<PAGE>
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 1)
Morgan Stanley, Dean Witter, Discover & Co.
-------------------------------------------
(Name of Issuer)
Common Stock, $.01 par value
----------------------------
(Title of Class of Securities)
617446448
---------
(CUSIP Number)
Ralph L. Pellecchio
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)
January 2, 1998
--------------------------------------------------------
(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: [ ]
<PAGE>
------------------------------
S C H E D U L E 1 3 D
------------------------------
- ---------------------------------------- -----------------------------------
CUSIP No. 617446448 Page 1 of 2 Pages
- ---------------------------------------- -----------------------------------
- -------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON
S.S. or I.R.S. IDENTIFICATION NUMBER OF ABOVE PERSON
Richard B. Fisher
- -------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [X] (b) [ ]
- -------------------------------------------------------------------------------
3. SEC USE ONLY
- -------------------------------------------------------------------------------
4. SOURCE OF FUNDS
OO
- -------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e)
[ ]
- -------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- -------------------------------------------------------------------------------
7. SOLE VOTING POWER
less than 1%
NUMBER OF --------------------------------------------------
SHARES 8. SHARED VOTING POWER
BENEFICIALLY 98,443,054
OWNED BY --------------------------------------------------
EACH 9. SOLE DISPOSITIVE POWER
REPORTING 1-2%
PERSON --------------------------------------------------
WITH 10. SHARED DISPOSITIVE POWER
0%
- -------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
98,468,464
- -------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES
[ ]
- -------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
15.8
- -------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON
IN
- -------------------------------------------------------------------------------
2
<PAGE>
------------------------------
S C H E D U L E 1 3 D
------------------------------
- ---------------------------------------- -----------------------------------
CUSIP No. 617446448 Page 2 of 2 Pages
- ---------------------------------------- -----------------------------------
- -------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON
S.S. or I.R.S. IDENTIFICATION NUMBER OF ABOVE PERSON
Each of the persons described on Appendix A.
- -------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [X] (b) [ ]
(Applies to each person listed on Appendix A)
- -------------------------------------------------------------------------------
3. SEC USE ONLY
- -------------------------------------------------------------------------------
4. SOURCE OF FUNDS
OO (Applies to each person listed on Appendix A)
- -------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEM 2(d) OR 2(e) (Applies to each person listed on Appendix A) [ ]
- -------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
As stated on Appendix A
- -------------------------------------------------------------------------------
7. SOLE VOTING POWER
Less than 1% (Applies to each person listed on Appendix A)
NUMBER OF ---------------------------------------------------------------
SHARES 8. SHARED VOTING POWER
BENEFICIALLY 98,443,054 (Applies to each person listed on Appendix A)
OWNED BY ---------------------------------------------------------------
EACH 9. SOLE DISPOSITIVE POWER
REPORTING Less than 1% (Applies to each person listed on Appendix A)
PERSON ---------------------------------------------------------------
WITH 10. SHARED DISPOSITIVE POWER
0%
- -------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
As stated on Appendix A.
- -------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(Applies to each person listed on Appendix A) [ ]
- -------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) As
stated on Appendix A.
- -------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON
IN (Applies to each person listed on Appendix A)
- -------------------------------------------------------------------------------
3
<PAGE>
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------------
LINE 1 LINE 6 LINE 11 LINE 13
- --------------------------------------------------------------------------------------------
PERCENT OF CLASS
AGGREGATE AMOUNT REPRESENTED BY
CITIZENSHIP BENEFICIALLY HELD AMOUNT IN LINE 11
- --------------------------------------------------------------------------------------------
<S> <C> <C>
Aaron, Debra M United States 98,443,054 15.8%
Aaron, Paul R United States 98,443,054 15.8%
Aaronson, Paul R United States 98,443,054 15.8%
Abdel-Meguid, Tarek F United States 98,443,054 15.8%
Abe, Mitsuhiro Japan 98,458,664 15.8%
Abrahams, Steven W United States 98,443,054 15.8%
Abramovitz, Debra United States 98,443,054 15.8%
Achkar, Habib P France 98,445,376 15.8%
Ackerman, Michael D United States 98,443,054 15.8%
Ackerman, Warren, III United States 98,443,054 15.8%
Adachi, Hiroaki Japan 98,446,794 15.8%
Adair, Barry L United States 98,447,629 15.8%
Adams, Charles S United States 98,443,054 15.8%
Adams, John C United States 98,443,054 15.8%
Adams, Nicholas United Kingdom 98,444,649 15.8%
Adelman, David J United States 98,461,243 15.8%
Adelman, Lawrence United States 98,489,705 15.8%
Adeson, Kevin M United States 98,443,876 15.8%
Ahmed, Adnan O Pakistan 98,443,054 15.8%
Ainsworth, David N United Kingdom 98,443,784 15.8%
Airo, Robert United States 98,443,054 15.8%
Aitchison, Carolyn United Kingdom 98,444,750 15.8%
Akers, Suzanne S United States 98,443,054 15.8%
Akhrass, Jameel K United States 98,443,771 15.8%
Albanese, Tommaso Matteo Italy 98,446,098 15.8%
Albers, Alexandria J United States 98,444,953 15.8%
Alizadeh, Ramin United Kingdom 98,445,086 15.8%
Alkire, John R United States 98,443,054 15.8%
Allery, Stephen A United Kingdom 98,443,825 15.8%
Allia, John S United States 98,443,054 15.8%
Allwin, James M United States 98,443,054 15.8%
Althoff, Laurence J United States 98,443,054 15.8%
Altman, Emily M United States 98,443,054 15.8%
Altomare, Gerald C United States 98,443,054 15.8%
Anda, Jon A United States 98,443,054 15.8%
Anderson, Stephen J United States 98,443,054 15.8%
Anderson, Steven P United States 98,443,054 15.8%
Andrews, John G United Kingdom 98,443,054 15.8%
Andryc, Philip J United States 98,443,054 15.8%
Anfang, Richard L United States 98,443,054 15.8%
Angevine, Robert E United States 98,443,054 15.8%
Annecchino, Jeffrey A United States 98,443,054 15.8%
Antill, Nicholas Paul United Kingdom 98,443,864 15.8%
Antonioli, Marco Luigi Italy 98,444,593 15.8%
Apostolides, Jim United States 98,443,054 15.8%
Arata, Patrick J United States 98,443,054 15.8%
Arena, David J United States 98,443,054 15.8%
Arenas De Bedmar, Joaquin Spain 98,444,648 15.8%
Armitage, Michael R United Kingdom 98,448,071 15.8%
Armstrong, Arden C United States 98,443,054 15.8%
Armstrong, R. Michael United States 98,444,728 15.8%
Arnold, Caroline L United States 98,443,054 15.8%
Arthur, Douglas M United States 98,443,054 15.8%
Ashizawa, Katsushiro Japan 98,452,294 15.8%
Asprem, Mads Michael Denmark 98,444,744 15.8%
</TABLE>
4
<PAGE>
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------------
LINE 1 LINE 6 LINE 11 LINE 13
- --------------------------------------------------------------------------------------------
PERCENT OF CLASS
AGGREGATE AMOUNT REPRESENTED BY
CITIZENSHIP BENEFICIALLY HELD AMOUNT IN LINE 11
- --------------------------------------------------------------------------------------------
<S> <C> <C>
Atkins, Charles N United States 98,443,054 15.8%
Atkins, William John United Kingdom 98,445,061 15.8%
Atkinson, Richard N United Kingdom 98,443,519 15.8%
Attorri, Gregory J United States 98,443,054 15.8%
Atwell, R. Wayne United States 98,443,054 15.8%
Avery, James B United States 98,443,054 15.8%
Babicke, James D United States 98,443,054 15.8%
Bachiller, Francisco Spain 98,443,654 15.8%
Bachynski, Marianne United States 98,443,054 15.8%
Bailham, Mark Michael United Kingdom 98,443,274 15.8%
Baird, William B United States 98,473,441 15.8%
Bajaj, Arvind United States 98,443,054 15.8%
Baker, B. Robert United States 98,443,054 15.8%
Baker, Kurt A United States 98,443,054 15.8%
Balgarnie, Andrew J United Kingdom 98,445,723 15.8%
Ballantyne, Alastair I United Kingdom 98,446,156 15.8%
Ballard, David A United States 98,443,054 15.8%
Bandeen, R. Derek Canada 98,465,534 15.8%
Barancik, Gary S United States 98,443,054 15.8%
Barbieri Hermitte, Riccardo Italy 98,443,600 15.8%
Barden, Robert A United States 98,443,618 15.8%
Bardong, Shawn P United States 98,447,101 15.8%
Bardonnet, Emmanuel France 98,443,654 15.8%
Bardwell, Timothy J United Kingdom 98,443,608 15.8%
Barker, Francis B United States 98,443,054 15.8%
Barker, Rodney J United Kingdom 98,445,319 15.8%
Barnett, Phillip S United States 98,443,054 15.8%
Baroudi, Jack J United States 98,443,054 15.8%
Barrett, David J United States 98,443,054 15.8%
Barrett, Kenneth W United States 98,443,054 15.8%
Barrett, Timothy United Kingdom 98,445,369 15.8%
Barron, Eileen M United States 98,443,054 15.8%
Barth-Wehrenalp, Gerald P United States 98,443,054 15.8%
Bartlett, Michael E United Kingdom 98,443,054 15.8%
Bartlett, Philip S United States 98,443,054 15.8%
Basirov, Olga A United Kingdom 98,449,039 15.8%
Bassini, Roger D Mexico 98,443,054 15.8%
Bayer, Jerome W United States 98,443,054 15.8%
Beard, Ken L United States 98,443,054 15.8%
Bearden, David A United States 98,444,129 15.8%
Bechtel, Karen H United States 98,443,054 15.8%
Becker, Glenn E United States 98,443,054 15.8%
Bedell, James M United States 98,443,054 15.8%
Beeson, Lisa E United States 98,443,054 15.8%
Behler, Richard M United States 98,443,054 15.8%
Behrmann, James United States 98,443,054 15.8%
Bejjani, Ghassan J Lebanon 98,443,054 15.8%
Belgrad, Stephen H United States 98,443,054 15.8%
Bell, Andrew J United Kingdom 98,444,738 15.8%
Bell, James J United States 98,443,054 15.8%
Bello, Rafael Canada 98,443,054 15.8%
Benardete, Steven M United States 98,448,004 15.8%
Beneke, John United States 98,443,054 15.8%
Benet, Lincoln E United States 98,443,054 15.8%
Bennett, Alexander J United States 98,443,054 15.8%
</TABLE>
5
<PAGE>
<TABLE>
<CAPTION>
- ---------------------------------------------------------------------------------------------
LINE 1 LINE 6 LINE 11 LINE 13
- ---------------------------------------------------------------------------------------------
PERCENT OF CLASS
AGGREGATE AMOUNT REPRESENTED BY
NAME CITIZENSHIP BENEFICIALLY HELD AMOUNT IN LINE 11
- ---------------------------------------------------------------------------------------------
<S> <C> <C>
Bennett, Thomas L United States 98,443,054 15.8%
Bentley, William United States 98,443,054 15.8%
Berchtold, Michael J United States 98,443,054 15.8%
Bergman, Jerome United States 98,443,054 15.8%
Berler, Matthew K United States 98,443,054 15.8%
Bernheim, Carol S United States 98,443,054 15.8%
Best, Eric P United States 98,443,054 15.8%
Bianco, Frank United States 98,443,054 15.8%
Biert, Gisep Switzerland 98,447,133 15.8%
Bigelow, Ellis S United States 98,443,054 15.8%
Biggs, Barton M United States 98,443,054 15.8%
Bigman, Theodore R Canada 98,443,054 15.8%
Bijleveld, Paul Netherlands 98,443,731 15.8%
Bilgore, Bradley Alan United States 98,444,663 15.8%
Bilotti, Richard A., JR United States 98,443,054 15.8%
Birnbaum, Jeffrey M United States 98,443,054 15.8%
Black, Susan Mackinnon United States 98,443,054 15.8%
Blain, Paul F United Kingdom 98,449,171 15.8%
Blair, David H United States 98,446,450 15.8%
Blais, William L United States 98,443,054 15.8%
Blake, Ronald G, JR United States 98,443,054 15.8%
Blandon, Maximo J United States 98,443,054 15.8%
Blau, Andrew M United States 98,443,054 15.8%
Blaxland, Robert Gregory United Kingdom 98,444,523 15.8%
Block, Richard L United States 98,443,054 15.8%
Bloom, Steven G United States 98,443,054 15.8%
Blum, Jon E United States 98,443,054 15.8%
Blumstein, Michael W United States 98,443,054 15.8%
Bodenchak, Frank L United States 98,443,054 15.8%
Bodson, Michael C United States 98,443,054 15.8%
Boggs, E. Clayton United States 98,443,054 15.8%
Bohart, Stuart H United States 98,443,054 15.8%
Boiarsky, Robert United States 98,443,598 15.8%
Bonafide, Robert M United States 98,443,054 15.8%
Booker, Marilyn F United States 98,443,054 15.8%
Boos, Michael Paul United States 98,443,054 15.8%
Bopp, Walter S United States 98,443,054 15.8%
Borosh, David A United States 98,443,054 15.8%
Bosco, Anthony B United States 98,443,054 15.8%
Bosshard, Martin Urs Switzerland 98,443,054 15.8%
Boublik, Michael J United States 98,443,054 15.8%
Bouyoucos, Peter J United States 98,443,054 15.8%
Bovich, Francine J United States 98,443,054 15.8%
Bowman, James R United States 98,443,054 15.8%
Boyd, Rupert J United Kingdom 98,445,228 15.8%
Boyd, Stephen L United States 98,443,054 15.8%
Boyer, Amy A United States 98,443,054 15.8%
Boyne, James J United States 98,443,054 15.8%
Bradford, Leslie Embs United States 98,444,539 15.8%
Bradley, Mark H United States 98,443,054 15.8%
Bradway, Robert A United States 98,448,203 15.8%
Brady, Kenneth S United States 98,443,054 15.8%
Brakebill, Scott R United States 98,443,054 15.8%
Brawer, Steven A United States 98,443,054 15.8%
Brennan, Donald Patrick United States 98,443,054 15.8%
</TABLE>
6
<PAGE>
<TABLE>
<CAPTION>
- ---------------------------------------------------------------------------------------------
LINE 1 LINE 6 LINE 11 LINE 13
- ---------------------------------------------------------------------------------------------
PERCENT OF CLASS
AGGREGATE AMOUNT REPRESENTED BY
NAME CITIZENSHIP BENEFICIALLY HELD AMOUNT IN LINE 11
- ---------------------------------------------------------------------------------------------
<S> <C> <C>
Brereton, Richard F United States 98,443,368 15.8%
Breslow, Stuart J.M United States 98,443,054 15.8%
Bresnahan, Neil T United States 98,443,054 15.8%
Brew, Michael Australia 98,445,451 15.8%
Brewer, Simon United Kingdom 98,447,989 15.8%
Brickman, Keith D United States 98,443,054 15.8%
Brierwood, David C United Kingdom 98,493,981 15.8%
Brille, Brian J United States 98,443,054 15.8%
Broadbent, Peregrine Charles United Kingdom 98,444,390 15.8%
Broberg, Christian P Denmark 98,443,400 15.8%
Brodheim, Theodore K United States 98,443,054 15.8%
Brodsky, Jeffrey S United States 98,443,054 15.8%
Brody, Jacqueline T United States 98,443,054 15.8%
Broman, Robert A United States 98,443,054 15.8%
Brombach, Theodore J United States 98,443,054 15.8%
Bronzene, William J United States 98,443,054 15.8%
Brooke, Paul A United States 98,443,054 15.8%
Broughton, Alan United Kingdom 98,449,443 15.8%
Brous, Leonard United States 98,443,054 15.8%
Brown, Andrew C United States 98,444,305 15.8%
Brown, Douglas L United States 98,443,054 15.8%
Brown, Elizabeth P United States 98,443,054 15.8%
Brown, Ernest W United States 98,443,054 15.8%
Brown, Glenn W, JR United States 98,443,054 15.8%
Brown, Jeffry P United States 98,443,054 15.8%
Brown, Keith United Kingdom 98,486,148 15.8%
Brown, Michael H United States 98,443,054 15.8%
Brown, Randolph B United States 98,443,054 15.8%
Browne, Kevin J United States 98,443,054 15.8%
Brundler, Adolf Switzerland 98,443,054 15.8%
Bryant, Malcolm P United Kingdom 98,447,936 15.8%
Bryce, Colin United Kingdom 98,470,812 15.8%
Buchanan, Edison C United States 98,495,123 15.8%
Buck, Lee M United States 98,444,044 15.8%
Buechter, Markus Germany 98,443,981 15.8%
Bulchandani, Ravi A India 98,444,372 15.8%
Buovolo, Anthony J United States 98,443,054 15.8%
Buquicchio, Frank United States 98,443,054 15.8%
Burdick, Leigh S United States 98,443,695 15.8%
Burke, Lauren M United States 98,443,054 15.8%
Burke, Philippe C United States 98,443,054 15.8%
Burns, Dennis J United States 98,443,054 15.8%
Burns, James D United States 98,443,054 15.8%
Busch, May C United States 98,443,549 15.8%
Byrd, Caren United States 98,443,054 15.8%
Byron, Thomas M United States 98,443,054 15.8%
Caffrey, Timothy J United States 98,443,054 15.8%
Caggiano, Joseph United States 98,443,054 15.8%
Cahill, Thomas F., JR United States 98,443,054 15.8%
Caldecott, P.Dominic United Kingdom 98,559,129 15.8%
Callahan, Daniel H United States 98,443,054 15.8%
Callon, Scott United States 98,443,847 15.8%
Camera, Jerry J United States 98,443,054 15.8%
Camp, Jeffrey Paul United States 98,443,054 15.8%
Campbell, Randall S United States 98,443,054 15.8%
</TABLE>
7
<PAGE>
<TABLE>
<CAPTION>
- ---------------------------------------------------------------------------------------------
LINE 1 LINE 6 LINE 11 LINE 13
- ---------------------------------------------------------------------------------------------
PERCENT OF CLASS
AGGREGATE AMOUNT REPRESENTED BY
NAME CITIZENSHIP BENEFICIALLY HELD AMOUNT IN LINE 11
- ---------------------------------------------------------------------------------------------
<S> <C> <C>
Campion, Frances Ireland 98,446,481 15.8%
Canelo, Peter J United States 98,443,111 15.8%
Cantlon, Angelica T United States 98,443,054 15.8%
Cappucci, Guy T United States 98,443,054 15.8%
Caputo, A Macdonald United States 98,443,054 15.8%
Caracappa, Mary United States 98,443,054 15.8%
Carey, James P United States 98,443,549 15.8%
Carleton, Bruce T United States 98,443,054 15.8%
Carlin, Jane D United States 98,443,054 15.8%
Carmichael, Terence P United States 98,443,054 15.8%
Carney, Joseph E United States 98,443,054 15.8%
Carr, Louis J, JR United States 98,443,054 15.8%
Carrafiell, John A United States 98,445,103 15.8%
Carroll, David C United States 98,443,054 15.8%
Carroll, Jesse L, JR United States 98,458,869 15.8%
Carroll, John E United States 98,443,054 15.8%
Carruthers, Alan Thomas United Kingdom 98,444,764 15.8%
Carson, Jim Kelly United Kingdom 98,443,293 15.8%
Caruso, Christopher J United States 98,443,054 15.8%
Cashel, Michael Sean United States 98,443,054 15.8%
Casper, Robert Y United States 98,443,054 15.8%
Cassedy, Michael J United States 98,443,054 15.8%
Cassou, Beatrice M United States 98,443,054 15.8%
Castagna, Anthony United States 98,443,054 15.8%
Castellano, Richard R United States 98,455,306 15.8%
Caufield, Patrick J United States 98,443,054 15.8%
Cawsey, Richard Australia 98,446,855 15.8%
Cecil, Lawrence United States 98,443,054 15.8%
Certosimo, Arthur United States 98,443,054 15.8%
Chamberlain, Paul E United States 98,443,054 15.8%
Chamberlain, Stephen P United Kingdom 98,460,500 15.8%
Chammah, Walid A Lebanon 98,443,054 15.8%
Chan, Oliver S United States 98,443,054 15.8%
Chandler, Elizabeth R United States 98,443,054 15.8%
Chaney, Eric France 98,443,312 15.8%
Chang, Victor United States 98,443,054 15.8%
Chao, Pierre A United States 98,443,054 15.8%
Charlino, Richard J United States 98,443,054 15.8%
Chasin, Charles United States 98,443,054 15.8%
Chenevix-Trench, Jonathan United Kingdom 98,492,273 15.8%
Cheng, Duen-Chian Taiwan 98,443,054 15.8%
Chester, John E, III United States 98,443,054 15.8%
Chiarello, Guy United States 98,443,054 15.8%
Chin, Ean Wah Malaysia 98,443,054 15.8%
Chirls, Catherine E United States 98,443,054 15.8%
Chou, Jackson C United States 98,443,054 15.8%
Christianakis, Leonidas Ioanni United Kingdom 98,443,054 15.8%
Chui, Vincent Y C Hong Kong 98,443,054 15.8%
Churchouse, Frederick P New Zealand 98,443,054 15.8%
Chutter, Jessica C Canada 98,443,054 15.8%
Ciccarone, Richard United States 98,443,054 15.8%
Cilia, Mark A United Kingdom 98,443,550 15.8%
Citrino, Mary Anne United States 98,443,054 15.8%
Clark, Mayree C United States 98,443,054 15.8%
Clark, William Thomas United States 98,448,004 15.8%
</TABLE>
8
<PAGE>
<TABLE>
<CAPTION>
- ---------------------------------------------------------------------------------------------
LINE 1 LINE 6 LINE 11 LINE 13
- ---------------------------------------------------------------------------------------------
PERCENT OF CLASS
AGGREGATE AMOUNT REPRESENTED BY
NAME CITIZENSHIP BENEFICIALLY HELD AMOUNT IN LINE 11
- ---------------------------------------------------------------------------------------------
<S> <C> <C>
Clarke, Ian David United Kingdom 98,443,382 15.8%
Clemente La Brum, John P United States 98,443,054 15.8%
Clephane, Thomas P United States 98,443,054 15.8%
Cliff, Jeanne Marie United States 98,443,054 15.8%
Clifford, Kenneth F United States 98,443,054 15.8%
Clifford, Robert J United States 98,443,054 15.8%
Clinton, John P United States 98,443,054 15.8%
Cloud, Eleanor M United States 98,443,054 15.8%
Coakley, Jane Phyllis United Kingdom 98,443,081 15.8%
Cobby, Nigel United Kingdom 98,448,376 15.8%
Cogliandro, Dominic United States 98,443,054 15.8%
Cohan, Timothy P United States 98,444,044 15.8%
Cohen, Bruce L United States 98,443,463 15.8%
Cohen, David L United States 98,443,054 15.8%
Cohen, Martin M United States 98,443,054 15.8%
Cohen, Stephen A United States 98,443,054 15.8%
Colby-Jones, Lisa R United States 98,456,078 15.8%
Cole, James S United States 98,443,054 15.8%
Coleman, Christopher John United Kingdom 98,444,766 15.8%
Coleman, Kevin P United States 98,443,054 15.8%
Coleman, Maureen E United States 98,444,059 15.8%
Coles, John D United Kingdom 98,443,728 15.8%
Coley, James C., II United States 98,443,054 15.8%
Collier, Nicholas Dudley United Kingdom 98,444,682 15.8%
Colman, Mark M United States 98,443,714 15.8%
Colosimo, Louis A United States 98,443,054 15.8%
Comfort, Stephanie G United States 98,443,054 15.8%
Connor, Mary T United States 98,443,054 15.8%
Contiguglia, Carl United States 98,443,054 15.8%
Conway, Andrew J United States 98,443,054 15.8%
Cook, Charles R United States 98,443,054 15.8%
Cook, Lawrence A United States 98,443,054 15.8%
Cook, Timothy United States 98,443,054 15.8%
Coombe, Christopher John United Kingdom 98,443,713 15.8%
Coombs, Eric H United States 98,443,054 15.8%
Cooper, Alastair W.P United Kingdom 98,466,536 15.8%
Cooper, Scott H Canada 98,445,632 15.8%
Copper, Thomas R United States 98,443,054 15.8%
Cordell, Coleman W United States 98,443,054 15.8%
Cordner, Carter W United States 98,443,054 15.8%
Cordy, Stephen C United States 98,443,054 15.8%
Corsi, Stefano Italy 98,463,022 15.8%
Cory, Charles R United States 98,443,054 15.8%
Cox, Christopher United Kingdom 98,444,099 15.8%
Cox, Kevin C United States 98,443,054 15.8%
Coyner, Kevin B United States 98,443,054 15.8%
Crane-Griffith, Elizabeth United States 98,443,054 15.8%
Crawford, Stephen S United States 98,443,054 15.8%
Crespi, Marc United States 98,443,054 15.8%
Crnkovich, Peter N United States 98,443,054 15.8%
Crocamo, Thomas A United States 98,443,054 15.8%
Crompton, Bradley Canada 98,443,054 15.8%
Crompton, John D United Kingdom 98,444,070 15.8%
Cross, Benjamin United States 98,443,054 15.8%
Crowder, Garry B United States 98,443,054 15.8%
</TABLE>
9
<PAGE>
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------------
LINE 1 LINE 6 LINE 11 LINE 13
- --------------------------------------------------------------------------------------------
PERCENT OF CLASS
AGGREGATE AMOUNT REPRESENTED BY
NAME CITIZENSHIP BENEFICIALLY HELD AMOUNT IN LINE 11
- --------------------------------------------------------------------------------------------
<S> <C> <C>
Cruz, Benjamin C United States 98,443,054 15.8%
Cruz, Zoe Greece 98,443,054 15.8%
Cunniff, John M United States 98,443,054 15.8%
Cunningham, Michael John United Kingdom 98,446,597 15.8%
Cunningham, Peter United Kingdom 98,445,788 15.8%
Cunningham, Stephen M United States 98,443,054 15.8%
Curtis, Michael S United States 98,443,054 15.8%
Curtis, Paul D United States 98,443,054 15.8%
Czinsky, Michael J United States 98,443,054 15.8%
D'Antonio, Stephen H United States 98,443,054 15.8%
D'Auria, Joseph R United States 98,443,054 15.8%
D'Souza, Rohit M India 98,443,054 15.8%
Dagen, Paula M United States 98,443,054 15.8%
Daikuhara, Jun Japan 98,446,518 15.8%
Dal Lago, Frank C United States 98,443,054 15.8%
Dalmaso, Nicholas United States 98,443,054 15.8%
Daniel, Paul R United Kingdom 98,485,755 15.8%
Daniels, Elizabeth L United States 98,446,808 15.8%
Darst, David M United States 98,443,054 15.8%
Davidson, John H United States 98,444,539 15.8%
Davidson, John P., III United States 98,443,054 15.8%
Davidson, Norton A, III United States 98,466,154 15.8%
Davidson, Richard Gavin United Kingdom 98,447,086 15.8%
Davies, Peter E United States 98,443,054 15.8%
Davis, Barry United States 98,504,423 15.8%
Davis, Joseph F., JR United States 98,443,054 15.8%
Day, Jacqueline A United Kingdom 98,445,984 15.8%
Day, Paul A United Kingdom 98,444,161 15.8%
Day, Ralph United States 98,443,054 15.8%
De Alto, James T United States 98,443,054 15.8%
De Chazal, Guy L United States 98,443,054 15.8%
De Montfort, Piers United Kingdom 98,459,096 15.8%
De Saint-Aignan, Patrick United States 98,443,054 15.8%
Dean, Angela H United Kingdom 98,447,958 15.8%
Dean, Gordon G United States 98,443,054 15.8%
Dedomenico, Edward J United States 98,443,054 15.8%
Dee, Michael E United States 98,444,980 15.8%
Deforest, Laura I United States 98,443,054 15.8%
Delaney, Joseph F, III United States 98,443,054 15.8%
Demizio, Darin United States 98,443,054 15.8%
DeMoss, Gary R United States 98,443,054 15.8%
DeNardo, Bonnie L United States 98,443,054 15.8%
Denaut, Anne S United States 98,443,054 15.8%
Denaut, James A United States 98,443,054 15.8%
Denney, Mark A United States 98,443,054 15.8%
Derbes, Richard A United States 98,533,896 15.8%
Deregt, Kenneth M United States 98,443,054 15.8%
Desalvo, Matthew S United States 98,443,054 15.8%
Dewan, Hasanat M Bangladesh 98,443,054 15.8%
Dewey, Robert M., III United States 98,443,054 15.8%
Dewolfe, D. James United States 98,449,003 15.8%
Dey, Peter J Canada 98,443,054 15.8%
Dhar, Madhav India 98,445,034 15.8%
Diaz-Perez, Eduardo United States 98,443,054 15.8%
Dickman, Michael J United States 98,443,054 15.8%
</TABLE>
10
<PAGE>
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------------
LINE 1 LINE 6 LINE 11 LINE 13
- --------------------------------------------------------------------------------------------
PERCENT OF CLASS
AGGREGATE AMOUNT REPRESENTED BY
NAME CITIZENSHIP BENEFICIALLY HELD AMOUNT IN LINE 11
- --------------------------------------------------------------------------------------------
<S> <C> <C>
Dietsch, Thomas C United States 98,443,054 15.8%
Diffey, Neville United Kingdom 98,443,291 15.8%
DiFrancesca, Ken United States 98,443,054 15.8%
Digia, Mauro R United States 98,469,204 15.8%
Din, Stephen Trevor United Kingdom 98,445,238 15.8%
Dinger, Jeffrey E United States 98,443,054 15.8%
Ditkoff, Charles J United States 98,443,054 15.8%
Dixon, Robert D United States 98,443,054 15.8%
Doha, Naseer Bangladesh 98,443,291 15.8%
Donahue, Paul J, JR United States 98,446,700 15.8%
Donner, Marc D United States 98,443,054 15.8%
Donoghue, Geoffrey M Canada 98,443,054 15.8%
Donoghue, Michael J United States 98,443,054 15.8%
Donovan, Peter J United States 98,443,054 15.8%
Doran, William M, JR United States 98,443,054 15.8%
Dorfman, Jonathan L United States 98,448,522 15.8%
Dorton, Katina J United States 98,443,054 15.8%
Dortone, Dana L United States 98,443,054 15.8%
Doshi, Mihir J United States 98,443,054 15.8%
Downey, Barbara M United States 98,443,054 15.8%
Doyle, John E United States 98,443,054 15.8%
Dragstrem, John R United States 98,443,054 15.8%
Drake, George United States 98,443,054 15.8%
Drayson, Timothy Seccombe United Kingdom 98,444,281 15.8%
Driscoll, Thomas P United States 98,443,054 15.8%
Drusch, Christine J United States 98,443,054 15.8%
Dube, Raye L United States 98,443,054 15.8%
Dubeck, Michael R United States 98,443,054 15.8%
Duff, Philip N United States 98,443,054 15.8%
Duncan, Judith R United States 98,443,054 15.8%
Dunn, Kenneth B United States 98,443,054 15.8%
Dunphy, Roger P United States 98,443,054 15.8%
Dyal, Gordon E United States 98,443,054 15.8%
Dye, Donald R United States 98,443,054 15.8%
Earnshaw, Scott D United States 98,443,054 15.8%
Ebers-Franckowiak, Gay L United States 98,443,054 15.8%
Echlin, Mark Robert United Kingdom 98,445,604 15.8%
Eckert, Reagan A United States 98,443,054 15.8%
Edelstone, Mark L United States 98,443,054 15.8%
Edwards, Christine A United States 99,005,259 15.9%
Ehrenkranz, John B United States 98,443,054 15.8%
Eichorn, Mark D United States 98,443,054 15.8%
Eifler, Carl M United States 98,443,054 15.8%
Ellenbogen, Joseph S United States 98,443,054 15.8%
Elliott, James G United States 98,443,054 15.8%
Ellison, Eric D United States 98,443,054 15.8%
Elmaghrabi, Ehab E United States 98,443,054 15.8%
Elmasry, Hassan United States 98,443,054 15.8%
English, Frank E, JR United States 98,443,054 15.8%
Epstein, Patricia N United States 98,443,054 15.8%
Epstein, Stuart J United States 98,443,054 15.8%
Erb, John Robert United States 98,443,054 15.8%
Erb, William F United States 98,443,054 15.8%
Ertman, Andrew C United States 98,443,054 15.8%
Esaki, Howard Y United States 98,443,054 15.8%
</TABLE>
11
<PAGE>
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------------
LINE 1 LINE 6 LINE 11 LINE 13
- --------------------------------------------------------------------------------------------
PERCENT OF CLASS
AGGREGATE AMOUNT REPRESENTED BY
NAME CITIZENSHIP BENEFICIALLY HELD AMOUNT IN LINE 11
- --------------------------------------------------------------------------------------------
<S> <C> <C>
Esquivel, Josephine R United States 98,443,054 15.8%
Esser, Stephen F United States 98,443,054 15.8%
Essig, Karl P United States 98,464,769 15.8%
Estes, Susan M United States 98,443,054 15.8%
Evan, Lior United States 98,443,054 15.8%
Evans, R Bradford United States 98,443,054 15.8%
Ewell, C. Daniel United States 98,443,054 15.8%
Fadel, James P United States 98,443,054 15.8%
Fagen, Brian R United States 98,443,054 15.8%
Fagen, Robert A United States 98,443,648 15.8%
Falgout, Huey United States 98,443,054 15.8%
Falls, Amy C United States 98,443,054 15.8%
Fan, Linda C United States 98,443,054 15.8%
Fanelli, Peter R United States 98,443,054 15.8%
Fappiano, Maryann United States 98,443,054 15.8%
Fareri, Robert United States 98,443,054 15.8%
Farley, Nicholas John United Kingdom 98,444,428 15.8%
Faulkner, John H United States 98,443,054 15.8%
Fawcett, Amelia C United States 98,444,803 15.8%
Feder, Abigail Jones United States 98,443,054 15.8%
Federico, Giacomo United States 98,443,054 15.8%
Feeley, Mark J United States 98,443,054 15.8%
Feenick, Anthony W United States 98,443,054 15.8%
Feldman, Kirsten J Canada 98,443,552 15.8%
Feldman, Robert A United States 98,443,054 15.8%
Feldmann, Joel P United States 98,443,054 15.8%
Felix, Richard B United States 98,444,044 15.8%
Fellows, James R United States 98,443,054 15.8%
Fels, Joachim Walter Germany 98,443,425 15.8%
Fernandez, Henry A United States 98,443,054 15.8%
Ferriso, Peter W United States 98,443,054 15.8%
Feuerman, Kurt A United States 98,443,054 15.8%
Ficke, Mark D United States 98,443,054 15.8%
Fiedorek, Bruce D United States 98,443,054 15.8%
Field-Marsham, Scott R Canada 98,446,795 15.8%
Fiene, Nicoaas Simon Frits Netherlands 98,443,168 15.8%
Fiertz, Stuart Chapin United States 98,444,791 15.8%
Fink, Christopher United States 98,443,054 15.8%
Finnegan, Daniel M United States 98,443,054 15.8%
Fiori, Matthew J United States 98,444,979 15.8%
Fisher, Marc L United States 98,443,054 15.8%
Fisher, Roberta L United States 98,443,054 15.8%
Fitzpatrick, Steven B United States 98,443,054 15.8%
Flament, Jean-Philippe Stork Belgium 98,445,696 15.8%
Flanagan, Malachi J., JR United States 98,443,054 15.8%
Flannery, Hugh J United States 98,443,054 15.8%
Flaum, James E United States 98,443,054 15.8%
Fleming, John M United States 98,443,054 15.8%
Flood, Eugene, JR United States 98,443,054 15.8%
Flynn, Thomas J United States 98,443,054 15.8%
Foland, Steven R United States 98,443,054 15.8%
Foley, Jake United States 98,443,054 15.8%
Foley, Joseph G United States 98,443,054 15.8%
Forsell, William J United States 98,443,054 15.8%
Foster, Cedric G United States 98,443,549 15.8%
</TABLE>
12
<PAGE>
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------------
LINE 1 LINE 6 LINE 11 LINE 13
- --------------------------------------------------------------------------------------------
PERCENT OF CLASS
AGGREGATE AMOUNT REPRESENTED BY
NAME CITIZENSHIP BENEFICIALLY HELD AMOUNT IN LINE 11
- --------------------------------------------------------------------------------------------
<S> <C> <C>
Foster, Michael E United States 98,443,054 15.8%
Fox, Nigel Jonathan Paget United Kingdom 98,448,185 15.8%
Frame, Thomas C United States 98,443,054 15.8%
Francescotti, Mario United Kingdom 98,534,781 15.8%
Francois-Poncet, Andre France 98,484,474 15.8%
Frank, Alexander C United States 98,443,054 15.8%
Franklin, Gideon Benjamin Ceci United Kingdom 98,444,098 15.8%
Freeman, Ivan K United States 98,443,054 15.8%
Freeman, Leslie J United States 98,443,054 15.8%
Fried, Peter C United States 98,443,054 15.8%
Friedman, Catherine J United States 98,443,054 15.8%
Friedman, Philip W United States 98,443,054 15.8%
Friend, Warren H United States 98,443,054 15.8%
Fromm, Stephen A United States 98,443,054 15.8%
Frost, Ronald X United States 98,443,054 15.8%
Frydman, Michael Paul United States 98,447,740 15.8%
Fuhrman, Robert N United States 98,443,054 15.8%
Fukawa, Yukio Japan 98,447,622 15.8%
Fung, E. Michael Hong Kong 98,443,054 15.8%
Furlong, Keith K United States 98,443,054 15.8%
Futaki, Akifumi Japan 98,450,985 15.8%
Gaffney, Monica Josephine Ireland 98,443,797 15.8%
Gagliardi, Joseph A United States 98,443,054 15.8%
Gaillard, Vincent M. J France 98,443,878 15.8%
Gajendragadkar, Dilip S India 98,443,054 15.8%
Gale, Andrew United Kingdom 98,444,542 15.8%
Galgano, V James United States 98,443,054 15.8%
Gallo, Fabrizio Italy 98,446,442 15.8%
Galper, Myron United States 98,443,054 15.8%
Gandhi, Vikram S India 98,443,054 15.8%
Ganti, Narsim A United States 98,443,054 15.8%
Gapp, Kevin J United States 98,443,054 15.8%
Garber, Victor S United States 98,443,054 15.8%
Gardella, Franco Italy 98,443,674 15.8%
Gardiner, Kevin Leslie United Kingdom 98,444,189 15.8%
Garff, W. Blair United States 98,443,054 15.8%
Garrison, Robert E United States 98,443,615 15.8%
Gartin, Clinton G United States 98,448,004 15.8%
Gartland, Robert F United States 98,443,054 15.8%
Gault, Bernard France 98,448,856 15.8%
Gauntt, Robert P United States 98,443,054 15.8%
Gehrman, Douglas United States 98,443,054 15.8%
Genova, Lisa A United States 98,443,054 15.8%
George, Patrick Robert France 98,443,729 15.8%
Gerlach, William B United States 98,443,054 15.8%
Gerleman, Troy A United States 98,443,054 15.8%
Germany, J. David United States 98,443,054 15.8%
Gerner, Rolf Michael Germany 98,443,186 15.8%
Ghaffari, Paul B United States 98,443,054 15.8%
Giannotti, Paola Italy 98,443,054 15.8%
Gibson, Michael Switzerland 98,444,796 15.8%
Gibson, Thomas C United States 98,443,054 15.8%
Gilbert, Roger N United Kingdom 98,443,054 15.8%
Gilja, Amit K India 98,443,054 15.8%
Gilligan, James A United States 98,443,054 15.8%
</TABLE>
13
<PAGE>
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------------
LINE 1 LINE 6 LINE 11 LINE 13
- --------------------------------------------------------------------------------------------
PERCENT OF CLASS
AGGREGATE AMOUNT REPRESENTED BY
NAME CITIZENSHIP BENEFICIALLY HELD AMOUNT IN LINE 11
- --------------------------------------------------------------------------------------------
<S> <C> <C>
Ginbayashi, Toshihiko Japan 98,444,193 15.8%
Girsky, Stephen J United States 98,443,054 15.8%
Giura, Mark J United States 98,443,054 15.8%
Glas, Michel T France 98,444,166 15.8%
Glascott, James D United States 98,443,384 15.8%
Godlin, Wayne D United States 98,443,054 15.8%
Goldberg, Alan E United States 98,443,054 15.8%
Goldburg, David J United States 98,443,054 15.8%
Golding, David R United States 98,443,054 15.8%
Golding, Stephen T United States 98,443,054 15.8%
Goldrich, Robert F United States 98,452,954 15.8%
Goldstein, Carol S United States 98,443,054 15.8%
Golod, Richard G United States 98,443,054 15.8%
Gonfiantini, Fred J United States 98,443,054 15.8%
Good, Brian W United States 98,443,054 15.8%
Gordon, Marc W United States 98,443,054 15.8%
Gorman Taylor, Jessica G United States 98,443,054 15.8%
Gotbaum, Noah Eliot United States 98,443,121 15.8%
Gottheim, Jeffrey L United States 98,443,054 15.8%
Gould, Richard G., III United States 98,443,054 15.8%
Graflund, Scott R United States 98,443,054 15.8%
Graham, Gilles United Kingdom 98,445,820 15.8%
Graham, James R Ireland 98,452,042 15.8%
Grandi, Giovanni Luigi Italy 98,443,054 15.8%
Grant, Adam D United Kingdom 98,445,512 15.8%
Grass, Joseph Michael Canada 98,443,466 15.8%
Gray, Michael A United States 98,443,054 15.8%
Gray, Stephen Edward United Kingdom 98,445,106 15.8%
Green, Mark W United States 98,443,054 15.8%
Greenberg, David L United States 98,443,054 15.8%
Greenberg, Edward M United States 98,443,054 15.8%
Greenlaw, David J United States 98,443,054 15.8%
Greenshields, Simon United Kingdom 98,443,054 15.8%
Greenwald, Jamie United States 98,456,587 15.8%
Gremont, Arnaud Jean-Marie France 98,444,080 15.8%
Grier, Thomas A United States 98,452,308 15.8%
Gries, Michael United States 98,443,054 15.8%
Griffiths, Brian R United States 98,443,054 15.8%
Grigson, Richard Simon G United Kingdom 98,444,402 15.8%
Grimes, Michael D United States 98,443,054 15.8%
Grinnell, Christopher C United States 98,443,054 15.8%
Groesbeck, Jonathan M United States 98,443,054 15.8%
Grogan, Matthew J United States 98,443,054 15.8%
Gronquist, Catherine D United States 98,443,843 15.8%
Gros, Francisco R.A Brazil 98,443,054 15.8%
Grzeczka, Keith L United States 98,443,054 15.8%
Gulley, Mark R United States 98,443,054 15.8%
Gully, Joshua P United States 98,443,054 15.8%
Gunstensen, Andrew K Canada 98,443,054 15.8%
Gusick, Robert J United States 98,443,054 15.8%
Gutheim, Paul G United States 98,443,054 15.8%
Guttridge, Jane United Kingdom 98,443,851 15.8%
Haberkorn, Elizabeth A United States 98,443,054 15.8%
Haffner, Lynn C United States 98,446,024 15.8%
Hager, Francis J United States 98,443,054 15.8%
</TABLE>
14
<PAGE>
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------------
LINE 1 LINE 6 LINE 11 LINE 13
- --------------------------------------------------------------------------------------------
PERCENT OF CLASS
AGGREGATE AMOUNT REPRESENTED BY
NAME CITIZENSHIP BENEFICIALLY HELD AMOUNT IN LINE 11
- --------------------------------------------------------------------------------------------
<S> <C> <C>
Hagin, Robert L United States 98,443,054 15.8%
Haguenauer, Olivier P France 98,444,463 15.8%
Hahn, Jeffrey D United States 98,443,054 15.8%
Hahn, John C United States 98,445,901 15.8%
Hall, Michael J United Kingdom 98,445,611 15.8%
Hall, Perry E., II United States 98,443,054 15.8%
Halliday, Christopher I United Kingdom 98,444,774 15.8%
Halsted, Scott S United States 98,443,054 15.8%
Hamada, Toshiyuki Japan 98,450,711 15.8%
Hamidi, Shahram Iran 98,449,324 15.8%
Hamilton, Peter F United States 98,443,054 15.8%
Han, Seung Soo Korea 98,443,054 15.8%
Hancock, Mark R United States 98,443,054 15.8%
Haney, Timothy D United States 98,443,054 15.8%
Haney, William C United States 98,445,034 15.8%
Hanlon, John P United States 98,443,054 15.8%
Hanson, Richard F United States 98,443,054 15.8%
Hantho, Mark A Canada 98,443,146 15.8%
Happel, Michael A United States 98,443,054 15.8%
Hara, Fusao Japan 98,566,729 15.8%
Hardie, Iain Richard United Kingdom 98,444,390 15.8%
Harding, William J United States 98,443,054 15.8%
Hardman, Davisson E, JR United States 98,528,929 15.8%
Hardy, Michael W United States 98,443,054 15.8%
Harland, Christopher M United States 98,443,054 15.8%
Harman, William R United States 98,443,054 15.8%
Harmeyer, Fred C United States 98,443,054 15.8%
Harms, Thomas K., JR United States 98,443,054 15.8%
Harpe, Michael G Canada 98,443,054 15.8%
Harrel, Evan G United States 98,443,054 15.8%
Harrington, Anna R United States 98,443,054 15.8%
Harris Brown, Jennifer United States 98,443,054 15.8%
Harris, Carla A United States 98,443,054 15.8%
Harris, Joseph K United States 98,443,054 15.8%
Harris, Mark United States 98,443,054 15.8%
Harris, Peter D United Kingdom 98,443,054 15.8%
Harris, W. Brooks United States 98,443,054 15.8%
Hart, Bradford D United States 98,443,054 15.8%
Hart, Michael A United States 98,443,054 15.8%
Harvey, Ellen D United States 98,443,054 15.8%
Harvey, Peter M United States 98,443,054 15.8%
Hassen, Thomas E United States 98,443,054 15.8%
Hatfield, Jay D United States 98,443,054 15.8%
Havens, John P United States 98,443,054 15.8%
Hawkins, Chris Alan United Kingdom 98,443,054 15.8%
Hay, Marianne Laing United Kingdom 98,447,547 15.8%
Hayashi, Kazushi Japan 98,462,010 15.8%
Hayes, David L United States 98,443,054 15.8%
Hayes, Mary-Anne Australia 98,443,054 15.8%
Hayes, Michael A United Kingdom 98,444,467 15.8%
Hayes, Patricia A United States 98,443,054 15.8%
Haythe, David O United States 98,446,985 15.8%
Healy, Donald J United States 98,443,054 15.8%
Healy, Robert J United States 98,443,054 15.8%
Heaney, Edward S United States 98,443,054 15.8%
</TABLE>
15
<PAGE>
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------------
LINE 1 LINE 6 LINE 11 LINE 13
- --------------------------------------------------------------------------------------------
PERCENT OF CLASS
AGGREGATE AMOUNT REPRESENTED BY
NAME CITIZENSHIP BENEFICIALLY HELD AMOUNT IN LINE 11
- --------------------------------------------------------------------------------------------
<S> <C> <C>
Hebda, Candacia A United States 98,443,054 15.8%
Hedlund, Mats Mikael Sweden 98,446,352 15.8%
Heffington, Gregory United States 98,443,054 15.8%
Hegel, Peter W United States 98,443,054 15.8%
Hegglin, Daniel R Switzerland 98,489,407 15.8%
Heiges, Lawrence E United States 98,483,684 15.8%
Heiszek, Stephen C Canada 98,443,054 15.8%
Henczel, Donald P United States 98,443,054 15.8%
Hendel, Stuart J United States 98,443,054 15.8%
Hendry, Daniele N Switzerland 98,443,054 15.8%
Henkel, Eleni D United States 98,443,054 15.8%
Henkel, Peter F United States 98,443,054 15.8%
Hennemuth, Bruce W United States 98,443,054 15.8%
Hennessey, Keith B United States 98,443,054 15.8%
Hennessy, Miguel E United States 98,443,734 15.8%
Hennigan, Patrick J United States 98,443,054 15.8%
Hepburn, John K Canada 98,492,712 15.8%
Hershy, Robert J United States 98,443,054 15.8%
Herskovitz, Michael D United States 98,444,827 15.8%
Hevner, John D United States 98,443,054 15.8%
Heyes, Richard C United Kingdom 98,447,782 15.8%
Hickey, Robert J United States 98,443,054 15.8%
Hilder, David B United States 98,443,054 15.8%
Hill, Joseph W, II United States 98,443,054 15.8%
Hill, Susan Jean United States 98,443,054 15.8%
Hilliard, Charles S United States 98,443,054 15.8%
Hillstrom, Per Johan Sweden 98,443,505 15.8%
Hilzenrath, Eugene B United States 98,443,054 15.8%
Hirao, Gen Japan 98,445,946 15.8%
Hirsch, Steven E United States 98,443,054 15.8%
Hirschfeld, David J United States 98,443,054 15.8%
Hirschman, Kimberly L United States 98,443,318 15.8%
Hirshorn, William D United States 98,443,231 15.8%
Hirst, Julian Clement United Kingdom 98,444,126 15.8%
Hitchcock, Kent P United States 98,443,054 15.8%
Hobson, John D Australia 98,443,054 15.8%
Hoch, James S United States 98,457,966 15.8%
Hoch, Kenneth C United States 98,443,054 15.8%
Hodes, David R United States 98,443,054 15.8%
Hoffen, Howard I United States 98,443,054 15.8%
Hoffman, Jeanne United States 98,443,054 15.8%
Hoffman, Michael C United States 98,443,054 15.8%
Hogaboom, David S United States 98,443,054 15.8%
Hogan, Arthur R, III United States 98,445,732 15.8%
Hogan, Jeffrey N United States 98,443,054 15.8%
Holland, Ian New Zealand 98,445,048 15.8%
Hollihan, John P, III United States 98,445,207 15.8%
Holm, Eric R United States 98,454,474 15.8%
Holmes, Warren Richard United Kingdom 98,443,858 15.8%
Holzschuh, Jeffrey R United States 98,443,054 15.8%
Hoornweg, Roberto Netherlands 98,449,067 15.8%
Hornbeck, Geoffrey H United States 98,443,054 15.8%
Hosler, C. William United States 98,443,054 15.8%
Houston, James S United States 98,443,054 15.8%
Howland, Christopher John United Kingdom 98,444,817 15.8%
</TABLE>
16
<PAGE>
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------------
LINE 1 LINE 6 LINE 11 LINE 13
- --------------------------------------------------------------------------------------------
PERCENT OF CLASS
AGGREGATE AMOUNT REPRESENTED BY
NAME CITIZENSHIP BENEFICIALLY HELD AMOUNT IN LINE 11
- --------------------------------------------------------------------------------------------
<S> <C> <C>
Hsieh, Jackson United States 98,443,054 15.8%
Hu, Wei-Chung Bradford Taiwan 98,443,054 15.8%
Huang, Susan S United States 98,443,054 15.8%
Huffman, Randall C United States 98,443,054 15.8%
Hughes, Karen P United Kingdom 98,443,054 15.8%
Hughes-Guden, Ruth A United States 98,443,054 15.8%
Humphery, Marye L United Kingdom 98,443,576 15.8%
Humphrey, Richard United States 98,443,054 15.8%
Huneke, John H, III United States 98,443,054 15.8%
Hung, Yie-Hsin United States 98,468,921 15.8%
Hunt, Robert S United States 98,443,054 15.8%
Huntington, Robert H United States 98,443,054 15.8%
Huntley, Kristen S United States 98,443,054 15.8%
Husain, Mian Fazle Pakistan 98,443,054 15.8%
Hwang, Grace T United States 98,443,054 15.8%
Hyman, John Edward United Kingdom 98,446,079 15.8%
Iannetta, Michael J United States 98,443,054 15.8%
Ikehara, Susumu Japan 98,444,019 15.8%
Iles, Susan Elizabeth United Kingdom 98,443,262 15.8%
Imanishi, Jun Japan 98,503,522 15.8%
Inglis, Jack Edward United Kingdom 98,444,818 15.8%
Ip, Honsum Hong Kong 98,443,054 15.8%
Ireland, Jenny Fiona United Kingdom 98,443,379 15.8%
Irish, John S United States 98,443,054 15.8%
Isasi, Luis Spain 98,444,739 15.8%
Ishikawa, Hiroshi Japan 98,452,321 15.8%
Ismail, Wan Hamdan Malaysia 98,443,054 15.8%
Ito, Eiji Japan 98,447,870 15.8%
Ivey, Tracey H United States 98,443,054 15.8%
Jabbour, Reynold A United States 98,443,054 15.8%
Jacobs, David A United States 98,443,054 15.8%
Jaffe, Glenn P United States 98,443,054 15.8%
Jalouneix, Olivier France 98,444,801 15.8%
James, George Michael United States 98,518,619 15.8%
James, Melissa E United States 98,443,054 15.8%
Jamesley, Karen C United States 98,443,054 15.8%
Janson, Michael M United States 98,447,014 15.8%
Jarvis, Timothy E United States 98,443,187 15.8%
Jeffery, William Jeremy United States 98,443,054 15.8%
Jennings, Jeffrey D United States 98,443,054 15.8%
Jennings, Susan United States 98,443,054 15.8%
Jodka, Jonathan D United States 98,443,054 15.8%
Johansson, Jerker M Sweden 98,455,560 15.8%
Johnson, David United States 98,443,054 15.8%
Johnson, David C United States 98,443,054 15.8%
Johnson, Denise United States 98,443,054 15.8%
Johnson, Margaret Kinsley United States 98,443,054 15.8%
Johnson, R Sheldon United States 98,443,054 15.8%
Johnson, Theodore J United States 98,443,054 15.8%
Jolinger, James United States 98,443,054 15.8%
Jones, Alan K United States 98,448,853 15.8%
Jones, Andrew C United States 98,443,054 15.8%
Jones, David G United States 98,443,054 15.8%
Jones, Robert W United States 98,448,004 15.8%
Joseph, Ravindra J Sri Lanka 98,445,084 15.8%
</TABLE>
17
<PAGE>
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------------
LINE 1 LINE 6 LINE 11 LINE 13
- --------------------------------------------------------------------------------------------
PERCENT OF CLASS
AGGREGATE AMOUNT REPRESENTED BY
NAME CITIZENSHIP BENEFICIALLY HELD AMOUNT IN LINE 11
- --------------------------------------------------------------------------------------------
<S> <C> <C>
Jouhar, Kelvin Jan United Kingdom 98,445,316 15.8%
Juterbock, Thomas M United States 98,444,044 15.8%
Kagan, Samuel J Canada 98,443,054 15.8%
Kageyama, Toshiji Japan 98,450,487 15.8%
Kamen, Eric M United States 98,443,054 15.8%
Kamins, Harold W United States 98,443,054 15.8%
Kamradt, Michael P United States 98,443,054 15.8%
Kan, Bertrand Boudewijn Netherlands 98,443,625 15.8%
Kanellitsas, John A United States 98,443,054 15.8%
Kani, Takeo Japan 98,482,216 15.8%
Kaplan, Stephanie B United States 98,443,054 15.8%
Karches, Peter F United States 98,443,054 15.8%
Karier, Anita United States 98,443,054 15.8%
Kary, Mark R United Kingdom 98,451,842 15.8%
Katsihtis, Paul E United States 98,443,746 15.8%
Kauffman, Richard L United States 98,443,054 15.8%
Kawai, Noboru Japan 98,445,877 15.8%
Kay, S. Carolyn H Australia 98,443,054 15.8%
Kayello, Sammy Lebanon 98,446,516 15.8%
Kazazes, Thomas P United States 98,443,054 15.8%
Keane, Michael David United Kingdom 98,445,318 15.8%
Keays, Thomas R United States 98,443,054 15.8%
Keeler, Paul J United States 98,443,054 15.8%
Keep, Ann United Kingdom 98,448,666 15.8%
Kehl, Philip J United States 98,448,233 15.8%
Kelleher, Colm Thomas United Kingdom 98,452,220 15.8%
Kelley, Scott M United States 98,443,054 15.8%
Kelley, Sean P United States 98,443,054 15.8%
Kelly, Brian W United States 98,443,054 15.8%
Kelly, Christopher R United States 98,443,054 15.8%
Kelly, George J United States 98,443,054 15.8%
Kelly, Kevin M United States 98,443,054 15.8%
Kelly, Timothy D United States 98,443,054 15.8%
Kemp, Stephen C United Kingdom 98,443,054 15.8%
Kennedy, Douglas A Canada 98,443,054 15.8%
Kent, Claire United Kingdom 98,444,731 15.8%
Kent, David Australia 98,443,054 15.8%
Kent, Ronald S United Kingdom 98,445,189 15.8%
Key, Nigel R United States 98,443,054 15.8%
Keyes, Terence Francois United Kingdom 98,443,054 15.8%
Khadjavi, Laya Iran 98,443,054 15.8%
Khanna, Sanjeev United States 98,443,054 15.8%
Kidwell, Jeffrey S United States 98,443,054 15.8%
Kiefer, Lawrence G United States 98,443,054 15.8%
Kilcoyne, Moira A United States 98,443,471 15.8%
Kilpatrick, James H United Kingdom 98,443,753 15.8%
Kim, Andrew Young-Hun United States 98,443,054 15.8%
Kim, Eun Sang Korea 98,443,054 15.8%
Kimball, Paul G United States 98,443,054 15.8%
Kimball, Richard A., JR United States 98,443,054 15.8%
Kindred, Jonathan B United States 98,443,054 15.8%
King, David Richard United Kingdom 98,443,054 15.8%
King, Nancy A United States 98,443,054 15.8%
King, Nicholas F United States 98,443,054 15.8%
Kinkead, Brian M United States 98,443,054 15.8%
</TABLE>
18
<PAGE>
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------------
LINE 1 LINE 6 LINE 11 LINE 13
- --------------------------------------------------------------------------------------------
PERCENT OF CLASS
AGGREGATE AMOUNT REPRESENTED BY
NAME CITIZENSHIP BENEFICIALLY HELD AMOUNT IN LINE 11
- --------------------------------------------------------------------------------------------
<S> <C> <C>
Kinmont, Alexander United Kingdom 98,446,604 15.8%
Kircher, Hillary E United States 98,443,054 15.8%
Kirkland, Derek G United States 98,443,054 15.8%
Kishimoto, Satoshi Japan 98,657,753 15.8%
Kitagawa, Hitoshi Japan 98,446,587 15.8%
Kitts, Robert W United States 98,443,054 15.8%
Klaedtke, Patrick G Germany 98,443,054 15.8%
Klein, Dana R United States 98,443,054 15.8%
Klein, Michael F United States 98,443,054 15.8%
Kloppenborg, Robert W United States 98,443,054 15.8%
Klug, Paul W., JR United States 98,443,054 15.8%
Knowles, James H L Canada 98,444,324 15.8%
Kobashi, Yoshikazu Japan 98,444,612 15.8%
Koederitz, Candice E United States 98,444,044 15.8%
Koenen, Austin V United States 98,443,054 15.8%
Koerling, Heinrich Germany 98,460,361 15.8%
Kohnhorst, Adolf Netherlands 98,444,244 15.8%
Kollmann, Dagmar Petra Austria 98,444,378 15.8%
Komatsubara, Yoshihiko Japan 98,448,341 15.8%
Konolige, Kit United States 98,443,054 15.8%
Koppenol, Robert G United States 98,443,054 15.8%
Korol, David L United States 98,443,054 15.8%
Koshy, George India 98,443,054 15.8%
Kourakos, William United States 98,443,054 15.8%
Kovich, Nicholas J United States 98,443,054 15.8%
Kowalski, David R United States 98,443,054 15.8%
Kraft, Joseph A., JR United States 98,450,811 15.8%
Kreider, Steven K United States 98,443,054 15.8%
Kressner, J. Thomas Sweden 98,445,186 15.8%
Krom, Frederick B, III United States 98,443,054 15.8%
Kupferberg, Barry D United States 98,443,054 15.8%
Kurman, Lee M United States 98,443,054 15.8%
Kurtz, Patricia A United States 98,443,054 15.8%
Kushma, Debra A F United States 98,443,054 15.8%
Kushma, Michael B United States 98,443,054 15.8%
La Roche, Elaine United States 98,443,054 15.8%
Ladd, Susan C United States 98,443,054 15.8%
Lafaman, James T United States 98,443,054 15.8%
Lal, Naina India 98,443,054 15.8%
Lamountain, Jon United States 98,444,516 15.8%
Lancksweert, Dominique Belgium 98,446,257 15.8%
Landers, John Q., JR United States 98,443,054 15.8%
Landman, David United States 98,445,085 15.8%
Landry, Brenda Lee United States 98,449,984 15.8%
Landry, Christina M United States 98,445,529 15.8%
Langford, Thomas R United States 98,443,054 15.8%
Langsam, Joseph A United States 98,443,549 15.8%
Langston, Willie United States 98,443,054 15.8%
Lanio, Thomas F United States 98,443,054 15.8%
Lap, Michiel P Netherlands 98,445,701 15.8%
Larkins, Gary T United States 98,443,054 15.8%
Larkins, Robert J United States 98,443,054 15.8%
Lashendock, Michael J United States 98,443,054 15.8%
Latif, Nadir S United Kingdom 98,448,843 15.8%
Lavelle, Brendan J United States 98,443,054 15.8%
</TABLE>
19
<PAGE>
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------------
LINE 1 LINE 6 LINE 11 LINE 13
- --------------------------------------------------------------------------------------------
PERCENT OF CLASS
AGGREGATE AMOUNT REPRESENTED BY
NAME CITIZENSHIP BENEFICIALLY HELD AMOUNT IN LINE 11
- --------------------------------------------------------------------------------------------
<S> <C> <C>
Lawson, Gary Adam United Kingdom 98,443,054 15.8%
Layng, John G United States 98,443,054 15.8%
Leach, Brian United States 98,518,395 15.8%
Leblanc, Paul L United States 98,443,054 15.8%
Lebowitz, Michael United States 98,443,054 15.8%
Leder, Jason S United States 98,443,054 15.8%
Lee, Ji-Yeun Korea 98,443,054 15.8%
Lee, Robert P United States 98,522,482 15.8%
Lefkowitz, Robert M United States 98,445,964 15.8%
Legg, David United Kingdom 98,443,182 15.8%
Leimer, Willi Kurt Austria 98,443,054 15.8%
Leitch, Donald S United States 98,443,054 15.8%
Lenowitz, Scott J United States 98,443,054 15.8%
Leonard, James R United States 98,443,054 15.8%
Lev, Arthur J United States 98,443,054 15.8%
Levene, Lord Peter Keith United Kingdom 98,443,132 15.8%
Levin, Debra J United States 98,443,054 15.8%
Levy, Thomas A United States 98,443,054 15.8%
Levy, William D United States 98,443,054 15.8%
Lewis, Gary M United States 98,443,054 15.8%
Lewis, Richard Graham United Kingdom 98,443,236 15.8%
Lewis, William M, JR United States 98,443,054 15.8%
Liang, James L United States 98,443,054 15.8%
Lickar, Joann United States 98,443,054 15.8%
Lieblich, Steven United States 98,443,054 15.8%
Liebst, Peter J United States 98,443,054 15.8%
Lien, Michael Jown Leam Singapore 98,443,054 15.8%
Lilly, Kevin J United States 98,443,054 15.8%
Lim, Chin Y Malaysia 98,443,054 15.8%
Lim, Judy Y L Singapore 98,443,054 15.8%
Lim, Khoon-Min United States 98,443,054 15.8%
Lindsay, Ian E United Kingdom 98,444,974 15.8%
Lipe, L. Alex Australia 98,443,054 15.8%
Lippi, Marco Italy 98,444,290 15.8%
Lippmann, Marianne J United States 98,443,054 15.8%
Lipton, Stephen C United Kingdom 98,445,503 15.8%
Litt, Michael C United States 98,443,054 15.8%
Little, James W United States 98,443,054 15.8%
Liu, Jialin China 98,443,054 15.8%
Liu, Theodore Em-Po United States 98,443,054 15.8%
Lloyd, Charles E.G United States 98,443,054 15.8%
Loarie, Robert J United States 98,443,054 15.8%
Lock, William David United Kingdom 98,443,438 15.8%
Locosa, Laura E United States 98,443,054 15.8%
Loden, Tanya M United States 98,443,054 15.8%
Loeb, Roger E United States 98,443,054 15.8%
Loery, Gordon W United States 98,443,054 15.8%
Lombardo, Guido Giulio Italy 98,443,900 15.8%
Longley, Yvonne United Kingdom 98,443,630 15.8%
Longo, Victoria A United States 98,443,054 15.8%
Lopategui, Philippe P France 98,444,255 15.8%
Lorentzen, Kent R United States 98,443,054 15.8%
Lorsung, Anne K United States 98,443,054 15.8%
Loshiavo, Richard A United States 98,443,054 15.8%
Lourie, Jonathan H United States 98,456,873 15.8%
</TABLE>
20
<PAGE>
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------------
LINE 1 LINE 6 LINE 11 LINE 13
- --------------------------------------------------------------------------------------------
PERCENT OF CLASS
AGGREGATE AMOUNT REPRESENTED BY
NAME CITIZENSHIP BENEFICIALLY HELD AMOUNT IN LINE 11
- --------------------------------------------------------------------------------------------
<S> <C> <C>
Lovoi, John V United States 98,443,054 15.8%
Lucaya, Jorge Spain 98,443,271 15.8%
Lumpkins, David B D United States 98,443,054 15.8%
Lutz, Merritt M United States 98,443,054 15.8%
Lyche, Iver United States 98,443,054 15.8%
Lyles, Ray V, JR United States 98,443,054 15.8%
Lynch, Elizabeth W United States 98,443,054 15.8%
Lynch, Patrick D United States 98,443,054 15.8%
Lyons, Douglas Stephen United Kingdom 98,443,853 15.8%
Macchiaverna, Glenn J United States 98,443,054 15.8%
Macdonald, Gavin L United Kingdom 98,446,246 15.8%
Macdonald, Robert Cumming United Kingdom 98,443,054 15.8%
Mack, Andrew John United Kingdom 98,443,603 15.8%
Mack, John J United States 98,443,054 15.8%
Mack, Kristoffer B United States 98,443,054 15.8%
Mackenzie, Douglas F United States 98,443,054 15.8%
Mackin, John J United States 98,443,054 15.8%
Madison, Douglas N United States 98,443,054 15.8%
Maehashi, Nobuya Japan 98,452,861 15.8%
Magee, Steven G United States 98,443,054 15.8%
Maguire, J. Robert United States 98,444,929 15.8%
Maguire, John F United States 98,443,054 15.8%
Mahon, James J United States 98,443,054 15.8%
Mahoney, James P United States 98,443,054 15.8%
Maillet, Jeffrey United States 98,443,054 15.8%
Mainey, Richard E United States 98,443,054 15.8%
Maiwald, Maryann K United States 98,443,054 15.8%
Malgieri, James United States 98,443,054 15.8%
Malone, Christian B United States 98,443,298 15.8%
Maloney, Edward T United States 98,443,054 15.8%
Maluste, Rajiv G India 98,443,054 15.8%
Mamdani, Mahmoud A United States 98,443,054 15.8%
Maner, William A., IV United States 98,443,054 15.8%
Mangino, Gary J United States 98,443,054 15.8%
Manioudakis, Angelo G United States 98,443,054 15.8%
Manley, James J United States 98,443,054 15.8%
Manson, Christopher J. J United Kingdom 98,443,054 15.8%
Mantz, Jay H United States 98,445,490 15.8%
Maratos, Jason G Greece 98,447,112 15.8%
Marcin, Robert J United States 98,443,054 15.8%
Margolis, Jeffrey United States 98,443,054 15.8%
Marks, Kenneth R United States 98,444,044 15.8%
Marks, Matthew B United States 98,443,054 15.8%
Markwalter, John S., JR United States 98,443,054 15.8%
Marren, John W United States 98,443,054 15.8%
Marsch, Paul Andrew United Kingdom 98,444,042 15.8%
Marshall, Ryan J United States 98,443,054 15.8%
Martin, M. Paul United States 98,443,054 15.8%
Martin, Scott E United States 98,443,054 15.8%
Martinez, Lourdes Linden United States 98,443,054 15.8%
Martini, Teresa E United States 98,443,054 15.8%
Martone, Craig J United States 98,443,054 15.8%
Mason, Alexander Maurice Ireland 98,444,665 15.8%
Masri, Jack Joseph United Kingdom 98,444,460 15.8%
Massot, Sylvain P France 98,446,005 15.8%
</TABLE>
21
<PAGE>
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------------
LINE 1 LINE 6 LINE 11 LINE 13
- --------------------------------------------------------------------------------------------
PERCENT OF CLASS
AGGREGATE AMOUNT REPRESENTED BY
NAME CITIZENSHIP BENEFICIALLY HELD AMOUNT IN LINE 11
- --------------------------------------------------------------------------------------------
<S> <C> <C>
Mastrangelo, Joseph F., JR United States 98,443,054 15.8%
Masucci, Ferdinand D United States 98,443,054 15.8%
Matlock, Scott W United States 98,443,054 15.8%
Mayer, Kimball P United States 98,443,054 15.8%
Maynard, Daniel V United States 98,443,930 15.8%
Maynard, Walter, JR United States 98,443,054 15.8%
Mayoros, Alan E United States 98,443,054 15.8%
Mazzilli, Paul J United States 98,443,364 15.8%
Mcallister, Dean E United States 98,443,054 15.8%
Mcarthur, James New Zealand 98,446,374 15.8%
Mcbee, Phoebe United States 98,443,054 15.8%
McCareins, John M United States 98,443,054 15.8%
Mccarthy, Alexis E United States 98,443,054 15.8%
Mccombe, William D Australia 98,443,054 15.8%
Mcconigley, Michael J Ireland 98,446,451 15.8%
Mccreery, David A United States 98,443,054 15.8%
Mcdade, John Wesley, JR United States 98,443,054 15.8%
McDonnell, Dennis United States 98,443,054 15.8%
Mcdonnell, Gail P United States 98,443,054 15.8%
Mcdonough, Patrick J United States 98,443,054 15.8%
McGannon, Mark T United States 98,443,054 15.8%
Mcgeehan, John D United States 98,443,054 15.8%
Mcgill, James F United States 98,443,054 15.8%
Mcgillicuddy, Jean United States 98,443,054 15.8%
Mcginnis, James P., JR United States 98,443,054 15.8%
Mcguinness, Nancy A United States 98,443,885 15.8%
Mchugh, Daniel United States 98,447,242 15.8%
Mchugh, Florence Q United States 98,443,054 15.8%
Mcinerney, John J United States 98,443,054 15.8%
Mcinerney, Thomas J United States 98,443,054 15.8%
Mcintyre, John P, JR United States 98,443,054 15.8%
Mckean, James Donaldson United Kingdom 98,445,425 15.8%
Mckenna, Craig A United States 98,443,054 15.8%
Mclaughlin, Michael T United States 98,443,054 15.8%
McLaughlin, William United States 98,443,054 15.8%
McMahon, Kelly United States 98,443,054 15.8%
Mcmahon, Kevin A United States 98,443,054 15.8%
Mcmahon, William C United States 98,443,054 15.8%
Mcvicker, Michael J United States 98,443,054 15.8%
Medina, Daniel L United States 98,443,054 15.8%
Mee, Adrian Alexander United Kingdom 98,443,976 15.8%
Meeker, Mary G United States 98,443,054 15.8%
Melendez, Victoria T United States 98,443,342 15.8%
Memani, Krishna K India 98,443,054 15.8%
Memmott, David J United States 98,443,054 15.8%
Mena, Daniel T United States 98,443,054 15.8%
Menell, Mark S United States 98,443,054 15.8%
Menkes, Leslie S United States 98,443,054 15.8%
Merrick, Joanne United States 98,443,054 15.8%
Merritt, Peter G United States 98,443,054 15.8%
Metzler, Robert A United States 98,455,069 15.8%
Meyer, Bruce A United States 98,448,004 15.8%
Meyer, Joseph F United States 98,443,054 15.8%
Meyer, Michael W United States 98,443,054 15.8%
Meyer, Robert L United States 98,443,384 15.8%
</TABLE>
22
<PAGE>
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------------
LINE 1 LINE 6 LINE 11 LINE 13
- --------------------------------------------------------------------------------------------
PERCENT OF CLASS
AGGREGATE AMOUNT REPRESENTED BY
NAME CITIZENSHIP BENEFICIALLY HELD AMOUNT IN LINE 11
- --------------------------------------------------------------------------------------------
<S> <C> <C>
Miao, Eugene A United States 98,443,054 15.8%
Michnowich, Salvatore E United States 98,444,704 15.8%
Micioni, Peter J United States 98,443,054 15.8%
Miki, Naoto Japan 98,443,406 15.8%
Milazzo, Jason T United States 98,443,054 15.8%
Milias St. Peter, Mary Ann United States 98,443,054 15.8%
Miller, Cathy Ann United States 98,443,054 15.8%
Miller, Frederic A United States 98,443,054 15.8%
Miller, Lyle D United States 98,443,054 15.8%
Millington, Charles United States 98,443,054 15.8%
Mincke, Bradley D United States 98,443,054 15.8%
Minicucci, Giuseppina Italy 98,444,817 15.8%
Mirat, Pierre Jean Henri France 98,446,243 15.8%
Missett, Bruce M United States 98,443,054 15.8%
Mita, Mayo Japan 98,444,149 15.8%
Mitchell, Lawrence R., JR United States 98,443,380 15.8%
Mizen, Greg E United States 98,443,054 15.8%
Mizuno, Toshiya Japan 98,496,802 15.8%
Mizuta, Shigeo Japan 98,443,099 15.8%
Moehlmann, Claus Christian Germany 98,443,604 15.8%
Mogenson, Harvey B United States 98,443,054 15.8%
Mohen, Gretchen M United States 98,443,054 15.8%
Mohi, Susan L United States 98,443,054 15.8%
Moia, Paolo Italy 98,443,054 15.8%
Mole, Marie L United States 98,443,054 15.8%
Molinari, William R United States 98,443,054 15.8%
Molloy, June A United States 98,443,054 15.8%
Monroe, Charles United States 98,443,054 15.8%
Montagner, Marc France 98,443,085 15.8%
Moonier, James F United States 98,443,054 15.8%
Moore, David Neil United Kingdom 98,443,054 15.8%
Moore, Donald A., JR United States 98,465,414 15.8%
Moore, Duncan Charles Mcnaught United Kingdom 98,446,623 15.8%
Moore, Michael A United States 98,443,054 15.8%
Moran, Matthew J United States 98,443,054 15.8%
More, Daniel B United States 98,452,373 15.8%
Morell, Curtis W United States 98,443,054 15.8%
Morgan, David H United Kingdom 98,448,909 15.8%
Morganbesser, Neil B United States 98,443,054 15.8%
Morita, Eiko Japan 98,444,855 15.8%
Morphett, Jonathan G United States 98,443,714 15.8%
Morrill, Caroline C United States 98,443,054 15.8%
Morris, John Timothy United States 98,443,054 15.8%
Morris, Karen L United States 98,443,054 15.8%
Mortimer, Patrick J United States 98,443,054 15.8%
Moscati, Leonard F United States 98,443,054 15.8%
Moser, David S United States 98,443,054 15.8%
Mourre, Marc France 98,445,125 15.8%
Mozer, Francine L United States 98,443,054 15.8%
Mueller, Albert J United States 98,443,054 15.8%
Mueller, John M, III United States 98,443,054 15.8%
Mulcahey, Cynthia United States 98,443,054 15.8%
Muller, Cynthia United States 98,443,138 15.8%
Muller, Peter United States 98,443,054 15.8%
Muller, Thomas R United States 98,443,054 15.8%
</TABLE>
23
<PAGE>
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------------
LINE 1 LINE 6 LINE 11 LINE 13
- --------------------------------------------------------------------------------------------
PERCENT OF CLASS
AGGREGATE AMOUNT REPRESENTED BY
NAME CITIZENSHIP BENEFICIALLY HELD AMOUNT IN LINE 11
- --------------------------------------------------------------------------------------------
<S> <C> <C>
Mullin, Sean C.V Canada 98,444,186 15.8%
Mundy, Theodore United States 98,443,054 15.8%
Munger, Stephen R United States 98,443,054 15.8%
Murphy, Charles W United States 98,447,593 15.8%
Murphy, David J United States 98,443,054 15.8%
Murphy, Devin I United States 98,443,265 15.8%
Murphy, Kevin C United States 98,443,054 15.8%
Murray, Eileen K United States 98,443,054 15.8%
Murray, Janet E United Kingdom 98,443,054 15.8%
Murray, Peter J United Kingdom 98,443,054 15.8%
Musetti, Robert C United States 98,443,054 15.8%
Muston, Neale D Australia 98,443,054 15.8%
Nadosy, Peter United States 98,443,054 15.8%
Nagrani, Vikram United States 98,443,054 15.8%
Nagrani, Vineet India 98,443,054 15.8%
Nakada, Kenji Japan 98,455,716 15.8%
Nakamura, Haruo Japan 98,449,202 15.8%
Nakamura, Hiroshi Japan 98,443,054 15.8%
Nakamura, Hiroshi Japan 98,446,203 15.8%
Nakata, Yasuhiro Japan 98,450,803 15.8%
Nall, Rhea F United States 98,443,054 15.8%
Narang, Anil India 98,443,054 15.8%
Narasaki, Tetsuya Japan 98,446,125 15.8%
Nathan, J. Saul United Kingdom 98,445,990 15.8%
Naylor, Margaret P United Kingdom 98,447,416 15.8%
Neamtu, Alexander United States 98,443,072 15.8%
Needham, Peter A United States 98,444,044 15.8%
Nelson, Alec G United Kingdom 98,445,195 15.8%
Neuberger, Mark A United States 98,443,054 15.8%
Neubert, David L. C United States 98,443,054 15.8%
Neubohn, Naneen H United States 98,444,950 15.8%
Neuhaus, Kenneth M United States 98,447,014 15.8%
Neuman, Douglas W United States 98,452,985 15.8%
Neuwirth, David N United States 98,443,054 15.8%
New, Jeff D United States 98,443,054 15.8%
Newcomb, Philip V United States 98,443,054 15.8%
Newhouse, Stephan F United States 98,443,054 15.8%
Newman, David F United Kingdom 98,443,798 15.8%
Newman, Patricia L United States 98,443,054 15.8%
Newman, Rebecca United States 98,443,054 15.8%
Ni Chathmhaoil, Aifric Ireland 98,446,380 15.8%
Nickoll, Benjamin E United States 98,443,054 15.8%
Nicol, David United Kingdom 98,457,040 15.8%
Niehaus, Christopher J United States 98,443,298 15.8%
Niehaus, Robert H United States 98,447,014 15.8%
Niizeki, Kenichi Japan 98,450,056 15.8%
Nimkoff, Debra L United States 98,443,054 15.8%
Noejovich, Gerardo F Argentina 98,443,054 15.8%
Nolan, John R United States 98,443,054 15.8%
Nosseir, Amr M United States 98,443,054 15.8%
Notley, Sean J United Kingdom 98,474,460 15.8%
Nowlin, Kevin M United States 98,443,054 15.8%
Nunnally, Mckee, JR United States 98,473,769 15.8%
Nyberg, Ronald A United States 98,443,054 15.8%
O'Brien, Donald S United States 98,443,054 15.8%
</TABLE>
24
<PAGE>
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------------
LINE 1 LINE 6 LINE 11 LINE 13
- --------------------------------------------------------------------------------------------
PERCENT OF CLASS
AGGREGATE AMOUNT REPRESENTED BY
NAME CITIZENSHIP BENEFICIALLY HELD AMOUNT IN LINE 11
- --------------------------------------------------------------------------------------------
<S> <C> <C>
O'Brien, James M United States 98,460,551 15.8%
O'Brien, Paul F United States 98,443,054 15.8%
O'Connor, Stephen P United Kingdom 98,445,528 15.8%
O'Flynn, Thomas M Canada 98,443,054 15.8%
O'Friel, Mark L United States 98,463,210 15.8%
O'Hare, Michael T United States 98,443,054 15.8%
O'Keefe, William B United States 98,443,054 15.8%
O'Leary, William F United States 98,443,054 15.8%
O'Shea, Kevin D United States 98,445,592 15.8%
Oberlin, Dana M United States 98,443,054 15.8%
Ocampo, Edward J United States 98,447,989 15.8%
Oelerich, Francis J, III United States 98,443,054 15.8%
Okamura, Kazumi Nagashima Japan 98,449,153 15.8%
Okawa, Yoshiro Japan 98,446,196 15.8%
Okubo, Tsutomu Japan 98,450,936 15.8%
Olesky, Jonathan D United States 98,443,054 15.8%
Ong, Arthur Y United States 98,443,054 15.8%
Onuma, Takashi Japan 98,554,080 15.8%
Orem, John R United States 98,443,054 15.8%
Ormerod, Mark United Kingdom 98,447,824 15.8%
Osbon, John F United States 98,443,054 15.8%
Osborne, Nicholas D United States 98,443,054 15.8%
Osmond, Robin S United Kingdom 98,444,344 15.8%
Oyarbide, Carlos Alfonso Spain 98,444,097 15.8%
Pace, Joanne United States 98,443,054 15.8%
Pace, Marvin J United States 98,443,054 15.8%
Pace, Phillip Z United States 98,443,054 15.8%
Packer, Robert M United States 98,443,054 15.8%
Pagliari, Michael United Kingdom 98,446,049 15.8%
Palmer, Daniel Garvey United Kingdom 98,444,679 15.8%
Palmer, Gary P United States 98,443,054 15.8%
Palmiotti, Joseph C United States 98,443,054 15.8%
Pandit, Vikram S India 98,443,054 15.8%
Panjwani, Raju H United States 98,443,054 15.8%
Pannell, Carol Amanda United Kingdom 98,444,865 15.8%
Pannkuk, Paul A United States 98,443,304 15.8%
Parent, Margaret M United States 98,443,054 15.8%
Parr, Gary W United States 98,443,054 15.8%
Parry, Clive J United Kingdom 98,443,429 15.8%
Pasciucco, Gerard United States 98,443,054 15.8%
Pasko, Christopher T United States 98,443,054 15.8%
Pate, Bruce A United States 98,443,054 15.8%
Patel, Mukesh D United States 98,443,054 15.8%
Patten, Veeswanaden R Mauritius 98,443,316 15.8%
Patyk, Daniel G., JR United States 98,443,054 15.8%
Pavoncelli, Riccardo Italy 98,450,911 15.8%
Pearson, Sharon E United Kingdom 98,443,054 15.8%
Pecori Giraldi, Galeazzo Italy 98,451,211 15.8%
Pedde, Richard Canada 98,443,054 15.8%
Pelgrift, James D United States 98,444,869 15.8%
Pellecchio, Ralph L United States 98,443,054 15.8%
Pelosky, Robert J., JR United States 98,443,054 15.8%
Penington, Michael United Kingdom 98,444,847 15.8%
Penney, David J United States 98,443,054 15.8%
Penwell, Stephen B United States 98,443,054 15.8%
</TABLE>
25
<PAGE>
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------------
LINE 1 LINE 6 LINE 11 LINE 13
- --------------------------------------------------------------------------------------------
PERCENT OF CLASS
AGGREGATE AMOUNT REPRESENTED BY
NAME CITIZENSHIP BENEFICIALLY HELD AMOUNT IN LINE 11
- --------------------------------------------------------------------------------------------
<S> <C> <C>
Pereira, Ian C.T Kenya 98,443,054 15.8%
Pereira, Paulo C Portugal 98,446,357 15.8%
Perella, Joseph R United States 98,443,054 15.8%
Perlman, Mike United States 98,443,054 15.8%
Pernas, Alvaro Spain 98,444,985 15.8%
Perrett, Mark Philip United Kingdom 98,444,156 15.8%
Peskin, Michael W United States 98,443,054 15.8%
Pest, Willie R United States 98,443,054 15.8%
Petersohn, Steven J United States 98,443,054 15.8%
Peterson, C. Scott United States 98,446,394 15.8%
Peterson, Wayne D United States 98,443,054 15.8%
Petery, Andras R United States 98,443,054 15.8%
Petitgas, Franck R France 98,448,070 15.8%
Petri, Lawrence M United States 98,443,054 15.8%
Petrick, Michael J United States 98,443,054 15.8%
Petrow, Christopher G United States 98,443,054 15.8%
Petrozzo, Daniel P United States 98,443,054 15.8%
Pflederer, Richard United States 98,443,054 15.8%
Phillips, Charles E., JR United States 98,443,054 15.8%
Phillips, Craig S United States 98,443,054 15.8%
Phillips, James D United States 98,443,054 15.8%
Pierce, Darvin D United States 98,443,054 15.8%
Pietrzak, Dennis S United States 98,443,054 15.8%
Pillepich, George M United States 98,443,054 15.8%
Pipa, Andrew C United States 98,443,054 15.8%
Piraro, Joseph United States 98,443,054 15.8%
Pitcher, James S United Kingdom 98,443,129 15.8%
Pivirotto, Richard R, JR United States 98,443,054 15.8%
Placentra, Daniel R United States 98,443,054 15.8%
Platt, Russell C United States 98,443,054 15.8%
Pochtar, Elaine N United States 98,443,714 15.8%
Pokrzywinski, Jennifer A United States 98,443,054 15.8%
Polsky, Lisa K United States 98,443,054 15.8%
Pope, Patricia United States 98,443,813 15.8%
Porat, Ruth M United States 98,443,054 15.8%
Porte, Thierry G United States 98,446,024 15.8%
Portnow, Loren United States 98,443,054 15.8%
Portogallo, Richard United States 98,443,054 15.8%
Potter, Ian Henry Franklin Canada 98,443,054 15.8%
Poulos, Perry United States 98,443,054 15.8%
Poulton, Roger United Kingdom 98,443,054 15.8%
Povel, Andreas Ludwig J Germany 98,443,054 15.8%
Powell, Don G United States 98,443,054 15.8%
Prakash, Akash India 98,443,054 15.8%
Pratt, Frank T United States 98,443,054 15.8%
Pretty, Rosemary United States 98,443,054 15.8%
Prideaux De Lacy, Dawn R United Kingdom 98,444,007 15.8%
Prill, Patrick United States 98,443,054 15.8%
Pulay, Jessica Mary United Kingdom 98,443,225 15.8%
Purcell, Philip J United States 101,043,585 16.2%
Putcha, Ramakrishna N India 98,443,054 15.8%
Putterman, Jules B United States 98,443,054 15.8%
Quartner, Douglas M United States 98,449,984 15.8%
Query, James B., JR United States 98,443,054 15.8%
Quigley, Donal A United Kingdom 98,444,515 15.8%
</TABLE>
26
<PAGE>
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------------
LINE 1 LINE 6 LINE 11 LINE 13
- --------------------------------------------------------------------------------------------
PERCENT OF CLASS
AGGREGATE AMOUNT REPRESENTED BY
NAME CITIZENSHIP BENEFICIALLY HELD AMOUNT IN LINE 11
- --------------------------------------------------------------------------------------------
<S> <C> <C>
Rabin, Michael D United States 98,443,054 15.8%
Raettig, Lutz Germany 98,443,787 15.8%
Raffel, Andreas Germany 98,445,347 15.8%
Ragovin, Scott H United States 98,443,054 15.8%
Rahbany, Russell A United States 98,443,054 15.8%
Ramachandran, Narayan India 98,443,054 15.8%
Ramakrishnan, Guru K India 98,468,447 15.8%
Ramshaw, Julie United Kingdom 98,443,560 15.8%
Rana, Aditya India 98,443,054 15.8%
Randolph, Guy D, III United States 98,443,054 15.8%
Rankin, Charles United Kingdom 98,445,336 15.8%
Rankowitz, Andrew V United States 98,443,054 15.8%
Rankowitz, Michael L United States 98,476,102 15.8%
Ratib, Ahmet V Cyprus 98,444,943 15.8%
Rault, Joseph M., III United States 98,443,054 15.8%
Ravitz, Leslie C United States 98,443,054 15.8%
Reddy, Stephen D United States 98,443,054 15.8%
Redman, Brian E United States 98,443,054 15.8%
Redpath, James S United States 98,443,054 15.8%
Reeke, Gail Hunt United States 98,446,684 15.8%
Reese, Ronald R United States 98,443,054 15.8%
Refvik, Olav N Norway 98,443,054 15.8%
Reich, Christopher V United States 98,443,054 15.8%
Reicin, Glenn M United States 98,443,054 15.8%
Reid, Alistair Garnet United Kingdom 98,443,464 15.8%
Reid, Donald S Canada 98,443,054 15.8%
Reid, Ian M United Kingdom 98,443,054 15.8%
Reid, William R United States 98,443,054 15.8%
Reierson, Lars A United States 98,443,054 15.8%
Reiland, William T United States 98,443,054 15.8%
Reilly, Christine I United States 98,443,054 15.8%
Reilly, Timothy B United States 98,443,054 15.8%
Rein, Walter Edward United States 98,443,054 15.8%
Remec, Marko C United States 98,443,054 15.8%
Renehan, David United States 98,443,054 15.8%
Renton, Stephen United Kingdom 98,445,808 15.8%
Restaino, Paolo Anthony Italy 98,444,631 15.8%
Revelli, Paolo Italy 98,456,298 15.8%
Reynolds, John R United States 98,443,054 15.8%
Reynoldson, John United States 98,443,054 15.8%
Rice, Mark R United States 98,443,054 15.8%
Rice, Mark R United Kingdom 98,444,932 15.8%
Richard, Scott F United States 98,443,054 15.8%
Richardson, Gerald P United States 98,443,054 15.8%
Richardson, Gordon United Kingdom 98,443,054 15.8%
Richardson, Lorraine A United Kingdom 98,446,765 15.8%
Riche, Eden Matthew United Kingdom 98,444,243 15.8%
Richter, Maria Del Carmen Panama 98,443,054 15.8%
Richter, Todd B United States 98,487,951 15.8%
Riefler, Linda H United States 98,443,054 15.8%
Riley, Thomas R United States 98,443,793 15.8%
Roach, Kevin T United States 98,443,054 15.8%
Roach, Stephen S United States 98,443,054 15.8%
Robert, Marc Henri United States 98,443,808 15.8%
Roberts, John A United Kingdom 98,443,054 15.8%
</TABLE>
27
<PAGE>
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------------
LINE 1 LINE 6 LINE 11 LINE 13
- --------------------------------------------------------------------------------------------
PERCENT OF CLASS
AGGREGATE AMOUNT REPRESENTED BY
NAME CITIZENSHIP BENEFICIALLY HELD AMOUNT IN LINE 11
- --------------------------------------------------------------------------------------------
<S> <C> <C>
Robertson, Michael H United Kingdom 98,443,054 15.8%
Robey, Simon C United Kingdom 98,453,453 15.8%
Robino, Christopher M United States 98,443,054 15.8%
Robinson, John D United States 98,443,054 15.8%
Robson, Glenn R United States 98,443,054 15.8%
Rochat, Christian Pierre Switzerland 98,446,263 15.8%
Rodman, Kevin L United States 98,443,054 15.8%
Roessler, Gustavo S United States 98,443,054 15.8%
Roger, Robin United States 98,443,054 15.8%
Rohde, Gregory John United States 98,443,054 15.8%
Rolison, Leslie United States 98,443,054 15.8%
Rollyson, Mikel M United States 98,443,054 15.8%
Rookwood, Mark S United States 98,443,054 15.8%
Root, Marshal E United States 98,443,054 15.8%
Rosenthal, Andrew United States 98,444,044 15.8%
Rosenthal, Richard L United States 98,443,054 15.8%
Rosenthal, Richard S United States 98,444,368 15.8%
Ross, Ian Canada 98,443,054 15.8%
Rosseinsky, Nicholas Martin United Kingdom 98,444,342 15.8%
Roth, Christian G United States 98,443,054 15.8%
Rothberg, Rei W United States 98,443,054 15.8%
Rowe, Tamsin E.E United Kingdom 98,445,284 15.8%
Rowley, Andrew F United States 98,443,054 15.8%
Rowley, Thomas C United States 98,443,054 15.8%
Ruegnitz, Steven A United States 98,443,054 15.8%
Ruiz, John Thomas United States 98,443,054 15.8%
Runde, James A United States 98,443,054 15.8%
Rusis, Armins K United States 98,443,054 15.8%
Russell, David A United Kingdom 98,447,902 15.8%
Russinelli, Thomas W United States 98,443,054 15.8%
Russo, Stefano Italy 98,443,054 15.8%
Ryan, Christopher L United States 98,443,054 15.8%
Ryan, Jeffrey P United States 98,443,054 15.8%
Ryan, Robert J Canada 98,443,054 15.8%
Rybak, William R United States 98,443,054 15.8%
Ryder, Christopher J United States 98,443,054 15.8%
Sachtleben, Alan T United States 98,443,054 15.8%
Sack, John H United States 98,443,054 15.8%
Sacks, Michael United States 98,443,054 15.8%
Saito, Makoto Japan 98,512,975 15.8%
Sakurada, Koichi Japan 98,445,979 15.8%
Salant, Marshal L United States 98,443,054 15.8%
Salcedo, Antonio Jose Spain 98,453,433 15.8%
Salisbury, William R United States 98,443,054 15.8%
Salmon, Robert E United States 98,443,054 15.8%
Salzman, Jeffrey H United States 98,451,907 15.8%
Sama, Alok United States 98,443,054 15.8%
Samuels, Michele M United States 98,443,179 15.8%
Sandberg, Bruce R United States 98,443,054 15.8%
Sanders, William J United States 98,443,054 15.8%
Sandling, M. James, III United States 98,443,054 15.8%
Sandulli, Richard P United States 98,443,054 15.8%
Sargent, Robert A United Kingdom 98,449,448 15.8%
Sasaki, Mami Japan 98,454,897 15.8%
Sato, Yasuo Japan 98,447,267 15.8%
</TABLE>
28
<PAGE>
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------------
LINE 1 LINE 6 LINE 11 LINE 13
- --------------------------------------------------------------------------------------------
PERCENT OF CLASS
AGGREGATE AMOUNT REPRESENTED BY
NAME CITIZENSHIP BENEFICIALLY HELD AMOUNT IN LINE 11
- --------------------------------------------------------------------------------------------
<S> <C> <C>
Saucedo, Colette United States 98,443,054 15.8%
Savage, Luke United Kingdom 98,444,031 15.8%
Saveliff, James F United States 98,443,054 15.8%
Saxe, Jonathan K United States 98,443,054 15.8%
Saxe, Susan E United States 98,443,393 15.8%
Saxon, Diane Marie United States 98,443,054 15.8%
Saxton, Thomas J United States 98,443,054 15.8%
Sayers, Michael United Kingdom 98,445,549 15.8%
Schaaff, Harold J, JR United States 98,443,054 15.8%
Scherer, Andrew United States 98,443,054 15.8%
Scheuer, Alan United States 98,443,054 15.8%
Schiavo, Anthony United States 98,443,054 15.8%
Schieffelin, Allison United States 98,443,054 15.8%
Schlarbaum, Gary G United States 98,443,054 15.8%
Schlueter, James B United States 98,443,054 15.8%
Schmid, James D United States 98,443,054 15.8%
Schmitt, Dietmar R Germany 98,443,552 15.8%
Schneickert, Michael D United States 98,443,054 15.8%
Schneider, Thomas C United States 99,548,887 15.9%
Schneider, Walter B United States 98,443,054 15.8%
Schoen, Jon S United States 98,443,054 15.8%
Schorin, Charles N United States 98,443,054 15.8%
Schuettler, Hans Joerg Germany 98,443,316 15.8%
Schwartz, Richard C United States 98,443,054 15.8%
Scott, Andrew C United States 98,443,054 15.8%
Scott, Charles H United Kingdom 98,462,559 15.8%
Scott, James H United States 98,443,054 15.8%
Scott, Robert G United States 98,443,054 15.8%
Scott, Tamara United States 98,443,054 15.8%
Scowcroft, John A United States 98,443,054 15.8%
Scully, Robert W United States 98,443,054 15.8%
Scurletis, Dennis T United States 98,443,054 15.8%
Seah, Kiat Seng Singapore 98,443,054 15.8%
Seery, Christopher S United States 98,446,611 15.8%
Seigel, Mark A United States 98,447,014 15.8%
Seiler, Alex W United States 98,443,054 15.8%
Sekaran, Rajan United States 98,443,054 15.8%
Selim, Omar Germany 98,444,372 15.8%
Sella, Roberto M United States 98,443,054 15.8%
Sellars, Tara Kay United Kingdom 98,443,784 15.8%
Semmelhaack, Mary Ellen United States 98,443,246 15.8%
Senouf, Andres Venezuela 98,443,054 15.8%
Serra, Loredana United States 98,443,054 15.8%
Sethi, Vinod R India 98,443,054 15.8%
Seto, Richard United States 98,443,054 15.8%
Sexauer, Stephen C United States 98,443,054 15.8%
Shah, Dhiren H United States 98,448,757 15.8%
Shah, Pravin India 98,443,054 15.8%
Shapiro, John A United States 98,443,054 15.8%
Sharma, Sutesh K United Kingdom 98,449,120 15.8%
Shea, Dennis F United States 98,445,034 15.8%
Shear, Neal A United States 98,443,054 15.8%
Shelley, Cameron United Kingdom 98,443,494 15.8%
Shelton, John United Kingdom 98,445,608 15.8%
Shelton, Richard David United States 98,443,054 15.8%
</TABLE>
29
<PAGE>
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------------
LINE 1 LINE 6 LINE 11 LINE 13
- --------------------------------------------------------------------------------------------
PERCENT OF CLASS
AGGREGATE AMOUNT REPRESENTED BY
NAME CITIZENSHIP BENEFICIALLY HELD AMOUNT IN LINE 11
- --------------------------------------------------------------------------------------------
<S> <C> <C>
Shen, Bing China 98,443,054 15.8%
Shepardson, Robert M., III United States 98,443,054 15.8%
Shepherd, Frederic United States 98,443,054 15.8%
Sherman, Barnet United States 98,443,054 15.8%
Sherva, Dennis G United States 98,443,054 15.8%
Shigenari, Yoshihiko Japan 98,443,315 15.8%
Shima, Yoshio Japan 98,444,433 15.8%
Shimoyama, Nobuo Japan 98,454,727 15.8%
Shizunaga, Kensuke Japan 98,443,365 15.8%
Short, Marium A United States 98,443,054 15.8%
Sica, Frank United States 98,443,054 15.8%
Sidor, Joseph A United States 98,443,054 15.8%
Siefert, Eric P United States 98,443,054 15.8%
Sieling, Richard D United States 98,443,054 15.8%
Siklos, Eugene N Canada 98,443,054 15.8%
Silberstein, Thomas J United States 98,443,054 15.8%
Silver, Caroline Louise United Kingdom 98,445,622 15.8%
Silver, Harry S United States 98,443,054 15.8%
Silver, Naomi B United States 98,443,054 15.8%
Simkowitz, Daniel A United States 98,443,054 15.8%
Simonian, Jon D United States 98,452,954 15.8%
Simpson, Justin S Ireland 98,443,054 15.8%
Sine, Jeffrey A United States 98,443,054 15.8%
Sipprelle, Dwight D United States 98,443,054 15.8%
Sitarz, Paul J United States 98,443,054 15.8%
Six, Scot United States 98,443,054 15.8%
Skiba, Jack L United States 98,443,054 15.8%
Skinner, Alan William United Kingdom 98,443,054 15.8%
Skinner, Alistair E United Kingdom 98,443,054 15.8%
Skinner, Geoffrey F Canada 98,443,525 15.8%
Skov, Andy B United States 98,443,054 15.8%
Sladkus, Mark H United States 98,443,054 15.8%
Slaughter, J. E. Hoke United States 98,443,054 15.8%
Slayton, Scott P United States 98,443,054 15.8%
Slefinger, Thomas J United States 98,443,054 15.8%
Slingo, Matthew Conway United Kingdom 98,443,797 15.8%
Smalley, Robert Louis United States 98,443,054 15.8%
Smith, Charissa H United States 98,443,054 15.8%
Smith, Jeffrey W United States 98,444,469 15.8%
Smith, John-Paul United Kingdom 98,443,999 15.8%
Smith, Judith A United States 98,443,054 15.8%
Smith, Palmer N United States 98,444,516 15.8%
Smith, Paul E United States 98,443,054 15.8%
Smith, Peter R. G United Kingdom 98,444,564 15.8%
Smith, R. Bram United States 98,443,054 15.8%
Smith, Robert M United States 98,443,054 15.8%
Smith, Stephen E United States 98,443,054 15.8%
Smith, Warren Charles Henry United Kingdom 98,443,054 15.8%
Smith, William B United States 98,920,030 15.8%
Smithson, Amanda L. D United Kingdom 98,445,819 15.8%
Soetaert, Mary K United States 98,443,054 15.8%
Sonnenborn, Monroe R United States 98,443,054 15.8%
Sorenson, Traci United States 98,443,054 15.8%
Sorrel, Lawrence B United States 98,443,054 15.8%
Soter, Arthur P United States 98,443,054 15.8%
</TABLE>
30
<PAGE>
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------------
LINE 1 LINE 6 LINE 11 LINE 13
- --------------------------------------------------------------------------------------------
PERCENT OF CLASS
AGGREGATE AMOUNT REPRESENTED BY
NAME CITIZENSHIP BENEFICIALLY HELD AMOUNT IN LINE 11
- --------------------------------------------------------------------------------------------
<S> <C> <C>
Souchon, Stephen Alec South Africa 98,443,269 15.8%
Souter, Robert J United Kingdom 98,444,376 15.8%
Spellman, Kim I United States 98,443,054 15.8%
Spellman, Michael F United States 98,443,054 15.8%
Spence, Anthony D United Kingdom 98,444,422 15.8%
Spence, John F United States 98,443,054 15.8%
Spencer, Cordell G Canada 98,443,054 15.8%
Sperling, Andrew N United States 98,443,054 15.8%
Sperry, Grant H United States 98,443,054 15.8%
Spingardi, Tomaso Italy 98,443,895 15.8%
Spitzley, Ray L United States 98,443,054 15.8%
Sposito, Claudio Italy 98,445,300 15.8%
Stabell, Walter W United States 98,443,054 15.8%
Stabenau, Heinrich H United States 98,443,054 15.8%
Stadler, Joseph P United States 98,443,054 15.8%
Stallard, Michael L United States 98,443,054 15.8%
Stamm, Jeffrey M United States 98,443,054 15.8%
Stanley, Bret W United States 98,443,054 15.8%
Staunton, Jane A United States 98,443,160 15.8%
Steele, Gary Richard United States 98,443,054 15.8%
Steele, Kenneth J United Kingdom 98,446,636 15.8%
Stefanec, Richard J United States 98,443,054 15.8%
Stein, Jens-Peter Germany 98,443,054 15.8%
Steinberg, David L United States 98,443,054 15.8%
Steinman, Richard M United States 98,443,054 15.8%
Stern, Steven S United States 98,443,054 15.8%
Sternberg, Michael I United States 98,443,054 15.8%
Stettner, Lee S United States 98,447,688 15.8%
Stevens, James D United States 98,443,054 15.8%
Stewart, Colin R United States 98,443,054 15.8%
Stewart, John R United States 98,443,054 15.8%
Stolbof, Paul S United States 98,443,406 15.8%
Stoltz, Murray C United States 98,443,054 15.8%
Stone, Jonathan Barry United Kingdom 98,444,390 15.8%
Stott, Peter United Kingdom 98,456,873 15.8%
Stracka, Timothy T United States 98,443,054 15.8%
Strain, Clifton E United States 98,443,054 15.8%
Strain, Jonathan M United States 98,443,054 15.8%
Straus, John A United States 98,443,054 15.8%
Strong, William H United States 98,443,054 15.8%
Struble, K. Lynn Medlin United States 98,443,054 15.8%
Studzinski, John J United States 98,483,282 15.8%
Sturzenegger, Ronald D United States 98,443,054 15.8%
Stux, Ivan E United States 98,443,054 15.8%
Stynes, James B United States 98,443,054 15.8%
Suarez, Glen Patrick United Kingdom 98,444,357 15.8%
Sugio, Kunihiko Japan 98,447,269 15.8%
Sullivan, Elaine May United Kingdom 98,443,666 15.8%
Sullivan, John L United States 98,443,054 15.8%
Sullivan, Michael R United States 98,443,054 15.8%
Sundaram, Ram K India 98,443,054 15.8%
Sutherland, David K United States 98,443,054 15.8%
Suzuki, Hirohiko Japan 98,447,951 15.8%
Suzuki, Sho Japan 98,446,039 15.8%
Sweeney, Francis J United States 98,443,054 15.8%
</TABLE>
31
<PAGE>
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------------
LINE 1 LINE 6 LINE 11 LINE 13
- --------------------------------------------------------------------------------------------
PERCENT OF CLASS
AGGREGATE AMOUNT REPRESENTED BY
NAME CITIZENSHIP BENEFICIALLY HELD AMOUNT IN LINE 11
- --------------------------------------------------------------------------------------------
<S> <C> <C>
Swift, Richard W United States 98,443,054 15.8%
Szilasi, William J United States 98,443,995 15.8%
Tacchi, John Robert United Kingdom 98,443,054 15.8%
Taggart, Richard G United States 98,443,798 15.8%
Takaseki, Hitoshi Japan 98,450,286 15.8%
Takasugi, Tetsuo Japan 98,483,254 15.8%
Takita, Shuma C United States 98,445,176 15.8%
Talisse, Edward P United States 98,443,054 15.8%
Tammenoms Bakker, Carla Netherlands 98,444,903 15.8%
Tan, Soo Hock Singapore 98,443,054 15.8%
Tanimoto, Shinichi Japan 98,444,771 15.8%
Tanner, James L United States 98,453,862 15.8%
Taras, Raymond C United States 98,443,054 15.8%
Taricco, Marco Italy 98,443,656 15.8%
Tarika, Roger C United States 98,456,090 15.8%
Taubman, Paul J United States 98,443,054 15.8%
Tell, Martin R United States 98,443,054 15.8%
Teman, David United States 98,443,054 15.8%
Teplitz, Jonathan B United States 98,443,054 15.8%
Tern, Joseph Y.S Singapore 98,443,054 15.8%
Terreson, Douglas T United States 98,443,054 15.8%
Tharnstrom, Charles A United States 98,443,054 15.8%
Thees, Thomas M United States 98,443,054 15.8%
Thivierge, Ann D United States 98,443,054 15.8%
Thomas, Grady G., III United States 98,443,054 15.8%
Thomas, Owen D United States 98,443,054 15.8%
Thomas, Paul L United Kingdom 98,443,786 15.8%
Thomas, Philip Michael United Kingdom 98,447,319 15.8%
Thomas, Richard H United Kingdom 98,450,472 15.8%
Thorman, Walter E United States 98,443,054 15.8%
Tierney, John F United States 98,443,054 15.8%
Tierney, Raymond M., III United States 98,443,054 15.8%
Tilley, James A Canada 98,443,054 15.8%
Timmins, David John United Kingdom 98,444,226 15.8%
Tisdale, Andrew A United States 98,443,054 15.8%
Togut, David M United States 98,443,054 15.8%
Toldalagi, Paul M United States 98,443,054 15.8%
Tominaga, Hiroshi Japan 98,448,303 15.8%
Tonckens, Jaap C Netherlands 98,443,686 15.8%
Topper, David J United States 98,443,054 15.8%
Torop, Robert United States 98,443,054 15.8%
Tory, Michael Alexander Canada 98,449,534 15.8%
Toubale, Tarek France 98,444,801 15.8%
Towse, Robert C United States 98,443,054 15.8%
Tracy, John M United States 98,446,944 15.8%
Trapp, Goran Par Sweden 98,446,616 15.8%
Trauber, Stephen M United States 98,443,054 15.8%
Treichel, Edward A United States 98,443,054 15.8%
Trenchard, David F United Kingdom 98,446,063 15.8%
Troth, David R United States 98,443,054 15.8%
Truten, Lorraine United States 98,443,054 15.8%
Tsai, Andrew S Hong Kong 98,443,054 15.8%
Tucker, Donna M United States 98,443,054 15.8%
Tucker, Huw M United Kingdom 98,444,774 15.8%
Tulp, Allan J United States 98,443,054 15.8%
</TABLE>
32
<PAGE>
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------------
LINE 1 LINE 6 LINE 11 LINE 13
- --------------------------------------------------------------------------------------------
PERCENT OF CLASS
AGGREGATE AMOUNT REPRESENTED BY
NAME CITIZENSHIP BENEFICIALLY HELD AMOUNT IN LINE 11
- --------------------------------------------------------------------------------------------
<S> <C> <C>
Turnbull, Michael G United Kingdom 98,445,996 15.8%
Tynan, Brendan Timothy United Kingdom 98,451,615 15.8%
Umlauf, Steven Richard United States 98,443,054 15.8%
Upton, Nancy B United States 98,443,054 15.8%
Uttamchandani, Raju India 98,447,952 15.8%
Uva, Michael D United States 98,453,125 15.8%
Vadala, Charles F., JR United States 98,443,054 15.8%
Vaden, Andrew T United States 98,443,054 15.8%
Valdivia Hernandez, Jaime Mexico 98,443,054 15.8%
Vale, Elizabeth A United States 98,443,054 15.8%
Valeiras, Horacio A United States 98,443,054 15.8%
Valencia, Edwin V United States 98,443,054 15.8%
Valentino, Dennis P United States 98,443,054 15.8%
Van Amson, George L United States 98,443,054 15.8%
Van Breugel, Willem Francois Netherlands 98,444,138 15.8%
Van Dyke, Henry, V United States 98,443,054 15.8%
Van Ness, John D United States 98,475,593 15.8%
Van Nieuwenhuizen, Jan L Netherlands 98,445,182 15.8%
Vandercar, Eric M United States 98,443,054 15.8%
Varoli, Corrado P Canada 98,443,054 15.8%
Vaughan, Gregory V United States 98,443,054 15.8%
Vedovotto, Roberto Italy 98,444,804 15.8%
Vial, Patrice Jacques France 98,445,928 15.8%
Vidaurri, Tito O Mexico 98,443,054 15.8%
Visser, Jordi C United States 98,443,054 15.8%
Vitali, Robert W United States 98,443,054 15.8%
Vogel, George J United States 98,443,054 15.8%
Vogelsang, Peter R United States 98,443,054 15.8%
Von Arx, Sabina Esther Switzerland 98,443,054 15.8%
Von Nathusius, Friedrich Germany 98,443,101 15.8%
Von Schroder, Benedikt Germany 98,443,397 15.8%
Von Uffel, George Kurt United States 98,443,054 15.8%
Vonderheide, Mark L United States 98,443,054 15.8%
Voreyer, Robert J United States 98,443,054 15.8%
Voute, Gustave A Netherlands 98,479,253 15.8%
Vrcelj, Stevan Australia 98,443,054 15.8%
Wadsworth, John S., JR United States 98,443,054 15.8%
Wager, Malcolm United Kingdom 98,458,525 15.8%
Wagner, Glenn N United States 98,443,054 15.8%
Waldron, Daniel B United States 98,443,054 15.8%
Walker, David W United States 98,443,054 15.8%
Walker, Sir David Alan United Kingdom 98,476,888 15.8%
Wallace, Eileen S United States 98,443,054 15.8%
Walsh, Frederick R, JR United States 98,444,044 15.8%
Walsh, Nelson S United States 98,443,054 15.8%
Wappler, William M United States 98,443,054 15.8%
Ward, J. Steven United Kingdom 98,789,994 15.8%
Warland, Jeff United States 98,443,054 15.8%
Warren, David R United States 98,443,054 15.8%
Warrick, Judith United States 98,443,054 15.8%
Wasson, David F United States 98,443,384 15.8%
Waters, Daniel E United States 98,443,054 15.8%
Waxman, Scott United States 98,443,054 15.8%
Webley, John United Kingdom 98,445,093 15.8%
Weiant, William M United States 98,443,054 15.8%
</TABLE>
33
<PAGE>
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------------
LINE 1 LINE 6 LINE 11 LINE 13
- --------------------------------------------------------------------------------------------
PERCENT OF CLASS
AGGREGATE AMOUNT REPRESENTED BY
NAME CITIZENSHIP BENEFICIALLY HELD AMOUNT IN LINE 11
- --------------------------------------------------------------------------------------------
<S> <C> <C>
Weidner, Jan Germany 98,443,515 15.8%
Weinhoffer, Joseph C United States 98,443,054 15.8%
Weninger, Bernard Austria 98,443,512 15.8%
Wennick, Wayne O United States 98,443,054 15.8%
West, R. Scott United States 98,443,054 15.8%
Westerfield, John E United States 98,443,054 15.8%
Westerink, Erik J Netherlands 98,444,910 15.8%
Weston, Michael New Zealand 98,454,312 15.8%
Wetherell, Weston United States 98,443,054 15.8%
Whalen, Patrick J United States 98,463,289 15.8%
White, Clyde F United States 98,443,054 15.8%
White, William H United States 98,443,054 15.8%
Whitehand, Robert C United Kingdom 98,484,008 15.8%
Whittington, Marna C United States 98,443,054 15.8%
Whyte, Gregory J United States 98,470,714 15.8%
Wien, Byron R United States 98,443,054 15.8%
Wilcox, Marjorie M United States 98,443,054 15.8%
Wilhelm, Johnathan United States 98,443,054 15.8%
Wilhelm, Melinda United States 98,443,054 15.8%
Willis, Jonathan Timothy United Kingdom 98,444,327 15.8%
Wilmott, James M United States 98,443,054 15.8%
Wilson, Kirk R United States 98,443,054 15.8%
Winchell, Douglas United States 98,443,054 15.8%
Windisch, Ronald L United States 98,443,054 15.8%
Winnington-Ingram, Rebecca S United Kingdom 98,445,603 15.8%
Winters, Philip W United States 98,443,054 15.8%
Wipf, Thomas G United States 98,443,054 15.8%
Wiscomb, Thomas T United States 98,443,054 15.8%
Wise, J. David United States 98,443,054 15.8%
Wise, Michael R United States 98,443,054 15.8%
Witte, Kurt F United States 98,443,054 15.8%
Wlodarski, Stephen United States 98,443,054 15.8%
Woelfel, Patrick United States 98,443,054 15.8%
Wolcott, Samuel H United States 98,643,612 15.8%
Wolfe, Bruce United States 98,443,054 15.8%
Wolkenberg, Paul R United States 98,443,054 15.8%
Wolkowitz, Benjamin United States 98,444,638 15.8%
Wong, Amy United States 98,443,054 15.8%
Wong, David K United States 98,443,054 15.8%
Woo, Kelvin Kam-For Hong Kong 98,443,054 15.8%
Wood, Edward United States 98,443,054 15.8%
Wood, Jerome C United States 98,443,054 15.8%
Wood, Paul D United Kingdom 98,444,611 15.8%
Woodley, John A South Africa 98,443,054 15.8%
Woolworth, Richard G, JR United States 98,443,054 15.8%
Worley, Richard B United States 98,443,054 15.8%
Wotowicz, John S United States 98,445,248 15.8%
Wright, Alyce Anne United States 98,443,934 15.8%
Wright, David C United States 98,443,054 15.8%
Wright, Lundy R United States 98,443,054 15.8%
Wright, Peter John New Zealand 98,443,667 15.8%
Wright, William H., II United States 98,443,054 15.8%
Wyman, Charles C United States 98,443,054 15.8%
Wynne, Brian L United States 98,443,054 15.8%
Yaffe, Randy S United States 98,443,054 15.8%
</TABLE>
34
<PAGE>
<TABLE>
<CAPTION>
- --------------------------------------------------------------------------------------------
LINE 1 LINE 6 LINE 11 LINE 13
- --------------------------------------------------------------------------------------------
PERCENT OF CLASS
AGGREGATE AMOUNT REPRESENTED BY
NAME CITIZENSHIP BENEFICIALLY HELD AMOUNT IN LINE 11
- --------------------------------------------------------------------------------------------
<S> <C> <C>
Yamamoto, Atsushi Japan 98,446,408 15.8%
Yamamoto, Takatoshi Japan 98,474,392 15.8%
Yamamura, Takashi Japan 98,444,589 15.8%
Yang, Ho C Korea 98,443,054 15.8%
Yankou, Thomas J United States 98,443,054 15.8%
Yashiro, Tetsuro Japan 98,445,912 15.8%
Yates, Peter Wilson Australia 98,443,054 15.8%
Yeoman, Roger United Kingdom 98,446,611 15.8%
Yingling, Jeffrey W United States 98,453,946 15.8%
You, Harry L United States 98,443,054 15.8%
Young, Andrew R United States 98,443,054 15.8%
Young, Harrison United States 98,443,054 15.8%
Young, Tyrrell Astley United Kingdom 98,445,110 15.8%
Yu, Ya-Wen J United States 98,443,054 15.8%
Yuki, Kohei Japan 98,455,757 15.8%
Zager, Drew J United States 98,443,054 15.8%
Zaoui, Michael A France 98,447,940 15.8%
Zapico, Martin A United Kingdom 98,447,528 15.8%
Zarn, Kathleen A United States 98,443,054 15.8%
Zaroogian, Michael United States 98,443,054 15.8%
Zaumseil, Brice W United States 98,443,054 15.8%
Zeller, Dwight E United States 98,468,871 15.8%
Zeller-Landau, Nancy J United States 98,443,054 15.8%
Zhang, Songyi Hong Kong 98,443,054 15.8%
Zicherman, Joseph R United States 98,443,054 15.8%
Zick, Alford E., JR United States 98,443,054 15.8%
Ziegelbaum, Michael H United States 98,443,054 15.8%
Zimmerman, John United States 98,443,054 15.8%
Zimmermann, George A United States 98,443,054 15.8%
Zoli, Giovanni B United States 98,443,054 15.8%
Zorn, Ernest P United States 98,443,054 15.8%
Zuckert, Michael S United States 98,443,054 15.8%
</TABLE>
35
<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."/1/ 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, (2) the MAS Agreements, or (3) the VKAC Voting Agreements
(collectively, the "Restrictive 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 the MS
Shares
- --------
1 At the Company's 1998 Annual Meeting of Stockholders, stockholders will be
requested to approve a proposal to change the Company's name to "Morgan Stanley
Dean Witter & Co."
36
<PAGE>
received upon conversion of the Convertible Preferred Shares)
obtained pursuant to the Recapitalization are referred to herein
as "Recapitalization Shares");
(2) Pursuant to participation in the Company's 1986 Stock Option Plan
(the "Option Plan"), the Company's Performance Unit Plan (the "PUP
Plan"), the Company's 1988 Equity Incentive Compensation Plan (the
"1988 Equity Incentive Plan"), the Company'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 Company's 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");
(4) Pursuant to the acquisition of MSDWD Shares resulting from the
conversion of Series A 4% Exchangeable Redeemable Preferred Stock
of MSAM Holdings II, Inc., a wholly-owned subsidiary of the
Company ("MSAMHII"), stated value $100 per share (the "MSAMHII
Convertible Preferred"), acquired by certain of the Reporting
Persons (the "Former VKAC Officers") in exchange for the
contribution on October 31, 1996 of their interest in VK/AC
Holding, Inc. ("VKAC") to MSAMHII in conjunction with MSAMHII's
acquisition of VKAC (such MSDWD Shares being referred to herein as
the "VKAC Shares"); and
(5) Pursuant to privately negotiated or open market transactions or
participation in various employee benefit and executive
compensation plans of Dean Witter Discover (the "DWD Plans") (the
MSDWD Shares beneficially owned pursuant to such transactions or
plans being referred to herein as "Separately Acquired Shares").
In addition, many of the Reporting Persons are participants in the
Company's 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). Each share of ESOP Stock is
convertible into 3.3 MSDWD Shares, and each share of ESOP Stock is entitled to
4.455 votes on all matters submitted to a vote of the holders of MSDWD Shares,
voting together with the holders of MSDWD Shares as one class. The ESOP Stock
and the MSDWD Shares into which they are convertible are not included in the
amounts beneficially owned by the Reporting Persons.
37
<PAGE>
The MS Shares that were converted in the Merger into each Reporting
Person's Recapitalization Shares, if any, were acquired in exchange for such
Reporting 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; each Reporting Person's Benefit Plan Shares and
shares of ESOP Stock, if any (including 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; the VKAC Shares were acquired by the Former VKAC Officers upon
their exchange of their MSAMHII Convertible Preferred which were acquired in
consideration for the contribution of their interests in VKAC to MSAMHII in
conjunction with MSAMHII's acquisition of VKAC as described above; and each
Reporting Person's Separately Acquired Shares, if any (including 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 or pursuant to the terms of various DWD Plans in consideration of services
rendered and, in the case of MSDWD Shares to be acquired pursuant to an exercise
of options granted under a DWD Plan, will be acquired by payment of the exercise
price of the option.
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 and the DWD Plans is administered by the Compensation
Committee of the Board of Directors of the Company (the "Compensation
Committee"), which selects the particular eligible persons who will receive
awards under the Plans and the DWD Plans and
38
<PAGE>
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).
Awards were granted under the Option Plan from 1986-1988 ("SOP
Options"); 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
grant, unless the Compensation Committee otherwise provided. All SOP Options are
currently exercisable and the expiration date of the remaining SOP Options
outstanding is March 31, 1998.
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 as
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
39
<PAGE>
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 MSDWD
Shares (or, prior to the Merger, MS 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 ventures, partnerships or similar business
organizations. The 1995 Equity Incentive Plan was adopted in accordance with the
requirements of Section 162(m) of the Internal Revenue Code of 1986, as amended,
and Rule 16b-3 of the Securities Exchange Act of 1934, as amended (the "Exchange
Act").
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
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tax obligations related to the EIP Option. EIP Options generally 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 any of the Restrictive Agreements.
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 in Item 6). The
voting and disposition and other restrictions currently applicable to the MAS
Shares are discussed in Item 6.
VKAC SHARES
The acquisition of VKAC by MSAMHII was effected on October 31, 1996,
and the VKAC Shares were acquired by the Former VKAC Officers upon their
conversion of MSAMHII Convertible Preferred which they had acquired in exchange
for the contribution of their interest in VKAC to MSAMHII in conjunction with
MSAMHII's acquisition of VKAC. The voting of the VKAC Shares are subject to the
VKAC Voting Agreements (as defined in Item 6). The voting restrictions currently
applicable to the VKAC Shares are discussed in Item 6.
SEPARATELY ACQUIRED SHARES
Separately Acquired Shares are held by Reporting Persons for investment
purposes or pursuant to the DWD Plans. Such MSDWD Shares are not subject to the
restrictions on voting and disposition contained in any of the Restrictive
Agreements.
* * *
Except for (i) 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, (ii) the aquisition of MSDWD Shares by the Former VKAC Officers
upon their exchange of the MSAMHII Preferred Stock (as defined in Item 6) and
(iii) the possible acquisition from time to time of additional Separately
Acquired Shares for investment purposes or pursuant to the DWD Plans, none of
the Reporting Persons has any plans or proposals which relate to or would result
in their acquisition of additional MSDWD Shares.
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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 or Rule 145, as the case may be, 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 of the Reporting Persons are
hereby incorporated by reference. As of January 26, 1998 (the record date for
the Company's 1998 Annual Meeting of Stockholders), the Reporting Persons as a
group may be deemed to beneficially own an aggregate of 105,658,851 MSDWD Shares
/2/, or approximately 16.9%, which represents a 1.2% increase from the amount
reported in the initial Schedule 13D dated May 31, 1997 (the "Last Filing").
Since the Last Filing, the Company granted awards under the Equity Incentive
Plans (principally in connection with fiscal 1997 awards which commenced vesting
on January 2, 1998) and certain former Dean Witter Discover employees became
Reporting Persons. In addition, since the Last Filing, the retirement or
termination of certain employees became effective with the result that they are
no longer Reporting Persons, certain Reporting Persons disposed of MSDWD Shares
and the voting restrictions relating to MSDWD Shares that were issued to certain
retired or terminated employees upon the conversion of Stock Units previously
awarded under the Equity Incentive Plans lapsed. The Reporting Persons as a
group hereby 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 during the period of 60 days following January 26, 1998.
(b) Items (7) - (10) of the cover page or the information provided on
Appendix A for each of the Reporting Persons are hereby incorporated by
reference.
(c) Except as described in Schedule II, no Reporting Person has
effected any transactions in any MSDWD Shares during the period of 60 days
preceding January 26, 1998.
(d) None.
(e) Not applicable.
- --------
2 Includes 6,152,505 MSDWD Shares owned by the Reporting Persons that
are not subject to any of the Restrictive Agreements and excludes 1,856,537
MSDWD Shares into which shares of ESOP Stock allocated to the Reporting Persons
are convertible.
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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. Former VKAC Officers who own VKAC Shares have executed (or agreed to
become subject to) voting agreements (the "VKAC Voting Agreements"
(substantially in the form of Exhibit L hereto)), that place restrictions on
voting of the VKAC 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,
the MAS Agreements and the VKAC 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, the
Plan Agreements, the MAS Agreements (in the case of the Former MAS General
Partners), and the VKAC Voting Agreements (in the case of the Former VKAC
Officers). Pursuant to the voting restrictions contained in the Stockholders'
Agreement, the Plan Agreements, the MAS Voting Agreements and the VKAC Voting
Agreements, the Reporting Persons, prior to any vote of the stockholders of the
Company at a meeting called with respect to any corporate action or before
action is taken by written consent (a "Stockholders' Meeting"), 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 or her sole discretion (the
"Preliminary Vote"). At the subsequent Stockholders' Meeting, the Reporting
Persons must then vote all such MSDWD Shares which were voted in the Preliminary
Vote 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
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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 vote of
the majority of the MSDWD Shares present and voting in the Preliminary Vote.
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%
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 Compensation
Committee. 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
44
<PAGE>
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.
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 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
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<PAGE>
(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.
In accordance with the MAS Voting Agreements, so long as a MAS General
Partner is an employee of the Company or any of its subsidiaries, such MAS
General Partner will be subject to the voting restrictions and procedures
described in the first paragraph under "Voting Restrictions and Arrangements"
above in this Item 6.
VKAC SHARES
The Former VKAC Officers also acquired, in exchange for the
contribution of their interests in VKAC to MSAMHII in conjunction with MSAMHII's
acquisition of VKAC, shares of MSAMHII Convertible Preferred that were issued in
four series (Series A through D) and are exchangeable into MSDWD Shares. The
Series A, Series B, Series C and Series D MSAMHII Convertible Preferred may be
exchanged, in whole or in part, at the option of the holder thereof, during a
30-day period beginning November 1, 1997, 1998, 1999 and 2000, respectively
(provided that the holder is an employee of the Company or any subsidiary
thereof on the first day of the applicable exercise period). Each share of
MSAMHII Convertible Preferred is exchangeable into 3.3915725 MSDWD Shares,
subject to adjustment from time to time to take into account certain events
relating to the Company or the MSDWD Shares that may occur, including stock
dividends or distributions, stock splits, combinations or reclassifications,
consolidations or mergers. Generally, the right of a holder to exchange shares
of a series of the MSAMHII Convertible Preferred expires at the close of
business on the last day of the exercise period applicable to such series.
However, upon the occurrence of certain events, such as termination of
employment without cause, death or long term disability, or a change of control
of MSAMHII or the Company, the holder of the MSAMHII Convertible Preferred has
the right to exchange shares of any series of MSAMHII Convertible Preferred for
MSDWD Shares, provided that the exercise period applicable to such series has
not expired prior to the date of such event. The Merger constituted an event
46
<PAGE>
which entitled the holders of MSAMHII Convertible Preferred to exchange their
MSAMHII Convertible Preferred for MSDWD Shares.
Pursuant to a Registration Rights Agreement dated October 31, 1996
among Morgan Stanley and the Former VKAC Officers, the Former VKAC Officers have
certain limited registration rights in respect of MSDWD Shares received upon an
exchange of the MSAMHII Convertible Preferred and are subject to certain
transfer restrictions on their shares of MSAMHII Convertible Preferred.
In accordance with the VKAC Voting Agreement, so long as a Former VKAC
Officer is an employee of the Company or any of its subsidiaries, such Former
VKAC Officer will be subject to the voting restrictions and procedures described
in the first paragraph under "Voting Restrictions and Arrangements" above in
this Item 6 with respect to his VKAC Shares.
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 Act or the Exchange Act, respectively, or reports filed
by the Reporting Persons under the Exchange Act, 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 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 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 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 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).
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Exhibit H Form of Nonqualified Stock Option Agreement Under the 1986 Stock
Option Plan (Morgan Stanley's Registration Statement on Form S-8
(No. 33-42464)).
Exhibit I Form of Award Agreement Under the Performance Unit Plan (Morgan
Stanley's Registration Statement on Form S-8 (No. 33-42464)).
Exhibit J Form of Stock Unit Certificate Under the 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 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 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 (previously filed
as Exhibit O to the Reporting Persons' Schedule 13D dated May 31,
1997 relating to MSDWD Shares).
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).
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Schedule I
RIGHTS TO ACQUIRE MSDWD SHARES
------------------------------
As of March 27, 1998 (60 days from January 26, 1998), 1,738 Reporting
Persons have the right to acquire 20,846,091 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.
49
<PAGE>
Schedule II
RECENT TRANSACTIONS
-------------------
During the period of 60 days preceding January 26, 1998, 63 Reporting
Persons sold an aggregate of 1,378,655 MSDWD Shares at average prices ranging
from 49.625 to 57.014 per MSDWD Share, and/or effected a transfer by gift of an
aggregate of 104,204 MSDWD Shares. Such sales were effected pursuant to
exemptions under the Securities Act of 1933, as amended. During such period, no
Reporting Person individually disposed of a number of MSDWD Shares exceeding 1%
of the MSDWD Shares outstanding.
During such period, no Reporting Person individually acquired MSDWD
Shares in excess of 1% of the MSDWD Shares outstanding.
50
<PAGE>
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete and
correct.
Date: March 20, 1998
By: /s/ Martin M. Cohen
--------------------------
Martin M. Cohen
Attorney-in-Fact
51
