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Previous: MORGAN STANLEY DEAN WITTER & CO, SC 13G, 1998-05-06 |
Next: MANAGED HIGH INCOME PORTFOLIO INC, N-30D, 1998-05-06 |
<PAGE>
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SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
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FORM 10-Q/A
[X] QUARTERLY REPORT UNDER SECTION 13 OR 15(d)
OF THE SECURITIES EXCHANGE ACT OF 1934
FOR THE QUARTERLY PERIOD ENDED FEBRUARY 28, 1998
OR
[_] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d)
OF THE SECURITIES EXCHANGE ACT OF 1934
FOR THE TRANSITION PERIOD FROM TO
COMMISSION FILE NUMBER 1-11758
MORGAN STANLEY DEAN WITTER & CO.
(EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER)
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DELAWARE 36-3145972
(STATE OF INCORPORATION) (I.R.S. EMPLOYER IDENTIFICATION NO.)
1585 BROADWAY 10036
NEW YORK, NY (ZIP CODE)
(ADDRESS OF PRINCIPAL
EXECUTIVE OFFICES)
REGISTRANT'S TELEPHONE NUMBER, INCLUDING AREA CODE: (212) 761-4000
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Indicate by check mark whether the Registrant (1) has filed all reports
required to be filed by Section 13 or 15(d) of the Securities Exchange Act of
1934 during the preceding 12 months (or for such shorter period that the
Registrant was required to file such reports), and (2) has been subject to
such filing requirements for the past 90 days. Yes [X] No [_]
As of March 31, 1998 there were 600,857,645 shares of Registrant's Common
Stock, par value $.01 per share, outstanding.
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<PAGE>
On April 13, 1998, Morgan Stanley Dean Witter & Co. (the "Company")
filed a Quarterly Report on Form 10-Q for the fiscal quarter ended February 28,
1998 (the "Form 10-Q") electronically pursuant to the Security and Exchange
Commission's Electronic Data Gathering, Analysis, and Retrieval System
("EDGAR"). The Form 10-Q included as Exhibit 99 certain restated financial
information resulting from the Company's adoption of Statement of Financial
Accounting Standards No. 128, "Earnings Per Share."
This amendment to the Company's Form 10-Q has been filed solely to
submit restated Financial Data Schedules for fiscal year-end 1996 and the fiscal
year ended November 30, 1997 and fiscal quarters during each of such years (the
prior periods for which the Company filed via EDGAR).
<PAGE>
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the
Registrant has duly caused this report to be signed on its behalf by the
undersigned thereunto duly authorized.
Morgan Stanley Dean Witter & Co.
(REGISTRANT)
/s/ Eileen K. Murray
By: _________________________________
Eileen K. Murray, Controller and
Principal Accounting Officer
Date: May 6, 1998
2
<PAGE>
EXHIBIT INDEX
MORGAN STANLEY DEAN WITTER & CO.
QUARTER ENDED FEBRUARY 28, 1998
<TABLE>
<CAPTION>
DESCRIPTION
-----------
<C> <S>
27.1 Restated Financial Data Schedules for fiscal year ended November 30, 1997.
27.2 Restated Financial Data Schedules for fiscal year-end 1996.
</TABLE>
3
<TABLE> <S> <C>
<PAGE>
<ARTICLE> BD
<RESTATED>
<MULTIPLIER> 1,000,000
<PERIOD-TYPE> YEAR 9-MOS 6-MOS 3-MOS
<S> <C> <C> <C> <C>
<FISCAL-YEAR-END> NOV-30-1997 NOV-30-1997 NOV-30-1997 NOV-30-1997
<PERIOD-START> DEC-01-1996 DEC-01-1996 DEC-01-1996 DEC-01-1996
<PERIOD-END> NOV-30-1997 AUG-31-1997 MAY-31-1997 FEB-28-1997
<CASH> 15,145 12,868 10,509 9,314
<RECEIVABLES> 50,260 39,964 42,591 39,743
<SECURITIES-RESALE> 84,516 80,705 67,819 73,926
<SECURITIES-BORROWED> 55,266 55,154 58,193 55,125
<INSTRUMENTS-OWNED> 88,017 85,250 82,508 80,995
<PP&E> 1,705 1,680 1,655 1,655
<TOTAL-ASSETS> 302,287 282,480 269,984 267,032
<SHORT-TERM> 31,607 31,215 31,574 33,760
<PAYABLES> 42,153 28,907 33,901 31,578
<REPOS-SOLD> 111,680 104,590 89,503 99,898
<SECURITIES-LOANED> 14,141 15,682 16,033 15,287
<INSTRUMENTS-SOLD> 54,329 54,506 52,748 45,088
<LONG-TERM> 24,792 25,196 25,898 24,160
0 0 0 0
876 876 877 1,027
<COMMON> 6 6 6 6
<OTHER-SE> 13,074 11,905 11,273 10,923
<TOTAL-LIABILITY-AND-EQUITY> 302,287 282,480 269,984 267,032
<TRADING-REVENUE> 3,191 2,369 1,591 869
<INTEREST-DIVIDENDS> 13,583 10,136 6,566 3,369
<COMMISSIONS> 2,086 1,533 974 490
<INVESTMENT-BANKING-REVENUES> 2,694 1,921 1,103 522
<FEE-REVENUE> 4,971 3,728 2,443 1,225
<INTEREST-EXPENSE> 10,806 7,952 5,187 2,709
<COMPENSATION> 6,019 4,844 2,995 1,490
<INCOME-PRETAX> 4,274 2,917 1,811 928
<INCOME-PRE-EXTRAORDINARY> 4,274 2,917 1,811 928
<EXTRAORDINARY> 0 0 0 0
<CHANGES> 0 0 0 0
<NET-INCOME> 2,586 1,776 1,098 571
<EPS-PRIMARY> 4.38 3.00 1.84 0.96
<EPS-DILUTED> 4.16 2.85 1.75 0.91
</TABLE>
<TABLE> <S> <C>
<PAGE>
<ARTICLE> BD
<RESTATED>
<MULTIPLIER> 1,000,000
<PERIOD-TYPE> YEAR 9-MOS 6-MOS 3-MOS
<S> <C> <C> <C> <C>
<FISCAL-YEAR-END> NOV-30-1996 NOV-30-1996 NOV-30-1996 NOV-30-1996
<PERIOD-START> DEC-01-1995 DEC-01-1995 DEC-01-1995 DEC-01-1995
<PERIOD-END> NOV-30-1996 AUG-31-1996 MAY-31-1996 FEB-29-1996
<CASH> 11,753 9,122 8,935 7,556
<RECEIVABLES> 39,264 35,003 34,401 36,233
<SECURITIES-RESALE> 64,021 65,197 64,192 60,255
<SECURITIES-BORROWED> 43,546 35,023 37,821 30,303
<INSTRUMENTS-OWNED> 72,661 56,866 60,327 60,586
<PP&E> 1,681 1,664 1,654 1,655
<TOTAL-ASSETS> 238,860 206,417 210,789 200,748
<SHORT-TERM> 33,539 20,576 24,521 21,210
<PAYABLES> 25,560 25,555 26,122 24,196
<REPOS-SOLD> 86,863 80,418 78,905 78,619
<SECURITIES-LOANED> 12,907 7,726 9,119 8,023
<INSTRUMENTS-SOLD> 38,442 33,329 36,316 33,837
<LONG-TERM> 22,642 22,687 20,519 20,293
0 0 0 0
1,223 878 817 817
<COMMON> 6 5 5 5
<OTHER-SE> 10,473 9,626 9,449 9,248
<TOTAL-LIABILITY-AND-EQUITY> 238,860 206,417 210,789 200,748
<TRADING-REVENUE> 2,659 2,036 1,502 823
<INTEREST-DIVIDENDS> 11,288 8,641 5,603 2,794
<COMMISSIONS> 1,776 1,330 918 455
<INVESTMENT-BANKING-REVENUES> 2,190 1,540 1,063 464
<FEE-REVENUE> 4,046 2,904 1,878 914
<INTEREST-EXPENSE> 8,934 6,914 4,495 2,250
<COMPENSATION> 5,071 3,749 2,578 1,275
<INCOME-PRETAX> 3,117 2,392 1,684 840
<INCOME-PRE-EXTRAORDINARY> 3,117 2,392 1,684 840
<EXTRAORDINARY> 0 0 0 0
<CHANGES> 0 0 0 0
<NET-INCOME> 1,980 1,516 1,058 518
<EPS-PRIMARY> 3.34 2.54 1.76 0.86
<EPS-DILUTED> 3.16 2.40 1.67 0.81
<FN>
Fiscal 1996 information represents the combination of Morgan Stanley's
consolidated financial statements for the fiscal year ended November
30, 1996 and the fiscal quarters ended February 29, 1996, May 31, 1996 and
August 31, 1996 with Dean Witter Discover's consolidated financial statements
for the year ended December 31, 1996 and the quarters ended March 31, 1996, June
30, 1996 and September 30, 1996.
</FN>
</TABLE>
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