<PAGE> 1
--------------------------------
OMB APPROVAL
--------------------------------
OMB NUMBER: 3235-0145
Expires: October 31, 1997
Estimated average burden
hours per response ...... 14.90
Act of 1934
--------------------------------
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange
(Amendment No. 4) *
TYLAN GENERAL, INC.
- --------------------------------------------------------------------------------
(Name of Issuer)
Common Stock, $0.001 Par Value
- --------------------------------------------------------------------------------
(Title of Class of Securities)
902169101
----------------------------------
(CUSIP Number)
Richard L. Waggoner, Gardere & Wynne, L.L.P.
1601 Elm Street, Suite 3000, Dallas, Texas 75201-4761, (214) 999-3000
- --------------------------------------------------------------------------------
(Name, Address and Telephone Number of Person Authorized to Receive Notices
and Communications)
December 12, 1996
- --------------------------------------------------------------------------------
(Date of Event which Requires Filing of this Amendment)
If the filing person has previously filed a statement on Schedule 13G to report
the acquisition which is the subject of this Schedule 13D, and is filing this
schedule because of Rule 13d-1(b)(3) or (4), check the following box [ ].
NOTE: Six copies of this statement, including all exhibits, should be filed
with the Commission. See Rule 13d-1(a) 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> 2
SCHEDULE 13D
<TABLE>
- ---------------------------------------------- -----------------------------------------
<S> <C>
CUSIP NO. 902169101 Page 2 of 35 Pages
------------------------- --------------- ----------
- ---------------------------------------------- -----------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
NAME OF REPORTING PERSON
1 SS. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Don E. Whitson
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (a) [x]
2 (b) [ ]
- ------------------------------------------------------------------------------------------------------------------------------------
SEC USE ONLY
3
- ------------------------------------------------------------------------------------------------------------------------------------
SOURCE OF FUNDS *
4
00
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
5
- ------------------------------------------------------------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
6
United States
- ------------------------------------------------------------------------------------------------------------------------------------
SOLE VOTING POWER
NUMBER OF 7
-----------------------------------------------------------------------------------------------------------------
SHARES 734,103
-----------------------------------------------------------------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY
0
-----------------------------------------------------------------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
9
REPORTING
734,103
PERSON
-----------------------------------------------------------------------------------------------------------------
SHARED DISPOSITIVE POWER
10
WITH
0
- ------------------------------------------------------------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
734,103
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES * [x]
12
- ------------------------------------------------------------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
9.33%
- ------------------------------------------------------------------------------------------------------------------------------------
TYPE OF REPORTING PERSON *
14
IN
- ------------------------------------------------------------------------------------------------------------------------------------
</TABLE>
*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.
<PAGE> 3
SCHEDULE 13D
<TABLE>
- ---------------------------------------------- -----------------------------------------
<S> <C>
CUSIP NO. 902169101 Page 3 of 35 Pages
------------------------- --------------- ----------
- ---------------------------------------------- -----------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
NAME OF REPORTING PERSON
1 SS. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Leo E. Whitson
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (a) [x]
2 (b) [ ]
- ------------------------------------------------------------------------------------------------------------------------------------
SEC USE ONLY
3
- ------------------------------------------------------------------------------------------------------------------------------------
SOURCE OF FUNDS *
4
00
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
5
- ------------------------------------------------------------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
6
United States
- ------------------------------------------------------------------------------------------------------------------------------------
SOLE VOTING POWER
NUMBER OF 7
SHARES 0
------------------------------------------------------------------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY
0
------------------------------------------------------------------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
9
REPORTING
0
PERSON
------------------------------------------------------------------------------------------------------------------
SHARED DISPOSITIVE POWER
10
WITH
0
- ------------------------------------------------------------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
0
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES * [x]
12
- ------------------------------------------------------------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
0%
- ------------------------------------------------------------------------------------------------------------------------------------
TYPE OF REPORTING PERSON *
14
IN
- ------------------------------------------------------------------------------------------------------------------------------------
</TABLE>
*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.
<PAGE> 4
SCHEDULE 13D
<TABLE>
- --------------------------------------------------- ------------------------------------------------
<S> <C>
CUSIP NO. 902169101 Page 4 of 35 Pages
------------------------- --------------- ----------
- --------------------------------------------------- -----------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
NAME OF REPORTING PERSON
1 SS. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
David J. Ferran
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (a) [ ]
2 (b) [x]
- ------------------------------------------------------------------------------------------------------------------------------------
SEC USE ONLY
3
- ------------------------------------------------------------------------------------------------------------------------------------
SOURCE OF FUNDS *
4
00
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
5
- ------------------------------------------------------------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
6
United States
- ------------------------------------------------------------------------------------------------------------------------------------
SOLE VOTING POWER
NUMBER OF 7
SHARES 189,309
-----------------------------------------------------------------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY
0
-----------------------------------------------------------------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
9
REPORTING
189,309
PERSON
-----------------------------------------------------------------------------------------------------------------
SHARED DISPOSITIVE POWER
10
WITH
0
- ------------------------------------------------------------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
189,309
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES * [x]
12
- ------------------------------------------------------------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
2.41%
- ------------------------------------------------------------------------------------------------------------------------------------
TYPE OF REPORTING PERSON *
14
IN
- ------------------------------------------------------------------------------------------------------------------------------------
</TABLE>
*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.
<PAGE> 5
SCHEDULE 13D
<TABLE>
---------------------------------------- -------------------------------------------
<S> <C>
CUSIP NO. 902169101 Page 5 of 35 Pages
---------------------------------------- -------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
NAME OF REPORTING PERSON
1 SS. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Michael H. Khougaz
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (a) [ ]
2 (b) [x]
- ------------------------------------------------------------------------------------------------------------------------------------
SEC USE ONLY
3
- ------------------------------------------------------------------------------------------------------------------------------------
SOURCE OF FUNDS *
4
00
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
5
- ------------------------------------------------------------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
6
United States
------------------------------------------------------------------------------------------------------------------
SOLE VOTING POWER
NUMBER OF 7
SHARES 1,667
------------------------------------------------------------------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY
0
------------------------------------------------------------------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
9
REPORTING
1,667
PERSON
------------------------------------------------------------------------------------------------------------------
SHARED DISPOSITIVE POWER
10
WITH
0
- ------------------------------------------------------------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
1,667
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES * [x]
12
- ------------------------------------------------------------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
.0003%
- ------------------------------------------------------------------------------------------------------------------------------------
TYPE OF REPORTING PERSON *
14
IN
- ------------------------------------------------------------------------------------------------------------------------------------
</TABLE>
*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.
<PAGE> 6
SCHEDULE 13D
<TABLE>
- ---------------------------------------------------- ---------------------------------------------------
<S> <C>
CUSIP NO. 902169101 Page 6 of 35 Pages
------------------------- --------------- ----------
- ---------------------------------------------------- --------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
NAME OF REPORTING PERSON
SS. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
1
The KB Mezzanine Fund, L.P.
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (a) [ ]
2 (b) [x]
- ------------------------------------------------------------------------------------------------------------------------------------
SEC USE ONLY
3
- ------------------------------------------------------------------------------------------------------------------------------------
SOURCE OF FUNDS *
4
00
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
5
- ------------------------------------------------------------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
6
Delaware
- ------------------------------------------------------------------------------------------------------------------------------------
SOLE VOTING POWER
NUMBER OF 7
SHARES 276,951
------------------------------------------------------------------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY
0
------------------------------------------------------------------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
9
REPORTING
276,951
PERSON
------------------------------------------------------------------------------------------------------------------
SHARED DISPOSITIVE POWER
10
WITH
0
- ------------------------------------------------------------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
276,951
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES * [x]
12
- ------------------------------------------------------------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
3.52%
- ------------------------------------------------------------------------------------------------------------------------------------
TYPE OF REPORTING PERSON *
14
PN
- ------------------------------------------------------------------------------------------------------------------------------------
</TABLE>
*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.
<PAGE> 7
SCHEDULE 13D
<TABLE>
- ------------------------------------------------------- ----------------------------------------------------
<S> <C>
CUSIP NO. 902169101 Page 7 of 35 Pages
------------------------- --------------- ----------
- ------------------------------------------------------- ----------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
NAME OF REPORTING PERSON
1 SS. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Equinox Investment Partners, L.L.C.
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (a) [ ]
2 (b) [x]
- ------------------------------------------------------------------------------------------------------------------------------------
SEC USE ONLY
3
- ------------------------------------------------------------------------------------------------------------------------------------
SOURCE OF FUNDS *
4
00
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
5
- ------------------------------------------------------------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
6
Delaware
- ------------------------------------------------------------------------------------------------------------------------------------
SOLE VOTING POWER
NUMBER OF 7
SHARES 0
------------------------------------------------------------------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY
0
------------------------------------------------------------------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
9
REPORTING
0
PERSON
------------------------------------------------------------------------------------------------------------------
SHARED DISPOSITIVE POWER
10
WITH
0
- ------------------------------------------------------------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
0
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES * [x]
12
- ------------------------------------------------------------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
0%
- ------------------------------------------------------------------------------------------------------------------------------------
TYPE OF REPORTING PERSON *
14
PN
- ------------------------------------------------------------------------------------------------------------------------------------
</TABLE>
*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.
<PAGE> 8
SCHEDULE 13D
<TABLE>
<CAPTION>
- --------------------------------------------------------- -------------------------------------------------
<S> <C>
CUSIP NO. 902169101 Page 8 of 35 Pages
------------------------- --------------- ----------
- --------------------------------------------------------- -------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
NAME OF REPORTING PERSON
1 SS. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Linda Sue Dunkel
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (a) [ ]
2 (b) [x]
- ------------------------------------------------------------------------------------------------------------------------------------
SEC USE ONLY
3
- ------------------------------------------------------------------------------------------------------------------------------------
SOURCE OF FUNDS *
4
00
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
5
- ------------------------------------------------------------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
6
United States
- ------------------------------------------------------------------------------------------------------------------------------------
SOLE VOTING POWER
NUMBER OF 7
SHARES 39,200
------------------------------------------------------------------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY
0
------------------------------------------------------------------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
9
REPORTING
39,200
PERSON
------------------------------------------------------------------------------------------------------------------
SHARED DISPOSITIVE POWER
10
WITH
0
- ------------------------------------------------------------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
39,200
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES * [x]
12
- ------------------------------------------------------------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
.50%
- ------------------------------------------------------------------------------------------------------------------------------------
TYPE OF REPORTING PERSON *
14
IN
- ------------------------------------------------------------------------------------------------------------------------------------
</TABLE>
*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.
<PAGE> 9
SCHEDULE 13D
<TABLE>
- ---------------------------------------------------- ----------------------------------------------------
<S> <C>
CUSIP NO. 902169101 Page 9 of 35 Pages
------------------------- -------------- ----------
- ---------------------------------------------------- ----------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
NAME OF REPORTING PERSON
1 SS. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Marguerite Whitson
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (a) [ ]
2 (b) [x]
- ------------------------------------------------------------------------------------------------------------------------------------
SEC USE ONLY
3
- ------------------------------------------------------------------------------------------------------------------------------------
SOURCE OF FUNDS *
4
00
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
5
- ------------------------------------------------------------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
6
United States
- ------------------------------------------------------------------------------------------------------------------------------------
SOLE VOTING POWER
NUMBER OF 7
------------------------------------------------------------------------------------------------------------------
SHARES 63,644
------------------------------------------------------------------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY
0
------------------------------------------------------------------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
9
REPORTING
63,644
PERSON
------------------------------------------------------------------------------------------------------------------
SHARED DISPOSITIVE POWER
10
WITH
0
- ------------------------------------------------------------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
63,644
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES * [x]
12
- ------------------------------------------------------------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
.81%
- ------------------------------------------------------------------------------------------------------------------------------------
TYPE OF REPORTING PERSON *
14
IN
- ------------------------------------------------------------------------------------------------------------------------------------
</TABLE>
*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.
<PAGE> 10
SCHEDULE 13D
<TABLE>
- ------------------------------------------------ ---------------------------------------------------
<S> <C>
CUSIP NO. 902169101 Page 10 of 35 Pages
------------------------- --------------- ----------
- ------------------------------------------------ ---------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
NAME OF REPORTING PERSON
1 SS. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Sam Crowe
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (a) [ ]
2 (b) [x]
- ------------------------------------------------------------------------------------------------------------------------------------
SEC USE ONLY
3
- ------------------------------------------------------------------------------------------------------------------------------------
SOURCE OF FUNDS *
4
00
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
5
- ------------------------------------------------------------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
6
United States
- ------------------------------------------------------------------------------------------------------------------------------------
SOLE VOTING POWER
NUMBER OF 7
SHARES 64,315
---------------------------------------------------------------------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY
0
---------------------------------------------------------------------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
9
REPORTING
64,315
PERSON
---------------------------------------------------------------------------------------------------------------------
SHARED DISPOSITIVE POWER
10
WITH
0
- ------------------------------------------------------------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
64,315
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES * [x]
12
- ------------------------------------------------------------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
.82%
- ------------------------------------------------------------------------------------------------------------------------------------
TYPE OF REPORTING PERSON *
14
IN
- ------------------------------------------------------------------------------------------------------------------------------------
</TABLE>
*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.
<PAGE> 11
SCHEDULE 13D
<TABLE>
- ----------------------------------------------------- -----------------------------------------------------
<S> <C>
CUSIP NO. 902169101 Page 11 of 35 Pages
------------------------- ---------------- ----------
- ----------------------------------------------------- -----------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
NAME OF REPORTING PERSON
1 SS. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Tom Gray
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (a) [ ]
2 (b) [x]
- ------------------------------------------------------------------------------------------------------------------------------------
SEC USE ONLY
3
- ------------------------------------------------------------------------------------------------------------------------------------
SOURCE OF FUNDS *
4
00
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
5
- ------------------------------------------------------------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
6
United States
- ------------------------------------------------------------------------------------------------------------------------------------
SOLE VOTING POWER
NUMBER OF 7
SHARES 64,315
---------------------------------------------------------------------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY
0
---------------------------------------------------------------------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
9
REPORTING
64,315
PERSON
---------------------------------------------------------------------------------------------------------------------
SHARED DISPOSITIVE POWER
10
WITH
0
- ------------------------------------------------------------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
64,315
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES * [x]
12
- ------------------------------------------------------------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
.82%
- ------------------------------------------------------------------------------------------------------------------------------------
TYPE OF REPORTING PERSON *
14
IN
- ------------------------------------------------------------------------------------------------------------------------------------
</TABLE>
*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.
<PAGE> 12
SCHEDULE 13D
<TABLE>
- -------------------------------------------------- ---------------------------------------------------
<S> <C>
CUSIP NO. 902169101 Page 12 of 35 Pages
------------------------- ---------------- ----------
- -------------------------------------------------- ---------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
NAME OF REPORTING PERSON
1 SS. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Robert Lipsky
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (a) [ ]
2 (b) [x]
SEC USE ONLY
3
- ------------------------------------------------------------------------------------------------------------------------------------
SOURCE OF FUNDS *
4
00
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
5
- ------------------------------------------------------------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
6
United States
- ------------------------------------------------------------------------------------------------------------------------------------
SOLE VOTING POWER
NUMBER OF 7
SHARES 64,315
---------------------------------------------------------------------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY
0
---------------------------------------------------------------------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
9
REPORTING
64,315
PERSON
---------------------------------------------------------------------------------------------------------------------
SHARED DISPOSITIVE POWER
10
WITH
0
- ------------------------------------------------------------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
64,315
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES * [x]
12
- ------------------------------------------------------------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
.82%
- ------------------------------------------------------------------------------------------------------------------------------------
TYPE OF REPORTING PERSON *
14
IN
- ------------------------------------------------------------------------------------------------------------------------------------
</TABLE>
*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.
<PAGE> 13
SCHEDULE 13D
<TABLE>
- --------------------------------------------------- ---------------------------------------------------
<S> <C>
CUSIP NO. 902169101 Page 13 of 35 Pages
------------------------- --------------- ----------
- --------------------------------------------------- ---------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
NAME OF REPORTING PERSON
1 SS. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
John Jul
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (a) [ ]
2 (b) [x]
- ------------------------------------------------------------------------------------------------------------------------------------
SEC USE ONLY
3
- ------------------------------------------------------------------------------------------------------------------------------------
SOURCE OF FUNDS *
4
00
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
5
- ------------------------------------------------------------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
6
United States
- ------------------------------------------------------------------------------------------------------------------------------------
SOLE VOTING POWER
NUMBER OF 7
SHARES 64,315
---------------------------------------------------------------------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY
0
---------------------------------------------------------------------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
9
REPORTING
64,315
PERSON
---------------------------------------------------------------------------------------------------------------------
SHARED DISPOSITIVE POWER
10
WITH
0
- ------------------------------------------------------------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
64,315
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES * [x]
12
- ------------------------------------------------------------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
.82%
- ------------------------------------------------------------------------------------------------------------------------------------
TYPE OF REPORTING PERSON *
14
IN
- ------------------------------------------------------------------------------------------------------------------------------------
</TABLE>
*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.
<PAGE> 14
SCHEDULE 13D
<TABLE>
- ------------------------------------------------------ ----------------------------------------------------
<S> <C>
CUSIP NO. 902169101 Page 14 of 35 Pages
------------------------- --------------- ----------
- ------------------------------------------------------ ----------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
NAME OF REPORTING PERSON
1 SS. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Robert Barraclough
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (a) [ ]
2 (b) [x]
- ------------------------------------------------------------------------------------------------------------------------------------
SEC USE ONLY
3
- ------------------------------------------------------------------------------------------------------------------------------------
SOURCE OF FUNDS *
4
00
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
5
- ------------------------------------------------------------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
6
United States
- ------------------------------------------------------------------------------------------------------------------------------------
SOLE VOTING POWER
NUMBER OF 7
SHARES 64,315
---------------------------------------------------------------------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY
0
---------------------------------------------------------------------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
9
REPORTING
64,315
PERSON
---------------------------------------------------------------------------------------------------------------------
SHARED DISPOSITIVE POWER
10
WITH
0
- ------------------------------------------------------------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
64,315
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES * [x]
12
- ------------------------------------------------------------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
.82%
- ------------------------------------------------------------------------------------------------------------------------------------
TYPE OF REPORTING PERSON *
14
IN
- ------------------------------------------------------------------------------------------------------------------------------------
</TABLE>
*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.
<PAGE> 15
SCHEDULE 13D
<TABLE>
- ----------------------------------------------------------- ---------------------------------------------------
<S> <C>
CUSIP NO. 902169101 Page 15 of 35 Pages
------------------------- --------------- ----------
- ----------------------------------------------------------- ---------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
NAME OF REPORTING PERSON
1 SS. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
John Jordon
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (a) [ ]
2 (b) [x]
- ------------------------------------------------------------------------------------------------------------------------------------
SEC USE ONLY
3
- ------------------------------------------------------------------------------------------------------------------------------------
SOURCE OF FUNDS *
4
00
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
5
- ------------------------------------------------------------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
6
United States
- ------------------------------------------------------------------------------------------------------------------------------------
SOLE VOTING POWER
NUMBER OF 7
SHARES 38,579
---------------------------------------------------------------------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY
0
---------------------------------------------------------------------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
9
REPORTING
38,579
PERSON
---------------------------------------------------------------------------------------------------------------------
SHARED DISPOSITIVE POWER
10
WITH
0
- ------------------------------------------------------------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
38,579
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES * [x]
12
- ------------------------------------------------------------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
.49%
- ------------------------------------------------------------------------------------------------------------------------------------
TYPE OF REPORTING PERSON *
14
IN
- ------------------------------------------------------------------------------------------------------------------------------------
</TABLE>
*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.
<PAGE> 16
SCHEDULE 13D
<TABLE>
- ----------------------------------------------------------- ---------------------------------------------------
<S> <C>
CUSIP NO. 902169101 Page 16 of 35 Pages
------------------------- --------------- ----------
- ----------------------------------------------------------- ---------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
NAME OF REPORTING PERSON
1 SS. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
George A. Yurch
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (a) [ ]
2 (b) [x]
- ------------------------------------------------------------------------------------------------------------------------------------
SEC USE ONLY
3
- ------------------------------------------------------------------------------------------------------------------------------------
SOURCE OF FUNDS *
4
00
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
5
- ------------------------------------------------------------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
6
United States
- ------------------------------------------------------------------------------------------------------------------------------------
SOLE VOTING POWER
NUMBER OF 7
SHARES 38,579
---------------------------------------------------------------------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY
0
---------------------------------------------------------------------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
9
REPORTING
38,579
PERSON
---------------------------------------------------------------------------------------------------------------------
SHARED DISPOSITIVE POWER
10
WITH
0
- ------------------------------------------------------------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
38,579
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES * [x]
12
- ------------------------------------------------------------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
.49%
- ------------------------------------------------------------------------------------------------------------------------------------
TYPE OF REPORTING PERSON *
14
IN
- ------------------------------------------------------------------------------------------------------------------------------------
</TABLE>
*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.
<PAGE> 17
SCHEDULE 13D
<TABLE>
- ----------------------------------------------------------- ---------------------------------------------------
<S> <C>
CUSIP NO. 902169101 Page 17 of 35 Pages
------------------------- --------------- ----------
- ----------------------------------------------------------- ---------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
NAME OF REPORTING PERSON
1 SS. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Brian R. Day
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (a) [ ]
2 (b) [x]
- ------------------------------------------------------------------------------------------------------------------------------------
SEC USE ONLY
3
- ------------------------------------------------------------------------------------------------------------------------------------
SOURCE OF FUNDS *
4
00
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
5
- ------------------------------------------------------------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
6
United States
- ------------------------------------------------------------------------------------------------------------------------------------
SOLE VOTING POWER
NUMBER OF 7
SHARES 38,579
---------------------------------------------------------------------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY
0
---------------------------------------------------------------------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
9
REPORTING
38,579
PERSON
---------------------------------------------------------------------------------------------------------------------
SHARED DISPOSITIVE POWER
10
WITH
0
- ------------------------------------------------------------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
38,579
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES * [x]
12
- ------------------------------------------------------------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
.49%
- ------------------------------------------------------------------------------------------------------------------------------------
TYPE OF REPORTING PERSON *
14
IN
- ------------------------------------------------------------------------------------------------------------------------------------
</TABLE>
*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.
<PAGE> 18
SCHEDULE 13D
<TABLE>
- ----------------------------------------------------------- ---------------------------------------------------
<S> <C>
CUSIP NO. 902169101 Page 18 of 35 Pages
------------------------- --------------- ----------
- ----------------------------------------------------------- ---------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
NAME OF REPORTING PERSON
1 SS. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Kaveh Zarkar
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (a) [ ]
2 (b) [x]
- ------------------------------------------------------------------------------------------------------------------------------------
SEC USE ONLY
3
- ------------------------------------------------------------------------------------------------------------------------------------
SOURCE OF FUNDS *
4
00
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
5
- ------------------------------------------------------------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
6
United States
- ------------------------------------------------------------------------------------------------------------------------------------
SOLE VOTING POWER
NUMBER OF 7
SHARES 12,868
---------------------------------------------------------------------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY
0
---------------------------------------------------------------------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
9
REPORTING
12,868
PERSON
---------------------------------------------------------------------------------------------------------------------
SHARED DISPOSITIVE POWER
10
WITH
0
- ------------------------------------------------------------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
12,868
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES * [x]
12
- ------------------------------------------------------------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
.17%
- ------------------------------------------------------------------------------------------------------------------------------------
TYPE OF REPORTING PERSON *
14
IN
- ------------------------------------------------------------------------------------------------------------------------------------
</TABLE>
*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.
<PAGE> 19
SCHEDULE 13D
<TABLE>
- ----------------------------------------------------------- ---------------------------------------------------
<S> <C>
CUSIP NO. 902169101 Page 19 of 35 Pages
------------------------- --------------- ----------
- ----------------------------------------------------------- ---------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
NAME OF REPORTING PERSON
1 SS. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
John Rabbitt
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (a) [ ]
2 (b) [x]
- ------------------------------------------------------------------------------------------------------------------------------------
SEC USE ONLY
3
- ------------------------------------------------------------------------------------------------------------------------------------
SOURCE OF FUNDS *
4
00
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
5
- ------------------------------------------------------------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
6
United States
- ------------------------------------------------------------------------------------------------------------------------------------
SOLE VOTING POWER
NUMBER OF 7
SHARES 12,868
---------------------------------------------------------------------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY
0
---------------------------------------------------------------------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
9
REPORTING
12,868
PERSON
---------------------------------------------------------------------------------------------------------------------
SHARED DISPOSITIVE POWER
10
WITH
0
- ------------------------------------------------------------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
12,868
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES * [x]
12
- ------------------------------------------------------------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
.17%
- ------------------------------------------------------------------------------------------------------------------------------------
TYPE OF REPORTING PERSON *
14
IN
- ------------------------------------------------------------------------------------------------------------------------------------
</TABLE>
*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.
<PAGE> 20
SCHEDULE 13D
<TABLE>
- ----------------------------------------------------------- ---------------------------------------------------
<S> <C>
CUSIP NO. 902169101 Page 20 of 35 Pages
------------------------- --------------- ----------
- ----------------------------------------------------------- ---------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
NAME OF REPORTING PERSON
1 SS. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Timothy Brown
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (a) [ ]
2 (b) [x]
- ------------------------------------------------------------------------------------------------------------------------------------
SEC USE ONLY
3
- ------------------------------------------------------------------------------------------------------------------------------------
SOURCE OF FUNDS *
4
00
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
5
- ------------------------------------------------------------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
6
United States
- ------------------------------------------------------------------------------------------------------------------------------------
SOLE VOTING POWER
NUMBER OF 7
SHARES 118,984
---------------------------------------------------------------------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY
0
---------------------------------------------------------------------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
9
REPORTING
118,984
PERSON
---------------------------------------------------------------------------------------------------------------------
SHARED DISPOSITIVE POWER
10
WITH
0
- ------------------------------------------------------------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
118,984
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES * [x]
12
- ------------------------------------------------------------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
1.52%
- ------------------------------------------------------------------------------------------------------------------------------------
TYPE OF REPORTING PERSON *
14
- ------------------------------------------------------------------------------------------------------------------------------------
IN
</TABLE>
*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.
<PAGE> 21
SCHEDULE 13D
<TABLE>
- ----------------------------------------------------------- ---------------------------------------------------
<S> <C>
CUSIP NO. 902169101 Page 21 of 35 Pages
------------------------- --------------- ----------
- ----------------------------------------------------------- ---------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
NAME OF REPORTING PERSON
1 SS. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Dianne Ferran
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (a) [ ]
2 (b) [x]
- ------------------------------------------------------------------------------------------------------------------------------------
SEC USE ONLY
3
- ------------------------------------------------------------------------------------------------------------------------------------
SOURCE OF FUNDS *
4
00
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
5
- ------------------------------------------------------------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
6
United States
- ------------------------------------------------------------------------------------------------------------------------------------
SOLE VOTING POWER
NUMBER OF 7
SHARES 41,113
---------------------------------------------------------------------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY
0
---------------------------------------------------------------------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
9
REPORTING
41,113
PERSON
---------------------------------------------------------------------------------------------------------------------
SHARED DISPOSITIVE POWER
10
WITH
0
- ------------------------------------------------------------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
41,113
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES * [x]
12
- ------------------------------------------------------------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
.53%
- ------------------------------------------------------------------------------------------------------------------------------------
TYPE OF REPORTING PERSON *
14
IN
- ------------------------------------------------------------------------------------------------------------------------------------
</TABLE>
*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.
<PAGE> 22
SCHEDULE 13D
<TABLE>
- ----------------------------------------------------------- ---------------------------------------------------
<S> <C>
CUSIP NO. 902169101 Page 22 of 35 Pages
------------------------- --------------- ----------
- ----------------------------------------------------------- ---------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
NAME OF REPORTING PERSON
1 SS. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Robert J. Ferran
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (a) [ ]
2 (b) [x]
- ------------------------------------------------------------------------------------------------------------------------------------
SEC USE ONLY
3
- ------------------------------------------------------------------------------------------------------------------------------------
SOURCE OF FUNDS *
4
00
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
5
- ------------------------------------------------------------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
6
United States
- ------------------------------------------------------------------------------------------------------------------------------------
SOLE VOTING POWER
NUMBER OF 7
SHARES 96,728
---------------------------------------------------------------------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY
0
---------------------------------------------------------------------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
9
REPORTING
96,728
PERSON
---------------------------------------------------------------------------------------------------------------------
SHARED DISPOSITIVE POWER
10
WITH
0
- ------------------------------------------------------------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
96,728
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES * [x]
12
- ------------------------------------------------------------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
1.23%
- ------------------------------------------------------------------------------------------------------------------------------------
TYPE OF REPORTING PERSON *
14
IN
- ------------------------------------------------------------------------------------------------------------------------------------
</TABLE>
*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.
<PAGE> 23
SCHEDULE 13D
<TABLE>
- ----------------------------------------------------------- ---------------------------------------------------
<S> <C>
CUSIP NO. 902169101 Page 23 of 35 Pages
------------------------- -------------- ----------
- ----------------------------------------------------------- ---------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
NAME OF REPORTING PERSON
1 SS. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Dr. William B. and Mrs. Karen L. Hawthorne
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (a) [ ]
2 (b) [x]
- ------------------------------------------------------------------------------------------------------------------------------------
SEC USE ONLY
3
- ------------------------------------------------------------------------------------------------------------------------------------
SOURCE OF FUNDS *
4
00
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
5
- ------------------------------------------------------------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
6
United States
- ------------------------------------------------------------------------------------------------------------------------------------
SOLE VOTING POWER
NUMBER OF 7
SHARES 73,689
---------------------------------------------------------------------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY 0
---------------------------------------------------------------------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
9
REPORTING
73,689
PERSON
---------------------------------------------------------------------------------------------------------------------
SHARED DISPOSITIVE POWER
10
WITH
0
- ------------------------------------------------------------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
73,689
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES * [x]
12
- ------------------------------------------------------------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
.94%
- ------------------------------------------------------------------------------------------------------------------------------------
TYPE OF REPORTING PERSON *
14
IN
- ------------------------------------------------------------------------------------------------------------------------------------
</TABLE>
*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.
<PAGE> 24
SCHEDULE 13D
<TABLE>
- ----------------------------------------------------------- ---------------------------------------------------
<S> <C>
CUSIP NO. 902169101 Page 24 of 35 Pages
------------------------- -------------- ----------
- ----------------------------------------------------------- ---------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
NAME OF REPORTING PERSON
1 SS. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Ruth Ferran
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (a) [ ]
2 (b) [x]
- ------------------------------------------------------------------------------------------------------------------------------------
SEC USE ONLY
3
- ------------------------------------------------------------------------------------------------------------------------------------
SOURCE OF FUNDS *
4
00
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
5
- ------------------------------------------------------------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
6
United States
- ------------------------------------------------------------------------------------------------------------------------------------
SOLE VOTING POWER
NUMBER OF 7
SHARES 19,491
---------------------------------------------------------------------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY
0
---------------------------------------------------------------------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
9
REPORTING
19,491
PERSON
---------------------------------------------------------------------------------------------------------------------
SHARED DISPOSITIVE POWER
10
WITH
0
- ------------------------------------------------------------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
19,491
- ------------------------------------------------------------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES * [x]
12
- ------------------------------------------------------------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
.0025%
TYPE OF REPORTING PERSON *
- ------------------------------------------------------------------------------------------------------------------------------------
14
IN
- ------------------------------------------------------------------------------------------------------------------------------------
</TABLE>
*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.
<PAGE> 25
Item 1. Security and Issuer.
This Amendment No. 4 ("Amendment No. 4") to the Statement on Schedule
13D, dated as of July 3, 1996, and filed with the Securities and Exchange
Commission on July 12, 1996 (the "Statement"), as amended by Amendment No. 1
("Amendment No. 1") to the Statement dated as of August 19, 1996, Amendment No.
2 dated as of October 23, 1996 ("Amendment No. 2"), and Amendment No. 3 dated
as of October 23, 1996 ("Amendment No. 3"), relates to the ownership of shares
of Common Stock, $0.001 par value (the "Tylan Common Stock"), of Tylan General,
Inc., a Delaware corporation ("Tylan General"), which has its principal
executive offices located at 15330 Avenue of Science, San Diego, California
92128.
This Amendment No. 4 reflects the deletion of David J. Ferran, Michael
H. Khougaz, The KB Mezzanine Fund, L.P., Equinox Investment Partners, L.L.C.,
Linda Sue Dunkel, Marquerite Whitson, Sam Crowe, Tom Gray, Robert Lipsky, John
Jul, Robert Barraclough, John Jordon, George A. Yurch, Jr., Brian R. Day, Kaveh
Zarkar, John Rabbit, Timothy Brown, Dianne Ferran, Robert J. Ferran, Robert J.
Ferran, Dr. William B. and Mrs. Karen L. Hawthorne and Ruth Ferran
(collectively referred to as "Former Reporting Persons") as Reporting Persons
under the Statement. Don E. Whitson and Leo E. Whitson are collectively
referred to as Reporting Persons in this Amendment No. 4.
Item 2. Identity and Background.
(a), (b) and (c): The following sets forth the information
required by Items 2(a), (b) and (c):
1. Don E. Whitson is the Vice Chairman of the Board of Directors
of Tylan General and the Chief Administrative Officer of Tylan
General, and his business address is 15330 Avenue of Science,
San Diego, California 92128.
2. Leo E. Whitson is the father of Don E. Whitson and the
Chairman of the Board of Directors of Span Instruments, Inc.,
a wholly owned subsidiary of Tylan General ("Span"). His
business address is the Span address which is 2201 Avenue K,
Plano, Texas 75074.
3. David J. Ferran is the Chairman of the Board, President and
Chief Executive Officer of Tylan General, and his business
address is the Tylan General address which is 15330 Avenue of
Science, San Diego, California 92128.
4. Michael H. Khougaz is a member of the Board of Directors of
Tylan General and a managing member of Equinox Investment
Partners, L.L.C., which is engaged principally in the
investment business, and his business address is c/o Equinox
Investment Partners, 405 Lexington Avenue, 21st Floor, New
York, New York 10174.
5. The KB Mezzanine Fund, L.P., a Delaware limited partnership
("KBMF"), is principally engaged in the investment business,
and its principal executive offices are located at P.O. Box
44, Westbourne, The Grange, St. Peter Port, Guernsey, Channel
Islands GY1 3BG.
The general partner of KBMF is Kleinwort Benson (Guernsey)
Limited ("KBGL"), a corporation organized under the laws of
the Channel Islands. KBGL is engaged primarily in private
banking, funds management and administrative services and its
principal executive offices are located at P.O. Box 44,
Westbourne, The Grange, St. Peter Port, Guernsey, Channel
Islands GY1 3BG.
Page 25 of 35 Pages
<PAGE> 26
All of the outstanding securities KBGL are owned by Kleinwort
Benson Channel Islands Ltd ("KBL"). KBL, a holding company,
is organized under the laws of the Channel Islands and its
principal executive offices are located at P.O. Box 44,
Westbourne, The Grange, St. Peter Port, Guernsey, Channel
Islands GY1 3BG. KBL is a wholly-owned subsidiary of KBIM
Overseas B.V. ("KBIM"), a holding company organized under the
laws of the Netherlands, whose principal executive offices are
located at Drentestreet 20, Amsterdam, Netherlands. KBIM is a
wholly-owned subsidiary of KBIM International Ltd ("KBIMI"), a
holding company organized under the laws of the United
Kingdom, whose principal executive offices are located at 20
Frenchurch Street, London, England EC3P 3DB. KBIMI is a
wholly-owned subsidiary of Kleinwort Benson Investment
Management Holdings Ltd ("KBIMH"), a holding company organized
under the laws of the United Kingdom, whose principal
executive offices are located at 10 Frenchurch Street, London,
England EC3M 3LB.
All of the outstanding securities of KBIMH are owned by
Kleinwort Benson Group plc, a holding company organized under
the laws of the United Kingdom ("KBG"), whose principal
executive offices are located at 20 Frenchurch Street, London,
England EC3P 3DB. All of the outstanding securities of KBG
are owned by Dresdner Investments (UK) plc, a holding company
organized under the laws of the United Kingdom ("DI"), whose
principal executive offices are located at 125 Wood Street,
London, England EC2V 7AQ.
All of the outstanding securities of DI are owned by Zenon
Beteiligungs GmbH ("Zenon"), which is a wholly-owned
subsidiary of Dresdner Bank, AG, a bank organized under the
laws of the Federal Republic of Germany ("Dresdner").
Dresdner's principal executive offices are located at
Jurgen-Ponto-Platz 1, 60301 Frankfurt am Main, Germany
For information with respect to the executive officers and
directors of KBGL, see Schedule I attached to Amendment No. 2
and incorporated herein by reference.
6. Equinox Investment Partners, L.L.C., a Delaware limited
liability company ("Equinox"), is engaged principally in the
investment business and its address is 405 Lexington Avenue,
21st Floor, New York, New York 10174. Equinox acts as a
sub-advisor to Kleinwort Benson (USA) Inc. ("KB USA"), which
serves as KBMF's investment advisor.
For information with respect to the managing members of
Equinox, see Schedule I attached to Amendment No. 2 and
incorporated herein by reference.
7. Linda Sue Dunkel is the ex-spouse of Don E. Whitson and a
shareholder of Tylan General, and her address is 4596 Adrian
Way, Plano, Texas 75024.
8. Marquerite Whitson is the mother of Don E. Whitson and a
shareholder of Tylan General and her address is Post Office
Box 260014, Plano, Texas 75026-0014.
9. Sam Crowe is a shareholder of Tylan General, and his address
is 2715 Club Lake Trail, McKinney, Texas 75070.
10. Tom Gray is the Vice President of Advanced Research and
Development of Span and a shareholder of Tylan General, and
his business address is 2201 Avenue K, Plano, Texas 75074.
Page 26 of 35 Pages
<PAGE> 27
11. Robert Lipsky is a shareholder of Tylan General, and his
address is 3200 Cross Bend Road, Plano, Texas 75023.
12. John Jul is the President of the Integrated Systems Group of
Span and a shareholder of Tylan General, and his business
address is 2201 Avenue K, Plano, Texas 75074.
13. Robert Barraclough is the Vice President of Ocala, Inc., a
subsidiary of Span, and a shareholder of Tylan General, and
his business address is 2201 Avenue K, Plano, Texas 75074.
14. John Jordon is a shareholder of Tylan General, and his address
is 30 Algonquian Drive, South Natick, MA 01760.
15. George A. Yurch, Jr. is the President of Span and a
shareholder of Tylan General, and his business address is 2201
Avenue K, Plano, Texas 75074.
16. Brian R. Day is the Chief Financial Officer of Span and a
shareholder of Tylan General, and his business address is 2201
Avenue K, Plano, Texas 75074.
17. Kaveh Zarkar is the Vice President of Application Engineering
of Span and a shareholder of Tylan General, and his business
address is 2201 Avenue K, Plano, Texas 75074.
18. John Rabbitt is the Vice President of Quality and Procurement
of Tylan General and a shareholder of Tylan General, and his
business address is 2201 Avenue K, Plano, Texas 75074.
19. Timothy Brown is the President of the Vacuum Products Division
of Tylan General and a shareholder of Tylan General, and his
business address is 15330 Avenue of Science, San Diego,
California 92128.
20. Dianne Ferran is the sister of David J. Ferran and a
shareholder of Tylan General, and her address is 2108 Sea
Village Circle, Cardiff, California 92007.
21. Robert J. Ferran is the father of David J. Ferran and a
shareholder of Tylan General, and his address is 2416 Deerpark
Drive, San Diego, California 92110-1139.
22. Dr. William B. and Mrs. Karen L. Hawthorne, the sister of
David J. Ferran, are shareholders of Tylan General, and their
address is 2147 Via Mar Valle, Del Mar, California 92014.
23. Ruth Ferran is the mother of David J. Ferran and a shareholder
of Tylan General, and her address is 1131 Olde Towne Place,
Smithfield, Virginia 23430.
(d) None of the Reporting Persons has, during the last five years,
been convicted in a criminal proceeding (excluding traffic violations or
similar misdemeanors).
(e) None of the Reporting Persons has, during the last five years,
been 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
Page 27 of 35 Pages
<PAGE> 28
prohibiting or mandating activities subject to, federal or state securities
laws or finding any violation with respect to such laws.
(f) KBMF is a Delaware limited partnership, Equinox is a Delaware
limited liability company, the Reporting Persons and the remaining Former
Reporting Persons are citizens of the United States.
Item 3. Source and Amount of Funds or Other Consideration.
There has been no change in beneficial ownership and aggregate
consideration paid for Tylan Common Stock beneficially owned by each Reporting
Person since October 23, 1996, the date of Amendment No. 2 and Amendment No. 3.
Item 4. Purpose of Transaction.
Except as set forth in this Amendment No. 4, each of the Reporting
Persons has acquired their respective shares of Tylan Common Stock to hold for
investment. Depending upon market conditions and other factors, each Reporting
Person individually, may, from time to time acquire additional shares of Tylan
Common Stock or dispose of all or any part of their respective holdings of
Tylan Common Stock.
No Reporting Person has any present plans to cause Tylan General to
engage in any extraordinary transactions; to sell or transfer any of its
material assets or the assets of any of its subsidiaries; to effect any change
of its management or its directors, business, corporate structure,
capitalization, dividend policy, articles of incorporation, or bylaws; or to
delist or terminate the registration of any securities of Tylan General; but
each reserves the right to propose or undertake or participate in any of the
foregoing actions in the future.
This Amendment No. 4 is being filed to report that as of December 12,
1996, the Reporting Persons and the Former Reporting Persons no longer intend
to make an offer to acquire 100% of the outstanding capital stock of Tylan
General, as previously reported in Amendment No. 2, and that the Reporting
Persons and the Former Reporting Persons no longer intend to act as a group
with respect to their ownership of Tylan Common Stock. However, the Reporting
Persons will continue to act as a group for investment purposes, but not as
potential purchasers of all of the outstanding Tylan Common Stock.
Item 5. Interest in Securities of the Issuer.
(a) and (b): The following table sets forth the information required by
Items 5(a) and (b):
<TABLE>
<CAPTION>
Number of Voting Dispositive %
Name Shares Power Power Ownership
---------- ----------- ------ --------- ---------
<S> <C> <C> <C> <C>
Don E. Whitson(1) 734,103 sole sole 9.33%
David J. Ferran 189,309 sole sole 2.41%
Michael H. Khougaz(2) 1,667 sole sole *
KBMF(3) 276,951 sole sole 3.52%
Linda Sue Dunkel(4) 39,200 sole sole *
Marguerite Whitson 63,644 sole sole *
</TABLE>
Page 28 of 35 Pages
<PAGE> 29
<TABLE>
<S> <C> <C> <C> <C>
Sam Crowe 64,315 sole sole *
Tom Gray 64,315 sole sole *
Robert Lipsky 64,315 sole sole *
John Jul 64,315 sole sole *
Robert Barraclough 64,315 sole sole *
John Jordon 38,579 sole sole *
George A. Yurch 38,579 sole sole *
Brian R. Day 38,579 sole sole *
Kaveh Zarkar 12,868 sole sole *
John Rabbitt 12,868 sole sole *
Timothy Brown 118,984 sole sole 1.52%
Dianne Ferran 41,113 sole sole *
Robert J. Ferran 96,728 sole sole 1.23%
Dr. William B. and Mrs. 73,689 sole sole *
Karen L. Hawthorne
Ruth Ferran 19,491 sole sole *
</TABLE>
- ------------------------------------
* Less than one percent.
(1) Don E. Whitson beneficially owns an aggregate of 734,103 shares
of Tylan Common Stock, which includes 354,372 shares of Tylan Common Stock
owned by Don E. Whitson individually, and 379,731 shares of Tylan Common Stock
owned by the Leo E. Whitson 1996 Trust of which Don E. Whitson is the sole
Trustee.
(2) Represents vested options to purchase 1,667 shares of Tylan Common
Stock.
(3) Equinox may be deemed to have beneficial ownership of the 276,951
shares of Tylan Common Stock owned by KBMF based solely on its role as
sub-advisor to KB USA, which serves as KBMF's investment advisor. Equinox does
not beneficially own any other shares of Tylan Common Stock, and Equinox
disclaims beneficial ownership of the 276,951 shares of Tylan Common Stock
owned by KBMF. Although Equinox was named as a participant in the Indication
of Interest, dated October 16, 1996 as described in Amendment No. 2, KBMF was
not named as a participant and KBMF does not affirm that it was a member of any
group as previously described in Amendment No. 2.
(4) These shares were obtained pursuant to a property settlement
incident to the divorce of Don E. Whitson and Linda Sue Dunkel.
The aggregate number of shares of Tylan Common Stock beneficially
owned by the Reporting Persons and the Former Reporting Persons is 2,497,658.
As of December 12, 1996, the Reporting Persons and the Former Reporting Persons
no longer intend to act as a group with respect to their ownership of
Page 29 of 35 Pages
<PAGE> 30
Tylan General. However, the Reporting Persons will continue to be parties to
the Statement or any Amendment to the Statement. The Reporting Persons, who
intend to continue to act as a group for investment purposes, beneficially own
an aggregate of 734,103 shares of Tylan Common Stock. Each of the Reporting
Persons and Former Reporting Persons declares that the filing of this Amendment
shall not be construed as an admission that he is, for purposes of Sections
13(d) or 13(g) of the Securities Act of 1933, as amended, or Section 16 of the
Securities Exchange Act of 1934, as amended, the beneficial owner of all of the
securities covered by this Amendment. Each of the Reporting Persons and Former
Reporting Persons disclaims beneficial ownership of all of the shares of the
Tylan Common Stock covered by this Amendment No. 4 except for the shares
indicated as being beneficially owned by him in the table above.
(c) There have been no transactions in Tylan Common Stock effected
by or for the Reporting Persons since the date of Amendment No. 3.
(d) Not applicable.
(e) On December 12, 1996, there cease to be any reason to believe
that the Reporting Persons and the Former Reporting Persons could be considered
to have any agreement to act together for the purpose of acquiring 100% of the
outstanding capital stock of Tylan General, as previously reported in Amendment
No.2.
Item 6. Contracts, Arrangements, Understandings or Relationships With Respect
to Securities of the Issuer.
Except as set forth in this Amendment No. 4, there are no current
contracts, arrangements, understandings or legal relationships among the
Reporting Persons and the Former Reporting Persons or between the Reporting
Persons, the Former Reporting Persons and any person with respect to the
acquiring, holding, voting or disposition of the Tylan Common Stock. As a
result, only the Reporting Persons will continue to be parties to the Statement
or any Amendment to the Statement.
Item 7. Material to be Filed as Exhibits.
Exhibit A - Agreement Regarding Filing of Schedule 13D among the
parties to this Amendment
Page 30 of 35 Pages
<PAGE> 31
Signatures
After reasonable inquiry and to the best of the undersigned's
knowledge and belief, each of the undersigned certifies that the information
set forth in this Amendment is true, complete and correct.
December , 1996
----
/s/ Don E. Whitson
---------------------------------------------
Don E. Whitson
/s/ Leo E. Whitson
---------------------------------------------
Leo E. Whitson
/s/ David J. Ferran
---------------------------------------------
David J. Ferran
/s/ Michael H. Khougaz
---------------------------------------------
Michael H. Khougaz
THE KB MEZZANINE FUND, L.P.
By: Kleinwort Benson (Guernsey) Limited,
its General Partner
By: /s/ Michael H. Khougaz
--------------------------------
Its: Attorney-in-Fact
-------------------------------
EQUINOX INVESTMENT PARTNERS, L.L.C.
By: /s/ Michael H. Khougaz
-----------------------------------------
Michael H. Khougaz, Managing Member
/s/ Linda Sue Dunkel
---------------------------------------------
Linda Sue Dunkel
/s/ Marguerite Whitson
---------------------------------------------
Marguerite Whitson
/s/ Sam Crowe
---------------------------------------------
Sam Crowe
/s/ Tom Gray
---------------------------------------------
Tom Gray
Page 31 of 35 Pages
<PAGE> 32
/s/ Robert Lipsky
---------------------------------------------
Robert Lipsky
/s/ John Jul
---------------------------------------------
John Jul
/s/ Robert Barraclough
---------------------------------------------
Robert Barraclough
/s/ John Jordon
---------------------------------------------
John Jordon
/s/ George A. Yurch
---------------------------------------------
George A. Yurch
/s/ Brian R. Day
---------------------------------------------
Brian R. Day
/s/ Kaveh Zarkar
---------------------------------------------
Kaveh Zarkar
/s/ John Rabbitt
---------------------------------------------
John Rabbitt
/s/ Timothy Brown
---------------------------------------------
Timothy Brown
/s/ Dianne Ferran
---------------------------------------------
Dianne Ferran
/s/ Robert J. Ferran
---------------------------------------------
Robert J. Ferran
/s/ Dr. William B. Hawthorne
---------------------------------------------
Dr. William B. Hawthorne
/s/ Karen L. Hawthorne
---------------------------------------------
Karen L. Hawthorne
/s/ Ruth Ferran
---------------------------------------------
Ruth Ferran
Page 32 of 35 Pages
<PAGE> 33
INDEX TO EXHIBITS
<TABLE>
<CAPTION>
Exhibit
Number Description
- ------- -----------
<S> <C>
99.A - Agreement Regarding Filing of Schedule 13D Amendment among
the parties to this Amendment
</TABLE>
Page 33 of 35 Pages
<PAGE> 1
EXHIBIT 99.A
AGREEMENT REGARDING FILING SCHEDULE 13D AMENDMENT
Each of the undersigned hereby agrees that Amendment No. 4 to the
Schedule 13D to which this agreement is filed as an exhibit be filed with the
Securities and Exchange Commission on behalf of the parties hereto, and hereby
represents to the other parties hereto that he is eligible to use this Schedule
13D Amendment. Each of the undersigned agrees that he is responsible for the
timely filing of this Schedule 13D Amendment and any other amendments thereto,
and for the completeness and accuracy of the information concerning himself
contained therein, and that none of the parties hereto is responsible for the
completeness or accuracy of the information concerning any other party, unless
he knows or has reason to believe that the information concerning any other
party is inaccurate.
Date: December , 1996
----
/s/ Don E. Whitson
---------------------------------------------
Don E. Whitson
/s/ Leo E. Whitson
---------------------------------------------
Leo E. Whitson
/s/ David J. Ferran
---------------------------------------------
David J. Ferran
/s/ Michael H. Khougaz
---------------------------------------------
Michael H. Khougaz
THE KB MEZZANINE FUND, L.P.
By: Kleinwort Benson (Guernsey) Limited,
its General Partner
By: /s/ Michael H. Khougaz
--------------------------------
Its: Attorney-in-Fact
-------------------------------
EQUINOX INVESTMENT PARTNERS, L.L.C.
By: /s/ Michael H. Khougaz
-----------------------------------------
Michael H. Khougaz, Managing Member
/s/ Linda Sue Dunkel
---------------------------------------------
Linda Sue Dunkel
/s/ Marguerite Whitson
---------------------------------------------
Marguerite Whitson
Page 34 of 35 Pages
<PAGE> 2
/s/ Sam Crowe
---------------------------------------------
Sam Crowe
/s/ Tom Gray
---------------------------------------------
Tom Gray
/s/ Robert Lipsky
---------------------------------------------
Robert Lipsky
/s/ John Jul
---------------------------------------------
John Jul
/s/ Robert Barraclough
---------------------------------------------
Robert Barraclough
/s/ John Jordon
---------------------------------------------
John Jordon
/s/ George A. Yurch
---------------------------------------------
George A. Yurch
/s/ Brian R. Day
---------------------------------------------
Brian R. Day
/s/ Kaveh Zarkar
---------------------------------------------
Kaveh Zarkar
/s/ John Rabbitt
---------------------------------------------
John Rabbitt
/s/ Timothy Brown
---------------------------------------------
Timothy Brown
/s/ Dianne Ferran
---------------------------------------------
Dianne Ferran
/s/ Robert J. Ferran
---------------------------------------------
Robert J. Ferran
/s/ Dr. William B. Hawthorne
---------------------------------------------
Dr. William B. Hawthorne
/s/ Karen L. Hawthorne
---------------------------------------------
Karen L. Hawthorne
/s/ Ruth Ferran
---------------------------------------------
Ruth Ferran
Page 35 of 35 Pages
