-----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, GBsGQvigd0nhdCfDq4KCpShpk8IhSVA/ST4VB1+QONeXksfjeBBfhxyu5IZ1Gx3J lPvubHFFSQm3RSkpnzjnDg== 0000895421-99-000212.txt : 19990615 0000895421-99-000212.hdr.sgml : 19990615 ACCESSION NUMBER: 0000895421-99-000212 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 4 FILED AS OF DATE: 19990608 GROUP MEMBERS: MORGAN STANLEY DEAN WITTER & CO GROUP MEMBERS: MORGAN STANLEY DEAN WITTER ADVISORS INC. GROUP MEMBERS: VAN KAMPEN ASSET MANAGEMENT INC. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: TAYLOR ANN STORES CORP CENTRAL INDEX KEY: 0000874214 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-WOMEN'S CLOTHING STORES [5621] IRS NUMBER: 133499319 STATE OF INCORPORATION: DE FISCAL YEAR END: 0201 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-42038 FILM NUMBER: 99642290 BUSINESS ADDRESS: STREET 1: 142 WEST 57TH ST CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 2125413300 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MORGAN STANLEY DEAN WITTER & CO CENTRAL INDEX KEY: 0000895421 STANDARD INDUSTRIAL CLASSIFICATION: FINANCE SERVICES [6199] IRS NUMBER: 363145972 STATE OF INCORPORATION: DE FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 1585 BROADWAY CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 2127614000 MAIL ADDRESS: STREET 1: 1585 BROADWAY STREET 2: 38TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10036 FORMER COMPANY: FORMER CONFORMED NAME: DEAN WITTER DISCOVER & CO DATE OF NAME CHANGE: 19960315 SC 13G/A 1 AMENDMENT FILING SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2 Under the Securities Exchange Act of 1934 (Amendment No. 2 ) Anntaylor Stores Corporation ----------------------------------------------------- (Name of Issuer) Common Stock ----------------------------------------------------- (Title of Class of Securities) 036115103 ----------------------------------------------------- (CUSIP Number) Check the following box if a fee is being paid with this statement [ ]. - ---------- *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 in 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). CUSIP No.036115103 13G Page 2 of 11 Pages - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON(S) S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON(S) Morgan Stanley Dean Witter & Co. IRS # 39-314-5972 - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION The state of organization is Delaware. - -------------------------------------------------------------------------------- NUMBER OF 5. SOLE VOTING POWER SHARES 0 BENEFICIALLY -------------------------------------------------------------- OWNED BY 6. SHARED VOTING POWER EACH 2,205,211 REPORTING -------------------------------------------------------------- PERSON 7. SOLE DISPOSITIVE POWER WITH 0 -------------------------------------------------------------- 8. SHARED DISPOSITIVE POWER 2,286,443 - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,286,443 - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 8.72% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* IA, CO - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 036115103 13G Page 3 of 11 Pages - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON(S) S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON(S) Van Kampen Asset Management Inc. IRS # 13-5130700 - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION The state of organization is Delaware. - -------------------------------------------------------------------------------- NUMBER OF 5. SOLE VOTING POWER SHARES 0 BENEFICIALLY -------------------------------------------------------------- OWNED BY 6. SHARED VOTING POWER EACH 1,372,632 REPORTING -------------------------------------------------------------- PERSON 7. SOLE DISPOSITIVE POWER WITH 0 -------------------------------------------------------------- 8. SHARED DISPOSITIVE POWER 1,372,632 - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,372,632 - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 5.23% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* IA, CO - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 036115103 13G Page 4 of 11 Pages - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON(S) S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON(S) Morgan Stanley Dean Witter Advisors Inc. IRS # 13-3680016 - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION The state of organization is Delaware. - -------------------------------------------------------------------------------- NUMBER OF 5. SOLE VOTING POWER SHARES 0 BENEFICIALLY -------------------------------------------------------------- OWNED BY 6. SHARED VOTING POWER EACH 172,400 REPORTING -------------------------------------------------------------- PERSON 7. SOLE DISPOSITIVE POWER WITH 0 -------------------------------------------------------------- 8. SHARED DISPOSITIVE POWER 172,400 - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 172,400 - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.66% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* IA, CO - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 036115103 13G Page 5 of 11 Pages Item 1. (a) Name of Issuer: Anntaylor Stores Corporation -------------------------------------------------------------- (b) Address of Issuer's Principal Executive Offices: 142 West 57th Street New York, NY 10019 -------------------------------------------------------------- Item 2. (a) Name of Person Filing: (a) Morgan Stanley Dean Witter & Co. (b) Van Kampen Asset Management Inc. (c) Morgan Stanley Dean Witter Advisors Inc. -------------------------------------------------------------- (b) Address of Principal Business Office, or if None, Residence: (a) 1585 Broadway New York, New York 10036 (b) One Parkview Plaza Oakbrook Terrace, IL 60181 (c) Two World Trade Center New York, New York 10048 -------------------------------------------------------------- (c) Citizenship: Incorporated by reference to Item 4 of the cover page pertaining to each reporting person. ------------------------------------------------- (d) Title of Class of Securities: Common Stock -------------------------------------------------------------- (e) CUSIP Number: 036115103 ------------------------------------------------- Item 3. (a) Morgan Stanley Dean Witter & Co. is (e) an Investment Adviser registered under Section 203 of the Investment Advisers Act of 1940. (b) Van Kampen Asset Management Inc. is (e) an Investment Adviser registered under Section 203 of the Investment Advisers Act of 1940. (c) Morgan Stanley Dean Witter Advisors Inc. is (e) an Investment Adviser registered under Section 203 of the Investment Advisers Act of 1940. CUSIP No.036115103 13-G Page 6 of 11 Pages Item 4. Ownership. Incorporated by reference to Items (5) - (9) and (11) of the cover page. Item 5. Ownership of Five Percent or Less of a Class. (a) Inapplicable (b) Inapplicable (c) As of the date hereof, Morgan Stanley Dean Witter Advisors Inc. has ceased to be the beneficial owner of more than five percent of the class of securities. Item 6. Ownership of More Than Five Percent on Behalf of Another Person. (a)&(b) Accounts managed on a discretionary basis by Van Kampen Asset Management Inc., a wholly owned subsidiary of Morgan Stanley Dean Witter & Co., are known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from, the sale of such securities. No such account holds more than 5 percent of the class. (c) Inapplicable Item 7. Identification and Classification of the Subsidiary which Acquired the Security Being Reported on By the Parent Holding Company. Item 8. Identification and Classification of Members of the Group. Item 9. Notice of Dissolution of Group. Item 10. Certification. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purpose or effect. CUSIP No.036115103 13-G Page 7 of 11 Pages Signature. After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: June 8, 1999 Signature: /s/ Bruce Bromberg ----------------------------------------------------------------- Name/Title Bruce Bromberg / Vice President Morgan Stanley & Co. Incorporated ----------------------------------------------------------------- MORGAN STANLEY DEAN WITTER & CO. Date: June 8, 1999 Signature: /s/ Donald P. Ryan ----------------------------------------------------------------- Name/Title Donald P. Ryan / Principal Morgan Stanley Dean Witter Investment Management Inc. ----------------------------------------------------------------- VAN KAMPEN ASSET MANAGEMENT INC. Date: June 8, 1999 Signature: /s/ Barry Fink ----------------------------------------------------------------- Name/Title Barry Fink / Senior Vice President Morgan Stanley Dean Witter Advisors Inc. ----------------------------------------------------------------- MORGAN STANLEY DEAN WITTER ADVISORS INC. INDEX TO EXHIBITS PAGE ----------------- ---- EXHIBIT 1 Agreement to Make a Joint Filing 8 EXHIBIT 2 Secretary's Certificate Authorizing Bruce Bromberg 9 to Sign on behalf of Morgan Stanley Dean Witter & Co. EXHIBIT 3 Secretary's Certificate Authorizing Donald P. Ryan 10 & 11 to Sign on behalf of Van Kampen Asset Management Inc. * Attention. Intentional misstatements or omissions of fact constitute federal criminal violations (see 18 U.S.C. 1001). (022597DTI) EX-99.1 2 JOINT FILING AGREEMENT Cusip No. 036115103 13G Page 8 of 11 Pages EXHIBIT 1 TO SCHEDULE 13G ------------------------------------------------------------------ JUNE 8, 1999 ------------------------------------------------------------------ MORGAN STANLEY DEAN WITTER & CO., VAN KAMPEN ASSET MANAGEMENT INC. and MORGAN STANLEY DEAN WITTER ADVISORS INC. hereby agree that, unless differentiated, this Schedule 13G is filed on behalf of each of the parties. MORGAN STANLEY DEAN WITTER & CO. BY: /s/ Bruce Bromberg --------------------------------------------------------------------- Bruce Bromberg / Vice President Morgan Stanley & Co. Incorporated VAN KAMPEN ASSET MANAGEMENT INC. BY: /s/ Donald P. Ryan -------------------------------------------------------------------- Donald P. Ryan / Principal Morgan Stanley Dean Witter Investment Management Inc. MORGAN STANLEY DEAN WITTER ADVISORS INC. BY: /s/ Barry Fink -------------------------------------------------------------------- Barry Fink / Senior Vice President Morgan Stanley Dean Witter Advisors Inc. EX-99 3 SECRETARY'S CERTIFICATE Page 9 of 11 Pages EXHIBIT 1 ------------------ MORGAN STANLEY, DEAN WITTER, DISCOVER & CO. SECRETARY'S CERTIFICATE I, Charlene R. Herzer, a duly elected and acting Assistant Secretary of Morgan Stanley, Dean Witter, Discover & Co., a corporation organized and existing under the laws of the State of Delaware (the "Corporation"), certify that as approved by a Unanimous Consent of Directors in Lieu of a Meeting dated as of May 31, 1997, the following persons are each authorized to sign reports to be filed under Sections 13 and 16 of the Securities Exchange Act of 1934 on behalf of the Corporation, and such authorizations are in full force and effect as of this date: Stuart J.M. Breslow Robert G. Koppenol Bruce Bromberg Robin Sherak IN WITNESS WHEREOF, I have hereunto set my name and affixed the seal of the Corporation as of the 3rd day of June, 1997. /s/ Charlene R. Herzer ------------------------ Charlene R. Herzer Assistant Secretaty EX-99.3 4 SECRETARY'S CERTIFICATE: DONALD RYAN Page 10 of 11 pages ------------------- CONSENT IN LIEU OF A MEETING OF THE BOARD OF DIRECTORS OF VAN KAMPEN AMERICAN CAPITAL ASSET MANAGEMENT, INC. (a Delaware corporation) The undersigned, being all of the members of the Board of Directors of Van Kampen American Capital Asset Management, Inc., a Delaware corporation (the "Corporation"), in lieu of holding a special meeting of the Board of Directors of the Corporation, hereby adopt the following resolutions by unanimous written consent pursuant to Section 141(f) of the General Corporation Law of the State of Delaware: RESOLVED, that any Vice President, Harold J. Schaaff, Jr., and Donald P. Ryan (the "Proper Officers") are each authorized to sign on behalf of the Corporation any reports to be filed under Section 13 and Section 16 of the Securities Exchange Act of 1934, as amended, and the rules and regulations thereunder, with the Securities and Exchange Commission, each such authorization to cease automatically upon such individual's termination of employment with any affiliate of the Corporation; and FURTHER RESOLVED, that all prior actions taken by the Proper Officers that are within the authority conferred by the foregoing resolution are approved, ratified and confirmed in all respects; and FURTHER RESOLVED, that any and all actions to be taken, caused to be taken or heretofore taken by any officer of the Corporation in executing any and all documents, agreements and instruments and in taking any and all steps (including the payment of all expenses) deemed by such officer as necessary or desirable to carry out the intents and purposes of the foregoing resolutions are authorized, ratified and confirmed. The actions taken by this consent shall have the same force and effect as if taken at a special meeting of the Board of Directors duly called and constituted pursuant to the By-Laws of the Corporation and the laws of the State of Delaware. This consent may be executed in two or more counterparts, each of which shall be deemed an original for all purposes, and together shall constitute one and the same Consent. IN WITNESS WHEREOF, the undersigned have executed this consent of the Board of Directors as of the 11th day of February, 1997. (signature page attached) Page 11 of 11 pages ------------------- ASSISTANT SECRETARY'S CERTIFICATE OF VAN KAMPEN AMERICAN CAPITAL ASSET MANAGEMENT, INC. I, James J. Boyne, the duly elected and appointed Assistant Secretary of Van Kampen American Capital Asset Management, Inc., a Delaware corporation (the "Corporation"), hereby certifies that: a) Attached hereto, as Exhibit A, is a true and correct copy of the Consent in Lieu of the Meeting of the Board of Directors of the ___________ Corporation authorizing the proper signatories to sign Section 13 and Section 16 filings under the Securities Exchange Act of 1934. IN WITNESS WHEREOF, the Corporation has caused this certificate of the Assistant Secretary to be signed by James J. Boyne on this 12th day of February, 1997. /s/ James J. Boyne ------------------------------- James J. Boyne -----END PRIVACY-ENHANCED MESSAGE-----