PACIFIC SOUTHWEST AIRLINES Number of shares DEAR SENATOR METCALF: In response to your letter Chetco, 35 Congress St., Boston, Mass. 1,000,000 Merrill Lynch, Pierce, Fenner & Smith Inc., 70 Pine of May 5, 1972, enclosed you will find the list of the top St., New York, N.Y. 914,286 thirty shareholders as of our record date of March 16, Kane & Co., care of The Chase Manhattan Bank, P.O. 1972" for our annual meeting. The total outstanding Harwood & Co., care of State Street Bank & Trust Co., Box 1508, Church Street Station, New York, N.Y... 855,059 shares as of that date was 3,776,470. P.O. Box 5006, Boston, Mass... 724,700 Very truly yours, Touchstone & Co., care of State Street Bank & Trust 522, 100 New York, N.Y.. 403, 130 Salomon Brothers, 1 New York Plaza, New York, N. Y.. 379, 301 Number Gepco, Investment Services Division, Prudential Plaza, of shares 270, 000 Cede & Co. Carson & Co., P.O. Box 491, Church Street Station, 804, 683 Thomas H. Friedkin. New York, N.Y.. 154, 180 264, 600 Galley & Co.. Congen One & Co., P.O. Box 1499, Hartford, Conn. 148, 605 244, 400 Spel & Co. Egger & Co., care of The Chase Manhattan Bank, P.O. 99, 800 Essfour. Box 1508, Church Street Station, New York, N.Y. 75, 000 233, 252 Dowco. Gerlach & Co., care of First National City Bank, 20 70, 000 Loriot & Co... Exchange Pl., New York, N.Y.. 70,000 221, 383 Pace & Co. Brown Brothers Harriman & Co., 59 Wall St., New York, 64, 800 N.Y.. Merrill Lynch, Pierce, Fenner & Smith. 50, 000 210, 365 Ned & Co. Reing & Co., P.O. Box 491, Church Street Station, New 50, 000 Hirs & Harney. York, NY. 49,000 202, 300 Searsfund.. Cas & Co., care of Brown Brothers Harriman & Co., 10 48, 200 Cudd & Co.-.- Post Office Sq., Boston, Mags.. 40,000 200, 000 John W. McInnis... Hirs & Harney, care of Bankers Trust Co., Securities 40,000 Lehman Bros. Inc.... Clearance Division, P.O. Box 1107, Church Street 35, 813 Dean Witter & Co., Inc. Station, New York, N.Y.. 31, 524 200, 000 Tenist & Co.. Peak & Co., care of State Street Bank & Trust Co., In 30,000 Call & Co. vestment Company Department, P.O. Box 5006, 30, 000 Geary & Co. Boston, Mass. 30, 000 199, 800 Barlow & Co.. Pan American World Airways, Inc., Pan Am Building, 28, 500 Eastman Dillon Union Securities.. New York, N.Y... 21, 619 179, 786 Trussal & Co.-- Ince & Co., P.O. Box 1479, Church Street Station, 20, 800 Village & Co.--- New York, N.Y. 20, 000 174, 980 Penla & Co. Don & Co., P.O. Box 248, Kansas City, Mo. 20,000 173, 400 Victor R. and Lottie L. Lundy. Main Miller & Co., 1115 South Main St., Akron, Ohio.. 20, 000 166, 500 Hox & Co. Gunther & Co., 15 Nassau St., New York, N.Y. 20, 000 163, 366 Summ & Co.... Oneco, Prudential Plaza, Newark, N.J. 19, 800 150,000 Haas & Co.- Mon & Co., P.O. Box 491, Church Street Station, New 19, 700 Paine, Webber, Jackson & Curtis.. York, N.Y. 16, 883 149, 400 Robert J. Crandall... Pratt & Co., Boston Safe Deposit & Trust Co., Bank16, 695 ing Department, 100 Franklin St., Boston, Mass.. 146, 500 Rush & Co., P.O. Box 61, Wall Street Station, New York, 1411, 75 I am also enclosing for your convenience one copy May 23, 1972. each of Pan Am's latest annual report and proxy DEAR SENATOR METCALF: This is in response to your statement.' letter of May 5, 1972, to Mr. Seawell, in which you re Very truly yours, quested a list of the thirty top stockholders in Pan Am, JOSEPH A. McCann, Assistant Secretary. the amount of common stock each holds, and the total number of voting shares of common stock. Pan Am has only one class of stock. It is designated as capital stock with a par value of 25 cents per share, and TRANS WORLD AIRLINES all voting power is vested therein. At the present time May 11, 1972. there are 80,000,000 shares authorized, of which 40,350,230 DEAR SENATOR METCALF: This is in response to your are outstanding. letter of May 5 requesting a list of our thirty top stockThe following is a list of the top thirty-one holders of holders. Pan Am stock, and the number of shares held by each We are always willing to cooperate in furnishing infor(thirty-one are listed because Pan Am itself is cne of the mation with respect to our Company to the maximum top thirty, and by law the shares standing in its name are extent of our ability. Unfortunately, however, we do not not entitled to vote or to be counted in determining the have readily available a list such as that requested by you, total number of outstanding shares): Moreover, for a variety of reasons it has been a general Holder Number policy to afford confidential treatment to this kind of of shares information. We are required to file with the Civil AeroCede & Co., Box 20, Bowling Green Station, New York, N.Y. nautics Board a list of stockholders holding a more than 6,039,167 Perc & Co., care of Trust Department Safekeeping five percent stock interest in our Company. Since this is Division, Northwestern National Bank of Minne public information, I am enclosing a copy of our most apolis, Minneapolis, Minn. Lerche & Co., care of The Bank of New York, Bank 1,499,600 recent CAB filing in this respect. Our present number of Window, Church Street Station, New York, N.Y--- 1,481,900 outstanding voting shares of common stock is 12,246,800. Barnett & Co., care of Bankers Trust Co., P.O. Box I hope that this information will be of assistance to you. 704, Church Street Station, New York, N.Y. 1,301,000 Very truly yours, Resorts International Inc., Attention: Mr. R. M. Gore, Vice President, Finance, 767 Fifth Ave., New York, F. C. WIBER, President. N.Y.. 1,200,000 Retained in committee files. N.Y.. 1 TRANG WORLD AIRLINES, INo., DECEMBER 31, 1971 (Persons holding more than 5 per centum of respondent's capital stock or capital (pursuant to sec. 407(b) of the Federal Aviation Act)] NOTE.—Persons for whose account stock is held if answer in Column plans; and 3. Held as trustee for various trusts. Annual report was 3 is "No": 1. Held for brokers who are members of stock clearing filed with CAB on Jan. 18, 1972 covering holdings as of Dec. 31, corporation, none of which held 6 percent; various addresses; 1971, and maximum holdings during the preceding year, 2. Held as trustee for TWA employees stock purchase and thrift UAL, INC. MAY 16, 1972. DEAR SENATOR METCALF: In answer to your request of May 5 to Mr. Carlson, we enclose a listing of the thirty largest shareholders of record of UAL, Inc., a holding company. For your information, United Air Lines, the addressee of your letter, is a wholly owned subsidiary of UAL, Inc. You will note from the listing that most of the large shareholders of the holding company are nomineo accounts for banks, funds, and other institutions. Our corporate records contain no information concerning the beneficial owners of these shares held in nominee accounts, with one exception, Finat & Co. It is the nominee for the custodian, First National Bank of Chicago, for the United Air Lines, Inc. Employees' Stock Purchase Plan. All except a minor number of shares out of the 958,791 shown are owned beneficially by this employee group. Very truly yours, RICHARD A. DIMPFL, Secretary of Corporation. 30 TOP SHAREHOLDERS AS OF APRIL 28, 1972–Continued Number Holder of shares Lerche & Co., care of Bank of New York, Bank Window, Church Street Station, New York, N.Y.. 360, 336 Peak & Co., care of State Street Bank & Trust Co., P.O. Box 5006, Boston, Mass.. 350,000 Merrill Lynch, Pierce, Fepper & Smith, Inc., 70 Pine St., New York, N.Y. 324, 151 1508, Church Street Station, New York, N.Y. 306, 600 Gerlach & Co., care of First National City Bank, 20 Exchange Pl., New York, N.Y.. 281, 437 Cudd & Co., care of Chase Manhattan Bank, Church Street Station, Box 1508, New York, N.Y.. 251, 856 Stuart & Co., care of First National City Bank, 20 Exchange Pi., New York, N.Y. 250, 050 Carson & Co., Box 491, Church Street Station, New York, N.Y.. 210, 120 Dean & Davis, care of Wilmington Trust Co., Wilmington, Del. 207, 120 Reing & Co., Box 491, Church Street Station, New York, N.Y.. 193, 200 Hirs & Harney, 901 Market St., room 1111, Wilmington, Del... 170,000 Atlantic & Co., care of John Hancock Mutual Life Insurance Co., attention Treasury Department, se curities clearance, 200 Berkeley St., Boston, Mass... 165, 100 Chetco, 35 Congress St., Boston, Mass.. 160, 700 Bark & Co., care of State Street Bank & Trust Co., Box 5006, Boston, Mass.. 155, 200 Don & Co., Box 2016, Boston, Mass. 130, 870 Penlin & Co., care of Lincoln Rochester Trust Co., Box 1412, Rochester, N.Y.. 127, 100 The Mutual Life Insurance Co. of New York, 1740 Broadway at 55th St., New York, N.Y.. 125, 800 Tarr & Co., Box 2016, Boston, Mass.. Bansco & Co., 44 King St. 'West, Toronto, Ontario, 120, 310 Canada. 120,000 Cal & Co., Box 2016, Boston, Mass. 115, 800 Tegge & Co., Box 1479, Church Street Station, New York, N.Y.. 112, 619 King & Co., care of First National City Bank, 20 Exchange Pl., New York, N.Y. 107, 664 Group & Co., care of Canadian Imperial Bank of Com merce, Box 814, 1 Lombard Pl., Winnipeg 2, Manitoba, Canada.. 106, 700 30 Top SHAREHOLDERS AS Or APRIL 28, 1972 Number of shares 1, 175, 257 958, 791 766, 546 Holder Kane & Co., care of Chase Manhattan Bank, Box 1508, Church Street Station, New York, N.Y.. Finat & Co., care of The First National Bank of Chicago, Chicago, Iul... Cede & Co., Box 20, Bowling Green Station, New York, N.Y. Barnett & Co., care of Bankers Trust Co., Box 704, Church Street Station, New York, N.Y. Firjer & Co., care of First Jersey National Bank, 1 Ex change Pl., Jersey City, N.J. Pitt & Co., care of Bankers Trust Co., AC 13-6065488, Box 2444, Church Street Station, New York, NY... Trude & Co., care of Trust Securities Division, Lock Box 835, Chicago, m. 676,700 656, 600 649, 099 520, 020 WESTERN AIRLINES 30 LARGEST SHAREHOLDERSCONNON STOCK-As or APRIL 14 1972 May 10, 1972. Number DEAR SENATOR: In response to your letter of May 5 Holder of shares to Mr. Taylor, I enclose herewith a list as of March 10, Cudd & Co... 821, 901 1972 of the 30 largest stockholders in Western Airlines, Merrill Lynch, Pierce, Fenner & Smith Ino Lerche & Co. 658, 870 which list shows the number of shares of capital stock .. 306, 909 Bark & Co. each such stockholder owns. You will notice that with 280, 000 Sigler & Co. 272, 639 three exceptions the listed stockholders are either brokers Hemfar & Co.. 206, 350 or nominees. The three individual stockholders on the Pitt & Co. 187, 400 list all are Directors of Western Airlines. Touchstone & Co.... 151, 000 Hunt Foods & Industries Inc., 122, 200 As of the date of the enclosed list there were issued Equitable Life Assurance Society of the United States. 100, 000 and outstanding 5,395,746 shares of voting stock in the Firjer & Co.--. 100, 000 Lehoor & Co. corporation. 100,000 Booth & Co.. Very truly yours, 98, 500 Way & Co... 93, 000 G. P. O'GRADY, Mutun & Co. 90, 000 Senior Vice President-Legal, and Secretary. Norton Simon Inc. 78, 600 Ince & Co... 75, 260 Congen One & Co.. 30 LARGEST STOCKHOLDERS AS or MARCH 10, 1972 75,000 Paine, Webber, Jackson & Curtis. 69, 240 Gerlach & Co. Number 63, 690 Holder Pendiv & Co.. of shares 61,000 Monvan & Co... Kirk Kerkorian. 51, 100 1, 454, 095 Douglass & Co. Merrill Lynch, Pierce, Fenner & Smith Inc. 50, 000 305, 437 Lages & Co. Kane & Co. 50,000 251, 822 Wilkin & Co... Cudd & Co. 50,000 139, 775 Atwell & Co. Reing & Co... 45, 865 100, 000 Boyd & Co. Ince & Co... 45, 300 94, 000 Hayward & Co.... Firjer & Co. 43, 000 87, 900 West Publishing Co.. A. G. Woodley 41, 427 85, 864 Lynn & Co...... Aldon & Co. 41, 400 82, 823 Goco.... 80,000 EXCERPT FROM ICC SCHEDULE 109, "VOTING POWERS AND ELECTegge & Co. 79, 150 TIONS" FROM ANNUAL REPORT OF BURLINGTON NORTH ERN, Elk & Co. 70,000 INC. Lehman Brothers, Inc. 66, 180 Galley & Co... 63, 400 Sigler & Co. 56, 600 Number L. H. Dwerlkotte. 48, 359 of Nay & Co.. 41, 430 Bhares Bartman Bros.. 40, 497 Address of security and Pace & Co... 40,000 votes Special & Co.... 35, 000 E. F. Hutton & Co., Inc. 31, 078 Cudd & Co....... Ben & Co... New York, N.Y. 736, 733 30,000 Lerche & Co... do... Eagle Co..... 643, 870 28, 220 Merrill Lynch, Pierce, Fen- .--..do... Barnett & Co.... 317, 494 23, 900 ner & Smith, Inc. Roycan & Co. 22, 000 Hemfar & Co... do.. Dean Witter & Co., Inc. 203, 600 21, 672 Booth & Co.--.Fay & Co... Chicago, IU. 177, 800 20, 000 Sigler & Co.... Spar & Co... New York, N.Y. 136, 698 19, 400 Pitt & Co.-. do... Walston & Co., Inc.... 134, 400 18, 829 Hunt Foods & Industries SMPDA & Co. do.... 122, 200 18, 000 Inc. ..do... 120, 000 Equit. Life Assur. Society. do.. 103, 000 Bark & Co... B. Railroads Boston, Mass.. 100, 000 Firjer & Co... Jersey City, N.J. 100,000 Gerlach & Co.... New York, N.Y. 99, 336 Kane & Co. do.. 95, 264 Lehoor & Co..... ..do.... May 11, 1972. 90,000 Way & Co...... ..doc 85, 200 DEAR SENATOR METCALF: In response to your letter Sheet & Co. 80,000 of May 5, 1972 I enclose a list of the thirty largest stock Norton Simon Inc... Los Angeles, Calif. 78, 500 Touchstone & Co. holders of Burlington Northern, Inc., and the number of Boston, Mass. 73, 600 Atwell & Co. New York, N.Y. 72, 735 common shares held by each as of April 14, 1972, the Congen One & Co.--- Hartford, Conn. 65, 000 most recent date for which that information is now New York, N.Y. 58, 560 available. As of that date there were outstanding a total Boyd & Co.. do... 56, 100 of 12,315,380 shares of Burlington Northern, Inc., com Pendiv & Co.... ..do.... 55, 000 Dietrich & Co.... .do.nd 50,000 mon stock. Douglass & Co..... _do.. 50,000 For your further information I enclose Schedule 109 Wilkin & Co... 50, 000 from the Company's Annual Report for the calendar Paine, Webber, Jackson & New York, N.Y. 49, 273 Curtis. year 1971 to the Interstate Commerce Commission which Monyan & Co... Vancouver, B.C. 46, 600 shows the Company's thirty largest stockholders and the Hayward & Co.. New York, N.Y. 43, 000 number of common shares held by each as of January 14, 1972. NOTE.—Cede & Co., the nominee for the Stock Clearing Corp., Very truly yours, acting for members of the New York Stock Exchange, held as of ROBERT W. DOWNING, record Jan. 14, 1972, 517,144 shares. Shares held by Cede & Co. have been included in above listing to the extent applicable. President. CHESAPEAKE AND OHIO RAILROAD COMPANY 30 LARGEST SECURITY HOLDERS AS OF Mar 17, 1972 Class of stook Name and address Com- Pre- of security holder mon ferred Total Bache & Co., Inc., 100 Gold St., New York, N.Y. 32, 134 29, 104 61, 238 Brown Bros., Harriman & Co., 59 Wall St., New York, N.Y. 23, 746 340 Burnham & Co., 60 Broad St., New 24, 086 York, N.Y.. 179 11, 950 12, 129 Cede & Co., Stock Clearing Corp., Box 20, Bowling Green Station, New York, N.Y.. 709, 677 709, 677 battan Bank, N.A., Box 1508, Church St., New York, NY..... 48, 008 400 48, 408 Number Bowling Green Station, New York, of shares N.Y.. 11, 259 4, 570 15, 829 Eastman Dillon Union Securities & 382, 337 Co., Inc., Box 321, Wall Street Ste- 172, 500 tion, New York, N.Y... 9, 914 1, 41 11, 335 C. A. England & Co., care of Chenu. 116, 210 cal Bank, Box 1368, Church St., 107, 100 19, 150 19, 150 90, 000 Gracechurch Co., Barclay's Bank, 66, 004 D.C.O., 120 Broadway, New York, 42, 200 20, 000 20,000 35, 252 Corp., 15 Nassau St., New York, 32, 865 N.Y... 12, 269 1, 021 13, 290 H. Hentz & Co. Inc., 722 Wall St., 30, 612 New York, N.Y. 19, 374 20, 595 39, 909 Hughes Kellogg & Co., Box 100, Wall Street Station, New York, N.Y... 25,000 25,000 23, 104 E. F. Hutton & Co., Inc., Box 558, 21, 954 Wall St., New York, N.Y.. 14, 100 7, 823 21, 923 20, 927 Kane & Co., care of Chase Manhattan 20, 700 Bank, Box 1508, Church Street 20, 044 Station, New York, N.Y. 13,000 13,000 20,000 M. 8. Kaplan Co., 69 West Washing- 19, 733 ton St., Chicago, IU...- 32, 900 32, 900 Loeb Rhoades & Co., 42 Wall St., 16, 745 16, 600 63, 612 3, 216 66, 828 16, 524 Merrill Lynch, Pierce, Fenner & Smith, 15, 396 Inc., Box 708, Wall Street Station, 15, 000 New York, N.Y. 65, 673 30, 866 96, 639 24, 214 Model Roland & Co., Inc., 120 Broad- way, New York, N.Y. 12, 150 500 12, 650 New York, N.Y. 33, 400 6, 790 37, 390 Paine, Webber, Jackson & Curtis, 16, 801 York, NY.. 3, 919 11, 630 15, 549 Reynolds Securities, Inc., 120 Broad- way, New York, N.Y... 14, 549 7, 949 22, 498 Sid W. Richardson Foundation, 1200 Fort Worth National Bank Bldg., Fort Worth, Tex.... 13,000 13,000 Schweikart & Co., 2 Broadway, New York, N.Y.. 10, 875 10, 875 Spel & Co., care of Mutual Funds Division, State Street Bank & Trust Co., Boston, Mass... 14, 700 14, 700 Tepe & Co., Box 1479, Church Street Station, New York, N.Y.. 31, 700 31, 700 Tucker Anthony & R. L. Day, 120 161 13, 910 14, 071 Street Station, New York, N.Y.... 21, 900 6, 685 28, 585 Dean Witter & Co., Inc., 2 Broadway, 19, 233 1, 250 20, 483 ------ CHICAGO, ROCK ISLAND AND PACIFIC RAILROAD COMPANY MAY 22, 1972. DEAR SENATOR METCALF: In response to your letter of May 5, 1972, addressed to Mr. W. J. Dixon, President of this railroad, I am pleased to enclose a list of the railroad's thirty largest stockholders. You will note that the attachment is a reproduction of Schedule 109 of our Annual Report to the Interstate Commerce Commission for the year ended December 31, 1971. You may find of interest other information set forth in Schedule 109, including the fact that as of July 30, 1971, there were issued and outstanding 2,921,161 shares of common stock each of which was entitled to one vote. Very truly yours, EXCERPT FROM ICC SCHEDULE 109, "VOTING POWERS AND ELEC- Bem & Co... Name of security holder Chemical Bank-New York Box 1368, New York, Trust Co.1 Nelvana Corp. cago. Merrill Lynch, Pierce, et al: THOMAS I. MEGAN, Address of security ---------- Paine, Webber, Jackson & Salkeld & Co. Joseph A. Copp----- N.Y. 141 West Jackson, Chi- 141 West Jackson, Chi- 120 Broadway, New 2 Broadway, New York, 120 Broadway, New 40 Wall St., New York, N.Y. 175 West Jackson, Chi- Box 704, New York, N.Y. Number of shares and votes 2,261, 738 60, 673 59, 287 58,928 57, 503 55, 123 18, 534 15, 166 13, 260 6, 089 5, 100 4,390 4, 048 EXCERPT FROM ICC SCHEDULE 109, "VOTING POWERS AND ELEO- Name of security holder Mitchum Jones & Temple ton. Wagner Stott & Co------- Address of security 510 South Spring, Los Scherck Stein & Franc, Inc. 506 Olive, St. Louis, Mo.. F. H. Prince & Co., Inc.... 333 North Sixth, Kansas Number of shares and votes 3, 600 3, 355 3,000 2,700 2,600 2,500 2,400 2,150 2, 103 2,000 2,000 1,709 1,600 Exchange agent U/Union Pacific RR., Co., exchange offer Sept. 1, 1964 amended Oct. 1, 1964 common stock C.R.I. & P. RR., Co. Exchange agent U/Chicago & North Western Railway Co., offer Sept. 23, 1963 as amended common stock C.R.I. & P. RR., Co. GULF, MOBILE AND OHIO RAILROAD COMPANY MAY 9, 1972. DEAR SENATOR METCALF: In response to your letter of May 5, 1972, requesting certain information about our Company's stockholders records, I am pleased to enclose herewith Xerox copy of a page from our Annual Report to the Interstate Commerce Commission which sets out the information you request. You will note that this page shows the total voting power of all stockholders to be 1,039,197. Included in this figure are 63,022 shares of preferred stock. The balance is common stock. Where New York Stock Exchange members hold our stock in the name of Cede & Co., these shares are included on the attached list. Yours very truly, G. P. BROCK, President. |