-----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, VxoLoc8GdBzNKbgdY8B7mtZUm5dOgQ50p5iVB5ydZGIWLnBla/bwuJb+W5u3/+QI AJpC7brZMAq6eBlLHcVKYw== 0000950130-99-000763.txt : 19990215 0000950130-99-000763.hdr.sgml : 19990215 ACCESSION NUMBER: 0000950130-99-000763 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990212 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: INVESTMENT TECHNOLOGY GROUP INC CENTRAL INDEX KEY: 0000920424 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 133757717 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-45125 FILM NUMBER: 99538156 BUSINESS ADDRESS: STREET 1: 380 MADISON AVE STREET 2: 2ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2125884000 MAIL ADDRESS: STREET 1: 11100 SANTA MONICA BLVD STREET 2: 12TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90025 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ESTATE OF MASON SCOTT CENTRAL INDEX KEY: 0001079570 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: C/O BALLENTINE FINN & CO INC STREET 2: P O BOX 1860 CITY: WOLFEBORO STATE: NH ZIP: 03894 BUSINESS PHONE: 6035691717 MAIL ADDRESS: STREET 1: C/O BALLENTINE FINN & CO INC STREET 2: P O BOX 1860 CITY: WOLFEBORO STATE: NH ZIP: 03894 SC 13G 1 SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934* Investment Technology Group, Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 461450108 (CUSIP Number) November 13, 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 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). SCHEDULE 13G CUSIP No. 461450108 Page 2 of 6 Pages - ------------------------------------------------------------------ 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON - ------------------------------------------------------------------ Estate of Scott Mason __-_____________ - ------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [X] - ------------------------------------------------------------------ 3 SEC USE ONLY - ------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OR ORGANIZATION Massachusetts - ------------------------------------------------------------------ NUMBER OF 5 SOLE VOTING POWER SHARES 1,214,963* BENEFICIALLY ---------------------------------------- OWNED BY 6 SHARED VOTING POWER EACH 0 REPORTING ---------------------------------------- PERSON 7 SOLE DISPOSITIVE POWER WITH 1,214,963* ---------------------------------------- 8 SHARED DISPOSITIVE POWER 0 ---------------------------------------- *All of which shares are subject to currently exercisable options. - ------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,214,963 shares (all of which shares are subject to currently exercisable options) - ------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] - ------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.18% - ------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON OO - Estate - ------------------------------------------------------------------ SCHEDULE 13G CUSIP No. 461450108 Page 3 of 6 Pages Item 1(a) Name of Issuer: Investment Technology Group, Inc. Item 1(b) Address of Issuer's Principal Executive Offices: 380 Madison Avenue, New York, New York 10017 Item 2(a) Names of Person Filing: Estate of Scott Mason Item 2(b) Address of Principal Business Offices: c/o Ballentine, Finn & Company, Inc. 16 Depot Street, Wolfeboro, NH 03894 Item 2(c) Citizenship: Massachusetts Item 2(d) Title of Class of Securities: Common Stock, par value $0.01 per share Item 2(e) CUSIP Number: 461450108 Item 3 Status of Persons Filing: (a) [ ] Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o); (b) [ ] Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c); (c) [ ] Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c); (d) [ ] Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8); (e) [ ] An investment adviser in accordance with ss.240.13d- 1(b)(1)(ii)(E); (f) [ ] An employee benefit plan or endowment fund in accordance with ss.240.13d-1(b)(1)(ii)(F); (g) [ ] A parent holding company or control person in accordance with ss.240.13d- 1(b)(1)(ii)(G); SCHEDULE 13G CUSIP No. 461450108 Page 4 of 6 Pages` (h) [ ] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); (i) [ ] A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3). (j) [ ] Group, in accordance with ss.240.13d-1(b)(1)(ii)(J). Not applicable. Item 4 Ownership: (a) Amount Beneficially Owned: 1,214,963 shares of common stock (all of which shares are subject to currently exercisable options). (b) Percent of Class: 6.18%. (c) Number of shares as to which the person has: (i) sole power to vote or to direct the vote: 1,214,963 shares of common stock (all of which shares are subject to currently exercisable options). (ii) shared power to vote or to direct the vote: None. (iii) sole power to dispose or to direct the disposition of: 1,214,963 shares of common stock (all of which shares are subject to currently exercisable options). (iv) shared power to dispose or to direct the disposition of: None. Item 5 Ownership of 5% or Less of a Class: If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following: [ ]. SCHEDULE 13G CUSIP No. 461450108 Page 5 of 6 Pages Item 6 Ownership of More than 5% on Behalf of Another Person: Not applicable. 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: By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. SCHEDULE 13G CUSIP No. 461450108 Page 6 of 6 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: February 11, 1999 ESTATE OF SCOTT MASON By: /s/ Linda Mason ------------------ Linda Mason Executrix of the Estate of Scott Mason -----END PRIVACY-ENHANCED MESSAGE-----