<PAGE>
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13D
UNDER THE SECURITIES EXCHANGE ACT OF 1934*
(AMENDMENT NO. 5)
UNO RESTAURANT CORPORATION
-------------------------------------------------------------------------------
(Name of Issuer)
COMMON STOCK, PAR VALUE $.01 PER SHARE
-------------------------------------------------------------------------------
(Title of Class of Securities)
914900-10-5
-------------------------------------------------------------------------------
(CUSIP Number)
CONSTANTINE ALEXANDER, ESQUIRE
JAMES E. DAWSON, ESQUIRE
NUTTER, MCCLENNEN & FISH, LLP
ONE INTERNATIONAL PLACE
BOSTON, MA 02110-2699
(617) 439-2000
-------------------------------------------------------------------------------
(Name, Address and Telephone Number of Person Authorized to
Receive Notices and Communications)
OCTOBER 25, 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 Sections 240.13d-1(b)(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 Sections
240.13d-7(b) for other parties to whom copies are to be sent.
*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 ("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).
<PAGE>
SCHEDULE 13D
---------------------------- ---------------------------
CUSIP NO. 914900-10-5 Page 2 of 15 Pages
---------------------------- ---------------------------
================================================================================
1 NAME OF REPORTING PERSONS
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only)
Aaron D. Spencer
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |x|
(b) |_|
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
00 (to be determined)
--------------------------------------------------------------------------------
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.
--------------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES
BENEFICIALLY 6,292,327
OWNED BY EACH -------------------------------------------------------------
REPORTING 8 SHARED VOTING POWER
PERSON
WITH 441,118
-------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
6,292,327
-------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
440,000
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
6,733,445
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11)
EXCLUDES CERTAIN SHARES* |_|
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
61.2%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON *
IN
================================================================================
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING
EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
SCHEDULE 13D
<PAGE>
SCHEDULE 13D
---------------------------- ---------------------------
CUSIP NO. 914900-10-5 Page 3 of 15 Pages
---------------------------- ---------------------------
================================================================================
1 NAME OF REPORTING PERSONS
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only)
Uno Associates
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |x|
(b) |_|
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
00 (to be determined)
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) OR 2(e) |_|
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Massachusetts
--------------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES
BENEFICIALLY 1,861,977
OWNED BY EACH -------------------------------------------------------------
REPORTING 8 SHARED VOTING POWER
PERSON
WITH 0
-------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
1,861,977
-------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
0
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,861,977
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11)
EXCLUDES CERTAIN SHARES* |_|
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
16.9%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON *
PN
================================================================================
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING
EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
SCHEDULE 13D
<PAGE>
SCHEDULE 13D
---------------------------- ---------------------------
CUSIP NO. 914900-10-5 Page 4 of 15 Pages
---------------------------- ---------------------------
================================================================================
1 NAME OF REPORTING PERSONS
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only)
Craig S. Miller
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |x|
(b) |_|
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
00 (to be determined)
--------------------------------------------------------------------------------
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.
--------------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES
BENEFICIALLY 501,562
OWNED BY EACH -------------------------------------------------------------
REPORTING 8 SHARED VOTING POWER
PERSON
WITH 3,106
-------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
502,677
-------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
220
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
504,668
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11)
EXCLUDES CERTAIN SHARES* |_|
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
4.4%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON *
IN
================================================================================
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING
EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
SCHEDULE 13D
<PAGE>
SCHEDULE 13D
---------------------------- ---------------------------
CUSIP NO. 914900-10-5 Page 5 of 15 Pages
---------------------------- ---------------------------
================================================================================
1 NAME OF REPORTING PERSONS
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only)
Robert M. Vincent
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |x|
(b) |_|
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
00 (to be determined)
--------------------------------------------------------------------------------
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.
--------------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES
BENEFICIALLY 131,478
OWNED BY EACH -------------------------------------------------------------
REPORTING 8 SHARED VOTING POWER
PERSON
WITH 1,090
-------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
132,353
-------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
0
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
132,568
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11)
EXCLUDES CERTAIN SHARES* |_|
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.2%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON *
IN
================================================================================
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING
EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
SCHEDULE 13D
<PAGE>
SCHEDULE 13D
---------------------------- ---------------------------
CUSIP NO. 914900-10-5 Page 6 of 15 Pages
---------------------------- ---------------------------
================================================================================
1 NAME OF REPORTING PERSONS
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only)
Robert M. Brown
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |x|
(b) |_|
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
00 (to be determined)
--------------------------------------------------------------------------------
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.
--------------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES
BENEFICIALLY 167,228
OWNED BY EACH -------------------------------------------------------------
REPORTING 8 SHARED VOTING POWER
PERSON
WITH 2,151
-------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
168,315
-------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
0
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
169,379
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11)
EXCLUDES CERTAIN SHARES* |_|
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.5%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON *
IN
================================================================================
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING
EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
SCHEDULE 13D
<PAGE>
SCHEDULE 13D
---------------------------- ---------------------------
CUSIP NO. 914900-10-5 Page 7 of 15 Pages
---------------------------- ---------------------------
================================================================================
1 NAME OF REPORTING PERSONS
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only)
Alan M. Fox
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |x|
(b) |_|
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
00 (to be determined)
--------------------------------------------------------------------------------
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.
--------------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES
BENEFICIALLY 196,877
OWNED BY EACH -------------------------------------------------------------
REPORTING 8 SHARED VOTING POWER
PERSON
WITH 1,777
-------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
197,911
-------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
0
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
198,654
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11)
EXCLUDES CERTAIN SHARES* |_|
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.8%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON *
IN
================================================================================
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING
EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
SCHEDULE 13D
<PAGE>
SCHEDULE 13D
---------------------------- ---------------------------
CUSIP NO. 914900-10-5 Page 8 of 15 Pages
---------------------------- ---------------------------
================================================================================
1 NAME OF REPORTING PERSONS
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only)
Paul W. MacPhail
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |x|
(b) |_|
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
00 (to be determined)
--------------------------------------------------------------------------------
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.
--------------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES
BENEFICIALLY 0
OWNED BY EACH -------------------------------------------------------------
REPORTING 8 SHARED VOTING POWER
PERSON
WITH 1,155
-------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
935
-------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
0
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,155
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11)
EXCLUDES CERTAIN SHARES* |_|
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
**
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON *
IN
================================================================================
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING
EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION.
** Less than .1%
SCHEDULE 13D
<PAGE>
Item 1. Security and Issuer.
This Schedule 13D relates to the common stock, $.01 par value per
share (the "Common Stock"), of Uno Restaurant Corporation, a Massachusetts
corporation (the "Issuer). The address of the principal executive offices of the
Issuer is 100 Charles Park Road, West Roxbury, Massachusetts 02131.
Prior to the filing of this Schedule 13D, each of Aaron D. Spencer and
Uno Associates jointly filed a statement on Schedule 13D with respect to shares
of Common Stock of the Issuer. No statement on Schedule 13G or 13D has
previously been filed by any other Reporting Person (as defined below).
ITEM 2. IDENTITY AND BACKGROUND.
This Statement is filed jointly by (a) Aaron D. Spencer, (b) Uno
Associates, (c) Craig S. Miller, (d) Robert M. Vincent, (e) Robert M. Brown, (f)
Alan M. Fox and (g) Paul W. MacPhail (collectively, the "Reporting Persons").
Mr. Aaron D. Spencer, a U.S. citizen, is Chairman and a Director of the
Issuer.
Uno Associates is a general partnership owned 80% by Aaron D. Spencer
and 10%, each by his two adult children, Lisa S. Cohen and Mark Spencer. Aaron
D. Spencer is deemed to be the beneficial owner of all of the shares held by Uno
Associates, although Lisa S. Cohen and Mark Spencer, as partners in Uno
Associates have a beneficial interest in any dividends from, or the proceeds
from the sale of, such shares.
Mr. Mark Spencer, a U.S. citizen, is a professional photographer,
residing at 13 Sunset Rock Road, Andover, Massachusetts 01810. Ms. Lisa Spencer
Cohen, a U.S. citizen, is a homemaker, residing at 33 Reservoir Drive, Chestnut
Hill, Massachusetts 02167.
Mr. Craig S. Miller, a U.S. citizen, is President, Chief Executive
Officer and a Director of the Issuer.
Mr. Robert M. Vincent, a U.S. citizen, is Executive Vice President -
Finance, Chief Financial Officer and Treasurer of the Issuer.
Mr. Robert M. Brown, a U.S. citizen, is Executive Vice President of the
Issuer.
Mr. Alan M. Fox, a U.S. citizen, is Executive Vice President of the
Issuer and President of Uno Foods Inc., a subsidiary of the Issuer.
.
Mr. Paul W. MacPhail, a U.S. citizen, is Executive Vice President and
Chief Operating Officer of the Issuer.
The business address of each of the Reporting Persons is: c/o Uno
Restaurant Corporation, 100 Charles Park Road, West Roxbury, Massachusetts
02132.
Page 9 of 15
<PAGE>
During the past five years, none of the persons described in this Item
2 have been convicted in a criminal proceeding. None of such persons is, and
during the past five years, none has been, 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
violations with respect to such laws.
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION.
The source and amount of funds or other consideration to be used in
connection with the cash tender offer referred to in Item 4 below has not been
determined. The Issuer has agreed to reimburse up to $100,000 of the Reporting
Persons' expenses with respect to their discussions with a Special Committee of
the Issuer's Board of Directors to determine a fair price that may be offered to
the Issuer's stockholders.
ITEM 4. PURPOSE OF TRANSACTION.
On October 25, 2000, the Reporting Persons submitted to a Special
Committee of the Issuer's Board of Directors a proposal to acquire all of the
outstanding shares of Common Stock currently not owned by them, which represents
approximately 38% of the Issuer's outstanding shares of Common Stock. The
proposal contemplates a cash tender offer price of $8.75 per share by an entity
(an "Acquisition Company") to be organized by the Reporting Persons. The
proposal states that any offer will be subject to a number of conditions,
including receipt of financing on terms satisfactory to the Reporting Persons
and ownership by the Acquisition Company of at least 90% of the Issuer's
outstanding shares following the purchase of shares pursuant to the tender
offer. If at least 90%, but less than all, of the Issuer's outstanding shares
would be owned by Acquisition Company as a result of the tender offer, the
Reporting Persons contemplate that they would acquire all the remaining shares
in a short form merger between the Issuer and Acquisition Company simultaneously
with the closing of the tender offer. If the tender offer is made and shares are
purchased in accordance with its terms the Reporting Persons intend to terminate
the Issuer's registration under the Securities Exchange Act of 1934.
The Reporting Persons reserve the right to formulate other plans and/or
make other proposals, and take such actions with respect to their investment in
the Issuer, including any or all of the actions set forth in paragraphs (a)
through (j) of Item 4 of Schedule 13D and any other actions as they may
determine. Moreover, the Reporting Persons reserve the right to amend or
withdraw the proposal at any time in their sole discretion. Except as set forth
in this Item 4 and in furtherance of the proposed transaction, the Reporting
Persons presently have no plans or proposals which relate or would result in any
of the actions set forth in parts (a) through (j) of Item 4 of Schedule 13D. The
Reporting Persons may at any time reconsider and change its plans or proposals
relating to the foregoing.
Page 10 of 15
<PAGE>
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER.
(a), (b) The following table sets forth the beneficial ownership of
shares of common stock of the Issuer for each person named in Item 2. Unless
otherwise indicated in the footnotes, each such person has sole power to vote or
to direct the vote and sole power to dispose or direct the disposition of such
shares.
<TABLE>
<CAPTION>
AMOUNT
NAME OF REPORTING BENEFICIALLY PERCENT OF
PERSON OWNED CLASS
----------------- ------------ ----------
<S> <C> <C>
Uno Associates(1) 1,861,977 16.9%
Aaron D. Spencer(2)(4) 6,733,445 61.2%
Craig S. Miller(3)(4)(5)(6) 504,668 4.4%
Robert M. Vincent(3)(4)(5) 132,568 1.2%
Robert M. Brown(3)(4)(5) 169,379 1.5%
Alan M. Fox(3)(4)(5) 198,654 1.8%
Paul W. MacPhail(4)(5) 1,155 *
</TABLE>
* Represents less than 1%.
(1) Uno Associates is a partnership owned 80% by Mr. Aaron Spencer and 10% each
by his two adult children, Lisa S. Cohen and Mark Spencer, each of whom owns
220,000 shares in addition to those held by Uno Associates.
(2) Includes (i) 1,118 shares are held in account under an employee stock
ownership plan, (ii) 171,018 shares are held by a charitable foundation of which
Aaron D. Spencer is a trustee, (iii) 1,861,977 shares are held by Uno Associates
and (iv) 24,750 shares may be acquired upon the exercise of currently
exercisable options. Mr. Spencer may be deemed to share voting and dispositive
power with respect to the 440,000 held by his children.
(3) Includes the following shares that may be acquired upon the exercise of
currently exercisable options: Mr.Miller-467,575; Mr. Vincent-129,829; Mr.
Brown-167,228; Mr. Fox-195,777.
(4) Includes the following shares held in participant accounts under the
employee stock ownership provision of the Issuer's Employee Stock Ownership Plan
(the "ESOP"): Mr. Brown-1,064; Mr. Fox- 743; Mr. Miller-1,791; Mr. Vincent-215;
Mr. MacPhail-220. The voting power of these shares is shared with the trustees
of the ESOP.
Page 11 of 15
<PAGE>
(5) Includes the following shares held in participant accounts under the 401(k)
savings provision of the ESOP: Mr. Brown-1,087; Mr. Fox-1,034; Mr. Miller-1,095;
Mr. Vincent-875; Mr. MacPhail-935.
The voting power of these shares is shared with the trustees of ESOP.
(6) Includes 220 shares held by Mr. Miller's spouse.
(c) No transactions in shares were effected in the past sixty days by
the persons listed in the above table.
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH
RESPECT TO SECURITIES OF THE ISSUER.
The Reporting Persons may act together to contribute their respective
shares to the Acquisition Company which may make a cash tender offer for the
remaining Issuer shares.
Also see Items 3 and 4.
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS.
1. Joint Filing Agreement.
Page 12 of 15
<PAGE>
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.
Power Of Attorney
KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature
appears below on Schedule 13D hereby constitutes and appoints Aaron D. Spencer
and Craig S. Miller, and each of them, with full power to act without the other,
his true and lawful attorney-in-fact and agent, with full power of substitution
and resubstitution, for him and in his name, place and stead, in any and all
capacities (until revoked in writing) to sign any and all amendments to this
Schedule 13D, and any Schedule TO or Schedule 13E-3, and any amendments thereto,
related to the subject matter of this Schedule 13D, as amended, and to file the
same, with all exhibits thereto and other documents in connection therewith,
with the Securities and Exchange Commission, granting unto said
attorneys-in-fact and agents, and each of them, full power and authority to do
and perform each and every act and thing requisite and necessary fully to all
intents and purposes as he might or could do in person, thereby ratifying and
confirming all that said attorneys-in-fact and agents or any of them, or their
or his substitute or substitutes, may lawfully do or cause to be done by virtue
hereof.
UNO ASSOCIATES
By: /s/ Aaron D. Spencer
-------------------------
Dated: November 16, 2000 Aaron D. Spencer,
a general partner
/s/ Aaron D. Spencer
----------------------------
Aaron D. Spencer
/s/ Craig S. Miller
-----------------------------
Craig S. Miller
/s/ Robert M. Vincent
------------------------------
Robert M. Vincent
Page 13 of 15
<PAGE>
/s/ Robert M. Brown
-----------------------------
Robert M. Brown
/s/ Alan M. Fox
-----------------------------
Alan M. Fox
/s/ Paul W. MacPhail
-----------------------------
Paul W. MacPhail
Page 14 of 15
<PAGE>
EXHIBIT 1
Joint Filing Agreement
The undersigned parties hereby agree that the Schedule 13D filed
herewith (and any amendments thereto) relating to the Common Stock of Uno
Restaurant Corporation is being filed jointly on behalf of each of them with the
Securities and Exchange Commission pursuant to Section 13(d) of the Securities
Exchange Act of 1934, as amended.
UNO ASSOCIATES
By: /s/ Aaron D. Spencer
-----------------------
Dated: November 16, 2000 Aaron D. Spencer,
a general partner
/s/ Aaron D. Spencer
--------------------------
Aaron D. Spencer
/s/ Craig S. Miller
---------------------------
Craig S. Miller
/s/ Robert M. Vincent
----------------------------
Robert M. Vincent
/s/ Robert M. Brown
----------------------------
Robert M. Brown
/s/ Alan M. Fox
-----------------------------
Alan M. Fox
/s/ Paul W. MacPhail
-----------------------------
Paul W. MacPhail
Page 15 of 15
