-----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, MuYFbEK1BdVDcP4sZcSwsnxvUu4Rm8qPaUE8hmevO0a16df2zG8UgGg8Sb9iOA1I xD8oiGe8Pe072fe7/d8/xw== 0000927016-97-000249.txt : 19970221 0000927016-97-000249.hdr.sgml : 19970221 ACCESSION NUMBER: 0000927016-97-000249 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970210 SROS: NASD GROUP MEMBERS: E. MARK NOONAN GROUP MEMBERS: FREDERICK S. MOSELEY GROUP MEMBERS: FREDERICK W. MCCARTHY GROUP MEMBERS: JOHN M. CHAPMAN GROUP MEMBERS: RICHARD J. WILLIAMS GROUP MEMBERS: THOMAS W. JANES GROUP MEMBERS: TRIUMPH CAPITAL GROUP, INC GROUP MEMBERS: TRIUMPH CONNECTICUT LTD PARTNERSHIP GROUP MEMBERS: TRIUMPH-CONNECTICUT CAPITAL ADVISORS SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: UNITED NATURAL FOODS INC CENTRAL INDEX KEY: 0001020859 STANDARD INDUSTRIAL CLASSIFICATION: WHOLESALE-GROCERIES & GENERAL LINE [5141] IRS NUMBER: 050376157 STATE OF INCORPORATION: DE FISCAL YEAR END: 0731 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-48855 FILM NUMBER: 97523057 BUSINESS ADDRESS: STREET 1: PO BOX 999 STREET 2: 260 LAKE RD CITY: DAYVILLE STATE: CT ZIP: 06241 BUSINESS PHONE: 8607792800 MAIL ADDRESS: STREET 1: PO BOX 999 STREET 2: 260 LAKE RD CITY: DAYVILLE STATE: CT ZIP: 06241 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: TRIUMPH CONNECTICUT LTD PARTNERSHIP CENTRAL INDEX KEY: 0000923556 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: CT FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 60 STATE ST 21ST FLOOR CITY: BOSTON STATE: MA ZIP: 02109 BUSINESS PHONE: 6175576000 MAIL ADDRESS: STREET 1: 60 STATE ST 21ST FLOOR CITY: BOSTON STATE: MA ZIP: 02109 SC 13G 1 SCHEDULE 13G FOR TRIUMPH SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 _____________________ SCHEDULE 13G (Rule 13d-102) INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. __) United Natural Foods, Inc. -------------------------- (Name of Issuer) Common Stock, $.01 par value per share -------------------------------------- (Title of Class of Securities) 911163 10 3 ----------- (CUSIP Number) SCHEDULE 13G CUSIP No. 911163 10 3 Page 2 of 27 ----------- ____________________________________________________________________________ 1. Name of Reporting Persons S.S. or I.R.S. Identification Number of Above Persons Triumph-Connecticut Limited Partnership 04-3183699 ____________________________________________________________________________ 2. Check the Appropriate Box if a Member of a Group - Not Applicable ____________________________________________________________________________ 3. SEC Use Only ____________________________________________________________________________ 4. Citizenship or Place of Organization Connecticut ____________________________________________________________________________ Number of Shares Beneficially Owned By Each Reporting Person With; 5. Sole Voting Power 0 Shares ____________________________________________________________________________ 6. Shared Voting Power 785,730 Shares CUSIP No. 911163 10 3 Page 3 of 27 ----------- ____________________________________________________________________________ 7. Sole Dispositive Power 0 Shares ____________________________________________________________________________ 8. Shared Dispositive Power 785,730 Shares ____________________________________________________________________________ 9. Aggregate Amount Beneficially Owned by Each Reporting Person. 785,730 Shares ____________________________________________________________________________ 10. Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares. Not Applicable ____________________________________________________________________________ 11. Percent of Class Represented by Amount in Row 9. 6.3% ____________________________________________________________________________ 12. Type of Reporting Person. PN ____________________________________________________________________________ CUSIP No. 911163 10 3 Page 4 of 27 ----------- ____________________________________________________________________________ 1. Name of Reporting Persons S.S. or I.R.S. Identification Number of Above Persons Triumph-Connecticut Capital Advisors Limited Partnership 04-3183698 ____________________________________________________________________________ 2. Check the Appropriate Box if a Member of a Group - Not Applicable ____________________________________________________________________________ 3. SEC Use Only ____________________________________________________________________________ 4. Citizenship or Place of Organization Delaware ____________________________________________________________________________ Number of Shares Beneficially Owned By Each Reporting Person With; 5. Sole Voting Power 0 Shares ____________________________________________________________________________ 6. Shared Voting Power 785,730 Shares CUSIP No. 911163 10 3 Page 5 of 27 ----------- ____________________________________________________________________________ 7. Sole Dispositive Power 0 Shares ____________________________________________________________________________ 8. Shared Dispositive Power 785,730 Shares ____________________________________________________________________________ 9. Aggregate Amount Beneficially Owned by Each Reporting Person. 785,730 Shares ____________________________________________________________________________ 10. Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares. Not Applicable ____________________________________________________________________________ 11. Percent of Class Represented by Amount in Row 9. 6.3% ____________________________________________________________________________ 12. Type of Reporting Person. PN ____________________________________________________________________________ CUSIP No. 911163 10 3 Page 6 of 27 ----------- ____________________________________________________________________________ 1. Name of Reporting Persons S.S. or I.R.S. Identification Number of Above Persons Richard J. Williams ###-##-#### ____________________________________________________________________________ 2. Check the Appropriate Box if a Member of a Group - Not Applicable ____________________________________________________________________________ 3. SEC Use Only ____________________________________________________________________________ 4. Citizenship or Place of Organization United States of America ____________________________________________________________________________ Number of Shares Beneficially Owned By Each Reporting Person With; 5. Sole Voting Power 0 Shares ____________________________________________________________________________ 6. Shared Voting Power 785,730 Shares CUSIP No. 911163 10 3 Page 7 of 27 ----------- ____________________________________________________________________________ 7. Sole Dispositive Power 0 Shares ____________________________________________________________________________ 8. Shared Dispositive Power 785,730 Shares ____________________________________________________________________________ 9. Aggregate Amount Beneficially Owned by Each Reporting Person. 785,730 Shares (Consists of 785,730 Shares held by Triumph-Connecticut Limited Partnership ("Triumph")). The sole general partner of Triumph is Triumph-Connecticut Capital Advisors Limited Partnership ("Capital"). Mr. Williams is one of the seven general partners of Capital. Mr. Williams disclaims beneficial ownership of these shares except to the extent of his proportionate pecuniary interest therein. ____________________________________________________________________________ 10. Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares. Not Applicable ____________________________________________________________________________ 11. Percent of Class Represented by Amount in Row 9. 6.3% ____________________________________________________________________________ 12. Type of Reporting Person. IN ____________________________________________________________________________ CUSIP No. 911163 10 3 Page 8 of 27 ----------- ____________________________________________________________________________ 1. Name of Reporting Persons S.S. or I.R.S. Identification Number of Above Persons Frederick W. McCarthy ###-##-#### ____________________________________________________________________________ 2. Check the Appropriate Box if a Member of a Group - Not Applicable ____________________________________________________________________________ 3. SEC Use Only ____________________________________________________________________________ 4. Citizenship or Place of Organization United States of America ____________________________________________________________________________ Number of Shares Beneficially Owned By Each Reporting Person With; 5. Sole Voting Power 0 Shares ____________________________________________________________________________ 6. Shared Voting Power 785,730 Shares CUSIP No. 911163 10 3 Page 9 of 27 ----------- ____________________________________________________________________________ 7. Sole Dispositive Power 0 Shares ____________________________________________________________________________ 8. Shared Dispositive Power 785,730 Shares ____________________________________________________________________________ 9. Aggregate Amount Beneficially Owned by Each Reporting Person. 785,730 Shares (Consists of 785,730 Shares held by Triumph-Connecticut Limited Partnership ("Triumph")). The sole general partner of Triumph is Triumph-Connecticut Capital Advisors Limited Partnership ("Capital"). Mr. McCarthy is one of the seven general partners of Capital. Mr. McCarthy disclaims beneficial ownership of these shares except to the extent of his proportionate pecuniary interest therein. ____________________________________________________________________________ 10. Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares. Not Applicable ____________________________________________________________________________ 11. Percent of Class Represented by Amount in Row 9. 6.3% ____________________________________________________________________________ 12. Type of Reporting Person. IN ____________________________________________________________________________ CUSIP No. 911163 10 3 Page 10 of 27 ----------- ____________________________________________________________________________ 1. Name of Reporting Persons S.S. or I.R.S. Identification Number of Above Persons Frederick S. Moseley ###-##-#### ____________________________________________________________________________ 2. Check the Appropriate Box if a Member of a Group - Not Applicable ____________________________________________________________________________ 3. SEC Use Only ____________________________________________________________________________ 4. Citizenship or Place of Organization United States of America ____________________________________________________________________________ Number of Shares Beneficially Owned By Each Reporting Person With; 5. Sole Voting Power 0 Shares ____________________________________________________________________________ 6. Shared Voting Power 785,730 Shares CUSIP No. 911163 10 3 Page 11 of 27 ----------- ____________________________________________________________________________ 7. Sole Dispositive Power 0 Shares ____________________________________________________________________________ 8. Shared Dispositive Power 785,730 Shares ____________________________________________________________________________ 9. Aggregate Amount Beneficially Owned by Each Reporting Person. 785,730 Shares (Consists of 785,730 Shares held by Triumph-Connecticut Limited Partnership ("Triumph")). The sole general partner of Triumph is Triumph-Connecticut Capital Advisors Limited Partnership ("Capital"). Mr. Moseley is one of the seven general partners of Capital. Mr. Moseley disclaims beneficial ownership of these shares except to the extent of his proportionate pecuniary interest therein. ____________________________________________________________________________ 10. Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares. Not Applicable ____________________________________________________________________________ 11. Percent of Class Represented by Amount in Row 9. 6.3% ____________________________________________________________________________ 12. Type of Reporting Person. IN ____________________________________________________________________________ CUSIP No. 911163 10 3 Page 12 of 27 ----------- ____________________________________________________________________________ 1. Name of Reporting Persons S.S. or I.R.S. Identification Number of Above Persons E. Mark Noonan ###-##-#### ____________________________________________________________________________ 2. Check the Appropriate Box if a Member of a Group - Not Applicable ____________________________________________________________________________ 3. SEC Use Only ____________________________________________________________________________ 4. Citizenship or Place of Organization United States of America ____________________________________________________________________________ Number of Shares Beneficially Owned By Each Reporting Person With; 5. Sole Voting Power 0 Shares ____________________________________________________________________________ 6. Shared Voting Power 785,730 Shares CUSIP No. 911163 10 3 Page 13 of 27 ----------- ____________________________________________________________________________ 7. Sole Dispositive Power 0 Shares ____________________________________________________________________________ 8. Shared Dispositive Power 785,730 Shares ____________________________________________________________________________ 9. Aggregate Amount Beneficially Owned by Each Reporting Person. 785,730 Shares (Consists of 785,730 Shares held by Triumph-Connecticut Limited Partnership ("Triumph")). The sole general partner of Triumph is Triumph-Connecticut Capital Advisors Limited Partnership ("Capital"). Mr. Noonan is one of the seven general partners of Capital. Mr. Noonan disclaims beneficial ownership of these shares except to the extent of his proportionate pecuniary interest therein. ____________________________________________________________________________ 10. Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares. Not Applicable ____________________________________________________________________________ 11. Percent of Class Represented by Amount in Row 9. 6.3% ____________________________________________________________________________ 12. Type of Reporting Person. IN ____________________________________________________________________________ CUSIP No. 911163 10 3 Page 14 of 27 ----------- ____________________________________________________________________________ 1. Name of Reporting Persons S.S. or I.R.S. Identification Number of Above Persons Thomas W. Janes ###-##-#### ____________________________________________________________________________ 2. Check the Appropriate Box if a Member of a Group - Not Applicable ____________________________________________________________________________ 3. SEC Use Only ____________________________________________________________________________ 4. Citizenship or Place of Organization United States of America ____________________________________________________________________________ Number of Shares Beneficially Owned By Each Reporting Person With; 5. Sole Voting Power 0 Shares ____________________________________________________________________________ 6. Shared Voting Power 785,730 Shares CUSIP No. 911163 10 3 Page 15 of 27 ----------- ____________________________________________________________________________ 7. Sole Dispositive Power 0 Shares ____________________________________________________________________________ 8. Shared Dispositive Power 785,730 Shares ____________________________________________________________________________ 9. Aggregate Amount Beneficially Owned by Each Reporting Person. 785,730 Shares (Consists of 785,730 Shares held by Triumph-Connecticut Limited Partnership ("Triumph")). The sole general partner of Triumph is Triumph-Connecticut Capital Advisors Limited Partnership ("Capital"). Mr. Janes is one of the seven general partners of Capital. Mr. Janes disclaims beneficial ownership of these shares except to the extent of his proportionate pecuniary interest therein. ____________________________________________________________________________ 10. Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares. Not Applicable ____________________________________________________________________________ 11. Percent of Class Represented by Amount in Row 9. 6.3% ____________________________________________________________________________ 12. Type of Reporting Person. IN ____________________________________________________________________________ CUSIP No. 911163 10 3 Page 16 of 27 ----------- ____________________________________________________________________________ 1. Name of Reporting Persons S.S. or I.R.S. Identification Number of Above Persons John M. Chapman ###-##-#### ____________________________________________________________________________ 2. Check the Appropriate Box if a Member of a Group - Not Applicable ____________________________________________________________________________ 3. SEC Use Only ____________________________________________________________________________ 4. Citizenship or Place of Organization United States of America ____________________________________________________________________________ Number of Shares Beneficially Owned By Each Reporting Person With; 5. Sole Voting Power 0 Shares ____________________________________________________________________________ 6. Shared Voting Power 785,730 Shares CUSIP No. 911163 10 3 Page 17 of 27 ----------- ____________________________________________________________________________ 7. Sole Dispositive Power 0 Shares ____________________________________________________________________________ 8. Shared Dispositive Power 785,730 Shares ____________________________________________________________________________ 9. Aggregate Amount Beneficially Owned by Each Reporting Person. 785,730 Shares (Consists of 785,730 Shares held by Triumph-Connecticut Limited Partnership ("Triumph")). The sole general partner of Triumph is Triumph-Connecticut Capital Advisors Limited Partnership ("Capital"). Mr. Chapman is one of the seven general partners of Capital. Mr. Chapman disclaims beneficial ownership of these shares except to the extent of his proportionate pecuniary interest therein. ____________________________________________________________________________ 10. Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares. Not Applicable ____________________________________________________________________________ 11. Percent of Class Represented by Amount in Row 9. 6.3% ____________________________________________________________________________ 12. Type of Reporting Person. IN ____________________________________________________________________________ CUSIP No. 911163 10 3 Page 18 of 27 ----------- ____________________________________________________________________________ 1. Name of Reporting Persons S.S. or I.R.S. Identification Number of Above Persons Triumph Capital Group, Inc. 04-3081875 ____________________________________________________________________________ 2. Check the Appropriate Box if a Member of a Group - Not Applicable ____________________________________________________________________________ 3. SEC Use Only ____________________________________________________________________________ 4. Citizenship or Place of Organization Delaware ____________________________________________________________________________ Number of Shares Beneficially Owned By Each Reporting Person With; 5. Sole Voting Power 0 Shares ____________________________________________________________________________ 6. Shared Voting Power 785,730 Shares CUSIP No. 911163 10 3 Page 19 of 27 ----------- ____________________________________________________________________________ 7. Sole Dispositive Power 0 Shares ____________________________________________________________________________ 8. Shared Dispositive Power 785,730 Shares ____________________________________________________________________________ 9. Aggregate Amount Beneficially Owned by Each Reporting Person. 785,730 Shares (Consists of 785,730 Shares held by Triumph-Connecticut Limited Partnership ("Triumph")). The sole general partner of Triumph is Triumph-Connecticut Capital Advisors Limited Partnership ("Capital"). Triumph Capital Group, Inc. is one of the seven general partners of Capital. Triumph Capital Group, Inc. disclaims beneficial ownership of these shares except to the extent of its proportionate pecuniary interest therein. Ownership of Triumph Capital Group, Inc. is held by the following three trusts: the Daniel A. McCarthy Trust 1990, the Frederick W. McCarthy III Trust 1990 and the Katherine E. McCarthy Trust 1990. The trustees of the Daniel A. McCarthy Trust 1990, who share voting and investment control over the trust's property are Frederick W. McCarthy and Annette L. Dyer. Daniel A. McCarthy is the sole beneficiary of the Daniel A. McCarthy Trust 1990 and he disclaims beneficial ownership of all shares owned by such trust except to the extent of his proportionate pecuniary interest therein. The trustees of the Frederick W. McCarthy III Trust 1990, who share voting and investment control over the trust's property are Frederick W. McCarthy and Annette L. Dyer. Frederick W. McCarthy III is the sole beneficiary of the Frederick W. McCarthy III Trust 1990 and he disclaims beneficial ownership of all shares owned by such trust except to the extent of his proportionate pecuniary interest therein. The trustees of the Katherine E. McCarthy Trust 1990, who share voting and investment control over the trust's property are Frederick W. McCarthy and Annette L. Dyer. Katherine E. McCarthy is the sole beneficiary of the Katherine E. McCarthy Trust 1990 and she disclaims beneficial ownership of CUSIP No. 911163 10 3 Page 20 of 27 all shares owned by such trust except to the extent of her proportionate pecuniary interest therein. ____________________________________________________________________________ 10. Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares. Not Applicable ____________________________________________________________________________ 11. Percent of Class Represented by Amount in Row 9. 6.3% ____________________________________________________________________________ 12. Type of Reporting Person. CO ____________________________________________________________________________ CUSIP No. 911163 10 3 Page 21 of 27 ----------- SCHEDULE 13G Item 1(a). Name of Issuer: - --------------------------- United Natural Foods, Inc. Item 1(b). Address of Issuer's Principal Executive Offices: - ------------------------------------------------------------ 260 Lake Road Dayville, Connecticut 06241 Item 2(a). Name of Person Filing: - ---------------------------------- Triumph-Connecticut Limited Partnership for itself and on behalf of: Triumph-Connecticut Capital Advisors Limited Partnership; Richard J. Williams; Frederick W. McCarthy; Frederick S. Moseley; E. Mark Noonan; Thomas W. Janes; John M. Chapman; and Triumph Capital Group, Inc. Item 2(b). Address of Principal Business Office or, if None, Residence: - ------------------------------------------------- For all reporting persons the business address is: c/o Triumph-Connecticut Limited Partnership 60 State Street, 21st Floor Boston, Massachusetts 02109-1803 CUSIP No. 911163 10 3 Page 22 of 27 ----------- Item 2(c). Citizenship: - ------------------------ Triumph-Connecticut Limited Partnership is organized under the laws of the state of Connecticut. Triumph-Connecticut Capital Advisors Limited Partnership is organized under the laws of the State of Delaware. Each of: Richard J. Williams, Frederick W. McCarthy, Frederick S. Moseley, E. Mark Noonan, Thomas W. Janes and John M. Chapman are citizens of the United States of America. Triumph Capital Group, Inc. is incorporated under the laws of the state of Delaware. Item 2(d). Title of Class of Securities: - ----------------------------------------- Common Stock, $.01 par value per share Item 2(e). CUSIP Number: - ------------------------- 911163 10 3 Item 3: - ------- Not Applicable Item 4. Ownership: - ------------------- (a) Amount Beneficially Owned: Triumph-Connecticut Limited Partnership ("Triumph") holds 785,730 shares of common stock. The sole general partner of Triumph is Triumph-Connecticut Capital Advisors Limited Partnership ("Capital"). The seven general partners of Capital, who share voting and investment control over the shares held by Triumph, are: Richard J. Williams, Frederick W. McCarthy, Frederick S. Moseley, E. Mark Noonan, Thomas W. Janes, John M. Chapman and Triumph Capital Group, Inc. The general partners of Capital disclaim beneficial ownership of the shares held by Triumph except to the extent of their proportionate pecuniary interest therein. CUSIP No. 911163 10 3 Page 23 of 27 ----------- Ownership of Triumph Capital Group, Inc. is held by the following three trusts: the Daniel A. McCarthy Trust 1990, the Frederick W. McCarthy III Trust 1990 and the Katherine E. McCarthy Trust 1990. The trustees of the Daniel A. McCarthy Trust 1990, who share voting and investment control over the trust's property are Frederick W. McCarthy and Annette L. Dyer. Daniel A. McCarthy is the sole beneficiary of the Daniel A. McCarthy Trust 1990 and he disclaims beneficial ownership of all shares owned by such trust except to the extent of his proportionate pecuniary interest therein. The trustees of the Frederick W. McCarthy III Trust 1990, who share voting and investment control over the trust's property are Frederick W. McCarthy and Annette L. Dyer. Frederick W. McCarthy III is the sole beneficiary of the Frederick W. McCarthy III Trust 1990 and he disclaims beneficial ownership of all shares owned by such trust except to the extent of his proportionate pecuniary interest therein. The trustees of the Katherine E. McCarthy Trust 1990, who share voting and investment control over the trust's property are Frederick W. McCarthy and Annette L. Dyer. Katherine E. McCarthy is the sole beneficiary of the Katherine E. McCarthy Trust 1990 and she disclaims beneficial ownership of all shares owned by such trust except to the extent of her proportionate pecuniary interest therein. (b) Percent of Class: 6.3% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 0 Shares; (ii) shared power to vote or to direct the vote: The seven general partners of Capital mentioned in response to Item 4(a) above all have shared power to direct the vote of the 785,730 shares held by Triumph. Voting control over Triumph Capital Group, Inc. is shared by the trustees of the three trusts, CUSIP No. 911163 10 3 Page 24 of 27 ----------- mentioned in response to Item 4(a) above, which have ownership control of Triumph Capital Group, Inc. (iii) sole power to dispose or to direct the disposition of: 0 Shares; (iv) shared power to dispose or to direct the disposition of: The seven general partners of Capital mentioned in response to Item 4(a) above all have shared power to direct the disposition of the 785,730 shares held by Triumph. Dispositive control over assets held by Triumph Capital Group, Inc. is shared by the trustees of the three trusts, mentioned in response to Item 4(a) above, which have ownership control of Triumph Capital Group, Inc. 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: - ------------------------------------------------------------------------- Triumph-Connecticut Limited Partnership ("Triumph") holds 785,730 shares of the Company's common stock. The sole general partner of Triumph is Triumph- Connecticut Capital Advisors Limited Partnership ("Capital"). The seven general partners of Capital, who share voting and investment control over the shares held by Triumph, are: Richard J. Williams, Frederick W. McCarthy, Frederick S. Moseley, E. Mark Noonan, Thomas W. Janes, John M. Chapman and Triumph Capital Group, Inc. The general partners of Capital disclaim beneficial ownership of the shares held by Triumph except to the extent of their proportionate pecuniary interest therein. Ownership of Triumph Capital Group, Inc. is held by the following three trusts: the Daniel A. McCarthy Trust 1990, the Frederick W. McCarthy III Trust 1990 and the Katherine E. McCarthy Trust 1990. The trusts hold their assets for the benefit of Daniel A. McCarthy, Frederick W. McCarthy III and Katherine E. McCarthy respectively, the beneficiaries of the respective trusts. The beneficiaries of the trusts disclaim beneficial ownership of all property held by the trusts except to the extent of their proportionate pecuniary interest therein. CUSIP No. 911163 10 3 Page 25 of 27 ----------- Item 7. Identification and Classification of the Subsidiary which Acquired the Security Being Reported 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: - ------------------------ Not Applicable CUSIP No. 911163 10 3 Page 26 of 27 ----------- 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. Triumph-Connecticut Limited Partnership By: Triumph-Connecticut Capital Advisors Limited Partnership By: /s/ Frederick W. McCarthy ------------------------- Frederick W. McCarthy General Partner Date: February 10, 1997 /s/ Richard J. Williams ----------------------------- Richard J. Williams Date: February 10, 1997 /s/ Frederick W. McCarthy --------------------------- Frederick W. McCarthy Date: February 10, 1997 /s/ Frederick S. Moseley --------------------------- Frederick S. Moseley Date: February 10, 1997 /s/ E. Mark Noonan ----------------------------- E. Mark Noonan Date: February 10, 1997 /s/ Thomas W. Janes --------------------------- Thomas W. Janes Date: February 10, 1997 /s/ John M. Chapman --------------------------- John M. Chapman Date: February 10, 1997 CUSIP No. 911163 10 3 Page 27 of 27 Triumph Capital Group, Inc. /s/ Frederick W. McCarthy ----------------------------- By: Frederick W. McCarthy Its: President Date: February 10, 1997 -----END PRIVACY-ENHANCED MESSAGE-----