UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 3)
UNOVA, Inc.
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(Name of Issuer)
Common Stock
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(Title of Class of Securities)
91529B106
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(CUSIP Number)
Scott Renwick
Unitrin, Inc.
One East Wacker Drive
Chicago, IL 60601
(312) 661-4520
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(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
June 8, 2001
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(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. See
ss.240.13d-7 for other parties to whom copies are to be sent.
(Continued on following pages)
Page 1 of 11 Pages
Page 2 of 11
SCHEDULE 13D
CUSIP No. 91529B106
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1. Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
Unitrin, Inc.
95-4255452
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2. Check the Appropriate Box if a Member of a Group (See Instructions)
(a) [ ]
(b) [ ]
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3. SEC Use Only
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4. Source of Funds (See Instructions)
See Item 3.
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5. Check if Disclosure of Legal Proceedings Is Required Pursuant to Items
2(d) or 2(e) [ ]
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6. Citizenship or Place of Organization
Delaware
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Number of 7. Sole Voting Power
Shares 0
Beneficially 8. Shared Voting Power
Owned by 12,657,764
Each 9. Sole Dispositive Power
Reporting 0
Person 10. Shared Dispositive Power
With 12,657,764
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11. Aggregate Amount Beneficially Owned by Each Reporting Person
12,657,764 (owned indirectly through subsidiaries as noted
on pages 3 to 5)
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12. Check if the Aggregate Amount in Row (11) Excludes Certain
Shares (See Instructions[ ])
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13. Percent of Class Represented by Amount in Row (11)
22.3%
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14. Type of Reporting Person (See Instructions)
HC, CO
CUSIP No. 91529B106 Page 3 of 11
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1. Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
Trinity Universal Insurance Company
75-0620550
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2. Check the Appropriate Box if a Member of a Group (See Instructions)
(a) [ ]
(b) [ ]
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3. SEC Use Only
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4. Source of Funds (See Instructions)
See Item 3.
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5. Check if Disclosure of Legal Proceedings Is Required Pursuant to
Items 2(d) or 2(e) [ ]
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6. Citizenship or Place of Organization
Texas
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Number of 7. Sole Voting Power
Shares 0
Beneficially 8. Shared Voting Power
Owned by 5,711,449
Each 9. Sole Dispositive Power
Reporting 0
Person 10. Shared Dispositive Power
With 5,711,449
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11. Aggregate Amount Beneficially Owned by Each Reporting Person
5,711,449
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12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares
(See Instructions[ ])
------------------------------------------------------------------------------
13. Percent of Class Represented by Amount in Row (11)
10.1%
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14. Type of Reporting Person (See Instructions)
IC, CO
CUSIP No. 91529B106 Page 4 of 11
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1. Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
United Insurance Company of America
36-1896670
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2. Check the Appropriate Box if a Member of a Group (See Instructions)
(a) [ ]
(b) [ ]
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3. SEC Use Only
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4. Source of Funds (See Instructions)
See Item 3.
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5. Check if Disclosure of Legal Proceedings Is Required Pursuant to
Items 2(d) or 2(e) [ ]
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6. Citizenship or Place of Organization
Illinois
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Number of 7. Sole Voting Power
Shares 0
Beneficially 8. Shared Voting Power
Owned by 5,450,988
Each 9. Sole Dispositive Power
Reporting 0
Person 10. Shared Dispositive Power
With 5,450,988
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11. Aggregate Amount Beneficially Owned by Each Reporting Person
5,450,988
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12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares
(See Instructions[ ])
------------------------------------------------------------------------------
13. Percent of Class Represented by Amount in Row (11)
9.6%
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14. Type of Reporting Person (See Instructions)
IC, CO
CUSIP No. 91529B106 Page 5 of 11
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1. Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
Union National Life Insurance Company
72-0340280
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2. Check the Appropriate Box if a Member of a Group (See Instructions)
(a) [ ]
(b) [ ]
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3. SEC Use Only
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4. Source of Funds (See Instructions)
See Item 3.
------------------------------------------------------------------------------
5. Check if Disclosure of Legal Proceedings Is Required Pursuant to
Items 2(d) or 2(e) [ ]
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6. Citizenship or Place of Organization
Louisiana
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Number of 7. Sole Voting Power
Shares 0
Beneficially 8. Shared Voting Power
Owned by 1,495,327
Each 9. Sole Dispositive Power
Reporting 0
Person 10. Shared Dispositive Power
With 1,495,327
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11. Aggregate Amount Beneficially Owned by Each Reporting Person
1,495,327
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12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares
(See Instructions[ ])
------------------------------------------------------------------------------
13. Percent of Class Represented by Amount in Row (11)
2.6%
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14. Type of Reporting Person (See Instructions)
IC, CO
Amendment No. 3 to Schedule 13D Page 6 of 11
This Amendment No. 3 amends and supplements the Schedule 13D originally
filed by Unitrin, Inc., Trinity Universal Insurance Company and United
Insurance Company of America, dated November 3, 1997, as amended by Amendment
No. 1, dated February 1, 2001, and Amendment No. 2, dated March 15, 2001.
Terms used herein and not otherwise defined have the meanings given such
terms in the original Schedule 13D, dated November 3, 1997.
Item 1. Security and Issuer
The class of equity securities to which this Schedule 13D relates is the
common stock, par value $.01 per share (the "Common Stock"), of UNOVA, Inc.,
a Delaware corporation (the "Issuer"). The principal executive offices of the
Issuer are located at 21900 Burbank Boulevard, Woodland Hills, California
91367.
Item 2. Identity and Background
For revised information concerning the directors and executive officers
of Unitrin, Trinity and United and for information concerning the directors
and executive officers of Union National Life Insurance Company, a Louisiana
corporation ("Union"), 8282 Goodwood Boulevard, Baton Rouge, Louisiana 70806,
see Schedules UNIT, T, U, and UNL, respectively, to this Amendment. 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 4. Purpose of Transaction
Item 4 of the original Schedule 13D is hereby restated in its entirety as
follows:
In connection with a third party's proposal to provide the Issuer with
financing in the form of a senior term loan facility, Unitrin has committed
to provide up to $35 million of such financing, subject to the negotiation
and execution of definitive agreements on acceptable terms and other
customary conditions. There can be no assurance that either Unitrin or the
third party will enter into any agreement with the Issuer with respect to
such financing or that any such financing will be consummated.
In connection with Unitrin's evaluation of the Issuer's financing
arrangements and Unitrin's investment in the Issuer, Unitrin may consider,
make proposals with respect to, and/or enter into discussions regarding, one
or more of the transactions and events specified in clauses (a) through (j)
of Item 4 of Schedule 13D including transactions involving additional debt or
equity financing of the Issuer. There can be no assurance that Unitrin will
take any such actions or that, if taken, any such actions will be consummated
or result in any transaction in the Issuer's securities.
Item 5. Interest in Securities of the Issuer
Other than the transfer of 1,495,327 shares of Common Stock by Trinity
to Union, a wholly-owned subsidiary of United, none of Unitrin, Trinity,
United or Union has acquired or disposed of any shares of the Issuer's Common
Stock since November 3, 1997, the date of the original Schedule 13D. However,
the collective percentage ownership by Unitrin, Trinity, United and Union
(the "Unitrin Ownership Percentage") of the Issuer's Common Stock has
decreased as the result of a change in the outstanding number of shares of
the Issuer's Common Stock since November 3, 1997. The result of this change
is that the Unitrin Ownership Percentage in the Issuer's Common Stock has
decreased from 23.2% as reported in the original Schedule 13D to 22.3% as of
the date of this Amendment.
To the best knowledge and belief of the filing persons, during the past
sixty (60) days no filing person nor anyone listed on the attached Schedules
has entered into any transactions involving the Issuer's Common Stock. 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 11
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: June 8, 2001 UNITRIN, INC.
By: /s/ Scott Renwick
-------------------------------
Scott Renwick
Secretary
Page 8 of 11
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 Controller
------------------------------- ------------------- ----------------------------------------------------------------
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 & Trefelet. 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, a European salt company.
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, UNL and/or U filed herewith.
Page 9 of 11
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 (2) (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 (2) (1) Vice President
-------------------------------------- ------------------- ----------------------------------------------------------------
(1) One East Wacker Drive, Chicago, Illinois 60601.
(2) See also Schedule(s) T, UNL, and/or UNIT, filed herewith.
(A) Member, Investment Committee of the Board of Directors.
Page 10 of 11
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.
Page 11 of 11
SCHEDULE UNL
UNION NATIONAL LIFE INSURANCE COMPANY
NAME (ALL U.S. CITIZENS BUSINESS POSITION WITH UNION NATIONAL (PRINCIPAL
UNLESS OTHERWISE NOTED) ADDRESS OCCUPATION, IF DIFFERENT, PRESENTED IN
FOOTNOTES)
-------------------------------------- ----------------- -----------------------------------------------------------------
Eric J. Draut (3) (1) (A) Director
-------------------------------------- ----------------- -----------------------------------------------------------------
Jerry W. Hester (2) President & Director
-------------------------------------- ----------------- -----------------------------------------------------------------
R. Paul Hillman (2) Treasurer & Controller
-------------------------------------- ----------------- -----------------------------------------------------------------
James A. Marquette (2) Vice President & Secretary
-------------------------------------- ----------------- -----------------------------------------------------------------
Thomas D. Myers (3) (1) Vice President & Assistant Treasurer
-------------------------------------- ----------------- -----------------------------------------------------------------
Donald G. Southwell (3) (1) Director & Chairman of the Board
-------------------------------------- ----------------- -----------------------------------------------------------------
Richard C. Vie (3) (1) (A) Director
-------------------------------------- ----------------- -----------------------------------------------------------------
Charles L. Wood (3) (1) Director
-------------------------------------- ----------------- -----------------------------------------------------------------
(1) One East Wacker Drive, Chicago, Illinois 60601.
(2) Union National Life Insurance Company, 8282 Goodwood Boulevard, Baton Rouge, Louisiana 70806.
(3) See also, Schedules(s) T, U, and/or UNIT, filed herewith.
(A) Member, Investment Committee of the Board of Directors.