-----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, G1ILCCzfsYuSE45DG1fqjdMF/m5bfPZR2MNjZqnwpVtN1M26VvhpSBhHb5mNsg6b JaHSJVQok1ZFBdAR1izTYw== 0000950103-02-000466.txt : 20020510 0000950103-02-000466.hdr.sgml : 20020510 ACCESSION NUMBER: 0000950103-02-000466 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020430 FILED AS OF DATE: 20020510 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MARVEL ENTERPRISES INC CENTRAL INDEX KEY: 0000933730 STANDARD INDUSTRIAL CLASSIFICATION: DOLLS & STUFFED TOYS [3942] IRS NUMBER: 133711775 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13638 FILM NUMBER: 02641590 BUSINESS ADDRESS: STREET 1: 387 PARK AVENUE SOUTH CITY: NEW YORK STATE: NY ZIP: 10016 BUSINESS PHONE: 2126960808 MAIL ADDRESS: STREET 1: 387 PARK AVE SOUTH CITY: NEW YORK STATE: NY ZIP: 10016 FORMER COMPANY: FORMER CONFORMED NAME: TOY BIZ INC DATE OF NAME CHANGE: 19941213 COMPANY DATA: COMPANY CONFORMED NAME: MORGAN STANLEY DEAN WITTER & CO CENTRAL INDEX KEY: 0000895421 STANDARD INDUSTRIAL CLASSIFICATION: FINANCE SERVICES [6199] OWNER IRS NUMBER: 363145972 STATE OF INCORPORATION: DE FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 1585 BROADWAY CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 2127614000 MAIL ADDRESS: STREET 1: 1221 SIXTH AVENUE STREET 2: 27TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10020 FORMER COMPANY: FORMER CONFORMED NAME: DEAN WITTER DISCOVER & CO DATE OF NAME CHANGE: 19960315 4 1 may0902_4mvl.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP FORM 4 [ ] Check this box if no longer OMB APPROVAL subject to Section 16. Form 4 or OMB NUMBER: 3235-0287 Form 5 obligations may continue. Expires: January 31, 2005 See Instruction 1(b). Estimated average burden hours per response........0.5 Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 (Print or Type Responses) 1. Name and Address of Reporting Person* Morgan Stanley Dean Witter & Co. - ----------------------------------------------------------------------------- (Last) (First) (Middle) 1585 Broadway - ----------------------------------------------------------------------------- (Street) New York NY 10036 - ----------------------------------------------------------------------------- (City) (State) (Zip) 2. Issuer Name and Ticker or Trading Symbol Marvel Enterprises Inc. (MVL) - ----------------------------------------------------------------------------- 3. I.R.S. Identification Number of Reporting Person, if an entity (voluntary) - ----------------------------------------------------------------------------- 4. Statement for Month/Year April 2002 - ----------------------------------------------------------------------------- 5. If Amendment, Date of Original (Month/Year) - ----------------------------------------------------------------------------- 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) Director X 10% Owner --- --- Officer (give title below) Other (specify below) --- --- - ---------------------------------------------------------------------------- 7. Individual or Joint/Group Filing (Check Applicable Line) Form filed by One Reporting Person - ---- X Form filed by More than One Reporting Person - ---- Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned 1. Title of Security 2. Trans- 3. Trans- 4. Securities Acquired 5. Amount of Securities 6. Ownership 7. Nature of (Instr. 3) action action (A) or Disposed of Beneficially Owned Form: Direct Indirect Date Code (D) (Instr. 3, 4 at End of Month (D) or In- Beneficial (Instr.8) and 5) (Instr. 3 and 4) direct (I) Ownership (Month/ (Instr. 4) (Instr. 4) Day/ (A) or Year) Code V Amount (D) Price - ------------------------- --------- ---- --- ------- --- --------- -------------------- -------------- ------------- Common Stock 4/4/02 S 5,000 D $7.48 I (1) Common Stock 4/5/02 S 10,000 D $7.31 I (1) Common Stock 4/8/02 S 10,100 D $7.44 I (1) Common Stock 4/9/02 S 14,900 D $7.68 I (1) Common Stock 4/16/02 S 25,000 D $7.95 I (1) Common Stock 4/17/02 S 10,000 D $7.97 I (1) Common Stock 4/18/02 S 25,000 D $7.95 I (1) Common Stock 4/19/02 S 25,000 D $8.08 I (1) Common Stock 4/22/02 S 40,000 D $8.50 I (1) Common Stock 4/23/02 S 25,000 D $9.08 I (1) Common Stock 4/24/02 S 14,000 D $9.28 I (1) Common Stock 4/25/02 S 6,000 D $9.07 I (1) Common Stock 4/30/02 S 15,000 D $7.27 1,575,200 I (1)
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. FORM 4 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
10. 9. Owner- Number ship of Form 2. Deriv- of Conver- 5. 7. ative Deriv- 11. sion Number of Title and Amount Secur- ative Nature or Derivative 6. of Underlying 8. ities Secur- of Exer- 4. Securities Date Securities Price Bene- ities In- cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Benefi- direct Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned cially Bene- 1. of action Code of(D) (Month/Day/Year) Amount ative at End Owned ficial Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of at End Owner- Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity Month of Month ship Security Secur- Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4) - ------------------------------------------------------------------------------------------------------------------------------------
Explanation of Responses: (1) The securities are directly owned by Morgan Stanley & Co. Incorporated, a wholly owned subsidiary of Morgan Stanley Dean Witter & Co. Morgan Stanley Dean Witter & Co. disclaims beneficial ownership of such securities except to the extent of its pecuniary interest therein. * If the form is filed by more than one reporting person, see Instruction 4(b)(v). ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. /s/ Robert G. Koppenol May 10, 2002 - ------------------------------------------- ------------------ **Signature of Reporting Person Date Name: Robert G. Koppenol Title: Executive Director, Morgan Stanley & Co. Incorporated MORGAN STANLEY DEAN WITTER & CO. Page 2 JOINT FILER INFORMATION Name: Morgan Stanley & Co. Incorporated Address: 1585 Broadway New York, NY 10036 Designated Filer: Morgan Stanley Dean Witter & Co. Issuer and Ticker Symbol: Marvel Enterprises Inc. (MVL) Statement for Month/Year: April 2002 /s/ Robert G. Koppenol May 10, 2002 - ------------------------------------------- ------------------ **Signature of Reporting Person Date Name: Robert G. Koppenol Title: Executive Director, Morgan Stanley & Co. Incorporated MORGAN STANLEY & CO. INCORPORATED -----END PRIVACY-ENHANCED MESSAGE-----