-----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, O5Q5WS+JXfz1dBUy/ImTAJmKIZN4rvc18QwCbMNkIzMwiZHPyvn4CE81izgivxFS i99/wyIlBqNT4GJ3lDFyRw== /in/edgar/work/20000824/0001095811-00-002998/0001095811-00-002998.txt : 20000922 0001095811-00-002998.hdr.sgml : 20000922 ACCESSION NUMBER: 0001095811-00-002998 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000824 GROUP MEMBERS: CAROLINE W. SINGLETON GROUP MEMBERS: DONALD E. RUGG GROUP MEMBERS: SINGLETON GROUP LLC GROUP MEMBERS: WILLIAM W. SINGLETON SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: UNITRIN INC CENTRAL INDEX KEY: 0000860748 STANDARD INDUSTRIAL CLASSIFICATION: [6331 ] IRS NUMBER: 954255452 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-41003 FILM NUMBER: 708685 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SINGLETON GROUP LLC CENTRAL INDEX KEY: 0001112049 STANDARD INDUSTRIAL CLASSIFICATION: [ ] FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 335 N MAPLE DR STREET 2: STE 177 CITY: BEVERLY HILLS STATE: CA ZIP: 90210 MAIL ADDRESS: STREET 1: 335 N MAPLE DR STREET 2: STE 177 CITY: BEVERLY HILLS STATE: CA ZIP: 90210 SC 13D/A 1 sc13da.txt AMENDMENT NO.1 TO SCHEDULE 13D 1 ------------------------------ OMB APPROVAL ------------------------------ OMB Number Expires: Estimated average burden hours per response ....... 0.5 ------------------------------ SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) Amendment No. 1 INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) Unitrin, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 913275 10 3 - -------------------------------------------------------------------------------- (CUSIP Number) Singleton Group LLC 335 N. Maple Drive, Suite 177 Beverly Hills, CA 90210 (310) 278-1177 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) August 21, 2000 - -------------------------------------------------------------------------------- (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 Rule 13d-1(e), 13d-1(f) or 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. See Rule 13d-7(b) for other parties to whom copies are to be sent. (Continued on following pages) (Page 1 of 9 Pages) - ---------- (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 disclosures provided in a prior cover page. The information required on 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 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). 2 CUSIP No. 913275 10 3 13D Page 2 of 9 Pages - ------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Singleton Group LLC, I.R.S. No. 95-4786924 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* OO - -------------------------------------------------------------------------------- 5 CHECK BOX 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 0 SHARES ----------------------------------------------------------------- 8 SHARED VOTING POWER BENEFICIALLY OWNED BY 14,484,520 ----------------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING 0 PERSON ----------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER WITH 14,484,520 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 14,484,520 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 21.2% (based on the number of shares outstanding as of July 31, 2000 as reported on Unitrin, Inc.'s Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission ("SEC") on August 11, 2000). - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* OO - -------------------------------------------------------------------------------- 3 CUSIP No. 913275 10 3 13D Page 3 of 9 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) William W. Singleton, as Manager of the Singleton Group LLC - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* OO - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF 26,000 SHARES ----------------------------------------------------------------- 8 SHARED VOTING POWER BENEFICIALLY OWNED BY 14,484,520 ----------------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING 26,000 PERSON ----------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER WITH 14,484,520 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 14,510,520 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 21.3% (based on the number of shares outstanding as of July 31, 2000 as reported on Unitrin, Inc.'s Quarterly Report on Form 10-Q filed with the SEC on August 11, 2000). - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- 4 CUSIP No. 913275 10 3 13D Page 4 of 9 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Caroline W. Singleton, as Manager of the Singleton Group LLC - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* OO - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF 0 SHARES ----------------------------------------------------------------- 8 SHARED VOTING POWER BENEFICIALLY OWNED BY 0 ----------------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING 0 PERSON ----------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER WITH 14,484,520 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 14,484,520 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 21.2% (based on the number of shares outstanding as of July 31, 2000 as reported on Unitrin, Inc.'s Quarterly Report on Form 10-Q filed with the SEC on August 11, 2000). - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- 5 CUSIP No. 913275 10 3 13D Page 5 of 9 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Donald E. Rugg, as Manager of the Singleton Group LLC - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* OO - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF 215 SHARES ----------------------------------------------------------------- 8 SHARED VOTING POWER BENEFICIALLY 14,484,520 OWNED BY ----------------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING 215 PERSON ----------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER WITH 14,484,520 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 14,484,735 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 21.2% (based on the number of shares outstanding as of July 31, 2000 as reported on Unitrin, Inc.'s Quarterly Report on Form 10-Q filed with the SEC on August 11, 2000). - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- 6 CUSIP No. 913275 10 3 13D Page 6 of 9 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Caroline W. Singleton, as Sole Trustee of the Survivor's Trust under the Singleton Family Trust - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* OO - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF 0 SHARES ----------------------------------------------------------------- 8 SHARED VOTING POWER BENEFICIALLY OWNED BY 0 ----------------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING 0 PERSON ----------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER WITH 0 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) O% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- 7 CUSIP No. 913275 10 3 13D Page 7 of 9 Pages The information in the cover pages and these statements relate to the Schedule 13D filed on August 24, 2000 by the Singleton Group LLC, Caroline W. Singleton, William W. Singleton, and Donald E. Rugg with regard to the beneficial ownership of common stock, par value $0.10 per share, ("Common Stock") of Unitrin, Inc. ("Company") and constitutes Amendment No. 1 thereto. The following items are amended and restated in their entirety as follows: - -------------------------------------------------------------------------------- Item 2. Identity and Background. This statement is being filed jointly by the Singleton Group LLC ("LLC"), Caroline W. Singleton, as sole trustee of the Survivor's Trust under the Singleton Family Trust ("Trust"), and Caroline W. Singleton, William W. Singleton and Donald E. Rugg as managers of the LLC (collectively, "Reporting Persons"), pursuant to their agreement to the joint filing of this statement. Caroline W. Singleton, William W. Singleton, and Donald E. Rugg are managers of the LLC and may be considered members of a group with the LLC. Caroline W. Singleton, as trustee of the Trust, no longer has a majority interest in the LLC as a result of transfers to other persons of some of her membership interests in the LLC. Accordingly, Caroline W. Singleton, as trustee of the Trust, may no longer be deemed a beneficial owner with respect to securities of the Company and, after this filing, will no longer be a reporting person. None of the new members of the LLC has a controlling interest in the LLC, nor may the new members of the LLC be considered members of any group for the purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended. The LLC, a limited liability company formed under the laws of Delaware, is engaged in investing and holding domestic and foreign equity securities, government securities and related instruments. Caroline W. Singleton is trustee of the Trust, which is a survivor's revocable trust formed under the laws of California. William W. Singleton is a manager at the Singleton Group, whose principal business is the management of certain real property and securities assets. Donald E. Rugg is Controller of the Singleton Group. Caroline W. Singleton, William W. Singleton and Donald E. Rugg are United States citizens. The principal business address of each of the Reporting Persons is: 335 N. Maple Drive, Suite 177, Beverly Hills, California 90210. During the past five years, none of the Reporting Persons has been convicted in a criminal proceeding nor has any of the Reporting Persons been party to any civil proceeding of a judicial or administrative body and as a result of which the person 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. As managers of the LLC, Caroline W. Singleton, William W. Singleton and Donald E. Rugg share dispositive power with respect to 14,484,520 shares of the Company ("Shares"), and William W. Singleton and Donald E. Rugg share voting power with respect to the Shares. - -------------------------------------------------------------------------------- Item 5. Interest in Securities of the Issuer. (a) The LLC and Caroline W. Singleton, as a manager of the LLC, are each a beneficial owner of 14,484,520 shares of Common Stock which constitute 21.2 percent of the Common Stock outstanding; Donald E. Rugg is a beneficial owner of 14,484,735 shares of Common Stock which constitute 21.2 percent of the Common Stock outstanding; William W. Singleton is a beneficial owner of 14,510,520 shares of Common Stock which constitute 21.3 percent of the Common Stock outstanding (all percentage figures are based on the number of shares outstanding as of July 30, 2000 as reported on Unitrin, Inc.'s Quarterly Report on Form 10-Q filed with the SEC on August 11, 2000). Since Caroline W. Singleton, as trustee of the Trust, no longer has a majority interest in the LLC, she, as trustee of the Trust, may no longer be deemed a beneficial owner of any securities of the Company. 8 CUSIP No. 040157 10 9 13D Page 8 of 9 Pages (b) The LLC and Caroline W. Singleton, William W. Singleton and Donald E. Rugg, as managers of the LLC, share dispositive power with respect to 14,484,520 shares of Common Stock of the Company. The LLC and William W. Singleton and Donald E. Rugg, as managers of the LLC, share voting power with respect to 14,484,520 shares of Common Stock of the Company. In addition to the foregoing shares, William W. Singleton has sole voting and dispositive powers with respect to 26,000 shares of Common Stock and Donald E. Rugg has sole voting and dispositive powers with respect to 215 shares of Common Stock. Since Caroline W. Singleton, as trustee of the Trust, no longer has a majority interest in the LLC, she may no longer be deemed to have indirect voting and dispositive powers with respect to the 14,484,520 shares of Common Stock or any other securities of the Company. (c) Except as set forth in this statement, none of the Reporting Persons has effected any transactions in the securities of the Company in the last 60 days that was not reported on a prior Schedule 13D. (d) Not applicable. (e) Caroline W. Singleton, as trustee of the Trust, ceased to be a beneficial owner of securities of the Company on August 21, 2000. - -------------------------------------------------------------------------------- Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer. Caroline W. Singleton, William W. Singleton and Donald E. Rugg are the managers of the LLC, and under its operating agreement, have the power and authority as managers to vote and buy, sell and otherwise deal in securities, except that Caroline W. Singleton does not have direct or indirect voting power with respect to shares of a "controlled corporation" (as defined in Section 2036(b)(2) of the Internal Revenue Code of 1986, as amended). The managers of the LLC may be removed for or without cause by members having a majority interest in the LLC. Members of the LLC are not agents of the LLC nor may they bind or execute any instrument on behalf of the LLC. - -------------------------------------------------------------------------------- [Signature Page Follows] 9 CUSIP No. 913275 10 3 13D Page 9 of 9 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. Dated: August 23, 2000 Singleton Group LLC, a Delaware limited liability company By: /s/ CAROLINE W. SINGLETON ------------------------------------ Caroline W. Singleton, Manager /s/ CAROLINE W. SINGLETON ----------------------------------------- Caroline W. Singleton, Sole Trustee of The Survivor's Trust under the Singleton Family Trust dated August 13, 1999 /s/ CAROLINE W. SINGLETON ----------------------------------------- Caroline W. Singleton /s/ WILLIAM W. SINGLETON ----------------------------------------- William W. Singleton /s/ DONALD E. RUGG ----------------------------------------- Donald E. Rugg 10 AGREEMENT REGARDING JOINT FILING OF STATEMENT ON SCHEDULE 13D In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, each of the persons named below agrees to the joint filing on behalf of each of them of a Statement on Schedule 13D (including amendments thereto) with respect to the Common Stock, par value $.10 per share, of Unitrin, Inc., a Delaware corporation, and further agrees that this Joint Filing Agreement be included as an exhibit to such filings provided that, as contemplated by Section 13d-1(k)(l)(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. Dated: August 23, 2000 Singleton Group LLC, a Delaware limited liability company By: /s/ CAROLINE W. SINGLETON ------------------------------------ Caroline W. Singleton, Manager /s/ CAROLINE W. SINGLETON ----------------------------------------- Caroline W. Singleton, Sole Trustee of The Survivor's Trust under the Singleton Family Trust dated August 13, 1999 /s/ CAROLINE W. SINGLETON ----------------------------------------- Caroline W. Singleton /s/ WILLIAM W. SINGLETON ----------------------------------------- William W. Singleton /s/ DONALD E. RUGG ----------------------------------------- Donald E. Rugg -----END PRIVACY-ENHANCED MESSAGE-----