<PAGE> 1
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 2) *
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, Suite 3000, Dallas, Texas 75201-4761, (214) 999-3000
- --------------------------------------------------------------------------------
(Name, Address and Telephone Number of Person Authorized to Receive Notices
and Communications)
October 23, 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
CUSIP NO. 902169101 PAGE 2 OF 40 PAGES
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Don E. Whitson
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [x]
(b) [ ]
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
00
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [ ]
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- --------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
734,103
SHARES -------------------------------------------------
8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 0
------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
734,103
PERSON ------------------------------------------------
10 SHARED DISPOSITIVE POWER
WITH
0
- -------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
734,103
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[X]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
9.33%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
INCLUDED BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND SIGNATURE ATTESTATION.
<PAGE> 3
SCHEDULE 13D
CUSIP NO. 902169101 PAGE 3 OF 40 PAGES
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Leo E. Whitson
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [x]
(b) [ ]
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
00
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [ ]
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- --------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
0
SHARES -------------------------------------------------
8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 0
------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
0
PERSON ------------------------------------------------
10 SHARED DISPOSITIVE POWER
WITH
0
- -------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
0
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[x]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
INCLUDED BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND SIGNATURE ATTESTATION.
<PAGE> 4
SCHEDULE 13D
CUSIP NO. 902169101 PAGE 4 OF 40 PAGES
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
David J. Ferran
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [x]
(b) [ ]
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
00
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [ ]
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- --------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
189,309
SHARES -------------------------------------------------
8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 0
------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
189,309
PERSON ------------------------------------------------
10 SHARED DISPOSITIVE POWER
WITH
0
- -------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
189,309
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[x]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
2.41%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
INCLUDED BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND SIGNATURE ATTESTATION.
<PAGE> 5
SCHEDULE 13D
CUSIP NO. 902169101 PAGE 5 OF 40 PAGES
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Michael H. Khougaz
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [x]
(b) [ ]
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
00
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [ ]
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- --------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
1,667
SHARES -------------------------------------------------
8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 0
------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
1,667
PERSON ------------------------------------------------
10 SHARED DISPOSITIVE POWER
WITH
0
- -------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,667
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[x]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
.0002%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
INCLUDED BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND SIGNATURE ATTESTATION.
<PAGE> 6
SCHEDULE 13D
CUSIP NO. 902169101 PAGE 6 OF 40 PAGES
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
The KB Mezzanine Fund, L.P.
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [x]
(b) [ ]
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
00
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [ ]
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
- --------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
276,951
SHARES -------------------------------------------------
8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 0
------------------------------------------------
EACH 9 OLE DISPOSITIVE POWER
REPORTING
276,951
PERSON ------------------------------------------------
10 SHARED DISPOSITIVE POWER
WITH
0
- -------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
276,951
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[x]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
3.52%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
PN
- --------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
INCLUDED BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND SIGNATURE ATTESTATION.
<PAGE> 7
SCHEDULE 13D
CUSIP NO. 902169101 PAGE 7 OF 40 PAGES
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Equinox Investment Partners, L.L.C.
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [x]
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
00
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [ ]
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
- --------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
0
SHARES -------------------------------------------------
8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 0
------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
0
PERSON ------------------------------------------------
10 SHARED DISPOSITIVE POWER
WITH
0
- -------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
0
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[x]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
PN
- --------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
INCLUDED BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND SIGNATURE ATTESTATION.
<PAGE> 8
SCHEDULE 13D
CUSIP NO. 902169101 PAGE 8 OF 40 PAGES
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Linda Sue Dunkel
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [X]
(b) [ ]
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
00
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [ ]
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- --------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
39,200
SHARES -------------------------------------------------
8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 0
------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
39,200
PERSON ------------------------------------------------
10 SHARED DISPOSITIVE POWER
WITH
0
- -------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
39,200
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[x]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
.50%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
INCLUDED BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND SIGNATURE ATTESTATION.
<PAGE> 9
SCHEDULE 13D
CUSIP NO. 902169101 PAGE 9 OF 40 PAGES
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Marguerite Whitson
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [x]
(b) [ ]
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
00
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [ ]
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- --------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
63,644
SHARES -------------------------------------------------
8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 0
------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
63,644
PERSON ------------------------------------------------
10 SHARED DISPOSITIVE POWER
WITH
0
- -------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
63,644
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[x]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
.81%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
INCLUDED BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND SIGNATURE ATTESTATION.
<PAGE> 10
SCHEDULE 13D
CUSIP NO. 902169101 PAGE 10 OF 40 PAGES
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Sam Crowe
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [x]
(b) [ ]
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
00
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [ ]
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- --------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
64,315
SHARES -------------------------------------------------
8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 0
------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
64,315
PERSON ------------------------------------------------
10 SHARED DISPOSITIVE POWER
WITH
0
- -------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
64,315
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[x]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
.82%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
INCLUDED BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND SIGNATURE ATTESTATION.
<PAGE> 11
SCHEDULE 13D
CUSIP NO. 902169101 PAGE 11 OF 40 PAGES
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Tom Gray
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [x]
(b) [ ]
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
00
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [ ]
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- --------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
64,315
SHARES -------------------------------------------------
8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 0
------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
64,315
PERSON ------------------------------------------------
10 SHARED DISPOSITIVE POWER
WITH
0
- -------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
64,315
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[x]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
.82%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
INCLUDED BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND SIGNATURE ATTESTATION.
<PAGE> 12
SCHEDULE 13D
CUSIP NO. 902169101 PAGE 12 OF 40 PAGES
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Robert Lipsky
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [x]
(b) [ ]
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
00
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [ ]
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- --------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
64,315
SHARES -------------------------------------------------
8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 0
------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
64,315
PERSON ------------------------------------------------
10 SHARED DISPOSITIVE POWER
WITH
0
- -------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
64,315
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[x]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
.82%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
INCLUDED BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND SIGNATURE ATTESTATION.
<PAGE> 13
SCHEDULE 13D
CUSIP NO. 902169101 PAGE 13 OF 40 PAGES
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
John Jul
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [x]
(b) [ ]
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
00
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [ ]
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- --------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
64,315
SHARES -------------------------------------------------
8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 0
------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
64,315
PERSON ------------------------------------------------
10 SHARED DISPOSITIVE POWER
WITH
0
- -------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
64,315
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[x]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
.82%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
INCLUDED BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND SIGNATURE ATTESTATION.
<PAGE> 14
SCHEDULE 13D
CUSIP NO. 902169101 PAGE 14 OF 40 PAGES
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Robert Barraclough
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [x]
(b) [ ]
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
00
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [ ]
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- --------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
64,315
SHARES -------------------------------------------------
8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 0
------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
64,315
PERSON ------------------------------------------------
10 SHARED DISPOSITIVE POWER
WITH
0
- -------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
64,315
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[x]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
.82%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
INCLUDED BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND SIGNATURE ATTESTATION.
<PAGE> 15
SCHEDULE 13D
CUSIP NO. 902169101 PAGE 15 OF 40 PAGES
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
John Jordon
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [x]
(b) [ ]
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
00
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [ ]
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- --------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
38,579
SHARES -------------------------------------------------
8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 0
------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
38,579
PERSON ------------------------------------------------
10 SHARED DISPOSITIVE POWER
WITH
0
- -------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
38,579
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[x]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
.49%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
INCLUDED BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND SIGNATURE ATTESTATION.
<PAGE> 16
SCHEDULE 13D
CUSIP NO. 902169101 PAGE 16 OF 40 PAGES
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
George A. Yurch
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [x]
(b) [ ]
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
00
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [ ]
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- --------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
38,579
SHARES -------------------------------------------------
8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 0
------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
38,579
PERSON ------------------------------------------------
10 SHARED DISPOSITIVE POWER
WITH
0
- -------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
38,579
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[x]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
.49%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
INCLUDED BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND SIGNATURE ATTESTATION.
<PAGE> 17
SCHEDULE 13D
CUSIP NO. 902169101 PAGE 17 OF 40 PAGES
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Brian R. Day
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [x]
(b) [ ]
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
00
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [ ]
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- --------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
38,579
SHARES -------------------------------------------------
8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 0
------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
38,579
PERSON ------------------------------------------------
10 SHARED DISPOSITIVE POWER
WITH
0
- -------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
38,579
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[x]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
.49%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
INCLUDED BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND SIGNATURE ATTESTATION.
<PAGE> 18
SCHEDULE 13D
CUSIP NO. 902169101 PAGE 18 OF 40 PAGES
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Kaveh Zarkar
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [x]
(b) [ ]
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
00
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [ ]
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- --------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
12,868
SHARES -------------------------------------------------
8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 0
------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
12,868
PERSON ------------------------------------------------
10 SHARED DISPOSITIVE POWER
WITH
0
- -------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
12,868
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[x]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
.16%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
INCLUDED BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND SIGNATURE ATTESTATION.
<PAGE> 19
SCHEDULE 13D
CUSIP NO. 902169101 PAGE 19 OF 40 PAGES
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
John Rabbit
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [x]
(b) [ ]
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
00
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [ ]
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- --------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
12,868
SHARES -------------------------------------------------
8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 0
------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
12,868
PERSON ------------------------------------------------
10 SHARED DISPOSITIVE POWER
WITH
0
- -------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
12,868
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[x]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
.16%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
INCLUDED BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND SIGNATURE ATTESTATION.
<PAGE> 20
SCHEDULE 13D
CUSIP NO. 902169101 PAGE 20 OF 40 PAGES
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Timothy Brown
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [x]
(b) [ ]
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
00
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [ ]
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- --------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
118,984
SHARES -------------------------------------------------
8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 0
------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
118,984
PERSON ------------------------------------------------
10 SHARED DISPOSITIVE POWER
WITH
0
- -------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
118,984
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[x]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.52%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
INCLUDED BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND SIGNATURE ATTESTATION.
<PAGE> 21
SCHEDULE 13D
CUSIP NO. 902169101 PAGE 21 OF 40 PAGES
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Dianne Ferran
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [x]
(b) [ ]
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
00
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [ ]
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- --------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
41,113
SHARES -------------------------------------------------
8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 0
------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
41,113
PERSON ------------------------------------------------
10 SHARED DISPOSITIVE POWER
WITH
0
- -------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
41,113
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[x]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
.52%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
INCLUDED BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND SIGNATURE ATTESTATION.
<PAGE> 22
SCHEDULE 13D
CUSIP NO. 902169101 PAGE 22 OF 40 PAGES
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Robert J. Ferran
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [x]
(b) [ ]
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
00
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [ ]
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- --------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
96,728
SHARES -------------------------------------------------
8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 0
------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
96,728
PERSON ------------------------------------------------
10 SHARED DISPOSITIVE POWER
WITH
0
- -------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
96,728
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[x]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.23%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
INCLUDED BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND SIGNATURE ATTESTATION.
<PAGE> 23
SCHEDULE 13D
CUSIP NO. 902169101 PAGE 23 OF 40 PAGES
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Dr. William B. and Mrs. Karen L. Hawthorne
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [x]
(b) [ ]
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
00
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [ ]
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- --------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
73,689
SHARES -------------------------------------------------
8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 0
------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
73,689
PERSON ------------------------------------------------
10 SHARED DISPOSITIVE POWER
WITH
0
- -------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
73,689
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[x]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
.94%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
INCLUDED BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND SIGNATURE ATTESTATION.
<PAGE> 24
SCHEDULE 13D
CUSIP NO. 902169101 PAGE 24 OF 40 PAGES
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Ruth Ferran
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [x]
(b) [ ]
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
00
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [ ]
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- --------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
19,429
SHARES -------------------------------------------------
8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 0
------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
19,429
PERSON ------------------------------------------------
10 SHARED DISPOSITIVE POWER
WITH
0
- -------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
19,429
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[x]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
.0025%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
INCLUDED BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND SIGNATURE ATTESTATION.
<PAGE> 25
Item 1. Security and Issuer.
This Amendment No. 2 to the Schedule 13D (this "Amendment") is being
filed to reflect, among other things, the addition of new Reporting Persons to
the group previously formed by Don E. Whitson, Leo E. Whitson and David J.
Ferran (the "Initial Group") as described in Amendment No. 1 with respect 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. The new Reporting Persons and the Initial Group
are collectively referred to herein as the Reporting Persons. This Amendment
No. 2 also reflects that the Reporting Persons have made a confidential
preliminary non-binding indication of interest to acquire 100% of the
outstanding capital stock of Tylan General.
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.
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
Page 25 of 41 Pages
<PAGE> 26
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 hereto, which is
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 hereto, which is 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.
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.
Page 26 of 41 Pages
<PAGE> 27
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 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
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, and the remaining Reporting Persons are citizens of
the United States.
Page 27 of 41 Pages
<PAGE> 28
Item 3. Source and Amount of Funds or Other Consideration.
The following table sets forth the aggregate consideration paid for
Tylan Common Stock beneficially owned by each Reporting Person as of the date
of this Amendment No. 2. The table lists the beneficial owners of the shares.
<TABLE>
<CAPTION>
Name Number of Aggregate
- ---- --------- ---------
Shares Consideration
------ -------------
<S> <C> <C>
Don E. Whitson 734,103 (1)
Leo E. Whitson 1996 Trust 379,731 (1)
Michael H. Khougaz 1,667 (2)
David J. Ferran 189,309 (3)
KBMF 276,951 (4)
Linda Sue Dunkel 39,200 (5)
Marguerite Whitson 63,644 (6)
Sam Crowe 64,315 (7)
Tom Gray 64,315 (7)
Robert Lipsky 64,315 (7)
John Jul 64,315 (7)
Robert Barraclough 64,315 (7)
John Jordon 38,579 (8)
George A. Yurch 38,579 (8)
Brian R. Day 38,579 (8)
Kaveh Zarkar 12,868 (9)
John Rabbitt 12,868 (9)
Timothy Brown 118,984 $277,460.00(10)
Dianne Ferran 41,113 (11)
Robert J. Ferran 96,728 (12)
Dr. William B. and Mrs.
Karen L. Hawthorne 73,689 $98,175(13)
Ruth Ferran 19,491 (14)
</TABLE>
- --------------------------
(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 (the "Trust") of which Don E. Whitson is the
sole Trustee. The Agreement and Plan of Reorganization, dated as of July 3,
1996, was by and among Tylan General, Tylan General Acquisition Subsidiary,
Inc., a Delaware corporation ("Tylan General Sub"), Span, and all the
shareholders of Span ( the "Agreement and Plan of Reorganization"). Subject to
the terms and conditions of the Agreement and Plan of Reorganization, Tylan
General Sub was merged with and into Span on July 3, 1996, with Span being the
surviving corporation, and Tylan General owns all of the issued and outstanding
shares of common stock of Span. Don E. Whitson beneficially owns 379,731
shares of Tylan Common Stock (the "Trust Shares") which are held of record by
the Trust, as to which Don E. Whitson, as sole Trustee, has sole dispositive
and voting power pursuant to the Trust Agreement dated as of February 16, 1996,
by and between Leo E. Whitson, as grantor, and Leo E. Whitson, as the original
trustee (the "Trust Agreement"). Don E. Whitson succeeded to the position of
sole Trustee upon the resignation of Leo E. Whitson on August 19, 1996.
Page 28 of 41 Pages
<PAGE> 29
Although Leo E. Whitson is a beneficiary of the Trust, he has no dispositive or
voting power with respect to the Trust Shares. The Trust Shares were obtained
by the Trust exchanging 77,611 shares of common stock of Span, held of record
by the Trust, pursuant to the Agreement and Plan of Reorganization.
(2) Michael H. Khougaz beneficially owns vested options to purchase
1,667 shares of Tylan Common Stock.
(3) David J. Ferran beneficially owns 189,309 shares of Tylan Common
Stock which includes vested options to purchase 49,063 shares and 35,838 shares
held by David J. Ferran in trust for the benefit of the grandchildren of Robert
J. Ferran, of which David J. Ferran disclaims beneficial ownership.
(4) The 276,951 shares of Tylan Common Stock currently owned by KBMF
were acquired by KBMF upon the exercise of warrants (the "Warrants") issued to
KBMF in a private placement in November 1992. Pursuant to the 1992 private
placement, KBMF acquired warrants to purchase a total of 887,845 shares of
Tylan Common Stock and subordinated debt securities in the principal amount of
$5,000,000, all for a total purchase price of $5,000,000. KBMF exercised its
warrants at a nominal exercise price immediately prior to Tylan General's
initial public offering in February 1995, and sold a portion of the Tylan
Common Stock acquired upon exercise in the initial public offering. KBMF
subsequently sold an additional portion of its Tylan Common Stock in a
secondary registered offering effected in October 1995, leaving KBMF with
276,951 shares that it continues to hold. The debt securities acquired by KBMF
in November 1992 were repaid in full with proceeds of the initial public
offering. The funds used by KBMF to acquire the debt securities and warrants
issued in November 1992 were obtained from capital contributions by KBMF's
limited partners.
(5) These shares were obtained pursuant to a property settlement
incident to the divorce of Don E. Whitson and Linda Sue Dunkel.
(6) These shares were obtained by exchanging 13,008 shares of Common
Stock of Span for 63,644 shares of Tylan Common Stock pursuant to the Agreement
and Plan of Reorganization.
(7) These shares were obtained by exchanging 13,145 shares of Common
Stock of Span for 64,315 shares of Tylan Common Stock pursuant to the Agreement
and Plan of Reorganization.
(8) These shares were obtained by exchanging 7,885 shares of Common
Stock of Span for 38,579 shares of Tylan Common Stock pursuant to the Agreement
and Plan of Reorganization.
(9) These shares were obtained by exchanging 2,630 shares of Common
Stock of Span for 12,868 shares of Tylan Common Stock pursuant to the Agreement
and Plan of Reorganization.
(10) Timothy Brown beneficially owns an aggregate of 118,984 shares of
Tylan Common Stock, which includes 110,984 shares acquired as a gift when Tylan
General was founded and vested options to purchase 8,000 shares.
(11) Dianne Ferran beneficially owns 41,113 shares of Tylan Common
Stock which were acquired as a gift when Tylan General was founded.
(12) Robert J. Ferran beneficially owns an aggregate of 96,728 shares
of Tylan Common Stock, which includes 77,407 shares acquired as a gift when
Tylan General was founded and vested options to purchase 19,321 shares.
Page 29 of 41 Pages
<PAGE> 30
(13) Dr. William B. and Mrs. Karen L. Hawthorne beneficially owns an
aggregate of 73,689 shares of Tylan Common Stock, which includes 65,989 shares
acquired as a gift when Tylan General was founded and 7,700 shares that were
purchased on December 26, 1995 at $12.75 per share.
(14) Ruth Ferran beneficially owns 19,491 shares of Tylan Common Stock
which were acquired as a gift when Tylan General was founded.
Item 4. Purpose of Transaction.
Except as set forth in this Amendment, each of the Reporting Persons
has acquired their respective shares of Tylan Common Stock to hold for
investment. Leo E. Whitson resigned as the sole Trustee of the Trust for the
purpose of causing Don E. Whitson (named as successor trustee) to become sole
Trustee of the Trust with sole dispositive and sole voting power regarding the
Trust Shares. Depending upon market conditions and other factors, each person
reporting on this Amendment may, from time to time, either jointly or
individually, acquire additional shares of Tylan Common Stock or dispose of all
or any part of their respective holdings of Tylan Common Stock. See, however,
the third paragraph of this Item 4.
Except with respect to possible transactions contemplated by the
Indication of Interest (as defined in the third paragraph of this Item 4), 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 and to attempt to consummate the Indication of Interest or other similar
types of transactions.
On August 19, 1996, as a result of a decision by a Special Committee
of the Board of Directors of Tylan General (the "Special Committee") to explore
the possible sale of Tylan General, the Initial Group agreed to act in concert
to consider and investigate the possibility of making a proposal to acquire all
or a controlling interest in Tylan Common Stock, and to seek financing therefor
and consider other actions which would facilitate such a proposal with the
possible result of a change in control of Tylan General and the delisting of
Tylan Common Stock. Since the filing of Amendment No. 1, the Initial Group has
conducted preliminary discussions with other members of management of Tylan
General and other shareholders of Tylan General and has agreed with the new
Reporting Persons (except as otherwise described in Item 5 below) as of the
date of this Amendment No. 2, subject to termination at any time, to act as a
group in connection with the matters set forth in the immediately preceding
sentence. The new Reporting Persons are therefore being added to the Initial
Group as described in this Amendment No. 2. On October 4, 1996, the Special
Committee informed the Initial Group of the timing and procedures for
submitting a preliminary non-binding indication of interest for the acquisition
of Tylan General (an "Indication of Interest"). Pursuant to the procedures
adopted by the Special Committee, David J. Ferran and Don E. Whitson submitted
an Indication of Interest to the Special Committee on October 16, 1996. On the
date of this Amendment No. 2, the Initial Group and the new Reporting Persons
(except as otherwise described in Item 5 below) agreed, subject to termination
at any time, to act as a group with respect to the Indication of Interest and
with respect to the matters set forth in the first sentence of this paragraph.
The Indication of Interest is a confidential preliminary non-binding
indication of interest for the acquisition of Tylan General. The Indication of
Interest as initially submitted to Tylan General was
Page 30 of 41 Pages
<PAGE> 31
conditioned on the Special Committee amending the Shareholders Rights Plan to
exempt the Reporting Persons from the definition therein of an "Acquiring
Person." The Reporting Persons have been advised that the Shareholders Rights
Plan was so amended on the date of this Amendment No. 2. The Indication of
Interest contemplates a purchase for cash by the Reporting Persons, and perhaps
additional equity investors, of 100% of the shares of capital stock of Tylan
General, with a specific price to be determined after completion of due
diligence by the Reporting Persons and any other equity investors or lenders
who provide financing for such a transaction. In the event the Reporting
Persons decide to proceed with a transaction, they intend to negotiate and
execute a definitive purchase agreement subject to completion of necessary
financing on terms and conditions satisfactory to the Reporting Persons, to
further due diligence, and to the satisfaction of customary terms and
conditions. The Indication of Interest is specifically conditioned upon the
necessary financing being obtained on terms and conditions satisfactory to the
Reporting Persons, and the execution of a mutually agreeable definitive
purchase agreement.
In connection with any transaction, it is contemplated that some of
the Reporting Persons will make a substantial equity investment through
contributions of shares of Tylan Common Stock currently owned or available
through stock options. The Reporting Persons reserve the right to modify or
terminate the Indication of Interest at any time before a definitive purchase
agreement is executed.
Page 31 of 41 Pages
<PAGE> 32
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 *
Same 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) Includes 379,731 shares held of record by the Trust.
(2) Represents vested options to purchase 1,667 shares of Tylan Common
Stock.
Page 32 of 41 Pages
<PAGE> 33
(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 Item 4 above, KBMF was not named as a
participant and KBMF does not affirm that it is a member of any group as
described in this 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 is 2,497,658. Each of the Reporting Persons
declares that the filing of this Amendment shall not be construed as an
admission that he is, for purposes of Section 13(d) or 13(g) or 16 of the
Securities Act of 1933, as amended, the beneficial owner of all of the
securities covered by this Amendment. Each of the Reporting Persons disclaims
beneficial ownership of all of the shares of the Tylan Common Stock covered by
this Schedule 13D except for the shares indicated as being beneficially owned
by him in the table above.
(c) There have been no transactions in Tylan General Common Stock
effected by or for the Reporting Persons since the date of Amendment No. 1.
(d) Not applicable.
(e) Not applicable.
Item 6. Contracts, Arrangements, Understandings or Relationships With Respect
to Securities of the Issuer.
Except as set forth in this Amendment and except for past or future
communications and discussions among themselves regarding their investment in
shares of the Tylan Common Stock, there are no current contracts, arrangements,
understandings or legal relationships among the Reporting Persons or between
the Reporting Persons and any person with respect to the acquiring, holding,
voting or disposition of the Tylan Common Stock. Although the Reporting
Persons are under no obligation to do so, it is likely that they will continue
to act in concert with respect to their investments in Tylan General.
Pursuant to the Stock Settlement Agreement entered into as of July 1,
1996, by and between Don E. Whitson and Linda Sue Dunkel (the "Stock Settlement
Agreement"), Don E. Whitson has transferred to Linda Sue Dunkel 39,200 shares
of Tylan Common Stock.
KBMF is a party to a Registration Rights Agreement that it entered
into with Tylan General when it acquired Warrants in November 1992. Pursuant
to such agreement, whenever Tylan General proposes to register any of its
securities under the Securities Act of 1933, as amended (the "Securities Act"),
either for its own account or the account of other security holders, KBMF is
entitled, subject to certain conditions, to notice of such registration and to
include the Common Stock owned by it in such registration at the Company's
expense, provided that the underwriters of any offering have the right to limit
the number of shares included in such registration. In addition, KBMF may
request that Tylan General, on not more than two occasions, file a registration
statement under the Securities Act at Tylan General's expense to register
KBMF's shares, subject to certain conditions and limitations.
Page 33 of 41 Pages
<PAGE> 34
Item 7. Material to be Filed as Exhibits.
Exhibit A - Agreement Regarding Filing of Schedule 13D among the
parties to this Amendment
Exhibit B - Power of Attorney
SCHEDULE I
CERTAIN INFORMATION WITH RESPECT TO
THE DIRECTORS AND EXECUTIVE OFFICERS OF
KLEINWORT BENSON (GUERNSEY) LIMITED
AND THE MANAGING MEMBERS OF
EQUINOX INVESTMENT PARTNERS, L.L.C.
The following table sets forth the name, business address and present
principal occupation or employment of each director and executive officer of
Kleinwort Benson (Guernsey) Limited. Except as otherwise noted, the business
address of each person is Kleinwort Benson (Guernsey) Limited, P.O. Box 44,
Westbourne, The Grange, St. Peter Port, Guernsey, Channel Islands GY1 3BG, and
each such person is a citizen of the Channel Islands.
Name Present Principal Occupation or Employment Position
- ---- ---------------------------------------------------
D. Hinshaw Chief Executive and Director
B. Brehaut Managing Director and Director
D.W. Blanciiard Secretary
G.F.O. Alford (1) Chairman of the Board of Directors
P.J. Creed Director
J.J. Gilligan Director
R.C. Hendry Director
P.D. Hyde Director
G.N. Le Tissier Director
N.C. Robins Director
R.F. Robins Director
B.T. Vickers Director
- -------------------------
(1) Mr. Alford is a citizen of the United Kingdom
Page 34 of 41 Pages
<PAGE> 35
SCHEDULE I (continued)
The following table sets forth the name, business address and present
principal occupation or employment of each managing member of Equinox
Investment Partners, L.L.C. Except as otherwise noted, the business address of
each person is 405 Lexington Avenue, 21st Floor, New York, New York 10174, and
each such person is a citizen of the United States.
Name Present Principal Occupation or Employment Position
- ---- ---------------------------------------------------
M.H. Khougaz Managing Member
R.J. Wickey Managing Member
C.J. Merison Managing Member
J.C. Stearns Managing Member
M.E. Ochsner Managing Member
Page 35 of 41 Pages
<PAGE> 36
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.
October , 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 36 of 41 Pages
<PAGE> 37
/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 37 of 41 Pages
<PAGE> 38
INDEX TO EXHIBITS
Exhibit
Number Description
Exhibit 99.A - Agreement Regarding Filing of Schedule 13D Amendment among the
parties to this Amendment
Exhibit 99.B - Power of Attorney
Page 38 of 41 Pages
<PAGE> 1
EXHIBIT 99.A
AGREEMENT REGARDING FILING SCHEDULE 13D AMENDMENT
Each of the undersigned hereby agrees that the Schedule 13D Amendment
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 the other party, unless
he knows or has reason to believe that the information concerning any other
party is inaccurate.
Date: October , 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 39 of 41 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 40 of 41 Pages
<PAGE> 1
POWER OF ATTORNEY
KNOW ALL MEN BY THESE PRESENTS, THAT KLEINWORT BENSON (GUERNSEY) LIMITED (the
"Company") a company duly organized and existing under the laws of the Island
of Guernsey whose registered office is situated at Westbourne, The Grange, St.
Peter Port, Guernsey, hereby names and constitutes:
Christopher Wright
or
Michael H. Khougaz
to be its true and lawful attorney (the "Attorney") on its behalf and in its
name in its capacity as General Partner of The KB Mezzanine Fund, L.P. (the
"Fund") to sign the documents and consents relating to the restructuring of
Tylan General, Inc., including but not limited to the completion of SEC form
13D.
The Company hereby agrees to ratify all that its said Attorney shall lawfully
do or cause to be done by virtue hereof.
This Power of Attorney shall be valid for a period of sixty days from the date
hereof.
Dated this 25th Day of October 1996
The Common Seal of
KLEINWORT BENSON (GUERNSEY) LIMITED
was hereunto affixed in the presence of
/s/ David Hinshaw
- -------------------------------
David Hinshaw, Director
for Corporate Services (Guernsey) Limited
/s/ Peter Ridley
-----------------------------------------
Peter Ridley, Director and Secretary
Page 41 of 41 Pages
