-----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, SywSIdPfRIMvF7SmLSL4QGG7Uj6qixQ6It02Ii8FZPf7Xp9NWyA3etq3F2FSyUD+ MFlAtHgzH3jyyXFUzWbETg== 0000912057-01-005510.txt : 20010223 0000912057-01-005510.hdr.sgml : 20010223 ACCESSION NUMBER: 0000912057-01-005510 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010214 GROUP MEMBERS: SHUTT FAMILY LIMITED PARTNERSHIP GROUP MEMBERS: SHUTT PATRICK C SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: UNIVERSAL ACCESS INC CENTRAL INDEX KEY: 0001070699 STANDARD INDUSTRIAL CLASSIFICATION: RADIO TELEPHONE COMMUNICATIONS [4812] IRS NUMBER: 364186543 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-58781 FILM NUMBER: 1541163 BUSINESS ADDRESS: STREET 1: 100 N RIVERSIDE PLZ STREET 2: STE 2200 CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 3126605000 MAIL ADDRESS: STREET 1: 100 N RIVERSIDE PLZ STREET 2: STE 2200 CITY: CHICAGO STATE: IL ZIP: 60606 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SHUTT PATRICK C CENTRAL INDEX KEY: 0001133877 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 233 S WACKER DR STREET 2: SUITE 600 CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 3126605000 SC 13G 1 a2038340zsc13g.htm SC 13G Prepared by MERRILL CORPORATION www.edgaradvantage.com
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

SCHEDULE 13G

Under the Securities Exchange Act of 1934
(Amendment No.     )*

UNIVERSAL ACCESS, INC.
(Name of Issuer)

COMMON STOCK, PAR VALUE $.01 PER SHARE
(Title of Class of Securities)

913363107
(CUSIP Number)

DECEMBER 31, 2000
(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)

*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).

CUSIP NO.      913363107                       13G                    Page 2 of 7

             
1   NAMES OF REPORTING PERSON.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSON (ENTITIES ONLY).

 
 
Patrick C. Shutt, individually and as Trustee of the Patrick C. Shutt Declaration of Trust
2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

 
 
 
 
(a)
 
/ /
        (b)   /x/
3   SEC USE ONLY        

 
 
 
 
 
 
 
4   CITIZENSHIP OR PLACE OF ORGANIZATION

 
 
United Kingdom
 
 
 
 
        5   SOLE VOTING POWER
NUMBER OF        
            4,799,000
SHARES        
       
BENEFICIALLY   6   SHARED VOTING POWER

OWNED BY
 
 
 
870,000
       
EACH
 		  7   SOLE DISPOSITIVE POWER

REPORTING
 
 
 
4,799,000
       
PERSON   8   SHARED DISPOSITIVE POWER

WITH
 
 
 
870,000
9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 
 
5,669,000
 
 
 
 
10   CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
(SEE INSTRUCTIONS)
            / /
11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 
 
6.2%
 
 
 
 
12   TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)

 
 
IN
 
 
 
 

CUSIP NO.      913363107                       13G                    Page 3 of 7

             
1   NAMES OF REPORTING PERSON.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSON (ENTITIES ONLY).

 
 
Shutt Family Limited Partnership
2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

 
 
 
 
(a)
 
/ /
        (b)   /x/
3   SEC USE ONLY        

 
 
 
 
 
 
 
4   CITIZENSHIP OR PLACE OF ORGANIZATION

 
 
Delaware
 
 
 
 
        5   SOLE VOTING POWER
NUMBER OF        
            0
SHARES        
       
BENEFICIALLY   6   SHARED VOTING POWER

OWNED BY
 
 
 
870,000
       
EACH   7   SOLE DISPOSITIVE POWER

REPORTING
 
 
 
0
       
PERSON   8   SHARED DISPOSITIVE POWER

WITH
 
 
 
870,000
9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 
 
870,000
 
 
 
 
10   CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
(SEE INSTRUCTIONS)
            / /
11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 
 
1.0%
 
 
 
 
12   TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)

 
 
PN
 
 
 
 
Item 1(a)   Name of Issuer

 
 
 
 
Universal Access, Inc.

Item 1(b)
 
Address of Issuer's Principal Executive Offices

 
 
 
 
233 South Wacker Drive, Suite 600
Chicago, IL 60606

Item 2(a)
 
Name of Person Filing

 
 
 
 
Patrick C. Shutt, individually and as Trustee of the Patrick C. Shutt Declaration of Trust

 
 
 
 
Shutt Family Limited Partnership ("SFLP")

Item 2(b)
 
Address of Principal Business Office or, if none, Residence

 
 
 
 
233 South Wacker Drive, Suite 600
Chicago, IL 60606

Item 2(c)
 
Citizenship

 
 
 
 
SFLP is a Delaware limited partnership and Patrick C. Shutt is a citizen of the United Kingdom.

Item 2(d)
 
Title of Class of Securities

 
 
 
 
Common stock, par value $.01 per share

Item 2(e)
 
CUSIP Number

 
 
 
 
913363107

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:


 

 

 

 

Not applicable

Item 4.
 
Ownership.

 
 
(a)
 
Amount beneficially owned:
        (1) by Patrick C. Shutt: 5,669,000 shares of Common Stock*
        (2) by SFLP: 870,000 shares of Common Stock

 
 
*Amount beneficially owned by Patrick C. Shutt includes 4,499,000 shares held as Trustee of the Patrick C. Shutt Declaration of Trust and options to purchase 300,000 shares of Common Stock of Issuer exercisable within 60 days of December 31, 2000. As general partner of SFLP, Mr. Shutt has the power to vote or direct the vote and to dispose or direct the disposition of the 870,000 shares of Common Stock held by SFLP.

 
 
(b)
 
Percent of class:
        (1) by Patrick C. Shutt: 6.2%
        (2) by SFLP: 1.0%

 
 
(c)
 
Number of shares as to which the person has:
        (i) Sole power to vote or to direct the vote
            (1) Patrick C. Shutt: 4,799,000
    (2) SFLP: 0
        (ii) Shared power to vote or to direct the vote
            (1) Patrick C. Shutt: 5,669,000
    (2) SFLP: 870,000

Page 4 of 7

        (iii) Sole power to dispose or to direct the disposition of
            (1) Patrick C. Shutt: 4,799,000
    (2) SFLP: 0
        (iv) Shared power to dispose or to direct the disposition of
            (1) Patrick C. Shutt: 5,669,000
    (2) SFLP: 870,000

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.

 
 
Not applicable

Item 8.
 
Identification and Classification of Members of the Group.

    The Reporting Persons may be deemed to be a "group" for the purposes of Section 13(g) of the Act and the rules thereunder, although each expressly disclaims any assertion or presumption that it or any other person on whose behalf this statement is filed constitute a "group". The filing of this statement should not be construed to be an admission that any of the Reporting Persons is a member of a "group" consisting of one or more of such persons. A copy of the Agreement Relating to Joint Filing of Schedule 13G is attached hereto.

Item 9.
 
Notice of Dissolution of a Group

 
 
Not applicable

Item 10.
 
Certification

 
 
Not applicable

Page 5 of 7


SIGNATURE

    After reasonable inquiry and to the best of each of the undersigned's knowledge and belief, each of the undersigned certifies that the information set forth in this statement is true, complete and correct.

    /s/ PATRICK C. SHUTT   
Patrick C. Shutt, individually and
as Trustee of the Patrick C. Shutt
Declaration of Trust

 
 
Shutt Family Limited Partnership

 
 
BY:
/s/ PATRICK C. SHUTT   
NAME: Patrick C. Shutt
TITLE: General Partner

DATED: FEBRUARY 14, 2001
 
 
 

Page 6 of 7


AGREEMENT RELATING TO JOINT FILING OF SCHEDULE 13G

    In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree that a single Schedule 13G (or any amendment thereof) relating to the Common Stock of Universal Access, Inc. shall be filed on behalf of each of the undersigned and that this Agreement shall be filed as an Exhibit to such Schedule 13G (or any amendment thereof), provided that, as contemplated by Section 13d-1(k)(1)(ii), no person shall be responsible for the completeness or accuracy of the information concerning the other persons making the filing, unless such person knows or has reason to believe that such information is inaccurate.

    This Agreement and the filing of the Schedule 13G shall not be construed to be an admission that any of the undersigned is a member of a "group" consisting of one or more of such persons pursuant to Section 13(g) of the Securities Exchange Act of 1934, as amended and the rules thereunder.

DATED: FEBRUARY 14, 2001      
    /s/ PATRICK C. SHUTT   
Patrick C. Shutt, individually and
as Trustee of the Patrick C. Shutt
Declaration of Trust

 
 
Shutt Family Limited Partnership.

 
 
BY:
/s/ PATRICK C. SHUTT   
NAME: Patrick C. Shutt
TITLE: General Partner

Page 7 of 7



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SIGNATURE
AGREEMENT RELATING TO JOINT FILING OF SCHEDULE 13G
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