-----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, Qy3IinpvRmwziy1RsBW4o0POLh+ljxcSZnWnZMOMVzQEhvHBu4obJtdweEJqLFpW 2oAJa9UeWNgTBLVu2Hqn4g== 0000950149-00-000309.txt : 20000216 0000950149-00-000309.hdr.sgml : 20000216 ACCESSION NUMBER: 0000950149-00-000309 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000215 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: UNIVERSAL ELECTRONICS INC CENTRAL INDEX KEY: 0000101984 STANDARD INDUSTRIAL CLASSIFICATION: HOUSEHOLD AUDIO & VIDEO EQUIPMENT [3651] IRS NUMBER: 330204817 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-43065 FILM NUMBER: 545376 BUSINESS ADDRESS: STREET 1: 6101 GATEWAY DRIVE CITY: CYPRESS STATE: CA ZIP: 90630-4841 BUSINESS PHONE: 714-820-1000 MAIL ADDRESS: STREET 1: 1864 ENTERPRISE PKWY W CITY: TWINSBURG STATE: OH ZIP: 44087 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SENECA CAPITAL MANAGEMENT LLC CENTRAL INDEX KEY: 0001044207 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 909 MONTGOMERY STREET STREET 2: SUITE 500 CITY: SAN FRANCISCO STATE: CA ZIP: 94133 BUSINESS PHONE: 4156775820 MAIL ADDRESS: STREET 1: 909 MONTGOMERY STREET STREET 2: STE 500 CITY: SAN FRANCISICO STATE: CA ZIP: 94133 SC 13G 1 SCHEDULE 13G 1 -------------------------- OMB APPROVAL -------------------------- UNITED STATES OMB NUMBER: 3235-0145 SECURITIES AND EXCHANGE COMMISSION Expires: December 31, 1997 Washington, D.C. 20549 Estimated average burden hours per response...14.90 -------------------------- SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. --------------)* Universal Electronics - -------------------------------------------------------------------------------- (Name of Issuer) COMMON - -------------------------------------------------------------------------------- (Title of Class of Securities) 913483103 -------------------- (CUSIP Number) Check the following box if a fee is being paid with this statement ---. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7). *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). 2 13G - --------------------- ----------------- CUSIP NO. 256159104 Page 2 of 5 Pages - --------------------- ----------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON SENECA CAPITAL MANAGEMENT LLC 94-3239114 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) / / - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION CALIFORNIA - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 453,970 NUMBER OF ------------------------------------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY N/A OWNED BY ------------------------------------------------------------- EACH REPORTING 7 SOLE DISPOSITIVE POWER PERSON 453,970 WITH ------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER N/A - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 453,970 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* / / - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.2% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IA - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! 3 Item 1. (a) Name of Issuer UNIVERSAL ELECTRONICS INC. (b) Address of Issuer's Principal Executive Offices 6101 GATEWAY DRIVE, CYPRESS, CA 90630 Item 2. (a) Name of Person Filing SENECA CAPITAL MANAGEMENT LLC (b) Address of Principal Business Office or, if none, Residence 909 MONTGOMERY ST., #500, SAN FRANCISCO, CA 94133 (c) Citizenship USA (d) Title of Class of Securities COMMON (e) CUSIP Number 913483103 Item 3. If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b), check whether the person filing is a: (a) / / Broker or Dealer registered under Section 15 of the Act (b) / / Bank as defined in section 3(a)(6) of the act (c) / / Insurance Company as defined in section 3(a)(19) of the Act (d) / / Investment Company registered under section 8 of the Investment Company Act (e) /x/ Investment Adviser registered under section 203 of the Investment Advisers Act of 1940 (f) / / Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see Section 240.13d-1(b)(1)(ii)(F) (g) / / Parent Holding Company, in accordance with Section 240.13d-1(b)(ii)(G) (Note: See Item 7) (h) / / Group, in accordance with Section 240.13d-1(b)(1)(ii)(H) Item 4. Ownership If the percent of the class owned, as of December 31 of the year covered by the statement, or as of the last day of any month described in Rule 13d-1(b)(2), if applicable, exceeds five percent, provide the following information as of that date and identify those shares which there is a right to acquire. (a) Amount Beneficially Owned 453,970 (b) Percent of Class 6.2% 4 (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote 453,970 (ii) shared power to vote or to direct the vote N/A (iii) sole power to dispose or to direct the disposition of 453,970 (iv) shared power to dispose or to direct the disposition of N/A Instruction: For computations regarding securities which represent a right to acquire an underlying security see Rule 13d-3(d)(1). ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following / /. 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 Not applicable. ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP Not applicable. ITEM 9. NOTICE OF DISSOLUTION OF GROUP Not applicable. ITEM 10. CERTIFICATION The following certification shall be included if the statement is filed pursuant to Rule 13d-1(b): By signing below, I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purposes or effect. 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. 2-14-99 --------------------------------------------- Date /s/ Sandra J. Monticelli --------------------------------------------- Signature SANDRA J. MONTICELLI COO --------------------------------------------- Name/Title -----END PRIVACY-ENHANCED MESSAGE-----