-----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, IWys3Emta4f8P386odVR+z5ilbfWjkJbsTFwSGYajkQ/ySABS7CAlv65S4ICvMOL rvqAWKUmxreodw8FbhpCSA== 0000950172-01-500225.txt : 20010522 0000950172-01-500225.hdr.sgml : 20010522 ACCESSION NUMBER: 0000950172-01-500225 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010521 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NORTHROP GRUMMAN CORP /DE/ CENTRAL INDEX KEY: 0001133421 STANDARD INDUSTRIAL CLASSIFICATION: SEARCH, DETECTION, NAVIGATION, GUIDANCE, AERONAUTICAL SYS [3812] IRS NUMBER: 954840775 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-61415 FILM NUMBER: 1643979 BUSINESS ADDRESS: STREET 1: 1840 CENTURY PK E STREET 2: C/O NORTHROP GRUMMAN CORP CITY: LOS ANGELES STATE: CA ZIP: 90067 BUSINESS PHONE: 3105536262 MAIL ADDRESS: STREET 1: 1840 CENTURY PARK EAST STREET 2: C/O NORTHROP GRUMMAN CORP CITY: LOS ANGELES STATE: CA ZIP: 90067 FORMER COMPANY: FORMER CONFORMED NAME: NNG INC DATE OF NAME CHANGE: 20010129 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: UNITRIN INC CENTRAL INDEX KEY: 0000860748 STANDARD INDUSTRIAL CLASSIFICATION: FIRE, MARINE & CASUALTY INSURANCE [6331] IRS NUMBER: 954255452 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: ONE EAST WACKER DR CITY: CHICAGO STATE: IL ZIP: 60601 BUSINESS PHONE: 3126614600 MAIL ADDRESS: STREET 1: ONE EAST WACKER DR CITY: CHICAGO STATE: IL ZIP: 60601 SC 13D/A 1 s264428.txt SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1) Northrop Grumman Corporation (formerly NNG, Inc.) -------------------------------------------------------------------- (Name of Issuer) Common Stock ------------------------------ (Title of Class of Securities) 666807 10 2 ------------------------------------------------ (CUSIP Number) Scott Renwick Unitrin, Inc. One East Wacker Drive Chicago, IL 60601 (312) 661-4520 ----------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) May 16, 2001 ----------------------------------------------------- (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of ss.ss.240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. [ ] Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. Seess.240.13d-7 for other parties to whom copies are to be sent. (Continued on following pages) Page 1 of 10 Pages CUSIP No. 666807 10 2 Page 2 of 10 Pages - ------------------------------------------------------------------------------- 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). Unitrin, Inc. 95-4255452 - ------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) [ ] (b) [ ] - ------------------------------------------------------------------------------- 3. SEC Use Only - ------------------------------------------------------------------------------- 4. Source of Funds (See Instructions) OO - ------------------------------------------------------------------------------- 5. Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) [ ] - ------------------------------------------------------------------------------- 6. Citizenship or Place of Organization Delaware - ------------------------------------------------------------------------------- 7. Sole Voting Power Number of 1,332,404 Shares ------------------------------------------------------ Beneficially 8. Shared Voting Power Owned by 7,950,017 Each ------------------------------------------------------ Reporting 9. Sole Dispositive Power Person 1,332,404 With ------------------------------------------------------ 10. Shared Dispositive Power 7,950,017 - ------------------------------------------------------------------------------- 11. Aggregate Amount Beneficially Owned by Each Reporting Person 9,282,421 - ------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [ ] - ------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) 10.9% - ------------------------------------------------------------------------------- 14. Type of Reporting Person (See Instructions) HC, CO CUSIP No. 666807 10 2 Page 3 of 10 Pages - ------------------------------------------------------------------------------- 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). Trinity Universal Insurance Company 75-0620550 - ------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) [ ] (b) [ ] - ------------------------------------------------------------------------------- 3. SEC Use Only - ------------------------------------------------------------------------------- 4. Source of Funds (See Instructions) OO - ------------------------------------------------------------------------------- 5. Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) [ ] - ------------------------------------------------------------------------------- 6. Citizenship or Place of Organization Texas - ------------------------------------------------------------------------------- 7. Sole Voting Power Number of 0 Shares ------------------------------------------------------ Beneficially 8. Shared Voting Power Owned by 4,613,925 Each ------------------------------------------------------ Reporting 9. Sole Dispositive Power Person 0 With ------------------------------------------------------ 10. Shared Dispositive Power 4,613,925 - ------------------------------------------------------------------------------- 11. Aggregate Amount Beneficially Owned by Each Reporting Person 4,613,925 - ------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [ ] - ------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) 5.4% - ------------------------------------------------------------------------------- 14. Type of Reporting Person (See Instructions) IC, CO CUSIP No. 666807 10 2 Page 4 of 10 Pages - ------------------------------------------------------------------------------- 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). United Insurance Company of America 36-1896670 - ------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) [ ] (b) [ ] - ------------------------------------------------------------------------------- 3. SEC Use Only - ------------------------------------------------------------------------------- 4. Source of Funds (See Instructions) OO - ------------------------------------------------------------------------------- 5. Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) [ ] - ------------------------------------------------------------------------------- 6. Citizenship or Place of Organization Illinois - ------------------------------------------------------------------------------- 7. Sole Voting Power Number of 0 Shares ------------------------------------------------------ Beneficially 8. Shared Voting Power Owned by 3,336,092 Each ------------------------------------------------------ Reporting 9. Sole Dispositive Power Person 0 With ------------------------------------------------------ 10. Shared Dispositive Power 3,336,092 - ------------------------------------------------------------------------------- 11. Aggregate Amount Beneficially Owned by Each Reporting Person 3,336,092 - ------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [ ] - ------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) 3.9% - ------------------------------------------------------------------------------- 14. Type of Reporting Person (See Instructions) IC, CO Page 5 of 10 Pages Amendment No. 1 to Schedule 13D This Amendment No. 1 amends and supplements the Schedule 13D originally filed by Unitrin, Inc., Trinity Universal Insurance Company and United Insurance Company of America, dated April 3, 2001. Terms used herein and not otherwise defined have the meanings given such terms in the original Schedule 13D, dated April 3, 2001. Item 1. Security and Issuer. The class of equity securities to which this Schedule 13D relates is the common stock, par value $1.00 per share (the "Common Stock"), of Northrop Grumman Corporation (formerly NNG, Inc.), a Delaware corporation (the "Issuer"). The principal executive offices of the Issuer are located at 1804 Century Park East, Los Angeles, California 90067. Item 2. Identity and Background. For information concerning the directors and executive officers of Unitrin, Inc. ("Unitrin"), Trinity Universal Insurance Company ("Trinity") and United Insurance Company of America ("United"), see Schedules UNIT, T and U, respectively, to this Schedule 13D. All persons listed on such Schedules are U.S. citizens. No filing person has been convicted in any criminal proceeding (excluding traffic violations or similar misdemeanors) during the past five years; nor, to the best knowledge and belief of the filing persons, has anyone listed in the attached Schedules been convicted in such proceedings. To the best knowledge and belief of the filing persons, during the past five years no filing person nor anyone listed on the attached Schedules was a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws. Item 3. Source and Amount of Funds or Other Consideration. Item 3 of Schedule 13D is hereby amended to add the following to the end of Item 3: The reporting persons acquired the Series B Convertible Preferred Stock of the Issuer in the exchange offer whereby the Issuer offered shareholders of Litton Industries, Inc. ("Litton") the opportunity to exchange their shares of common stock of Litton and preferred stock of Litton for a combination of Common Stock, Series B Convertible Preferred Stock of the Issuer and cash. The Series B Convertible Preferred Stock provides that it is only convertible into Common Stock upon the approval of the Issuer's shareholders discussed below. The reporting persons have been informed by the Issuer that at the annual meeting of shareholders of the Issuer held on May 16, 2001, the shareholders of the Issuer approved the issuance of Common Stock upon conversion of the Series B Convertible Preferred Stock of the Issuer. Accordingly, the amount of Common Stock beneficially owned by the reporting persons increased as a result of the ability of the holders of Series B Convertible Preferred Stock to immediately acquire Common Stock upon conversion of the Series B Convertible Preferred Stock held by them. This increase in beneficial ownership held by each of the reporting persons is reflected on the cover pages and in Item 5 of this Schedule 13D. Page 6 of 10 Pages Item 4. Purpose of Transaction. Although their plans may change in the future, except as otherwise noted, the reporting persons do not have, as of the date of this filing, any plans or proposals that relate to or would result in any of the actions set forth in sub-items (a) through (j) of Item 4, except that Unitrin or its affiliates may, from time to time or at any time, subject to market conditions and other factors, purchase additional shares of Common Stock or Series B Convertible Preferred Stock in the open market, in privately negotiated transactions or otherwise, or sell at any time all or a portion of the shares of Common Stock or Series B Convertible Preferred Stock now owned or hereafter acquired by them to one or more purchasers. Item 5. Interest in Securities of the Issuer. For information regarding the aggregate number and percentage of outstanding shares of Common Stock beneficially owned by the reporting persons, as well as the number of shares as to which there is sole power to vote or direct the vote, shared power to vote or direct the vote or sole or shared power to dispose or to direct the disposition, please see the information presented on the cover pages to this Schedule 13D, pages 2-4. As indicated on the cover page, Unitrin beneficially owns 1,332,404 shares of Common Stock over which it has sole voting and dispositive power and such beneficial ownership is attributable to Unitrin's direct ownership of 1,462,314 shares of Series B Convertible Preferred Stock which is convertible into 1,332,404 shares of Common Stock. Unitrin beneficially owns 7,950,017 shares of Common Stock over which it has shared voting and dispositive power and such beneficial ownership is attributable to Trinity's and United's ownership of 7,665,281 shares of Common Stock in the aggregate, and Trinity's direct ownership of 312,498 shares of Series B Convertible Preferred Stock, which is convertible into 284,736 shares of Common Stock. As indicated on the cover page, Trinity beneficially owns 4,613,925 shares of Common Stock over which it has shared voting and dispositive power and such beneficial ownership is attributable to Trinity's direct ownership of 4,329,189 shares of Common Stock and 312,498 shares of Series B Convertible Preferred Stock, which is convertible into 284,736 shares of Common Stock. As indicated on the cover page, United beneficially owns 3,336,092 shares of Common Stock over which it has shared voting and dispositive power and such beneficial ownership is attributable to United's direct ownership of such number of shares of Common Stock. To the best knowledge and belief of the filing persons, during the past sixty (60) days no filing person, nor any person listed in the attached Schedules, has entered into any transactions involving the Issuer's Common Stock except, with respect to the filing persons, for the transactions described in Item 3. To the best knowledge and belief of the filing persons, no one listed on the attached Schedules beneficially owns shares of the Issuer's Common Stock. Page 7 of 10 Pages 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. Date: May 18, 2001, UNITRIN, INC. By: /s/ David F. Bengston --------------------------------- Name: David F. Bengston --------------------------------- Title: Vice President --------------------------------- Date: May 18, 2001, TRINITY UNIVERSAL INSURANCE COMPANY By: /s/ John Boschelli --------------------------------- Name: John Boschelli --------------------------------- Title: Assistant Treasurer --------------------------------- Date: May 18, 2001, UNITED INSURANCE COMPANY OF AMERICA By: /s/ Scott Renwick --------------------------------- Name: Scott Renwick --------------------------------- Title: Vice President --------------------------------- Page 8 of 10 Pages SCHEDULE UNIT ------------- UNITRIN, INC.
NAME (ALL U.S. CITIZENS BUSINESS POSITION WITH UNITRIN (PRINCIPAL OCCUPATION, UNLESS OTHERWISE NOTED) ADDRESS IF DIFFERENT, PRESENTED IN FOOTNOTES) - ------------------------ ------------------- ------------------------------------------------------------- James E. Annable (2) Director - ------------------------ ------------------- ------------------------------------------------------------- David F. Bengston (8) (1) Vice President - ------------------------ ------------------- ------------------------------------------------------------- Eric J. Draut (8) (1) Senior Vice President, Treasurer & Chief Financial Officer - ------------------------ ------------------- ------------------------------------------------------------- Douglas G. Geoga (3) Director - ------------------------ ------------------- ------------------------------------------------------------- Reuben L. Hedlund (4) Director - ------------------------ ------------------- ------------------------------------------------------------- Jerrold V. Jerome (5) Director - ------------------------ ------------------- ------------------------------------------------------------- William E. Johnston, Jr. (6) Director - ------------------------ ------------------- ------------------------------------------------------------- Edward J. Konar (1) Vice President - ------------------------ ------------------- ------------------------------------------------------------- Scott Renwick (1) Secretary & General Counsel - ------------------------ ------------------- ------------------------------------------------------------- Richard Roeske(8) (1) Vice President and Chief Accounting Officer - ------------------------ ------------------- ------------------------------------------------------------- Fayez S. Sarofim (7) Director - ------------------------ ------------------- ------------------------------------------------------------- Donald G. Southwell (8) (1) Senior Vice President - ------------------------ ------------------- ------------------------------------------------------------- Richard C. Vie (8) (1) Chairman of the Board, President & Chief Executive Officer - ------------------------ ------------------- -------------------------------------------------------------
(1) One East Wacker Drive, Chicago, Illinois 60601. (2) Mr. Annable is a Senior Vice President and Director of Economics of Bank One Corporation. One First National Plaza, Suite 0476, Chicago, Illinois 60670. (3) Mr. Geoga is President of Hospitality Investment Fund, L.L.C. 200 West Madison, 38th Floor, Chicago, Illinois 60606. (4) Mr. Hedlund is a partner in the law firm of Hedlund, Hanley & Trafelet. 55 West Monroe Street, Suite 3100, Chicago, Illinois 60603. (5) Mr. Jerome is a retired executive. 41 Country Meadows Road, Rolling Hills Estates, CA 90274. (6) Mr. Johnston is President de Conseil de Surveillance and a director of Salins Europe. 155 N. Harbor Drive, Chicago, Illinois 60601. (7) Mr. Sarofim is the Chairman of the Board and President of Fayez Sarofim & Co., a registered investment advisor. Two Houston Center, Suite 2907, Houston, Texas 77010 (8) See also Schedule(s) T and/or U, filed herewith. Page 9 of 10 Pages SCHEDULE U ---------- UNITED INSURANCE COMPANY OF AMERICA
NAME (ALL U.S. CITIZENS BUSINESS POSITION WITH UNITED (PRINCIPAL OCCUPATION, UNLESS OTHERWISE NOTED) ADDRESS IF DIFFERENT, PRESENTED IN FOOTNOTES) - ------------------------ ------------------- --------------------------------------------- Eric J. Draut (2) (1) (A) Director - ------------------------ ------------------- --------------------------------------------- Patricia G. Grider (1) Senior Vice President & Secretary - ------------------------ ------------------- --------------------------------------------- Richard J. Miller (1) Vice President - ------------------------ ------------------- --------------------------------------------- Thomas D. Myers (1) Treasurer - ------------------------ ------------------- --------------------------------------------- Don M. Royster, Sr. (1) Director & President - ------------------------ ------------------- --------------------------------------------- David L. Smith (1) Vice President - ------------------------ ------------------- --------------------------------------------- Donald G. Southwell (2) (1) (A) Director & Chairman of the Board - ------------------------ ------------------- --------------------------------------------- Richard C. Vie (2) (1) (A) Director - ------------------------ ------------------- --------------------------------------------- Charles L. Wood (1) Vice President - ------------------------ ------------------- ---------------------------------------------
(1) One East Wacker Drive, Chicago, Illinois 60601. (2) See also Schedule(s) T and/or UNIT, filed herewith. (A) Member, Investment Committee of the Board of Directors. Page 10 of 10 Pages SCHEDULE T ---------- TRINITY UNIVERSAL INSURANCE COMPANY
NAME (ALL U.S. CITIZENS BUSINESS POSITION WITH TRINITY (PRINCIPAL OCCUPATION, UNLESS OTHERWISE NOTED) ADDRESS IF DIFFERENT, PRESENTED IN FOOTNOTES) - ----------------------------- ------------------- ----------------------------------------------- David F. Bengston (3) (1) Director - ----------------------------- ------------------- ----------------------------------------------- Roger M. Buss (2) Vice President - ----------------------------- ------------------- ----------------------------------------------- Donald C. Crutchfield (2) Vice President - ----------------------------- ------------------- ----------------------------------------------- Eric J. Draut (3) (1) (A) Director - ----------------------------- ------------------- ----------------------------------------------- Judith E. Fagan (2) Senior Vice President, Secretary & Director - ----------------------------- ------------------- ----------------------------------------------- William P. Fisanick (2) Chief Actuary - ----------------------------- ------------------- ----------------------------------------------- Samuel L. Fitzpatrick (1) Director - ----------------------------- ------------------- ----------------------------------------------- Dennis O. Halsey (2) Senior Vice President - ----------------------------- ------------------- ----------------------------------------------- Ronald I. Henry (2) Vice President - ----------------------------- ------------------- ----------------------------------------------- Dorothy A. Langley (2) Vice President & Corporate Counsel - ----------------------------- ------------------- ----------------------------------------------- Kenneth C. Marcus (4) Vice President - ----------------------------- ------------------- ----------------------------------------------- Clark H. Roberts (2) Treasurer - ----------------------------- ------------------- ----------------------------------------------- Richard Roeske (3) (1) Director - ----------------------------- ------------------- ----------------------------------------------- James A. Schulte (2) Vice President - ----------------------------- ------------------- ----------------------------------------------- Donald G. Southwell (3) (1) President, Director & Chairman of the Board - ----------------------------- ------------------- ----------------------------------------------- Keith J. Taylor (5) Vice President - ----------------------------- ------------------- ----------------------------------------------- Richard C. Vie (3) (1) (A) Director - ----------------------------- ------------------- -----------------------------------------------
(1) One East Wacker Drive, Chicago, Illinois 60601. (2) Trinity Universal Insurance Company, 10000 North Central Expressway, Dallas, Texas 75231 (3) See also, Schedules(s) U and/or UNIT, filed herewith. (4) 803 West Michigan Street, Milwaukee, Wisconsin 53233. (5) 2450 14th Avenue SE, Albany, Oregon 97321. (A) Member, Investment Committee of the Board of Directors. -----END PRIVACY-ENHANCED MESSAGE-----