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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-KSB/A
[X] Annual Report Pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934
For the fiscal year ended June 30, 1998
[ ] Transition Report Under Section 13 or 15(d) of the
Securities Exchange Act of 1934
For the transition period from June 1 to June 30, 1998
Commission file number 0-14973
UNICO, INC.
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(Exact name of Registrant as specified in its charter)
New Mexico 85-0270072
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(State of Incorporation) (IRS Employer ID No.)
2925 Bayview Drive, Fremont, CA 94538
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(Address of principal executive offices) (Zip Code)
Issuer's telephone number, including area code: 510/770-3990
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Securities registered pursuant to Section 12(b) of the Act:
Title of class Name of exchange on which registered
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$0.20 par value common stock NASDAQ
Securities registered pursuant to Section 12(g) of the Act: None
Check whether the issuer (1) has filed all reports required to be filed by
Section 13 or 15(d) of the Exchange Act during the past 12 months (or such
shorter period that the registrant was required to file such reports), and
(2) has been subject to such filing requirements for the past 90 days.
Yes[X] No[ ]
Check if there is no disclosure of delinquent filers in response to Item 405
of Regulation S-B is not contained in this form, and no disclosure will be
contained, to the best of registrant's knowledge, in definitive proxy or
information statements incorporated by reference in Part III of this Form 10-
KSB or any amendment to this Form 10-KSB [ ]
State issuer's revenues for its most recent fiscal year: $ 24,638,000
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State the aggregate market value of the voting and non-voting common equity
held by non-affiliates computed by reference to the price at which the common
equity was sold, or the average bid and asked price of such common equity, as
of a specified date within the past 60 days. (See definition of affiliate in
Rule 12b-2 of the Exchange Act.)
As of September 30, 1998, the Registrant had 7,539,418 shares of common
stock outstanding, excluding 3,699 treasury shares. 4,525,756 shares of
the common, restricted by Rule 144, were held by affiliates who controlled
more than 5% of the outstanding common. Of the remaining shares,
2,058,450 are restricted by Rule 144. The balance of 955,212 non-
restricted shares would have an aggregate value of $1,880,574 if
transacted at the average of the bid (1 13/16) and asked (2 1/8) prices at
market close on September 30, 1998 (or the day when shares traded
immediately before).
Note: If determining whether a person is an affiliate will involve an
unreasonable effort and expense, the issuer may calculate the aggregate
market value of the common equity held by non-affiliates on the basis of
reasonable assumptions, if the assumptions are stated.
(ISSUERS INVOLVED IN BANKRUPTCY)
Check whether the issuer has filed all documents and reports required to be
filed by Section 12, 13 or 15(d) of the Exchange Act after the distribution
of securities under a plan confirmed by a court. Yes N
