-----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, Se88v752mRMWXscQjCtrEa7inx2KBSiz0/vjT0gehZgoT9HhItsQffeUXwg0kHzz Aff6iPtAgIe9qkKpmrD6Ag== 0000009749-96-000113.txt : 19960314 0000009749-96-000113.hdr.sgml : 19960314 ACCESSION NUMBER: 0000009749-96-000113 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19960312 SROS: AMEX SROS: NYSE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ITT HARTFORD GROUP INC /DE CENTRAL INDEX KEY: 0000874766 STANDARD INDUSTRIAL CLASSIFICATION: INSURANCE AGENTS BROKERS & SERVICES [6411] IRS NUMBER: 133317783 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-45625 FILM NUMBER: 96534004 BUSINESS ADDRESS: STREET 1: HARTFORD PLZ CITY: HARTFORD STATE: CT ZIP: 06115 BUSINESS PHONE: 8605475000 MAIL ADDRESS: STREET 1: HARTFORD PLAZA T-15 CITY: HARTFORD STATE: CT ZIP: 06115 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BANKERS TRUST NEW YORK CORP CENTRAL INDEX KEY: 0000009749 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 136180473 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 280 PARK AVE CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2122502500 MAIL ADDRESS: STREET 1: 280 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10017 FORMER COMPANY: FORMER CONFORMED NAME: BT NEW YORK CORP DATE OF NAME CHANGE: 19671107 SC 13G 1 ITT HARTFORD GROUP INC. 13-G FILING BANKERS TRUST COMPANY One Bankers Trust Plaza New York, New York 10006 Damian P. Reitemeyer Mailing Address: Vice President P.O. Box 318 Telephone: 212-250-4599 Church Street Station New York, NY 10008 March 12, 1996 Securities and Exchange Commission SEC Document Control 450 Fifth Street, N.W. Washington, DC 20549 Attn: Filing Desk Dear Sirs: Re: Filing of Schedule 13G on ITT Hartford Group Inc. Pursuant to Rule 13d-1 of the General Rules and Regulations under the Securities Exchange Act of 1934, the following is one copy of the Schedule 13G with respect to the common stock of the above referenced corporation. Please acknowledge your receipt of the Schedule 13G filing submission through the EDGAR-Link System software, by E-Mail confirmation. Sincerely, /s/ Damian P. Reitemeyer Enclosures SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* ITT Hartford Group Inc. ______________________________________ NAME OF ISSUER: Common Stock ($1.00 Par Value) _____________________________________ TITLE OF CLASS OF SECURITIES 45068H106 _____________________________________ CUSIP NUMBER Check the following box if a fee is being paid with this statement [X]. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) *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). (Continued on following page(s)) Page 1 of 9 Pages CUSIP No. 45068H106 Page 2 of 9 Pages 1.NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Bankers Trust New York Corporation, its wholly-owned subsidiaries, Bankers Trust Company, (as Trustee for various trusts and employee benefit plans, and investment advisor) and BT Securities Corporation, and its indirectly wholly-owned subsidiary Bankers Trust International PLC 13-6180473 2.CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (A) [ ] (B) [X] 3.SEC USE ONLY 4.CITIZENSHIP OR PLACE OF ORGANIZATION Bankers Trust New York Corporation, Bankers Trust Company and BT Securities Corporation are New York corporations. Bankers Trust International PLC is a London corporation. NUMBER OF 5. SOLE VOTING POWER SHARES Bankers Trust Company 6,938,036 shares BT Securities Corporation 30,000 shares Bankers Trust International PLC 113,400 shares 7,081,436 shares BENEFICIALLY 6. SHARED VOTING POWER OWNED BY Bankers Trust Company 1,500 shares BT Securities Corporation 0 shares Bankers Trust International PLC 0 shares 1,500 shares EACH 7. SOLE DISPOSITIVE POWER REPORTING Bankers Trust Company 2,030,928 shares BT Securities Corporation 30,000 shares Bankers Trust International PLC 113,400 shares 2,174,328 shares CUSIP No. 45068H106 Page 3 of 9 Pages PERSON 8. SHARED DISPOSITIVE POWER WITH Bankers Trust Company 6,205 shares BT Securities Corporation 0 shares Bankers Trust International PLC 0 shares 6,205 shares 9.AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON Bankers Trust Company 6,939,536 shares BT Securities Corporation 30,000 shares Bankers Trust International PLC 113,400 shares 7,082,936 shares 10.CHECK BOX IF THE AGGREGATE AMOUNT IN ROW(9) EXCLUDES CERTAIN SHARES * [X] 11.PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 Bankers Trust Company 5.9% BT Securities Corporation 0.0% Bankers Trust International PLC 0.1% 6.0% 12.TYPE OF REPORTING PERSON * Bankers Trust New York Corporation - HC Bankers Trust Company - BK BT Securities Corporation - BD Bankers Trust International PLC - CO CUSIP No. 45068H106 Page 4 of 9 Pages DISCLAIMER OF BENEFICIAL OWNERSHIP THE FILING OF THIS SCHEDULE G STATEMENT SHALL NOT BE CONSTRUED AS AN ADMISSION THAT BANKERS TRUST NEW YORK CORPORATION, BANKERS TRUST COMPANY, AS TRUSTEE (THE BANK), BT SECURITIES CORPORATION, BANKERS TRUST INTERNATIONAL PLC. ARE, FOR THE PURPOSE OF SECTION 13(g) OF THE SECURITIES AND EXCHANGE ACT OF 1934, OR FOR ANY OTHER PURPOSE, THE BENEFICIAL OWNER OF THE SECURITIES SET FORTH IN ITEM 4(a)(vi) HEREOF. Item 1(a) NAME OF ISSUER: ITT Hartford Group Inc. Item 1(b) ADDRESS OF ISSUER S PRINCIPAL EXECUTIVE OFFICES: 1330 Avenue of the Americas New York, New York 10019 Item 2(a) NAME OF PERSON FILING: Bankers Trust New York Corporation, its wholly-owned subsidiaries, Bankers Trust Company (as Trustee for various trusts and employee benefit plans, and investment advisor) and BT Securities Corporation, and its indirectly wholly-owned subsidiary Bankers Trust International, PLC. Item 2(b) ADDRESS OF PRINCIPAL BUSINESS OFFICE: 280 Park Avenue New York, New York 10017 Item 2(c) CITIZENSHIP: Bankers Trust New York Corporation and Bankers Trust Company (as Trustee for various trusts and employee benefit plans, and investment advisor), and BT Securities Corporation, are corporations incorporated in the State of New York with their principal business offices located in New York. Bankers Trust International PLC is incorporated in England with its principal business office located in London. CUSIP No. 45068H106 Page 5 of 9 Pages Item 2(d) TITLE OF CLASS OF SECURITIES: Common Stock ($1.00 Par Value) of ITT Hartford Group Inc. Item 2(e) CUSIP NUMBER: 45068H106 Item 3 THE PERSON FILING IS A: For Bankers Trust New York Corporation, (g) [X] Parent Holding Company, in accordance with Section 240.13d-1(b)(ii)(G) For Bankers Trust Company (b) [X] Bank as defined in section 3(a)(6) of the Act. For BT Securities Corporation (a) [X] Broker or dealer registered under Section 15 of the Act. Bankers Trust Internatonal PLC is a corporation permitted to report on Schedule 13G in accordance with the Securities and Exchange Commission no-action letter issued to Bankers Trust New York Corporation dated May 15, 1990. Item 4 OWNERSHIP: (a) Amount Beneficially Owned: As of December 31, 1995 (i) Bankers Trust Company 6,939,536 shares BT Securities Corporation 30,000 shares Bankers Trust International PLC 113,400 shares 7,082,936 shares (ii) Bankers Trust Company was the record owner of 4,246,423 shares as Trustee of the company s various employee stock ownership plan (Plan) with respect to which the bank disclaims beneficial ownership. CUSIP No. 45068H106 Page 6 of 9 Pages The Plan states that each Plan participant shall have the right to direct the manner in which shares of common stock shall be voted at all stockholders meetings. The Department of Labor has expressed the view that, under certain circumstances, ERISA may require the Trustee to vote shares which are not allocated to participants accounts and unvoted shares. Since, in the view of the Bank and Bankers Trust New York Corporation, such voting power is merely a residual power based upon the occurrence of an unlikely contingency and is not a sole or shared power to vote the securities, the Bank and Bankers Trust New York Corporation hereby disclaim beneficial ownership of such securities. (b) PERCENT OF CLASS: The common stock described in Item 4(a) above as to which the Bankers Trust New York Corporation acknowledges beneficial ownership constitutes the following: Bankers Trust Company 5.9% BT Securities Corporation 0.0% Bankers Trust International PLC 0.1% 6.0% The common stock as to which the Bank and Bankers Trust Corporation disclaim beneficial ownership constitutes 3.6% of the Issuer s outstanding Common Stock. (c) Number of shares as to which the Bank has: (i) sole power to vote or to direct the vote - Bankers Trust Company 6,938,036 shares BT Securities Corporation 30,000 shares Bankers Trust International PLC 113,400 shares 7,081,436 shares (ii) shared power to vote or to direct the vote - Bankers Trust Company 1,500 shares BT Securities Corporation 0 shares Bankers Trust International PLC 0 shares 1,500 shares CUSIP No. 45068H106 Page 7 of 9 Pages (iii) sole power to dispose or to direct the disposition of - Bankers Trust Company 2,030,928 shares BT Securities Corporation 30,000 shares Bankers Trust International PLC 113,400 shares 2,174,328 shares (iv) shared power to dispose or to direct the disposition of - Bankers Trust Company 6,205 shares BT Securities Corporation 0 shares Bankers Trust International PLC 0 shares 6,205 shares Item 5 OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS: [] Item 6 OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON: The Issuer s Plan, and various trusts and employee benefit plans for which the Bank serves as Trustee, and accounts for which the Bank serves as investment advisor, have the right to receive and/or the power to direct the receipt of dividends from, or the proceeds from the sale of, such securities. Item 7 IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY: See Item 3 above. Item 8 IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP: Not applicable. Item 9 NOTICE OF DISSOLUTION OF GROUP: Not Applicable CUSIP No. 45068H106 Page 8 of 9 Pages 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. 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: as of December 31, 1995 Signature: Bankers Trust New York Corporation By: /s/James T. Byrne, Jr. Name: James T. Byrne, Jr. Title: Secretary Signature: Bankers Trust Company, as Trustee for various trusts, and employee benefit plans, and investment advisor. By: /s/James T. Byrne, Jr. Name: James T. Byrne, Jr. Title: Secretary Signature: BT Securities Corporation By: /s/Thomas Quane Name: Thomas Quane Title: Managing Director CUSIP No. 45068H106 Page 9 of 9 Pages Signature: Bankers Trust International PLC By: /s/Brian E. Walsh Name: Brian E. Walsh Title: Managing Director EXHIBIT TO ITEM 7 The chain of ownership from Bankers Trust New York Corporation to Bankers Trust Company is shown below: Bankers Trust New York Corporation | 100% | Bankers Trust Company EXHIBIT TO ITEM 7 The chain of ownership from Bankers Trust New York Corporation to Bankers Trust Company and BT Securities Corporation is shown below: Bankers Trust New York Corporation | _____________________|___________________ | | | | Bankers Trust Company BT Securities Corporation EXHIBIT TO ITEM 7 The chain of ownership from Bankers Trust New York Corporation to Bankers Trust International PLC is shown below: Bankers Trust New York Corporation | 100% | Bankers Trust Company | 100% | Bankers International Corporation | 100% | BT Holdings (Europe) Limited | 100% | BT Holdings (UK) Limited | 100% | Bankers Trust Investments PLC | 100% | Bankers Trust International PLC -----END PRIVACY-ENHANCED MESSAGE-----