UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D/A
Under the Securities Exchange Act of 1934
THE MONY GROUP INC.
(Name of Issuer)
Common Stock, $0.01 par value
(Title of Class of Securities)
615337 10 2
(CUSIP Number)
Jeffrey A. Ruiz
Deutsche Bank AG
c/o Deutsche Bank Securities Inc.
60 Wall Street
New York, NY 10005
(212) 250-3667
(Name, Address and Telephone Number of Person Authorized to Receive Notices and
Communications)
May 17, 2004
(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report
the acquisition that is the subject of this Schedule 13D, and is filing this
schedule because of ss.ss.240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the
following box. |_|
Note: Schedules filed in paper format shall include a signed original and five
copies of the schedule, including all exhibits. See ss.240.13d-7(b) for other
parties to whom copies are to be sent.
*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
disclosures provided in a prior cover page.
The information required on 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).
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CUSIP No. 615337 10 2 13D/A
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1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Deutsche Bank AG
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A
GROUP*
(a) [ ]
(b) [X]
3 SEC USE ONLY
4 SOURCE OF FUNDS*
WC
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) or 2(e) [ ]
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Germany
7 SOLE VOTING POWER
See Item 5.
NUMBER OF SHARES
BENEFICIALLY OWNED BY 8 SHARED VOTING POWER
EACH REPORTING
PERSON See Item 5.
WITH
9 SOLE DISPOSITIVE POWER
See Item 5.
10 SHARED DISPOSITIVE POWER
See Item 5.
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
See Item 5.
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11)
EXCLUDES CERTAIN SHARES* [ ]
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
See Item 5.
14 TYPE OF REPORTING PERSON*
BK
*SEE INSTRUCTIONS BEFORE FILLING OUT!
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CUSIP No. 615337 10 2 13D/A
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1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Deutsche Bank Securities Inc.
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A
GROUP*
(a) [ ]
(b) [X]
3 SEC USE ONLY
4 SOURCE OF FUNDS*
WC
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) or 2(e) [ ]
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
7 SOLE VOTING POWER
See Item 5.
NUMBER OF SHARES
BENEFICIALLY OWNED BY 8 SHARED VOTING POWER
EACH REPORTING
PERSON See Item 5.
WITH
9 SOLE DISPOSITIVE POWER
See Item 5.
10 SHARED DISPOSITIVE POWER
See Item 5.
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
See Item 5.
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11)
EXCLUDES CERTAIN SHARES* [ ]
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
See Item 5.
14 TYPE OF REPORTING PERSON*
BD
*SEE INSTRUCTIONS BEFORE FILLING OUT!
Pursuant to Rule 13d-2(a) of Regulation 13D-G of the General Rules and
Regulations under the Securities Exchange Act of 1934, as amended (the "Act"),
Deutsche Bank Securities Inc. ("DBSI") and Deutsche Bank AG ("Deutsche Bank,"
together with DBSI, the "Reporting Persons" and each, a "Reporting Person")
hereby amend the Statement on Schedule 13D filed by the Reporting Persons on May
7, 2004, (as amended, the "Statement"), relating to the Common Stock, $0.01 par
value (the "Shares"), of the MONY Group Inc., a Delaware corporation (the
"Company"). Unless otherwise indicated, all capitalized terms used herein shall
have the same meanings respectively ascribed to them in the Statement.
In addition, in accordance with Securities and Exchange Commission
Release No. 34-39538 (January 12, 1998), this Statement reflects the securities
beneficially owned by the Corporate and Investment Banking business group and
the Corporate Investments business group (collectively, "CIB") of Deutsche Bank
and its subsidiaries and affiliates. This filing does not reflect securities, if
any, beneficially owned by any other business group of Deutsche Bank. Consistent
with Rule 13d-4 under the Exchange Act, this filing shall not be construed as an
admission that CIB is, for purposes of Section 13(d) under the Exchange Act, the
beneficial owner of any securities covered by the filing. Furthermore, CIB
disclaims beneficial ownership of the securities beneficially owned by (i) any
client accounts with respect to which CIB or its employees have voting or
investment discretion, or both, and (ii) certain investment entities, of which
CIB is the general partner, managing general partner, or other manager, to the
extent interests in such entities are held by persons other than CIB.
Item 5. Interest in Securities of the Issuer.
Item 5 is hereby amended and restated in its entirety as follows:
(a-b) As of May 17, 2004, each of the Reporting Persons directly and
beneficially owned the number of Shares and the percentage of the Shares
outstanding in the table below:
------------------------------------------
As of May 17, 2004:
Shares Percentage*
-------------------- ----------------- ------------------------
Deutsche Bank 3,229,743 6.4%
-------------------- ----------------- ------------------------
DBSI 557,552 1.1%
-------------------- ----------------- ------------------------
* The percentage of the Shares outstanding, is based upon the number of
Shares outstanding on May 3, 2004.
Deutsche Bank, as the parent of DBSI, may be deemed to share voting and
dispositive power with respect to the Shares beneficially owned by DBSI.
Accordingly, as of May 17, 2004, Deutsche Bank may be deemed to beneficially own
an aggregate of 3,787,295 Shares, representing 7.6% of the outstanding
Shares.
To the best knowledge of the Reporting Person, and except as described
in this Statement, neither the Reporting Persons nor any of the persons listed
on Schedules A1 and A2 to the Statement beneficially own any securities of the
Company.
(c) Schedule B to this Statement, which is incorporated herein by
reference, sets forth the transactions in the Shares effected by each of the
Reporting Persons during the period from May 7, 2004 through May 17, 2004. To
the best knowledge of the Reporting Persons, and except as described in Schedule
B to this Statement, neither the Reporting Persons nor any Person named in
Schedules A-1 and A-2 to the Statement has effected any transaction in the
Shares since May 7, 2004. The transactions set forth in Schedule B to this
Statement were effected on the New York Stock Exchange and/or the OTC market.
(d) No other person is known by the Reporting Persons to have the right
to receive or power to direct the receipt of dividends from, or the proceeds
from the sale of, the Shares beneficially owned by the Reporting Persons.
(e) Not applicable.
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.
Dated: May 18, 2004
DEUTSCHE BANK AG
By: /s/ Jeffrey A. Ruiz
-----------------------
Name: Jeffrey A. Ruiz
Title: Vice President
DEUTSCHE BANK SECURITIES INC.
By: /s/ John Rioux
-----------------------
Name: John Rioux
Title: Managing Director
By: /s/ Christopher J. Mahon
-----------------------
Name: Christopher J. Mahon
Title: Managing Director
Schedule B
DEUTSCHE BANK AG
Number of
Date Buy/Sell Shares Price Per Share
------------- ------------ ---------- -----------------
5/10/04 Buy 1,511 $30.80
5/10/04 Buy 5,279 $30.80
5/10/04 Buy 2,900 $30.88
5/10/04 Sell 5,100 $30.83
5/10/04 Buy 3,000 $30.89
5/10/04 Sell 7,000 $30.83
5/11/04 Buy 2,000 $30.93
5/11/04 Sell 2,200 $30.89
5/12/04 Buy 2,643 $30.98
5/12/04 Buy 2,646 $30.95
5/12/04 Buy 1,800 $30.94
5/12/04 Sell 6,700 $30.95
5/13/04 Buy 1,400 $30.93
5/13/04 Sell 5,100 $30.93
5/14/04 Buy 1,400 $31.00
5/14/04 Sell 2,300 $31.00
5/14/04 Sell 500,000 $30.96
5/17/04 Buy 3,100 $30.93
5/17/04 Sell 2,700 $30.93
DEUTSCHE BANK SECURITIES INC.
Number of
Date Buy/Sell Shares Price Per Share
------------- ------------ ---------- -----------------
5/12/2004 Sell 4,300 $30.91
5/14/2004 Sell 10,920 $30.93
5/14/2004 Buy 828 $30.93