0001193125-13-059255.txt : 20130214 0001193125-13-059255.hdr.sgml : 20130214 20130214134654 ACCESSION NUMBER: 0001193125-13-059255 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20130214 DATE AS OF CHANGE: 20130214 GROUP MEMBERS: KEMPER CORP MASTER RETIREMENT TRUST GROUP MEMBERS: TRINITY UNIVERSAL INSURANCE CO GROUP MEMBERS: UNITED INSURANCE CO OF AMERICA SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: TCP Capital Corp. CENTRAL INDEX KEY: 0001370755 IRS NUMBER: 562594706 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-81954 FILM NUMBER: 13610607 BUSINESS ADDRESS: STREET 1: 2951 28TH STREET STREET 2: SUITE 1000 CITY: SANTA MONICA STATE: CA ZIP: 90405 BUSINESS PHONE: 310-566-1000 MAIL ADDRESS: STREET 1: 2951 28TH STREET STREET 2: SUITE 1000 CITY: SANTA MONICA STATE: CA ZIP: 90405 FORMER COMPANY: FORMER CONFORMED NAME: Special Value Continuation Fund, LLC DATE OF NAME CHANGE: 20060728 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: KEMPER Corp 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 13G/A BUSINESS ADDRESS: STREET 1: ONE EAST WACKER DRIVE CITY: CHICAGO STATE: IL ZIP: 60601 BUSINESS PHONE: 3126614600 MAIL ADDRESS: STREET 1: ONE EAST WACKER DRIVE CITY: CHICAGO STATE: IL ZIP: 60601 FORMER COMPANY: FORMER CONFORMED NAME: UNITRIN INC DATE OF NAME CHANGE: 19930328 SC 13G/A 1 d487043dsc13ga.htm SCHEDULE 13G AMENDMENT NO.1 Schedule 13G Amendment No.1

 

 

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

 

SCHEDULE 13G

(Rule 13d-102)

INFORMATION TO BE INCLUDED IN THE STATEMENTS FILED PURSUANT TO RULES

13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED

PURSUANT TO RULE 13d-2(b)

(Amendment No. 1)*

 

 

 

TCP Capital Corp.

(Name of Issuer)

 

Common Stock ($0.001 par value)

(Title of Class of Securities)

 

87238Q103

(CUSIP Number)

 

December 31, 2012

(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)

 

* 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).

 

 

 


 

  1.   

NAMES OF REPORTING PERSONS.

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).

 

Kemper Corporation

95-4255452

  2.  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

 

(a)  ¨

(b)  ¨

  3.  

SEC USE ONLY

 

  4.  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

Illinois

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH:

   5.    

SOLE VOTING POWER

 

0

   6.   

SHARED VOTING POWER (1)

 

1,537,683

   7.   

SOLE DISPOSITIVE POWER

 

0

   8.   

SHARED DISPOSITIVE POWER (1)

 

1,537,683

  9.  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

1,537,683(1)

10.  

CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

 

¨

11.  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

7.16%

12.  

TYPE OF REPORTING PERSON*

 

HC, CO

 

 

1 The number of shares reported includes 55,233 shares held by the Kemper Corporation Master Retirement Trust (the “Trust”). The investment decisions for the Common Shares held by the Trust are made by an Investment Committee comprised of Kemper Corporation employees and therefore Kemper Corporation could be considered a beneficial owner of such Common Shares. Kemper Corporation disclaims beneficial ownership of such Common Shares.

 

2


  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*

 

(a)  ¨

(b)  ¨

  3.  

SEC USE ONLY

 

  4.  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

Texas

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH:

   5.    

SOLE VOTING POWER

 

0

   6.   

SHARED VOTING POWER

 

741,225

   7.   

SOLE DISPOSITIVE POWER

 

0

   8.   

SHARED DISPOSITIVE POWER

 

741,225

  9.  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

741,225

10.  

CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

 

¨

11.  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

3.45%

12.  

TYPE OF REPORTING PERSON*

 

IC/CO

 

3


  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*

 

(a)  ¨

(b)  ¨

  3.  

SEC USE ONLY

 

  4.  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

Illinois

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH:

   5.    

SOLE VOTING POWER

 

0

   6.   

SHARED VOTING POWER

 

741,225

   7.   

SOLE DISPOSITIVE POWER

 

0

   8.   

SHARED DISPOSITIVE POWER

 

741,225

  9.  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

741,225

10.  

CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

 

¨

11.  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

3.45%

12.  

TYPE OF REPORTING PERSON*

 

IC/CO

 

4


  1.   

NAMES OF REPORTING PERSONS.

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).

 

Kemper Corporation Master Retirement Trust

None

  2.  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

 

(a)  ¨

(b)  ¨

  3.  

SEC USE ONLY

 

  4.  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

Illinois

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH:

   5.    

SOLE VOTING POWER

 

0

   6.   

SHARED VOTING POWER

 

55,233

   7.   

SOLE DISPOSITIVE POWER

 

0

   8.   

SHARED DISPOSITIVE POWER

 

55,233

  9.  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

55,233

10.  

CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

 

¨

11.  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

0.26%

12.  

TYPE OF REPORTING PERSON*

 

EP

 

5


Item 1(a). Name of Issuer:

TCP Capital Corp.

Item 1(b). Address of Issuer’s Principal Executive Offices:

2951 28th Street, Suite 1000

Santa Monica, CA 90405

Item 2(a). Name of Person Filing:

Kemper Corporation

Trinity Universal Insurance Company

United Insurance Company of America

Kemper Corporation Master Retirement Trust

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

The address of the principal office of Kemper Corporation, United Insurance Company of America and the Kemper Corporation Master Retirement Trust is:

One East Wacker Drive

Chicago, Illinois 60601

The address of the principal office of Trinity Universal Insurance Company is:

12790 Merit Drive, Suite 400

Dallas, TX 75251

Item 2(c). Citizenship:

See Item 4 of each cover page.

Item 2(d). Title of Class of Securities:

Common Shares of Issuer

Item 2(e). CUSIP Number:

87238Q103

Item 3. If This Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b) or (c), check Whether the Person Filing is a:

 

   (a)    ¨    Broker or dealer registered under Section 15 of the Exchange Act.
   (b)    ¨    Bank as defined in Section 3(a)(6) of the Exchange Act.
   (c)    x    Insurance company as defined in section 3(a)(19) of the Exchange Act.

 

6


   (d)    ¨    Investment company registered under Section 8 of the Investment Company Act of 1940.
   (e)    ¨    An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E);
   (f)    x    An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F);
   (g)    x    A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G);
   (h)    ¨    A savings association 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;
   (j)    ¨    A non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J);
   (k)    ¨    Group, in accordance with Rule 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J), please specify the type of institution:____

Item 4. Ownership.

Provide the following information regarding the aggregate number and percentage of the class of securities of the Issuer identified in Item 1.

 

  (a) Amount beneficially owned: See Item 9 of each cover page.

 

  (b) Percent of class: See Item 11 of each cover page.

 

  (c) Number of shares as to which such person has:

 

  (i) Sole power to vote or to direct the vote: 0

 

  (ii) Shared power to vote or to direct the vote: See Item 6 of each cover page.

 

  (iii) Sole power to dispose or to direct the disposition of: 0

 

  (iv) Shared power to dispose or direct the disposition of: See Item 8 of each cover page.

Item 5. Ownership of 5 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 5 percent of the class of securities, check the following [        ].

 

7


Item 6. Ownership of More than 5 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 or Control Person.

The subsidiaries of Kemper Corporation that acquired the Common Shares are Trinity Universal Insurance Company and United Insurance Company of America.

 

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 the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose 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.

 

February 14, 2013
Date
KEMPER CORPORATION
By:  

/s/ JOHN M. BOSCHELLI

Name:   John M. Boschelli
Title:   Vice President and Chief Investment Officer
TRINITY UNIVERSAL INSURANCE COMPANY
By:  

/s/ JOHN M. BOSCHELLI

Name:   John M. Boschelli
Title:   Assistant Treasurer

 

8


UNITED INSURANCE COMPANY OF AMERICA
By:  

/s/ JOHN M. BOSCHELLI

Name:   John M. Boschelli
Title:   Assistant Treasurer
KEMPER CORPORATION MASTER RETIREMENT TRUST
By:  

/s/ JOHN M. BOSCHELLI

Name:   John M. Boschelli
Title:   Member, Kemper Corporation Master Retirement Trust Investment Committee

EXHIBITS

 

Exhibit Number

  

Title

1    Joint Filing Agreement

 

9


EXHIBIT 1

JOINT FILING AGREEMENT

This will confirm the agreement by each of the undersigned to the joint filing of Amendment No. 1 to the Schedule 13G previously filed on its behalf, as well as all subsequent amendments to such Schedule 13G, with respect to the ownership of the common shares of TCP Capital Corp., in accordance with Rule 13d-1(k)(1) under the Securities Exchange Act of 1934.

 

February 14, 2013

Date
KEMPER CORPORATION
By:  

/s/ JOHN M. BOSCHELLI

Name:   John M. Boschelli
Title:   Vice President and Chief Investment Officer
TRINITY UNIVERSAL INSURANCE COMPANY
By:  

/s/ JOHN M. BOSCHELLI

Name:   John M. Boschelli
Title:   Assistant Treasurer
UNITED INSURANCE COMPANY OF AMERICA
By:  

/s/ JOHN M. BOSCHELLI

Name:   John M. Boschelli
Title:   Assistant Treasurer
KEMPER CORPORATION MASTER RETIREMENT TRUST
By:  

/s/ JOHN M. BOSCHELLI

Name:   John M. Boschelli
Title:  

Member, Kemper Corporation Master

Retirement Trust Investment Committee