-----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, AqxLAh+Tn+2s69cLM4l8Whdu2DpOh4+fLk9bKVXxFxFiIirmWmcNzbT6/SEzu7dY NJVjq8ilVUhZC/ozJePL6w== 0000950134-97-009233.txt : 19971211 0000950134-97-009233.hdr.sgml : 19971211 ACCESSION NUMBER: 0000950134-97-009233 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19971118 FILED AS OF DATE: 19971210 SROS: NYSE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: UNITED COMPANIES FINANCIAL CORP CENTRAL INDEX KEY: 0000217416 STANDARD INDUSTRIAL CLASSIFICATION: PERSONAL CREDIT INSTITUTIONS [6141] IRS NUMBER: 710430414 STATE OF INCORPORATION: LA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 001-07067 FILM NUMBER: 97735862 BUSINESS ADDRESS: STREET 1: 4041 ESSEN LN STREET 2: P O BOX 1591 CITY: BATON ROUGE STATE: LA ZIP: 70809 BUSINESS PHONE: 5049870000 COMPANY DATA: COMPANY CONFORMED NAME: BARTON JOHN W SR CENTRAL INDEX KEY: 0001051187 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: P O BOX 1806 CITY: BATON ROUGE STATE: LA ZIP: 70821-1806 BUSINESS PHONE: 5049872261 MAIL ADDRESS: STREET 1: P O BOX 1806 CITY: BATON ROUGE STATE: LA ZIP: 70821-1806 4 1 FORM 4 1 ------------------------------ OMB APPROVAL ------------------------------ OMB NUMBER: 3235-0287 EXPIRES: SEPTEMBER 30, 1998 ESTIMATED AVERAGE BURDEN HOURS PER RESPONSE . . . . 0.5 ------------------------------ - ------ FORM 4 U.S. SECURITIES AND EXCHANGE COMMISSION - ------ WASHINGTON, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP [ ] CHECK THIS BOX IF NO LONGER SUBJECT TO SECTION 16. FORM 4 OR FORM 5 OBLIGATIONS MAY CONTINUE. SEE INSTRUCTION 1(b). Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 (Print or Type Responses) 1. Name and Address of Reporting Person* 2. Issuer Name and Ticker or Trading Symbol 3. IRS or Social Security Number of Reporting Person (Voluntary) United Companies Financial Corporation Barton, Sr., John W. (UC) ###-##-#### ------------------------------------ ---------------------------------------- -------------------------------- (Last) (First) (Middle) P. O. Box 1806 ------------------------------------ (Street) Baton Rouge LA 70821-1806 ------------------------------------ (City) (State) (Zip) 4. Statement for Month/Year 5. If Amendment, Date of 6. Relationship of Reporting Person(s) to Issuer Original (Month/Year) (Check all applicable) November 1997 ------------------------ --------------------- X Director 10% Owner --- --- Officer (give title below) Other (specify below) --- --- 7. Individual or Joint/Group Filing (Check Applicable) X Form filed by One Reporting Person --- Form filed by More than One Reporting Person --- - ------------------------------------------------------------------------------------------------------------------------------------ TABLE I -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Security 2. Transaction Date 3. Transaction Code 4. Securities Acquired (A) or (Instr. 3) (Month/Day/Year) (Instr.8) Disposed of (D) (Instr. 3, 4 and 5) - ------------------------------------------------------------------------------------------------------------------------------------ Code / V Amount / (A) or (D) / Price - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 11/18/97 P 500 A $22.2500 - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------ 5. Amount of Securities 6. Ownership Form: Direct 7. Nature of Indirect Beneficially Owned (D) or Indirect (I) Beneficial Ownership at End of Month (Instr. 4) (Instr. 4) (Instr. 3 and 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ 5,900 D - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Over) * If the form filed by more than one reporting person, see Instruction 4(b)(v) SEC 1474 (7/96)
2 FORM 4 (CONTINUED) TABLE II -- DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES)
1. Title of Derivative 2. Conversion or 3. Transaction 4. Transaction 5. Number of Derivative 6. Date Exercisable and Security (Instr. 3) Exercise Price Date (Month/ Code (Instr. 8) Securities Acquired Expiration Date of Derivative Day/Year) (A) or Disposed of (Month/Day/Year) Security (D) (Instr. 3, 4, and 5) - ------------------------------------------------------------------------------------------------------------------------------------ Code / V (A) / (D) Date Expiration Exercisable Date - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------
7. Title and Amount 8. Price of 9. Number of 10. Ownership 11. Nature of of Underlying Derivative Derivative Form of Indirect Securities (Instr. Security Securities Derivative Beneficial 3 and 4) (Instr. 5) Beneficially Security: Ownership Owned at Direct (D) (Instr. 4) Amount or End of or Indirect Number of Month (I) (Instr. 4) Title Shares (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------
Explanation of Responses: ** Intentional misstatements or omissions of facts constitute /s/ JOHN W. BARTON, SR. 12/10/97 Federal Criminal Violations. See 18 U.S.C. 1001 and 15 ----------------------------- ---------- U.S.C. 78ff(a). ** Signature of Date Reporting Person Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this Page 2 form are not required to respond unless the form displays the currently valid OMB Number. SEC 1474 (7/96)
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