-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, UgDAnTV4y0xn1VDTtB0NqAL0xEhGHZOWJGM8lUx2UAMwszP2rp9DZWiTczDkUP7b sWQv7OIQ94/R4exSBmBV5Q== 0001047469-99-006321.txt : 19990218 0001047469-99-006321.hdr.sgml : 19990218 ACCESSION NUMBER: 0001047469-99-006321 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990217 GROUP MEMBERS: HERBERT SIMON GROUP MEMBERS: MELVIN SIMON GROUP MEMBERS: MELVIN SIMON & ASSOCIATES, INC. GROUP MEMBERS: SIMON DAVID GROUP MEMBERS: VOTING TRUST BETWEEN M.S. ASSOC., M.S., H.S. & D.S. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SIMON PROPERTY GROUP INC /DE/ CENTRAL INDEX KEY: 0001063761 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798] IRS NUMBER: 046268599 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-55115 FILM NUMBER: 99543810 BUSINESS ADDRESS: STREET 1: 115 WEST WASHINGTON STREET CITY: INDIANAPOLIS STATE: IN ZIP: 46204 BUSINESS PHONE: 3176361600 MAIL ADDRESS: STREET 1: CORPORATE PROPERTY INVESTORS INC STREET 2: THRE DAG MANNARSKJOLD PLAZA 305 E. 47TH CITY: NEW YORK STATE: NY ZIP: 10017 FORMER COMPANY: FORMER CONFORMED NAME: CORPORATE PROPERTY INVESTORS INC DATE OF NAME CHANGE: 19980610 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SIMON DAVID CENTRAL INDEX KEY: 0001079850 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 312745137 STATE OF INCORPORATION: IN FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 115 WEST WASHINGTON CITY: INDIANAPOLIS STATE: IN ZIP: 46204 BUSINESS PHONE: 3176361600 MAIL ADDRESS: STREET 1: 115 WEST WASHINGTON CITY: INDIANAPOLIS STATE: IN ZIP: 46204 SC 13G 1 SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Simon Property Group, Inc. ("SPG") SPG Realty Consultants, Inc. ("SRC") - ------------------------------------------------------------------------------- (Name of Issuer) Common Stock, par value $.0001 per share, of SPG ("Common Stock") paired with a beneficial interest in Common Stock, par value $.0001 per share, of SRC ("SRC Common Stock") - ------------------------------------------------------------------------------- (Title of Class of Securities) 828806 10 9 ----------------------------- (CUSIP Number) September 24, 1998 - ------------------------------------------------------------------------------- (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [ ] Rule 13d-1(c) [X] Rule 13d-1(d) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). Page 1 of 12 Pages - ---------------------------- --------------------------- CUSIP No. 828806 10 9 13G Page 2 of 12 Pages - ---------------------------- --------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Melvin Simon & Associates, Inc. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) /X/ (b) / / - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Indiana - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER -0- ----------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 11,451,581 (see Item 4) OWNED BY ----------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON 3,200,000 (see Item 4) WITH ----------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 11,451,581 (see Item 4) - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 14,651,581 (see Item 4) - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* / / - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 8.22% (see Item 4) - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* CO - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! - ---------------------------- --------------------------- CUSIP No. 828806 10 9 13G Page 3 of 12 Pages - ---------------------------- --------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Voting Trust formed pursuant to a Voting Trust Agreement entered into as of December 1, 1993 between Melvin Simon & Associates, Inc. and Melvin Simon, Herbert Simon and David Simon. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) /X/ (b) / / - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Maryland - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER -0- ----------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 3,200,000 (see Item 4) OWNED BY ----------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON -0- WITH ----------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 3,200,000 (see Item 4) - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 3,200,000 (see Item 4) - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* / / - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 1.92% (see Item 4) - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* OO - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! - ---------------------------- --------------------------- CUSIP No. 828806 10 9 13G Page 4 of 12 Pages - ---------------------------- --------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Melvin Simon - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) /X/ (b) / / - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER -0- ----------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 7,173,795 (see Item 4) OWNED BY ----------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON 7,173,795 (see Item 4) WITH ----------------------------------------------------------- 8 SHARED DISPOSITIVE POWER -0- - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 7,173,795 (see Item 4) - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* / / - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 4.11% (see Item 4) - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! - ---------------------------- --------------------------- CUSIP No. 828806 10 9 13G Page 5 of 12 Pages - ---------------------------- --------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Herbert Simon - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) /X/ (b) / / - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER -0- ----------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 5,623,401 (see Item 4) OWNED BY ----------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON 5,623,401 (see Item 4) WITH ----------------------------------------------------------- 8 SHARED DISPOSITIVE POWER -0- - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 5,623,401 (see Item 4) - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* / / - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 3.25% (see Item 5) - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! - ---------------------------- --------------------------- CUSIP No. 828806 10 9 13G Page 6 of 12 Pages - ---------------------------- --------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON David Simon - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) /X/ (b) / / - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER -0- ----------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 2,281,340 (see Item 4) OWNED BY ----------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON -0- WITH ----------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 2,281,340 (see Item 4) - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,281,340 (see Item 4) - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* / / - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 1.33% (see Item 4) - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! ITEM 1(a). NAME OF ISSUERS: Simon Property Group, Inc. SPG Realty Group, Inc. ITEM 1(b). ADDRESS OF ISSUERS PRINCIPAL EXECUTIVE OFFICES: National City Center 115 West Washington Street, Suite 15 East Indianapolis, Indiana 46204 ITEMS 2(a), NAME OF PERSONS FILING; ADDRESS OF PRINCIPAL 2(b) AND 2(c). BUSINESS OFFICE; CITIZENSHIP: The names, addresses and citizenship of the persons filing this Schedule are as follows: Name: Melvin Simon & Associates, Inc. ("MSA") Address: 115 West Washington Street Indianapolis, Indiana 46204 Citizenship: Indiana Name: A voting trust organized pursuant to Section 2-510 of the Corporations and Associations Article of the Annotated Code of Maryland (the "Trust") and created pursuant to a Voting Trust Agreement (the "Trust Agreement") entered into as of December 1, 1993, between MSA, on the one hand, and Melvin Simon, Herbert Simon and David Simon (collectively, the "Simons"), on the other hand. Address: 115 West Washington Street Indianapolis, Indiana 46204 Citizenship: Maryland Name: Melvin Simon Address: 115 West Washington Street Indianapolis, Indiana 46204 Citizenship: United States Name: Herbert Simon Address: 115 West Washington Street Indianapolis, Indiana 46204 Citizenship: United States Name: David Simon Address: 115 West Washington Street Indianapolis, Indiana 46204 Citizenship: United States ITEM 2(d). TITLE OF OF SECURITIES: Common Stock paired with a beneficial interest in SRC Common Stock. ITEM 2(e). CUSIP NUMBER: 828806 10 9 ITEM 3. Not Applicable ITEM 4. OWNERSHIP: MSA (a) Amount beneficially owned 14,651,581(1) (b) Percent of class* 8.22% (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote -- ---------- (ii) Shared power to vote or to direct the vote 11,451,581
* At November 11, 1998 163,574,091 shares of Common Stock, 3,200,000 shares of Class B Common Stock, par value $.0001 per share, of SPG paired with a beneficial interest in SRC Common Stock ("Class B Common Stock") and 4,000 shares of Class C Common Stock, par value $.0001 per share, of SPG paired with a beneficial interest in SRC Common Stock ("Class C Common Stock") of the Company, were outstanding and were paired with 1,667,780.91 SRC Shares outstanding on that same date. The percentages in this column assume that all options exercisable within 60 days and all units of partnership interest in Simon Property Group, L.P. ("Units") held by such person are exercised or exchanged for shares of Common Stock, but do not give effect to the exercise of options or exchange of Units by other persons. (1) Includes 3,200,000 shares of Common Stock issuable upon conversion of Class B Common Stock. As described in Item 2 and 4 above, by virtue of the Trust Agreement, such shares of Class B Common Stock are held until December 20, 2003, by a voting trust obligated to elect Melvin Simon, Herbert Simon, and David Simon as directors of the Company. MSA is entitled to receive all proceeds from the sale of and all dividends from the Class B Common Stock, except all dividends paid in Class B Common Stock shall be subject to the provisions of the Trust. Upon the occurrence of such events, such shares of Class B Common Stock will convert automatically into shares of Common Stock. Page 8 of 12 Pages (iii) Sole power to dispose or to direct the disposition 3,200,000 ---------- (iv) Shared power to dispose of or to direct the disposition 11,451,581 ---------- TRUST (a) Amount beneficially owned 3,200,000 ---------- (b) Percent of class* 1.92% (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote -- ---------- (ii) Shared power to vote or to direct the vote 3,200,000 (iii) Sole power to dispose or to direct the disposition -- ---------- (iv) Shared power to dispose of or to direct the disposition 3,200,000 ---------- MELVIN SIMON (a) Amount beneficially owned 7,173,795(2) (b) Percent of class* 4.11% (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote -- ---------- (ii) Shared power to vote or to direct the vote 7,173,795 ---------- (iii) Sole power to dispose or to direct the disposition 7,173,795 ---------- (iv) Shared power to dispose of or to direct the disposition -- ---------- HERBERT SIMON (a) Amount beneficially owned 5,623,401(3)
- ------------------------ (2) Includes 7,116,385 Units. Does not include shares of Class B Common Stock and Units owned by MSA (which is 69% owned by Melvin Simon). The Units may be exchangeable, in certain circumstances, for an equal number of shares of Common Stock. (3) Includes 5,554,250 Units. Does not include shares of Class B Common Stock and Units owned by MSA (which is 31% owned by Herbert Simon). The Units may be exchangeable, in certain (b) Percent of class* 3.25% (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote -- ---------- (ii) Shared power to vote or to direct the vote 5,623,401 ---------- (iii) Sole power to dispose or to direct the disposition 5,623,401 ---------- (iv) Shared power to dispose of or to direct the disposition ---------- DAVID SIMON (a) Amount beneficially owned 2,281,340(4) (b) Percent of class* 1.33% (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote -- ---------- (ii) Shared power to vote or to direct the vote 2,281,340 (iii) Sole power to dispose or to direct the disposition 2,281,340 ---------- (iv) Shared power to dispose of or to direct the disposition ----------
ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS: Not Applicable ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON: Not Applicable - -------------------------------------------------------------------------------- circumstances, for an equal number of shares of Common Stock. (4) Includes 2,013,010 Units. Does not include shares of Class B Common Stock and Units owned by MSA (which is 31% owned by Herbert Simon). The Units may be exchangeable, in certain circumstances, for an equal number of shares of Common Stock. ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY: Not Applicable ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP: Not Applicable ITEM 9. NOTICE OF DISSOLUTION OF GROUP: Not Applicable ITEM 10. CERTIFICATION: Not Applicable Page 11 of 12 Pages SIGNATURE After reasonable inquiry and to the best of each of their knowledge and belief, the undersigned certify that the information set forth in this Statement is true, complete and correct. Dated: February 16, 1999 Melvin Simon & Associates, Inc. /s/ Melvin Simon --------------------------------------- Melvin Simon /s/ Herbert Simon --------------------------------------- Herbert Simon /s/ David Simon --------------------------------------- David Simon Page 12 of 12 Pages -----END PRIVACY-ENHANCED MESSAGE-----