-----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, Kn6GvmdfP7syDs+EcsNrVQ1xB0+WM8SO+vj2N/cLhcYtNYPrHVvVfvc0lsh0zzlN SWZobMA0igWESgjCfjupkg== 0001102899-01-000013.txt : 20010223 0001102899-01-000013.hdr.sgml : 20010223 ACCESSION NUMBER: 0001102899-01-000013 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010214 GROUP MEMBERS: BERGER LLC GROUP MEMBERS: BERGER SMALL COMPANY GROWTH FUND GROUP MEMBERS: STILWELL FINANICIAL INC. GROUP MEMBERS: STILWELL MANAGEMENT, INC. 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/A SEC ACT: SEC FILE NUMBER: 005-43065 FILM NUMBER: 1545542 BUSINESS ADDRESS: STREET 1: 6101 GATEWAY DRIVE CITY: CYPRESS STATE: CA ZIP: 90630-4841 BUSINESS PHONE: 714-820-1000 MAIL ADDRESS: STREET 1: 6101 GATEWAY DRIVE CITY: CYPRESS STATE: CA ZIP: 90630-4841 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BERGER LLC CENTRAL INDEX KEY: 0001102899 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 841507541 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 210 UNIVERSITY BLVD. STREET 2: SUITE 900 CITY: DENVER STATE: CO ZIP: 80206 BUSINESS PHONE: 3033290200 MAIL ADDRESS: STREET 1: 210 UNIVERSITY BLVD. STREET 2: SUITE 900 CITY: DENVER STATE: CO ZIP: 80206 SC 13G/A 1 0001.txt Document is copied. UNITED STATES ----------------------------- OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION ----------------------------- Washington, D.C. 20549 OMB Number: 3235-0145 ----------------------------- SCHEDULE 13G Expires: October 31, 2002 ----------------------------- Estimated average burden hours per response......14.9 ----------------------------- Under the Securities Exchange Act of 1934 (Amendment No. 3) UNIVERSAL ELECTRONICS, INC. /1/ (Name of Issuer) COMMON STOCK (Title of Class of Securities) 913483103 (CUSIP Number) FEBRUARY 14, 2001 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: |X| Rule 13d-1(b) | | Rule 13d-1(c) | | Rule 13d-1(d) - ----------------- 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). Schedule 13G Page 2 of 13 CUSIP No. 913483103 Universal Electronics, Inc. - ------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Berger LLC ID No. 84-1507541 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Nevada - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES -0- ------------------------------------------------------ BENEFICIALLY 6 SHARED VOTING POWER OWNED BY 1,467,910 ------------------------------------------------------ EACH 7 SOLE DISPOSITIVE POWER REPORTING -0- ------------------------------------------------------ PERSON 8 SHARED DISPOSITIVE POWER WITH 1,467,910 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,467,910 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 10.66% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON IA, CO - -------------------------------------------------------------------------------- - ---------------- Schedule 13G Page 3 of 13 CUSIP No. 913483103 Universal Electronics, Inc. - ------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Berger Small Company Growth Fund, a Portfolio of Berger Investment Portfolio Trust (ID No. 84-1244357) - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES -0- ------------------------------------------------------ BENEFICIALLY 6 SHARED VOTING POWER OWNED BY 1,275,730 ------------------------------------------------------ EACH 7 SOLE DISPOSITIVE POWER REPORTING -0- ------------------------------------------------------ PERSON 8 SHARED DISPOSITIVE POWER WITH 1,275,730 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,275,730 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 9.26% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON IV, 00 - -------------------------------------------------------------------------------- Schedule 13G Page 4 of 13 CUSIP No. 913483103 Universal Electronics, Inc. - ------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Stilwell Financial Inc. ID No. 43-1804048 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES -0- ------------------------------------------------------ BENEFICIALLY 6 SHARED VOTING POWER OWNED BY -0- ------------------------------------------------------ EACH 7 SOLE DISPOSITIVE POWER REPORTING -0- ------------------------------------------------------ PERSON 8 SHARED DISPOSITIVE POWER WITH -0- - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -0- - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES |X| Excludes shares beneficially owned by Berger LLC and Berger Small Company Growth Fund as to which beneficial ownership is disclaimed. - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) -0- - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON HC, CO - -------------------------------------------------------------------------------- Schedule 13G Page 5 of 13 CUSIP No. 913483103 Universal Electronics, Inc. - ------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Stilwell Management, Inc. ID No. 13-2750052 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES -0- ------------------------------------------------------ BENEFICIALLY 6 SHARED VOTING POWER OWNED BY -0- ------------------------------------------------------ EACH 7 SOLE DISPOSITIVE POWER REPORTING -0- ------------------------------------------------------ PERSON 8 SHARED DISPOSITIVE POWER WITH -0- - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -0- - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES |X| Excludes shares beneficially owned by Berger LLC and Berger Small Company Growth Fund as to which beneficial ownership is disclaimed. - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) -0- - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON CO - -------------------------------------------------------------------------------- Schedule 13G Page 6 of 13 CUSIP No. 913483103 Universal Electronics, Inc. - ------------------------------------------------------------------------------- Item 1. (a) Name of Issuer: UNIVERSAL ELECTRONICS, INC. (b) Address of Issuer's Principal Executive Offices: 6101 GATEWAY DRIVE CYPRESS, CA 90630-4841 Item 2. (a) Name of Person Filing: (1) BERGER LLC (2) BERGER SMALL COMPANY GROWTH FUND, A PORTFOLIO OF THE BERGER INVESTMENT PORTFOLIO TRUST (3) STILWELL FINANCIAL INC. (4) STILWELL MANAGEMENT, INC. (b) Address of Principal Business Office: (1) BERGER LLC 210 UNIVERSITY BOULEVARD, SUITE 900 DENVER, COLORADO 80206 (2) BERGER SMALL COMPANY GROWTH FUND 210 UNIVERSITY BOULEVARD, SUITE 900 DENVER, COLORADO 80206 (3) STILWELL FINANCIAL INC. 920 MAIN, 21st FLOOR KANSAS CITY, MISSOURI 64105 (4) STILWELL MANAGEMENT, INC. 210 UNIVERSITY BOULEVARD, SUITE 900 DENVER, COLORADO 80206 Schedule 13G Page 7 of 13 CUSIP No. 913483103 Universal Electronics, Inc. - ------------------------------------------------------------------------------- (c) Citizenship: (1) Berger LLC: NEVADA (2) Berger Small Company Growth Fund: DELAWARE (3) Stilwell Financial Inc. DELAWARE (4) Stilwell Management, Inc. DELAWARE (d) Title of Class of Securities: COMMON STOCK (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 (15 U.S.C. 78o); (b) Bank as defined in Section 3(a)(6) of the Act ------- (15 U.S.C. 78o); (c) Insurance Company as defined in Section 3(a)(19) ------- of the Act (15 U.S.C. 78c); (d) X Investment Company registered under Section 8 of ------- the Investment Company Act of 1940 (15 U.S.C. 80a-8); /2/ (e) X An investment adviser in accordance with ------- Section 240.13d-1(b)(7)(ii)(E); /3/ (f) An employee benefit plan or endowment fund in ------- accordance with Section 240.13d-1(b)(1)(ii)(F); (g) X A parent holding company or control person in ------- accordance with Section 240.13d-1(b)(1)(ii)(G); /4/ - ------------------------ 2 Berger Small Company Growth Fund is a Portfolio of the Berger Investment Portfolio Trust, a Delaware business trust and a registered investment company. 3 Berger LLC is a registered investment adviser. 4 Stilwell Financial Inc. ("SFI") owns 100% of Stilwell Management, Inc., which owns approximately 86% of Berger LLC. Each of these entities is filing this statement solely as a result of such stock ownership which may be deemed to give SFI or SMI control over Berger LLC. Schedule 13G Page 8 of 13 CUSIP No. 913483103 Universal Electronics, Inc. - ------------------------------------------------------------------------------- (h) A savings associations 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 ------- Section 240.13d-1(b)(1)(ii)(H). Item 4. Ownership (a) Amount Beneficially Owned: (1) Berger LLC: 1,467,910 /5/ ----------- (2) Berger Small Company Growth Fund: 1,275,730 ----------- (3) Stilwell Financial Inc.: 0 /6/ ----------- (4) Stilwell Management, Inc.: 0 /7/ ----------- - -------------------- 5 The filing of this statement shall not be construed as an admission that Berger LLC is, for purposes of Sections 13(d) or 13(g) of the Securities Exchange Act of 1934, the beneficial owner of any securities covered by this statement. Berger LLC is a registered investment adviser which furnishes investment advice to a number of mutual funds and institutional clients. As a result of its role as investment adviser or sub-adviser to the Funds as well as institutional clients, Berger LLC may be deemed to be the beneficial owner of securities held by such funds or clients. 6 Stilwell Financial Inc. does not own of record any shares of Universal Electronics, Inc. Common Stock, it has not engaged in any transaction in Universal Electronics, Inc. Common Stock, and it does not exercise any voting or investment power over shares of Universal Electronics, Inc. Common Stock. All shares reported herein have been acquired by Berger LLC's advisory clients and SFI specifically disclaims beneficial ownership over any shares of Universal Electronics, Inc. Common Stock. Accordingly, the filing of this statement shall not be construed as an admission that SFI is, for purposes of Sections 13(d) or 13(g) of the Securities Exchange Act of 1934, the beneficial owner of any securities covered by this statement. 7 Stilwell Management, Inc. ("SMI") does not own of record any shares of Universal Electronics, Inc. Common Stock, it has not engaged in any transaction in Universal Electronics, Inc. Common Stock, and it does not exercise any voting or investment power over shares of Universal Electronics, Inc. Common Stock. All shares reported herein have been acquired by Berger LLC's advisory clients and SMI Schedule 13G Page 9 of 13 CUSIP No. 913483103 Universal Electronics, Inc. - ------------------------------------------------------------------------------- (b) Percent of Class: (1) Berger LLC: 10.66% /8/ -------- (2) Berger Small Company Growth Fund: 9.26% -------- (4) Stilwell Financial Inc.: 0.0% /9/ -------- (5) Stilwell Management, Inc.: 0.0% /10/ -------- (c) Number of shares as to which such person has: (1) Berger LLC: (i) Sole power to vote or to direct the vote: 0 ------ (ii) Shared power to vote or to direct the vote: 1,467,910 ---------- (iii) Sole power to dispose or to direct the disposition of: 0 ---------- (iv) Shared power to dispose or to direct the disposition of: 1,467,910 ---------- (2) Berger Small Company Growth Fund: (i) Sole power to vote or to direct the vote: 0 ------- (ii) Shared power to vote or to direct the vote: 1,275,730 ---------- - -------------------- specifically disclaims beneficial ownership over any shares of Universal Electronics, Inc. Common Stock. Accordingly, the filing of this statement shall not be construed as an admission that SMI is, for purposes of Sections 13(d) or 13(g) of the Securities Exchange Act of 1934, the beneficial owner of any securities covered by this statement. 8 The filing of this statement shall not be construed as an admission that Berger LLC is, for purposes of Sections 13(d) or 13(g) of the Securities Exchange Act of 1934, the beneficial owner of any securities covered by this statement. 9 See Item 4(a)(3). 10 See Item 4(a)(4). Schedule 13G Page 10 of 13 CUSIP No. 913483103 Universal Electronics, Inc. - ------------------------------------------------------------------------------- (iii) Sole power to dispose or to direct the disposition of: 0 --------- (iv) Shared power to dispose or to direct the disposition of: 1,275,730 --------- (3) Stilwell Financial Inc. (i) Sole power to vote or to direct the vote: 0 ------ (ii) Shared power to vote or to direct the vote: 0 /11/ ------ (iii) Sole power to dispose or to direct the disposition of: 0 ----- (iv) Shared power to dispose or to direct the disposition of: 0 /12/ ------ (4) Stilwell Management, Inc. (i) Sole power to vote or to direct the vote: 0 ----- (ii) Shared power to vote or to direct the vote: 0 /13/ ----- (iii) Sole power to dispose or to direct the disposition of: 0 ----- (iv) Shared power to dispose or to direct the disposition of: 0 /14/ ----- 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: THE BERGER SMALL COMPANY GROWTH FUND HAS THE RIGHT TO RECEIVE ALL DIVIDENDS FROM, AND THE PROCEEDS FROM THE SALE OF, THE SECURITIES HELD IN ITS ACCOUNT. - -------------------- 11 See Item 4(a)(3). 12 See Item 4(a)(3). 13 See Item 4(a)(4). 14 See Item 4(a)(4). Schedule 13G Page 11 of 13 CUSIP No. 913483103 Universal Electronics, Inc. - ------------------------------------------------------------------------------- Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company: THIS STATEMENT HAS BEEN FILED JOINTLY BY SFI, SMI, BERGER LLC AND THE BERGER SMALL COMPANY GROWTH FUND, AND INFORMATION RELATING TO BERGER LLC HAS BEEN INCLUDED HEREIN. Item 8. Identification and Classification of Members of the Group: NOT APPLICABLE Item 9. Notice of Dissolution of Group: NOT APPLICABLE Item 10. Certification: BY SIGNING BELOW I CERTIFY THAT, TO THE BEST OF MY KNOWLEDGE AND BELIEF, THE SECURITIES REFERRED TO ABOVE WERE ACQUIRED AND ARE HELD IN THE ORDINARY COURSE OF BUSINESS AND WERE NOT ACQUIRED AND ARE NOT HELD FOR THE PURPOSE OF OR WITH THE EFFECT OF CHANGING OR INFLUENCING THE CONTROL OF THE ISSUER OF SUCH SECURITIES AND WERE NOT ACQUIRED AND ARE NOT HELD IN CONNECTION WITH OR AS A PARTICIPANT IN ANY TRANSACTION HAVING SUCH PURPOSE OR EFFECT. Schedule 13G Page 12 of 13 CUSIP No. 913483103 Universal Electronics, Inc. - ------------------------------------------------------------------------------- SIGNATURE (Amendment No. 3) 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. BERGER LLC: /S/BRIAN S. FERRIE Date: February 14, 2001 ------------------------------------ Signature Brian S. Ferrie, Vice President - Compliance ------------------------------------ Name/Title BERGER SMALL COMPANY GROWTH FUND, A PORTFOLIO OF THE BERGER INVESTMENT PORTFOLIO TRUST /S/BRIAN S. FERRIE Date: February 14, 2001 ------------------------------------ Signature Brian S. Ferrie, Vice President ------------------------------------ Name/Title STILWELL FINANCIAL INC. /S/GWEN E. ROYLE Date: February 14, 2001 ------------------------------------ Signature Gwen E. Royle, Vice President - Legal and Corporate Secretary ------------------------------------ Name/Title Schedule 13G Page 13 of 13 CUSIP No. 913483103 Universal Electronics, Inc. - ------------------------------------------------------------------------------- STILWELL MANAGEMENT, INC. /S/JACK R. THOMPSON Date: February 14, 2001 ------------------------------------ Signature Jack R. Thompson, President and Chief Executive Officer ------------------------------------ Name/Title EXHIBIT INDEX EXHIBIT DOCUMENT PAGE NO. - ------- -------- -------- A Joint Filing Agreement A-1 EXHIBIT A to SCHEDULE 13G (Amendment No. 3) JOINT FILING AGREEMENT Pursuant to Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, the undersigned parties hereby agree that the preceding Schedule 13G is being filed on behalf of each of them. IN WITNESS THEREOF, the parties hereto have duly executed this agreement on this 14th day of February, 2001. BERGER LLC: /S/BRIAN S. FERRIE ------------------------------------ Brian S. Ferrie, Vice President - Compliance BERGER SMALL COMPANY GROWTH FUND, A PORTFOLIO OF THE BERGER INVESTMENT PORTFOLIO TRUST /S/BRIAN S. FERRIE ------------------------------------ Brian S. Ferrie, Vice President STILWELL FINANCIAL INC. /S/GWEN E. ROYLE ------------------------------------ Gwen E. Royle, Vice President - Legal and Corporate Secretary STILWELL MANAGEMENT, INC. /S/JACK R. THOMPSON ------------------------------------ Jack R. Thompson, President and Chief Executive Officer -----END PRIVACY-ENHANCED MESSAGE-----