0001140361-11-046672.txt : 20110922 0001140361-11-046672.hdr.sgml : 20110922 20110922124912 ACCESSION NUMBER: 0001140361-11-046672 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20110922 FILED AS OF DATE: 20110922 DATE AS OF CHANGE: 20110922 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: JEFFERIES GROUP INC /DE/ CENTRAL INDEX KEY: 0001084580 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 954719745 STATE OF INCORPORATION: DE FISCAL YEAR END: 1130 BUSINESS ADDRESS: STREET 1: 520 MADISON AVENUE STREET 2: 12TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-284-2550 MAIL ADDRESS: STREET 1: 520 MADISON AVENUE STREET 2: 12TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: JEF HOLDING CO INC DATE OF NAME CHANGE: 19990419 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LEUCADIA NATIONAL CORP CENTRAL INDEX KEY: 0000096223 STANDARD INDUSTRIAL CLASSIFICATION: LUMBER & WOOD PRODUCTS (NO FURNITURE) [2400] STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14947 FILM NUMBER: 111102710 BUSINESS ADDRESS: STREET 1: 315 PARK AVE S CITY: NEW YORK STATE: NY ZIP: 10010 BUSINESS PHONE: 2124601900 MAIL ADDRESS: STREET 1: 315 PARK AVENUE SOUTH CITY: NEW YORK STATE: NY ZIP: 10010 FORMER NAME: FORMER CONFORMED NAME: TALCOTT NATIONAL CORP DATE OF NAME CHANGE: 19800603 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PHLCORP HOLDING LLC CENTRAL INDEX KEY: 0000230046 STANDARD INDUSTRIAL CLASSIFICATION: FINANCE SERVICES [6199] STATE OF INCORPORATION: PA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14947 FILM NUMBER: 111102709 BUSINESS ADDRESS: STREET 1: 529 EAST SOUTH TEMPLE CITY: SALT LAKE CITY STATE: UT ZIP: 84102 BUSINESS PHONE: 801 521-5400 MAIL ADDRESS: STREET 1: 529 EAST SOUTH TEMPLE CITY: SALT LAKE CITY STATE: UT ZIP: 84102 FORMER NAME: FORMER CONFORMED NAME: PHLCORP INC DATE OF NAME CHANGE: 19920703 FORMER NAME: FORMER CONFORMED NAME: BALDWIN UNITED CORP DATE OF NAME CHANGE: 19861119 FORMER NAME: FORMER CONFORMED NAME: BALDWIN D H CO /DE/ DATE OF NAME CHANGE: 19780228 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Baldwin Enterprises, Inc. CENTRAL INDEX KEY: 0001348269 STATE OF INCORPORATION: CO FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14947 FILM NUMBER: 111102708 BUSINESS ADDRESS: STREET 1: 529 EAST SOUTH TEMPLE CITY: SALT LAKE CITY STATE: UT ZIP: 84102 BUSINESS PHONE: 801-521-5400 MAIL ADDRESS: STREET 1: 529 EAST SOUTH TEMPLE CITY: SALT LAKE CITY STATE: UT ZIP: 84102 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BEI Jeffvest, LLC CENTRAL INDEX KEY: 0001504160 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14947 FILM NUMBER: 111102711 BUSINESS ADDRESS: STREET 1: 529 EAST SOUTH TEMPLE CITY: SALT LAKE CITY STATE: UT ZIP: 84102 BUSINESS PHONE: 801 521-1000 MAIL ADDRESS: STREET 1: 529 EAST SOUTH TEMPLE CITY: SALT LAKE CITY STATE: UT ZIP: 84102 4 1 doc1.xml FORM 4 X0304 4 2011-09-22 0 0001084580 JEFFERIES GROUP INC /DE/ JEF 0000096223 LEUCADIA NATIONAL CORP 315 PARK AVE SOUTH NEW YORK NY 10010 0 0 1 0 0000230046 PHLCORP HOLDING LLC 529 EAST SOUTH TEMPLE SALT LAKE CITY UT 84102 0 0 1 0 0001348269 Baldwin Enterprises, Inc. 529 EAST SOUTH TEMPLE SALT LAKE CITY UT 84102 0 0 1 0 0001504160 BEI Jeffvest, LLC 529 EAST SOUTH TEMPLE SALT LAKE CITY UT 84102 0 0 1 0 Common Stock 2011-09-22 4 P 0 2000000 12.58 A 56506024 I See Explanation Reflects shares of Jefferies Group, Inc. common stock directly owned by BEI Jeffvest, LLC ("Jeffvest") and indirectly owned by Baldwin Enterprises, Inc. ("Baldwin"), Phlcorp Holding LLC ("Phlcorp"), and Leucadia National Corporation ("Leucadia"). Jeffvest is a wholly-owned subsidiary of Baldwin, Baldwin is a wholly-owned subsidiary of Phlcorp, and Phlcorp is a wholly-owned subsidiary of Leucadia. See Exhibit 99.1. /s/ Joseph A. Orlando, Vice President and Chief Financial Officer 2011-09-22 EX-99.1 2 misc1.htm MISCELLANEOUS EXHIBITS mm09-2211jef_4e991.htm
 
Exhibit 99.1
 
 
Joint Filer Information
 
 
Name and Address of Reporting Person:
Phlcorp, Inc.
529 East South Temple
Salt Lake City, Utah 84102
 
Issuer Name and Ticker or Trading Symbol:
Jefferies Group, Inc.
(JEF)
 
Relationship of Joint Filer to Issuer:
10% Owner (1)
 
Date of Event Requiring Statement:
September 22, 2011
 
Designated Filer:
Leucadia National Corporation
 
 
 
Signature:
 
 
PHLCORP, INC.
 
 
By:
/s/ Joseph A. Orlando
  
Name:
Joseph A. Orlando
  
Title:
Vice President
  
 
Dated:   September 22, 2011
 
(1)  Reflects 56,506,024 shares of Jefferies Group, Inc. common stock directly owned by BEI Jeffvest, LLC (“Jeffvest”) and indirectly owned by Baldwin Enterprises, Inc. (“Baldwin”), Phlcorp Holding LLC (“Phlcorp”) and Leucadia National Corporation (“Leucadia”).  Jeffvest is a wholly-owned subsidiary of Baldwin, Baldwin is a wholly-owned subsidiary of Phlcorp, and Phlcorp is a wholly-owned subsidiary of Leucadia.

 
 
 


 
 
Joint Filer Information
 
 
Name and Address of Reporting Person:
Baldwin Enterprises, Inc.
529 East South Temple
Salt Lake City, Utah 84102
 
Issuer Name and Ticker or Trading Symbol:
Jefferies Group, Inc.
(JEF)
 
Relationship of Joint Filer to Issuer:
10% Owner (1)
 
Date of Event Requiring Statement:
September 22, 2011
 
Designated Filer:
Leucadia National Corporation
 
 
Signature:
 
 
BALDWIN ENTERPRISES, INC.
 
By:
/s/ Joseph A. Orlando
  
Name:
Joseph A. Orlando
  
Title:
Vice President
  
 
Dated:   September 22, 2011
 
(1)  Reflects 56,506,024 shares of Jefferies Group, Inc. common stock directly owned by BEI Jeffvest, LLC (“Jeffvest”) and indirectly owned by Baldwin Enterprises, Inc. (“Baldwin”), Phlcorp Holding LLC (“Phlcorp”) and Leucadia National Corporation (“Leucadia”).  Jeffvest is a wholly-owned subsidiary of Baldwin, Baldwin is a wholly-owned subsidiary of Phlcorp, and Phlcorp is a wholly-owned subsidiary of Leucadia.
 
 
 


Joint Filer Information
 
 
Name and Address of Reporting Person:
BEI Jeffvest, LLC
529 East South Temple
Salt Lake City, Utah 84102
 
Issuer Name and Ticker or Trading Symbol:
Jefferies Group, Inc.
(JEF)
 
Relationship of Joint Filer to Issuer:
10% Owner (1)
 
Date of Event Requiring Statement:
September 22, 2011
 
Designated Filer:
Leucadia National Corporation
 
 
Signature:
 
BEI JEFFVEST, LLC
 
 
By:
/s/ Joseph A. Orlando
  
Name:
Joseph A. Orlando
  
Title:
Vice President
  
 
Dated:   September 22, 2011
 
(1)  Reflects 56,506,024 shares of Jefferies Group, Inc. common stock directly owned by BEI Jeffvest, LLC (“Jeffvest”) and indirectly owned by Baldwin Enterprises, Inc. (“Baldwin”), Phlcorp Holding LLC (“Phlcorp”) and Leucadia National Corporation (“Leucadia”).  Jeffvest is a wholly-owned subsidiary of Baldwin, Baldwin is a wholly-owned subsidiary of Phlcorp, and Phlcorp is a wholly-owned subsidiary of Leucadia.