
Melendez, Victoria T. United States 94,356,127 15.7%
Memani, Krishna K. India 94,357,572 15.7%
Memmott, David J. United States 94,355,578 15.7%
Mena, Daniel T. United States 94,356,407 15.7%
Menell, Mark S. United States 94,356,931 15.7%
Merritt, Peter G. United States 94,357,183 15.7%
Metzler, Robert A. United States 94,358,511 15.7%
Meyer, Bruce A United States 94,362,319 15.7%
Meyer, Joseph F. United States 94,357,744 15.7%
Meyer, Robert L. United States 94,357,411 15.7%
Miao, Eugene A. United States 94,357,473 15.7%
Michnowich, Salvatore E United States 94,359,564 15.7%
Micioni, Peter J. United States 94,357,150 15.7%
Milias St. Peter, Mary Ann United States 94,355,924 15.7%
Miller, Cathy Ann United States 94,357,331 15.7%
Miller, Frederic A United States 94,357,422 15.7%
Miller, Lyle D. United States 94,356,247 15.7%
Miller, Paul S United States 94,357,990 15.7%
Milunovich, Steven M. United States 94,357,036 15.7%
Minicucci, Giuseppina Italy 94,355,875 15.7%
Mirat, Pierre Jean Henri France 94,355,578 15.7%
Missett, Bruce M. United States 94,357,813 15.7%
Mitchell, Lawrence R., JR. United States 94,355,578 15.7%
Mizen, Greg E United States 94,357,505 15.7%
Moehlmann, Claus Christian Germany 94,355,578 15.7%
Mole, Marie L. United States 94,357,320 15.7%
Molloy, William S United States 94,359,188 15.7%
Moniodes, Nicholas J. United States 94,357,229 15.7%
Moonier, James F United States 94,357,562 15.7%
Moore, David Neil United Kingdom 94,355,578 15.7%
- --------------------------------------------------------------------------------------
</TABLE>
17
<PAGE>
<TABLE>
<CAPTION>
- -------------------------------------------------------------------------------------
Line 1 Line 6 Line 11 Line 13
- -------------------------------------------------------------------------------------
Aggregate Percent of Class
Amount Represented By
Name Citizenship Beneficially Held Amount in Line 11
- -------------------------------------------------------------------------------------
<S> <C> <C> <C>
Moore, Donald A., JR. United States 94,359,709 15.7%
Moore, Duncan Charles Mcnaught United Kingdom 94,356,919 15.7%
Moran, Matthew J. United States 94,356,780 15.7%
More, Daniel B. United States 94,356,454 15.7%
Morgan, David H United Kingdom 94,358,478 15.7%
Morphett, Jonathan G. United States 94,358,270 15.7%
Morrill, Caroline C. United States 94,355,578 15.7%
Morris, Karen L. United States 94,355,578 15.7%
Mortimer, Patrick J. United States 94,357,404 15.7%
Moscati, Leonard F. United States 94,357,797 15.7%
Moser, David S. United States 94,357,061 15.7%
Mourre, Marc France 94,355,929 15.7%
Mozer, Francine L United States 94,357,789 15.7%
Mueller, John M, III United States 94,357,171 15.7%
Muller, Peter United States 94,356,465 15.7%
Muller, Thomas R United States 94,358,236 15.7%
Mullin, Sean C.V. Canada 94,357,261 15.7%
Munari, Andrea Italy 94,355,578 15.7%
Munger, Stephen R United States 94,358,351 15.7%
Murphy, Charles W. United States 94,357,336 15.7%
Murphy, David J United States 94,357,861 15.7%
Murphy, Devin I. United States 94,356,939 15.7%
Murphy, Kevin C United States 94,357,622 15.7%
Murray, Eileen K United States 94,358,257 15.7%
Murray, Janet E. United Kingdom 94,356,493 15.7%
Murray, Peter J. United Kingdom 94,356,917 15.7%
Nadosy, Peter United States 94,359,866 15.7%
Nagrani, Vikram United States 94,355,578 15.7%
Nagrani, Vineet India 94,355,578 15.7%
Nakada, Kenji Japan 94,367,745 15.7%
Narang, Anil India 94,355,578 15.7%
Nathan, J. Saul United Kingdom 94,355,578 15.7%
Naylor, Margaret P. United Kingdom 94,357,010 15.7%
Neamtu, Alexander United States 94,358,364 15.7%
Needham, Peter A United States 94,358,808 15.7%
Neuberger, Mark A. United States 94,357,063 15.7%
Neubert, David L. C. United States 94,356,206 15.7%
Neubohn, Naneen H. United States 94,358,841 15.7%
Neuhaus, Kenneth M. United States 94,361,544 15.7%
Neuwirth, David N. United States 94,357,345 15.7%
Newcomb, Philip V United States 94,357,633 15.7%
Newhouse, Stephan F United States 94,359,344 15.7%
Newman, David F. United Kingdom 94,357,688 15.7%
Newman, Patricia L United States 94,357,077 15.7%
Ni Chathmhaoil, Aifric Ireland 94,355,667 15.7%
Nickoll, Benjamin E. United States 94,355,787 15.7%
Nicol, David United Kingdom 94,365,593 15.7%
Niehaus, Christopher J. United States 94,357,962 15.7%
Niehaus, Robert H United States 94,363,148 15.7%
Nimkoff, Debra L. United States 94,357,269 15.7%
Nosseir, Amr M. United States 94,357,096 15.7%
Notley, Sean J. United Kingdom 94,358,820 15.7%
Noujaim, Alexander J. United States 94,357,206 15.7%
Nowlin, Kevin M. United States 94,355,670 15.7%
O'Brien, Donald S. United States 94,357,805 15.7%
- -------------------------------------------------------------------------------------
</TABLE>
18
<PAGE>
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------
Line 1 Line 6 Line 11 Line 13
- --------------------------------------------------------------------------------------
Aggregate Percent of Class
Amount Represented By
Name Citizenship Beneficially Held Amount in Line 11
- --------------------------------------------------------------------------------------
<S> <C> <C> <C>
O'Brien, James M. United States 94,358,071 15.7%
O'Brien, Paul F. United States 94,355,578 15.7%
O'Connor, Stephen P. United Kingdom 94,356,025 15.7%
O'Flynn, Thomas M. Canada 94,357,572 15.7%
O'Friel, Mark L. United States 94,356,685 15.7%
O'Hare, Michael T. United States 94,357,927 15.7%
O'Keefe, William B. United States 94,358,379 15.7%
O'Leary, William F United States 94,358,534 15.7%
Oberlin, Dana M United States 94,357,516 15.7%
Ocampo, Edward J. United States 94,357,120 15.7%
Oelerich, Francis J, III United States 94,357,572 15.7%
Olesky, Jonathan D United States 94,357,724 15.7%
Olsen, Warren United States 94,358,119 15.7%
Onuma, Takashi Japan 94,464,439 15.7%
Orem, John R United States 94,357,389 15.7%
Ormerod, Mark United Kingdom 94,359,524 15.7%
Osbon, John F United States 94,356,934 15.7%
Osborne, Nicholas D. United States 94,356,046 15.7%
Overton, Ian M. United Kingdom 94,356,541 15.7%
Oyarbide, Carlos Alfonso Spain 94,355,822 15.7%
Pace, Joanne United States 94,356,432 15.7%
Pace, Phillip Z. United States 94,355,711 15.7%
Pagliari, Michael United Kingdom 94,356,965 15.7%
Palmiotti, Joseph C United States 94,357,239 15.7%
Pandit, Vikram S India 94,359,188 15.7%
Panjwani, Raju H. United States 94,357,795 15.7%
Pannell, Carol Amanda United Kingdom 94,355,677 15.7%
Parent, Margaret M. United States 94,356,289 15.7%
Parker, Kevin E. United States 94,358,399 15.7%
Parr, Gary W. United States 94,356,275 15.7%
Pasciucco, Gerard United States 94,357,604 15.7%
Pate, Bruce A United States 94,356,746 15.7%
Patel, Mukesh D United States 94,357,655 15.7%
Patten, Veeswanaden R. Mauritius 94,355,578 15.7%
Pavoncelli, Riccardo Italy 94,357,553 15.7%
Pearson, Sharon E. United Kingdom 94,356,394 15.7%
Pecori Giraldi, Galeazzo Italy 94,363,735 15.7%
Pedde, Richard Canada 94,355,578 15.7%
Pelgrift, James D. United States 94,359,533 15.7%
Pellecchio, Ralph L United States 94,358,490 15.7%
Pelosky, Robert J., JR. United States 94,356,954 15.7%
Penington, Michael United Kingdom 94,356,393 15.7%
Penney, David J. United States 94,355,752 15.7%
Penwell, Stephen B. United States 94,357,041 15.7%
Pereira, Ian C.T. Kenya 94,356,680 15.7%
Pereira, Paulo C. Portugal 94,355,578 15.7%
Perella, Joseph R. United States 94,356,503 15.7%
Pernas, Alvaro Spain 94,356,470 15.7%
Peskin, Michael W United States 94,355,807 15.7%
Pest, Willie R. United States 94,355,787 15.7%
Peterson, C. Scott United States 94,357,249 15.7%
Peterson, Wayne D United States 94,357,625 15.7%
Petery, Andras R United States 94,359,580 15.7%
Petitgas, Franck R. France 94,356,137 15.7%
Petri, Lawrence M. United States 94,357,828 15.7%
- --------------------------------------------------------------------------------------
</TABLE>
19
<PAGE>
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------
Line 1 Line 6 Line 11 Line 13
- --------------------------------------------------------------------------------------
Aggregate Percent of Class
Amount Represented By
Name Citizenship Beneficially Held Amount in Line 11
- --------------------------------------------------------------------------------------
<S> <C> <C> <C>
Petrick, Michael J. United States 94,357,368 15.7%
Petrow, Christopher G. United States 94,357,741 15.7%
Phillips, Charles E., JR United States 94,355,865 15.7%
Phillips, Craig S. United States 94,356,427 15.7%
Pipa, Andrew C. United States 94,357,711 15.7%
Placentra, Daniel R. United States 94,357,350 15.7%
Platt, Russell C. United States 94,357,615 15.7%
Pochtar, Elaine N United States 94,358,404 15.7%
Pokrzywinski, Jennifer A. United States 94,356,891 15.7%
Polsky, Lisa K. United States 94,355,578 15.7%
Pope, Patricia United States 94,356,863 15.7%
Porat, Ruth M. United States 94,355,752 15.7%
Porte, Thierry G United States 94,365,870 15.7%
Portnow, Loren United States 94,355,941 15.7%
Portogallo, Richard United States 94,357,917 15.7%
Poulos, Perry United States 94,357,614 15.7%
Poulton, Roger United Kingdom 94,357,825 15.7%
Pratt, Frank T. United States 94,359,686 15.7%
Prill, Patrick United States 94,355,802 15.7%
Putcha, Ramakrishna N India 94,357,858 15.7%
Putterman, Jules B United States 94,356,833 15.7%
Quartner, Douglas M. United States 94,364,301 15.7%
Query, James B., JR. United States 94,357,548 15.7%
Rabin, Michael D. United States 94,356,736 15.7%
Raettig, Lutz Germany 94,355,578 15.7%
Raffel, Andreas Germany 94,356,134 15.7%
Rahbany, Russell A. United States 94,355,809 15.7%
Ramachandran, Narayan India 94,355,578 15.7%
Ramakrishnan, Guru K. India 94,357,257 15.7%
Rana, Aditya India 94,356,820 15.7%
Randolph, Guy D, III United States 94,357,430 15.7%
Rankin, Charles United Kingdom 94,355,937 15.7%
Rankowitz, Andrew V. United States 94,357,252 15.7%
Rankowitz, Michael L United States 94,358,429 15.7%
Ratib, Ahmet V. Cyprus 94,355,578 15.7%
Rault, Joseph M., III United States 94,358,797 15.7%
Ravitz, Leslie C. United States 94,357,109 15.7%
Reeke, Gail Hunt United States 94,361,516 15.7%
Reese, Ronald R. United States 94,355,805 15.7%
Refvik, Olav N. Norway 94,357,163 15.7%
Reich, Christopher V. United States 94,356,124 15.7%
Reicin, Glenn M. United States 94,356,274 15.7%
Reid, William R. United States 94,356,767 15.7%
Reilly, Christine I United States 94,358,549 15.7%
Reilly, Timothy B United States 94,357,861 15.7%
Reis, Norbert J. Germany 94,355,578 15.7%
Remec, Marko C United States 94,358,158 15.7%
Renehan, David United States 94,359,580 15.7%
Renton, Stephen United Kingdom 94,363,077 15.7%
Restaino, Paolo Anthony Italy 94,355,578 15.7%
Retelny, Gary United States 94,355,805 15.7%
Revelli, Paolo Italy 94,355,578 15.7%
Reynolds, John R. United States 94,355,965 15.7%
Rice, Mark R. United States 94,357,984 15.7%
Richard, Scott F. United States 94,355,924 15.7%
- --------------------------------------------------------------------------------------
</TABLE>
20
<PAGE>
<TABLE>
<CAPTION>
- -------------------------------------------------------------------------------------
Line 1 Line 6 Line 11 Line 13
- -------------------------------------------------------------------------------------
Aggregate Percent of Class
Amount Represented By
Name Citizenship Beneficially Held Amount in Line 11
- -------------------------------------------------------------------------------------
<S> <C> <C> <C>
Richardson, Gerald P United States 94,357,914 15.7%
Riche, Eden Matthew United Kingdom 94,355,662 15.7%
Richter, Maria Del Carmen Panama 94,356,403 15.7%
Riefler, Linda H. United States 94,356,977 15.7%
Riley, Thomas R United States 94,358,465 15.7%
Roach, Stephen S United States 94,358,117 15.7%
Robert, Marc Henri United States 94,356,539 15.7%
Roberts, John A. United Kingdom 94,357,756 15.7%
Robey, Simon C. United Kingdom 94,355,578 15.7%
Robino, Christopher M. United States 94,357,086 15.7%
Robinson, John D United States 94,357,609 15.7%
Robson, Glenn R. United States 94,356,714 15.7%
Rodman, Kevin L United States 94,357,836 15.7%
Roessler, Gustavo S. United States 94,355,578 15.7%
Roger, Robin United States 94,357,269 15.7%
Rogers, Hartley R. United States 94,357,051 15.7%
Rohde, Gregory John United States 94,357,069 15.7%
Rolison, Leslie United States 94,355,578 15.7%
Rollyson, Mikel M. United States 94,355,790 15.7%
Rookwood, Mark S. United States 94,357,190 15.7%
Root, Marshal E. United States 94,357,313 15.7%
Rosenthal, Andrew United States 94,357,513 15.7%
Rosenthal, Richard S. United States 94,357,934 15.7%
Roth, Christian G. United States 94,355,881 15.7%
Rothberg, Rei W. United States 94,357,140 15.7%
Rowe, Tamsin E.E. United Kingdom 94,356,853 15.7%
Rowley, Andrew F. United States 94,358,826 15.7%
Runde, James A. United States 94,359,724 15.7%
Russell, David A. United Kingdom 94,357,572 15.7%
Ryan, Robert J. Canada 94,356,627 15.7%
Ryder, Christopher J. United States 94,356,696 15.7%
Sack, Judith B United States 94,356,825 15.7%
Saito, Makoto Japan 94,421,476 15.7%
Salant, Marshal L United States 94,358,158 15.7%
Salisbury, William R. United States 94,356,030 15.7%
Salmon, Robert E. United States 94,356,350 15.7%
Salzman, Jeffrey H United States 94,359,686 15.7%
Sama, Alok United States 94,357,496 15.7%
Samuels, Michele M. United States 94,357,107 15.7%
Sandberg, Bruce R. United States 94,357,901 15.7%
Sandling, M. James, III United States 94,357,856 15.7%
Sando, Gregg Stephen United States 94,355,914 15.7%
Sandulli, Richard P. United States 94,355,719 15.7%
Sargent, Robert A. United Kingdom 94,358,000 15.7%
Sasaki, Mami Japan 94,366,731 15.7%
Savage, Luke United Kingdom 94,355,578 15.7%
Saveliff, James F. United States 94,357,440 15.7%
Saxe, Jonathan K. United States 94,355,761 15.7%
Saxe, Susan E. United States 94,357,795 15.7%
Saxton, Thomas J. United States 94,357,419 15.7%
Schaaff, Harold J, JR United States 94,357,622 15.7%
Scheuer, Alan United States 94,356,228 15.7%
Schiavo, Anthony United States 94,356,700 15.7%
Schieffelin, Allison United States 94,357,185 15.7%
Schlarbaum, Gary G. United States 94,355,924 15.7%
- -------------------------------------------------------------------------------------
</TABLE>
21
<PAGE>
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------
Line 1 Line 6 Line 11 Line 13
- --------------------------------------------------------------------------------------
Aggregate Percent of Class
Amount Represented By
Name Citizenship Beneficially Held Amount in Line 11
- --------------------------------------------------------------------------------------
<S> <C> <C> <C>
Schlesinger, Donald E United States 94,357,110 15.7%
Schlueter, James B United States 94,357,528 15.7%
Schmid, James D. United States 94,355,924 15.7%
Schmitt, Dietmar R. Germany 94,355,578 15.7%
Schneider, Walter B. United States 94,355,713 15.7%
Schoen, Jon S. United States 94,356,259 15.7%
Schuettler, Hans Joerg Germany 94,355,578 15.7%
Schwartz, Richard C. United States 94,356,302 15.7%
Scott, Andrew C. United States 94,358,369 15.7%
Scott, Charles H United Kingdom 94,356,452 15.7%
Scott, Robert G United States 94,360,127 15.7%
Scowcroft, John A. United States 94,355,578 15.7%
Scully, Robert W. United States 94,355,578 15.7%
Scurletis, Dennis T. United States 94,355,825 15.7%
Seah, Kiat Seng Singapore 94,355,578 15.7%
Seery, Christopher S. United States 94,355,662 15.7%
Seigel, Mark A United States 94,363,148 15.7%
Seiler, Alex W. United States 94,355,871 15.7%
Sekaran, Rajan United States 94,355,980 15.7%
Serra, Loredana United States 94,355,904 15.7%
Sethi, Vinod R India 94,357,096 15.7%
Sexauer, Stephen C United States 94,357,538 15.7%
Shah, Dhiren H United States 94,357,932 15.7%
Shah, Pravin India 94,355,578 15.7%
Shapiro, John A United States 94,358,709 15.7%
Sharma, Sutesh K. United Kingdom 94,355,578 15.7%
Shea, Dennis F. United States 94,360,094 15.7%
Shear, Neal A United States 94,359,344 15.7%
Shelton, John United Kingdom 94,357,100 15.7%
Shelton, Richard David United States 94,357,102 15.7%
Shen, Bing China 94,358,241 15.7%
Shepardson, Robert M., III United States 94,356,945 15.7%
Sherva, Dennis G United States 94,359,866 15.7%
Shigenari, Yoshihiko Japan 94,357,173 15.7%
Short, Marium A United States 94,357,967 15.7%
Sica, Frank United States 94,359,344 15.7%
Siklos, Eugene N. Canada 94,356,460 15.7%
Silberstein, Thomas J. United States 94,355,802 15.7%
Silver, Caroline Louise United Kingdom 94,355,578 15.7%
Silver, Harry S. United States 94,356,756 15.7%
Simonian, Jon D United States 94,367,651 15.7%
Simpson, Justin S. Ireland 94,357,054 15.7%
Sine, Jeffrey A. United States 94,358,114 15.7%
Sipprelle, Dwight D United States 94,358,185 15.7%
Sipprelle, Scott M. United States 94,357,261 15.7%
Sitarz, Paul J United States 94,357,838 15.7%
Skerritt, Susan E. United States 94,355,990 15.7%
Skiba, Jack L United States 94,357,866 15.7%
Skinner, Alistair E. United Kingdom 94,355,578 15.7%
Sladkus, Mark H United States 94,357,820 15.7%
Slaine, David R. United States 94,357,952 15.7%
Slaughter, J. E. Hoke United States 94,356,817 15.7%
Sless, Henry J United Kingdom 94,355,578 15.7%
Slingo, Matthew Conway United Kingdom 94,355,578 15.7%
Smalley, Robert Louis United States 94,356,016 15.7%
- --------------------------------------------------------------------------------------
</TABLE>
22
<PAGE>
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------
Line 1 Line 6 Line 11 Line 13
- --------------------------------------------------------------------------------------
Aggregate Percent of Class
Amount Represented By
Name Citizenship Beneficially Held Amount in Line 11
- --------------------------------------------------------------------------------------
<S> <C> <C> <C>
Smith, Charissa H. United States 94,357,678 15.7%
Smith, Judith A. United States 94,358,627 15.7%
Smith, Michael K United States 94,356,934 15.7%
Smith, Palmer N. United States 94,356,612 15.7%
Smith, Paul E United States 94,357,736 15.7%
Smith, Peter R. G. United Kingdom 94,355,578 15.7%
Smith, R. Bram United States 94,355,578 15.7%
Smith, Robert M. United States 94,355,987 15.7%
Smithson, Amanda L. D. United Kingdom 94,357,152 15.7%
Sonnenborn, Monroe R United States 94,358,640 15.7%
Sorrel, Lawrence B. United States 94,357,615 15.7%
Soter, Arthur P. United States 94,359,297 15.7%
Souter, Robert J. United Kingdom 94,356,445 15.7%
Spector, Alvin H. United States 94,357,714 15.7%
Spellman, Michael F United States 94,357,912 15.7%
Spence, Anthony D United Kingdom 94,355,578 15.7%
Spence, John F. United States 94,357,241 15.7%
Spencer, Cordell G. Canada 94,357,190 15.7%
Spingardi, Tomaso Italy 94,355,578 15.7%
Spitzley, Ray L. United States 94,356,459 15.7%
Sposito, Claudio Italy 94,355,691 15.7%
Steele, Kenneth J. United Kingdom 94,355,578 15.7%
Stein, Jens-Peter Germany 94,356,262 15.7%
Steinberg, David L. United States 94,356,757 15.7%
Steinman, Richard M. United States 94,357,241 15.7%
Sternberg, Michael I. United States 94,355,754 15.7%
Stewart, Colin R. United States 94,356,596 15.7%
Stewart, John R United States 94,358,163 15.7%
Stewart, Timothy Donald Australia 94,355,578 15.7%
Stoltz, Murray C. United States 94,355,780 15.7%
Stott, Peter United Kingdom 94,363,011 15.7%
Strain, Clifton E. United States 94,356,295 15.7%
Straus, John A. United States 94,358,325 15.7%
Strong, William H. United States 94,356,873 15.7%
Struble, K. Lynn Medlin United States 94,357,569 15.7%
Studzinski, John J United States 94,368,421 15.7%
Sturzenegger, Ronald D. United States 94,357,572 15.7%
Stux, Ivan E United States 94,358,206 15.7%
Stynes, James B United States 94,359,297 15.7%
Suarez, Glen Patrick United Kingdom 94,355,832 15.7%
Sullivan, Elaine May United Kingdom 94,355,675 15.7%
Suzuki, Hirohiko Japan 94,360,179 15.7%
Sweeney, Francis J United States 94,357,698 15.7%
Swift, Richard W. United States 94,358,488 15.7%
Szilasi, William J. United States 94,358,292 15.7%
Taggart, Richard G United States 94,357,406 15.7%
Takasugi, Tetsuo Japan 94,394,262 15.7%
Talisse, Edward P. United States 94,357,483 15.7%
Tan, Soo Hock Singapore 94,355,578 15.7%
Tanner, James L United States 94,359,655 15.7%
Taras, Raymond C United States 94,357,541 15.7%
Tarika, Roger C United States 94,358,224 15.7%
Taubman, Paul J. United States 94,357,736 15.7%
Tell, Martin R. United States 94,357,356 15.7%
Terreson, Douglas T. United States 94,355,789 15.7%
- --------------------------------------------------------------------------------------
</TABLE>
23
<PAGE>
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------
Line 1 Line 6 Line 11 Line 13
- --------------------------------------------------------------------------------------
Aggregate Percent of Class
Amount Represented By
Name Citizenship Beneficially Held Amount in Line 11
- --------------------------------------------------------------------------------------
<S> <C> <C> <C>
Tharnstrom, Charles A United States 94,357,520 15.7%
Thees, Thomas M United States 94,357,982 15.7%
Thivierge, Ann D. United States 94,357,173 15.7%
Thomas, Owen D. United States 94,357,607 15.7%
Thomas, Paul L United Kingdom 94,355,578 15.7%
Thomas, Philip Michael United Kingdom 94,359,239 15.7%
Thomas, Richard H. United Kingdom 94,359,818 15.7%
Thompson, Darren S. United States 94,356,280 15.7%
Thorman, Walter E United States 94,357,714 15.7%
Tierney, Raymond M., III United States 94,356,056 15.7%
Tilley, James A Canada 94,359,344 15.7%
Timmins, David John United Kingdom 94,355,686 15.7%
Tisdale, Andrew A. United States 94,356,714 15.7%
Togut, David M. United States 94,355,578 15.7%
Toldalagi, Paul M. United States 94,355,578 15.7%
Tominaga, Hiroshi Japan 94,360,415 15.7%
Topper, David J United States 94,358,351 15.7%
Torop, Robert United States 94,357,496 15.7%
Tory, Michael Alexander Canada 94,355,578 15.7%
Towse, Robert C United States 94,359,188 15.7%
Tracy, John M. United States 94,357,727 15.7%
Trapp, Goran Par Sweden 94,357,148 15.7%
Trauber, Stephen M United States 94,355,764 15.7%
Trenchard, David F. United Kingdom 94,356,505 15.7%
Truten, Lorraine United States 94,355,761 15.7%
Tsai, Andrew S Hong Kong 94,355,578 15.7%
Tufariello, Anthony B. United States 94,357,361 15.7%
Turnbull, Michael G. United Kingdom 94,355,578 15.7%
Twist, Carolyn M United Kingdom 94,357,011 15.7%
Tynan, Brendan Timothy United Kingdom 94,364,249 15.7%
Umlauf, Steven Richard United States 94,356,394 15.7%
Upton, Nancy B United States 94,357,929 15.7%
Uva, Michael D. United States 94,357,858 15.7%
Vadala, Charles F., JR United States 94,358,330 15.7%
Vaden, Andrew T. United States 94,357,638 15.7%
Vale, Elizabeth A. United States 94,355,822 15.7%
Valeiras, Horacio A. United States 94,355,924 15.7%
Valencia, Edwin V. United States 94,357,292 15.7%
Van Amson, George L. United States 94,356,450 15.7%
Van Dyke, Henry, V United States 94,357,572 15.7%
Van Nieuwenhuizen, Jan L Netherlands 94,356,160 15.7%
Vandercar, Eric M. United States 94,357,444 15.7%
Varoli, Corrado P Canada 94,357,219 15.7%
Vaughan, Gregory V United States 94,356,934 15.7%
Vial, Patrice Jacques France 94,355,578 15.7%
Vogelsang, Peter R. United States 94,356,952 15.7%
Von Nathusius, Friedrich Germany 94,355,578 15.7%
Von Schroder, Benedikt Germany 94,357,112 15.7%
Von Uffel, George Kurt United States 94,357,459 15.7%
Vonderheide, Mark L. United States 94,356,350 15.7%
Voreyer, Robert J. United States 94,357,406 15.7%
Voute, Gustave A Netherlands 94,376,206 15.7%
Vrcelj, Stevan Australia 94,355,578 15.7%
Wadsworth, John S., JR United States 94,360,084 15.7%
Wager, Malcolm United Kingdom 94,356,820 15.7%
- --------------------------------------------------------------------------------------
</TABLE>
24
<PAGE>
<TABLE>
<CAPTION>
- -------------------------------------------------------------------------------------
Line 1 Line 6 Line 11 Line 13
- -------------------------------------------------------------------------------------
Aggregate Percent of Class
Amount Represented By
Name Citizenship Beneficially Held Amount in Line 11
- -------------------------------------------------------------------------------------
<S> <C> <C> <C>
Wagner, Glenn N. United States 94,356,955 15.7%
Wahl, Frederick J United States 94,357,440 15.7%
Wakamoto, Hidenori Japan 94,359,022 15.7%
Walker, Sir David Alan United Kingdom 94,355,706 15.7%
Wallace, Eileen S. United States 94,357,719 15.7%
Walsh, Frederick R, JR. United States 94,359,503 15.7%
Walsh, Mark K. United States 94,357,793 15.7%
Walsh, Nelson S. United States 94,357,100 15.7%
Wappler, William M. United States 94,356,305 15.7%
Ward, J. Steven United Kingdom 94,578,328 15.8%
Warren, David R. United States 94,356,231 15.7%
Wasson, David F. United States 94,357,808 15.7%
Waxman, Scott United States 94,356,851 15.7%
Webley, John United Kingdom 94,357,577 15.7%
Weiant, William M. United States 94,356,127 15.7%
Weidner, Jan Germany 94,355,578 15.7%
Weinhoffer, Joseph C. United States 94,355,665 15.7%
Wellemeyer, John C. United States 94,359,943 15.7%
Westerfield, John E. United States 94,356,731 15.7%
Westerink, Erik J. Netherlands 94,355,680 15.7%
Weston, Michael New Zealand 94,359,478 15.7%
Whalen, Patrick J. United States 94,357,011 15.7%
White, William H. United States 94,357,265 15.7%
Whitehand, Robert C United Kingdom 94,380,057 15.7%
Whittington, Marna C. United States 94,355,924 15.7%
Wien, Byron R United States 94,359,580 15.7%
Wilson, Kirk R United States 94,357,932 15.7%
Windisch, Ronald L. United States 94,356,777 15.7%
Winnington-Ingram, Rebecca United Kingdom 94,356,660 15.7%
Winters, Philip W United States 94,358,358 15.7%
Wipf, Thomas G. United States 94,357,704 15.7%
Wiscomb, Thomas T. United States 94,357,764 15.7%
Wolkowitz, Benjamin United States 94,360,881 15.7%
Wong, David K. United States 94,357,072 15.7%
Wood, Jerome C United States 94,358,581 15.7%
Woolworth, Richard G, JR United States 94,358,488 15.7%
Worley, Richard B. United States 94,355,578 15.7%
Wotowicz, John S. United States 94,356,714 15.7%
Wright, David C. United States 94,356,759 15.7%
Wright, Lundy R. United States 94,357,331 15.7%
Wright, William H., II United States 94,357,391 15.7%
Wyman, Charles C. United States 94,355,578 15.7%
Yaffe, Randy S. United States 94,357,711 15.7%
Yamamoto, Takatoshi Japan 94,383,589 15.7%
Yankou, Thomas J United States 94,357,336 15.7%
Yates, Martin J United Kingdom 94,357,513 15.7%
Yeoman, Roger United Kingdom 94,357,747 15.7%
Yoshida, Hideo Japan 94,361,016 15.7%
You, Harry L. United States 94,355,578 15.7%
Young, Harrison United States 94,356,592 15.7%
Yuki, Kohei Japan 94,368,014 15.7%
Zager, Drew J. United States 94,356,787 15.7%
Zaoui, Michael A. France 94,357,569 15.7%
Zapico, Martin A. United Kingdom 94,357,727 15.7%
Zaumseil, Brice W United States 94,357,323 15.7%
- -------------------------------------------------------------------------------------
</TABLE>
25
<PAGE>
<TABLE>
<CAPTION>
- -------------------------------------------------------------------------------------
Line 1 Line 6 Line 11 Line 13
- -------------------------------------------------------------------------------------
Aggregate Percent of Class
Amount Represented By
Name Citizenship Beneficially Held Amount in Line 11
- -------------------------------------------------------------------------------------
<S> <C> <C> <C>
Zhang, Songyi Hong Kong 94,356,016 15.7%
Zicherman, Joseph R United States 94,357,056 15.7%
Zick, Alford E., JR United States 94,357,571 15.7%
Ziegelbaum, Michael H. United States 94,355,578 15.7%
Zimmermann, George A. United States 94,355,578 15.7%
Zorn, Ernest P United States 94,357,609 15.7%
Zuckert, Michael S. United States 94,357,732 15.7%
- -------------------------------------------------------------------------------------
</TABLE>
26
<PAGE>
ITEM 1. SECURITY AND ISSUER.
-------------------
This statement relates to the Common Stock, par value $.01 per share
(the "MSDWD Shares"), of Morgan Stanley, Dean Witter, Discover & Co., a Delaware
corporation (the "Company"). The merger (the "Merger") of Morgan Stanley Group
Inc. ("Morgan Stanley") with and into Dean Witter, Discover & Co. ("Dean Witter
Discover") was effective as of May 31, 1997. Pursuant to the Merger, Dean Witter
Discover, which is the surviving corporation of the Merger, changed its name to
"Morgan Stanley, Dean Witter, Discover & Co." As a result of the Merger, each
issued and outstanding share of Morgan Stanley common stock, par value $1.00 per
share (the "MS Shares"), was converted (subject to certain exceptions) into 1.65
MSDWD Shares. The address of the principal executive office of the Company is
1585 Broadway, New York, New York 10036.
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
MSDWD 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 MSDWD 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 Morgan Stanley's
then outstanding privately-held common stock and non-cumulative
preferred stock received MS Shares, and holders of Morgan
Stanley'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 MS Shares (the
MSDWD Shares beneficially owned by the Reporting Persons and
resulting from the conversion in the Merger of MS Shares
(including MS Shares previously received upon conversion of the
Convertible Preferred Shares) that had been received by the
Reporting Persons pursuant to the Recapitalization are referred
to herein as "Recapitalization Shares");
27
<PAGE>
(2) Pursuant to participation in Morgan Stanley's 1986 Stock Option
Plan (the "Option Plan"), Morgan Stanley's Performance Unit Plan
(the "PUP Plan"), Morgan Stanley's 1988 Equity Incentive
Compensation Plan (the "1988 Equity Incentive Plan"), Morgan
Stanley's 1995 Equity Incentive Compensation Plan (the "1995
Equity Incentive Plan" and, together with the 1988 Equity
Incentive Plan, the "Equity Incentive Plans") 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 Plans are referred to collectively as the "Plans", and
the MSDWD 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 MS Shares (which were subsequently
converted in the Merger into MSDWD 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 MSDWD Shares being referred to herein as the
"MAS Shares"); and
(4) Pursuant to privately negotiated or open market transactions (the
MSDWD 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") (including shares of Morgan
Stanley ESOP Convertible Preferred Stock that were converted in the Merger into
ESOP Stock). Shares of ESOP Stock are convertible into MSDWD Shares, and shares
of ESOP Stock are entitled to vote on all matters submitted to a vote of the
holders of MSDWD Shares, voting together with the holders of MSDWD Shares as one
class, all as described more fully below.
The MS Shares that were converted in the Merger into each Reporting
Person's Recapitalization Shares, if any, were acquired in exchange for such
Person's shares of Morgan Stanley's privately-held common stock and
non-cumulative preferred stock and/or as a result of the conversion of the
Convertible Preferred Shares; the MS Shares that were converted in the Merger
into 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
MSDWD 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; the MS
Shares that were converted in the Merger into each Former 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
the MS Shares that were converted in the Merger into each Reporting Person's
Separately Acquired Shares, if any, were acquired by payment of personal funds
or as a gift.
28
<PAGE>
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 MS Shares. Prior to the Recapitalization, the then Managing
Directors and Principals of Morgan Stanley & Co. Incorporated, a subsidiary of
the Company (and, at the time of the Recapitalization, a subsidiary of Morgan
Stanley), owned all of Morgan Stanley's common stock. After the Recapitalization
and the initial public offering of the MS Shares, such Managing Directors and
Principals (as a group) owned approximately 79% of the MS 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 April 3, 1996 up to an aggregate of 87,466,484 MS Shares
corresponding to 144,319,698 MSDWD Shares following the Merger, were authorized
for issuance pursuant to the 1995 Equity Incentive Plan. Awards may no longer be
granted under the Option Plan, the PUP Plan and the 1988 Equity Incentive Plan,
although MSDWD Shares beneficially owned pursuant to such plans (as a result of
the conversion of MS Shares in the Merger) remain outstanding.
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. All members of the Compensation Committee are outside
directors.
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 MS Shares (all options
outstanding at the time of the Merger having been converted into options to
purchase MSDWD Shares). The Option Plan provides for the issuance of 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 and stock appreciation rights. Only nonqualified options have been granted
under the Option Plan ("SOP Options").
Awards were granted under the Option Plan from 1986-1988; awards may no
longer be granted under the Option Plan.
The exercise price of an SOP Option was not permitted to be less than
100% of the fair market value of the MS Shares subject to the SOP Option as of
the grant date, as determined by the Compensation Committee. An SOP Option
became exercisable at a rate of one-third of the number of MS Shares covered by
such option grant after each of the first three anniversaries of the date of
29
<PAGE>
grant, unless the Compensation Committee otherwise provides. All SOP Options are
currently exercisable and 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 contains restrictions on voting of any MS Shares (or
following the Merger, MSDWD Shares) acquired pursuant to the Option Plan
discussed in Item 6.
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 was determined by reference to
earnings per share of the MS Shares over a stated period of time.
Awards were granted under the PUP Plan from 1986-1988; awards may no
longer be granted under the PUP Plan.
The value of a Performance Unit is equal to Morgan Stanley'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 Morgan Stanley's fiscal quarter which includes the date as of
which a Performance Unit was awarded (the "Base Date") and ending on the earlier
of (i) the last day of Morgan Stanley's fiscal year which includes the date on
which such Performance Unit was awarded and (ii) the last day of Morgan
Stanley'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 was determined, such value generally was 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 MS Shares, and the balance
is paid in cash, although the Compensation Committee may increase the percentage
paid in cash or in MS Shares. All MS Shares paid to participants in the PUP Plan
were converted into MSDWD Shares in the Merger.
The individual PUP Plan agreement entered into by a Reporting Person
pursuant to the PUP Plan contains restrictions on voting and disposition of any
MSDWD Shares acquired as discussed in Item 6.
EQUITY INCENTIVE PLANS
The purpose of the Equity Incentive Plans 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 MS
Shares (or, following the Merger, MSDWD Shares). Under the 1995 Equity Incentive
Plan the following individuals are also eligible to receive awards: nonemployee
directors of subsidiaries of the Company; employees and consultants of joint
ventures, partnerships or similar business organizations in which the Company
has an equity or similar interest; and former employees or former consultants of
the Company and of such joint
30
<PAGE>
ventures, partnerships or similar business organizations. The 1995 Equity
Incentive Plan was adopted in accordance with the requirements of Section 162(m)
of the Code.
Awards under the Equity Incentive Plans may be in the form of (i) stock
awards consisting of one or more MSDWD Shares granted or offered for sale to
eligible individuals ("Restricted Shares"), (ii) stock units which are settled
by delivery of MSDWD Shares ("Stock Units") and/or (iii) nonqualified options to
purchase MSDWD Shares ("EIP Options"). Awards under the 1995 Equity Incentive
Plan may also be in the form of incentive stock options, stock appreciation
rights and other forms of equity-based or equity-related awards as determined by
the Compensation Committee; to date, these types of awards have not been
granted. MSDWD Shares issued pursuant to the Equity Incentive Plans 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 Plan
Agreements (as defined in Item 6).
Awards under the Equity Incentive Plans may, in the discretion of the
Compensation Committee, be made in substitution for cash or other compensation
payable to an eligible individual. The Compensation Committee may establish
rules pursuant to which an eligible individual may elect to receive one form of
award in lieu of any other form of award, or may elect to receive additional
awards in lieu of some or all of the cash portion of his compensation.
An EIP Option entitles the participant to acquire a specified number of
MSDWD Shares at an exercise price as determined by the Compensation Committee.
The exercise price may be paid in cash or MSDWD Shares or a combination thereof.
The Compensation Committee has also authorized a "cashless" exercise procedure
that affords participants the opportunity to sell immediately some or all of the
MSDWD Shares underlying the unexercised portion of an EIP Option in order to
generate sufficient cash to pay the exercise price and/or to satisfy withholding
tax obligations related to the EIP Option. EIP Options expire not later than ten
years from the date of award.
Awards were granted under the 1988 Equity Incentive Plan from 1988-1996;
awards may no longer be granted under the 1988 Equity Incentive Plan. No awards
shall be made under the 1995 Equity Incentive Plan after April 3, 2006 or, in
the case of incentive stock options, November 28, 2005.
U.K. PROFIT SHARING SCHEME
MSDWD 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 MSDWD Shares are not subject to the restrictions on voting and
disposition contained in the Stockholders' Agreement.
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
31
<PAGE>
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 MSDWD Shares are not subject to the restrictions on voting and
disposition contained in the Stockholders' Agreement or the Plan Agreements.
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 MSDWD
Shares by the trustee of the ESOP at any time prior to the date fixed for
redemption of the ESOP Stock at a conversion rate of one share of ESOP Stock to
3.3 MSDWD Shares, which rate is 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 MSDWD Shares
or a combination thereof. Neither ESOP Stock nor MSDWD 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
MSDWD 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 MSDWD Shares.
Subject to the restrictions described in Item 6, dispositions of MSDWD
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 MSDWD 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
94,355,578 MSDWD Shares, or approximately 15.7% of the total MSDWD Shares
outstanding (585,664,437). The Reporting Persons as a group hereby
32
<PAGE>
disclaim beneficial ownership of any MSDWD 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 MSDWD 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 MSDWD 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) No Reporting Person has effected any transactions in any MSDWD
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") (Exhibits A and B 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 MSDWD 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 H, I , J, K and L. 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
33
<PAGE>
with respect to any corporate action or before action is taken by written
consent, may vote all MSDWD 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 MSDWD Shares on the matter at issue in
accordance with the vote of the majority of the MSDWD 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 and are not bound by the Preliminary Vote.
Recipients of Restricted Shares under the Equity Incentive Plans are
entitled to exercise voting rights with respect to the MSDWD 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") (Exhibits M, N and O) pursuant to
which the MSDWD Shares that correspond to Stock Units 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 MSDWD 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 P), the Trustee has the
obligation to vote the MSDWD Shares held in the Trust (including MSDWD Shares
corresponding to Stock Units held by former employees, who do not participate in
the Preliminary Vote) 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 MSDWD Shares, voting together with the holders of MSDWD
Shares as one class. Each share of ESOP Stock is entitled to the number of votes
equal to 1.35 times the number of MSDWD 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
RECAPITALIZATION SHARES, PUP PLAN
The Stockholders' Agreement presently permits each Reporting Person that
is a party thereto to dispose of Recapitalization Shares and/or MSDWD Shares
acquired pursuant to the 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%
34
<PAGE>
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. MSDWD Shares issued to recipients under the PUP Plan
and under the jurisdiction of the United Kingdom, are not subject to voting or
disposition restrictions.
EQUITY INCENTIVE PLANS
A participant will vest in any Restricted Shares, Stock Units or EIP
Options, the restrictions on the transferability of Restricted Shares will
lapse, Stock Units will convert into MSDWD Shares, and any EIP Options awarded
will become exercisable, 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 Stock Units convert into MSDWD Shares and
the date on which any EIP Option first becomes exercisable. Prior to vesting and
the lapse of restrictions on transferability, none of the awards under the
Equity Incentive Plans may be sold, assigned, exchanged or transferred, pledged,
hypothecated or otherwise disposed of or encumbered. Certain awards under the
Equity Incentive Plans, whether vested or unvested, are also subject to
forfeiture in circumstances specified by the Compensation Committee.
Recipients of Restricted Shares are entitled to receive dividends with
respect to MSDWD Shares underlying such awards upon receipt of such awards.
Recipients of Stock Units are entitled to receive dividend equivalent amounts
prior to receipt of MSDWD Shares.
The Company may require a participant to pay a sum to the Company or,
pursuant to reduced MSDWD Share delivery provisions, the Company may retain the
number of MSDWD 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 Plans. In addition, upon conversion
of Stock Units into MSDWD Shares or exercise of EIP Options, the Company may
withhold a number of MSDWD 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. Under the terms of awards made under the 1995 Equity Incentive Plan,
upon payment of an award of Stock Units or exercise of EIP Options, the Company
may withhold a number of MSDWD Shares sufficient to satisfy any obligation an
award recipient owes the Company.
From time to time the Compensation Committee has adopted certain
additional and/or different terms and conditions for the grant of Restricted
Shares and Stock Units 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 MSDWD Shares corresponding to Stock Units and recipients
may not have the ability to vote or the underlying MSDWD 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 EIP Options to
Certain
35
<PAGE>
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 MSDWD 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 MSDWD
Shares held on his behalf as of the award date of the MSDWD Shares. During the
Retention Period, a participant may not assign, pledge or otherwise dispose of
such MSDWD Shares; however, a participant is able to instruct the trustee how to
vote such MSDWD 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 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 MSDWD Shares 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
36
<PAGE>
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
Morgan Stanley 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 Morgan Stanley (Morgan Stanley's Annual
Report on Form 10-K for the fiscal year ended January 31, 1993).
Exhibit B Form of Consent and Amendment dated as of January 31, 1996
between Morgan Stanley and certain signatories to the
Stockholders' Agreement referred to in Exhibit A (Morgan
Stanley's Annual Report on Form 10-K for the fiscal period ended
November 30, 1995).
Exhibit C Morgan Stanley Group Inc. 1986 Stock Option Plan, as amended and
restated to date (Morgan Stanley's Annual Report on Form 10-K for
the fiscal year ended January 31, 1993).
Exhibit D Morgan Stanley Group Inc. Performance Unit Plan, as amended and
restated to date (Morgan Stanley's Annual Report on Form 10-K for
the fiscal year ended January 31, 1993).
Exhibit E Morgan Stanley Group Inc. 1988 Equity Incentive Compensation
Plan, as amended and restated to date (Morgan Stanley's Annual
Report on Form 10-K for the fiscal year ended January 31, 1993).
Exhibit F Morgan Stanley Group Inc. 1995 Equity Incentive Compensation Plan
(Morgan Stanley's Proxy Statement for 1996 Meeting of
Stockholders).
Exhibit G 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 (Morgan Stanley's Annual Report on Form 10-K for the
fiscal year ended January 31, 1993).
Exhibit H Form of Nonqualified Stock Option Agreement Under the Morgan
Stanley Group Inc. 1986 Stock Option Plan (Morgan Stanley's
Registration Statement on Form S-8 (No. 33-42464)).
Exhibit I Form of Award Agreement Under the Morgan Stanley Group Inc.
Performance Unit Plan (Morgan Stanley's Registration Statement on
Form S-8 (No. 33-42464)).
37
<PAGE>
Exhibit J 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 the Reporting Persons' Schedule
13D dated December 31, 1990 relating to MS Shares).
Exhibit K 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 the Reporting Persons' Schedule
13D dated December 31, 1990 relating to MS Shares).
Exhibit L 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 the Reporting Persons' Schedule 13D dated
December 31, 1990 relating to MS Shares).
Exhibit M Trust Agreement between Morgan Stanley and State Street Bank
and Trust Company dated March 5, 1991 (Morgan Stanley's Annual
Report on Form 10-K for the fiscal year ended January 31, 1993).
Exhibit N First Amendment to Trust Agreement dated April 3, 1996 between
Morgan Stanley and State Street Bank and Trust Company (Morgan
Stanley's Annual Report on Form 10-K for the fiscal year ended
November 30, 1996).
Exhibit O Second Amendment to Trust Agreement dated May 31, 1997 between
the Company and State Street Bank and Trust Company.*
Exhibit P Voting Agreement among Morgan Stanley, State Street Bank and
Trust Company and Other Persons Signing Similar Agreements dated
March 5, 1991 (Morgan Stanley's Annual Report on Form 10-K for
the fiscal year ended January 31, 1993).
- ------------
* Filed herewith.
38
<PAGE>
Schedule I
RIGHTS TO ACQUIRE MSDWD SHARES
------------------------------
As of August 8, 1997 (60 days from June 9, 1997), 1,218 Reporting
Persons have the right to acquire 14,855,968 MSDWD Shares pursuant to the
exercise of options. No Reporting Person individually has options presently
exercisable covering more than 1% of the MSDWD Shares outstanding as of the date
hereof.
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: June 9, 1997
By: /s/ Ralph L. Pellecchio
-------------------------
Ralph L. Pellecchio
Attorney-in-Fact
39
<PAGE>
EX-99.(O)
2
SECOND AMENDMENT TO TRUST AGREEMENT DATED
SECOND AMENDMENT TO TRUST AGREEMENT
This Amendment Agreement, made as of this 31st day of May, 1997, by and
between Morgan Stanley, Dean Witter, Discover & Co. and State Street Bank and
Trust Company, a Massachusetts trust company (the "Trustee").
R E C I T A L S:
- - - - - - - -
WHEREAS, Morgan Stanley Group Inc. ("Morgan Stanley Group") and the Trustee
entered into a Trust Agreement, dated as of March 5, 1991(the "Trust Agreement";
terms used herein without definition shall have the meanings ascribed to such
terms in the Trust Agreement); and
WHEREAS, pursuant to the Amended and Restated Agreement and Plan of Merger,
dated as of April 10, 1997 between Morgan Stanley Group and Dean Witter,
Discover & Co., a Delaware Corporation ("Dean Witter, Discover"), Morgan Stanley
Group was merged with and into Dean Witter, Discover on May 31, 1997, with the
surviving corporation of such merger being known as Morgan Stanley, Dean Witter,
Discover & Co. ("MSDWD");
WHEREAS, by operation of law, effective as of May 31, 1997, MSDWD has
succeeded to all of the rights and obligations of Morgan Stanley Group including
without limitation all of Morgan Stanley Group's rights and obligations under
the Trust Agreement, the Trust and the Plan;
WHEREAS, MSDWD desires to amend the Trust Agreement to reflect the merger
of Morgan Stanley Group with and into Dean Witter, Discover and the succession
by MSDWD of all of the rights and obligations of Morgan Stanley Group
thereunder;
40
<PAGE>
NOW, THEREFORE, for good and valuable consideration, MSDWD and the Trustee
hereby agree as follows:
1. The introductory paragraph to the Trust Agreement is amended by deleting
the name "Morgan Stanley Group Inc." contained therein and substituting therefor
the name "Morgan Stanley, Dean Witter, Discover & Co.", and all references to
the "Company" which appear thereafter in the Trust Agreement shall be deemed to
refer to MSDWD.
2. The first recital contained in the Trust Agreement is amended by
deleting the words "Morgan Stanley Group Inc. common stock, par value $1.00 per
share" contained therein and substituting therefor "Morgan Stanley, Dean Witter,
Discover & Co. common stock, par value $.01 per share," and all references to
the "Common Stock" which appear thereafter in the Trust Agreement shall be
deemed to refer to the common stock, par value $.01 per share, of MSDWD.
3. The second recital contained in the Trust Agreement is amended by
deleting the names "Morgan Stanley & Co. Incorporated, Morgan Stanley
International Incorporated, Morgan Stanley & Co. International Limited and
Morgan Stanley Securities Services, Inc." contained therein and substituting
therefor the words "any subsidiary of the Company any of whose employees are, as
of the relevant date of determination, Participants in the Plan".
4. All references to "this Agreement," "herein," "hereunder," or words of
like import contained in the Trust Agreement shall be references to the Trust
Agreement as amended by this Amendment.
5. Except as expressly amended hereby, the Trust Agreement shall remain in
full force and effect. All actions taken consistent with this Amendment prior to
the date hereof are hereby approved, confirmed and ratified in all respects.
IN WITNESS WHEREOF, MSDWD and the Trustee have executed this Amendment
Agreement as of the date first above written.
MORGAN STANLEY, DEAN WITTER,
DISCOVER & CO.
By: _________________________________
STATE STREET BANK AND
TRUST COMPANY
By: _________________________________
41
