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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
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SCHEDULE 13G
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. 2)1
Jefferies Group, Inc.
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(Name of Issuer)
Common Stock, par value $0.0001
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(Title of Class of Securities)
472319102
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(CUSIP Number)
December 31, 2004
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(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)
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1 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).
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CUSIP NO. 472319102 13G Page 2 of 5
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1. Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Richard B. Handler
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2. Check the Appropriate Box if a Member of a Group (See Instructions)
(a) |_|
(b) |_|
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3. SEC Use Only
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4. Citizenship or Place of Organization
U.S.A.
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Number of Shares 5. Sole Voting Power
Beneficially
Owned by Each 4,499,156 shares of common stock
Reporting Person at December 31, 2004
With ----------------------------------------
6. Shared Voting Power
20
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7. Sole Dispositive Power
4,446,167 shares of common stock
at December 31, 2004
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8. Shared Dispositive Power
20
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9. Aggregate Amount Beneficially Owned by Each Reporting Person
4,499,176 shares of common stock at December 31, 2004
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10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See
Instructions)
|_|
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11. Percent of Class Represented by Amount in Row (9)
7.5%
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12. Type of Reporting Person (See Instructions)
IN
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
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CUSIP NO. 472319102 13G Page 3 of 5
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Item 1.
(a) Name of Issuer:
Jefferies Group, Inc.
(b) Address of Issuer's Principal Executive Offices:
520 Madison Avenue, 12th Floor, New York, New York 10022
ITEM 2.
(a) Name of Person Filing:
Richard B. Handler
(b) Address of Principal Business Office or, if none, Residence:
c/o Jefferies & Company, Inc.
The Metro Center, One Station Place, Three North, Stamford,
Connecticut 06902
(c) Citizenship:
U.S.A.
(d) Title of Class of Securities:
Common Stock, par value $.0001
(e) CUSIP Number:
472319102
ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO SECTIONS 240.13D-1(B) OR
240.13D-2(B) OR (C), CHECK WHETHER THE PERSON FILING IS A:
(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 Rule
13d-1(b)(1)(ii)(E);
(f) |_| An employee benefit plan or endowment fund in accordance with
Rule 13d-1(b)(1)(ii)(F);
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CUSIP NO. 472319102 13G Page 4 of 5
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(g) |_| A parent holding company or control person in accordance with
Rule 13d-1(b)(ii)(G);
(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 Rule13d-1(b)(1)(ii)(J).
ITEM 4. OWNERSHIP.
The following sets forth beneficial ownership information at December 31,
2004:
(a) Amount beneficially owned: 4,499,176
(b) Percent of class: 7.5%
(c) Number of shares as to which the person has:
(i) Sole power to vote or to direct the vote: 4,499,156
(ii) Shared power to vote or direct the vote: 20
(iii) Sole power to dispose or direct the disposition of: 4,446,167
(iv) Shared power to dispose or direct the disposition of: 20
Does not include: 662,110 restricted stock units which the Reporting
Person does not have a right to receive within 60 days of December 31,
2004; 133,336 shares underlying options which are not exercisable within
60 days from December 31, 2004; 136 shares held by the Trustee of the
Issuer's Employee Stock Purchase Plan which the Reporting Person does not
have the right to acquire within 60 days of December 31, 2004; and 123,012
deferred shares under the Issuer's Deferred Compensation Plan.
At December 31, 2003, the Reporting Person beneficially owned 3,903,272
shares.
ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS.
Not Applicable.
ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT 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 OR CONTROL
PERSON.
Not Applicable.
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CUSIP NO. 472319102 13G Page 5 of 5
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ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF A GROUP.
Not Applicable.
ITEM 9. NOTICE OF DISSOLUTION OF A GROUP.
Not Applicable.
ITEM 10. CERTIFICATION.
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.
Date: February 9, 2005 /s/ Roland T. Kelly
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Roland T. Kelly, on behalf of
Richard B. Handler, by Power of Attorney