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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).
<PAGE> 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
--------------------------------------------------------------------------------
<PAGE> 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
--------------------------------------------------------------------------------
<PAGE> 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
--------------------------------------------------------------------------------
<PAGE> 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
--------------------------------------------------------------------------------
<PAGE> 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
--------------------------------------------------------------------------------
<PAGE> 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.
<PAGE> 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]
<PAGE> 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
<PAGE> 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
