-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, UpQbycQ6CavPFSR+uXEzVYS458xecfRcPUxu8W0Jv893gm7pGP+5nl6WNH6mJfzH BpoX9MCwcIkVGRqIXzviCw== 0000912057-00-006222.txt : 20000215 0000912057-00-006222.hdr.sgml : 20000215 ACCESSION NUMBER: 0000912057-00-006222 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000214 GROUP MEMBERS: JOHN S. OSTERWEIS GROUP MEMBERS: OSTERWEIS CAPITAL MANAGEMENT INC GROUP MEMBERS: OSTERWEIS CAPITAL MANAGEMENT, LLC SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: UNIVERSAL ELECTRONICS INC CENTRAL INDEX KEY: 0000101984 STANDARD INDUSTRIAL CLASSIFICATION: HOUSEHOLD AUDIO & VIDEO EQUIPMENT [3651] IRS NUMBER: 330204817 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-43065 FILM NUMBER: 539103 BUSINESS ADDRESS: STREET 1: 6101 GATEWAY DRIVE CITY: CYPRESS STATE: CA ZIP: 90630-4841 BUSINESS PHONE: 714-820-1000 MAIL ADDRESS: STREET 1: 1864 ENTERPRISE PKWY W CITY: TWINSBURG STATE: OH ZIP: 44087 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: OSTERWEIS CAPITAL MANAGEMENT INC CENTRAL INDEX KEY: 0001007524 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 942871718 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: ONE MARITIME PLAZA STREET 2: STE 2101 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 4154344441 MAIL ADDRESS: STREET 1: ONE MARITIME PLAZA STREET 2: STE 1201 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 SC 13G 1 SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. N/A )* ------ Universal Electronics Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common - -------------------------------------------------------------------------------- (Title of Class of Securities) 913483103 ---------------------------------- (CUSIP Number) 12/31/99 - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: /X/ Rule 13d-1(b) / / Rule 13d-1(c) / / Rule 13d-1(d) *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 the disclosures provided in a prior cover page. The information required in 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). CUSIP No. 913483103 --------- - ------------------------------------------------------------------------------- (1) Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). Osterweis Capital Management, LLC / 94-3268572 - ------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member (a) / / of a Group (See Instructions) (b) / / - ------------------------------------------------------------------------------- (3) SEC Use Only - ------------------------------------------------------------------------------- (4) Citizenship or Place of Organization California - ------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power Beneficially 139,610 Owned by -------------------------------------------------- Each Reporting (6) Shared Voting Power Person With: 0 -------------------------------------------------- (7) Sole Dispositive Power 144,110 -------------------------------------------------- (8) Shared Dispositive Power 0 - ------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 144,110 - ------------------------------------------------------------------------------- (10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) - ------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (11) 2.14% - ------------------------------------------------------------------------------- (12) Type of Reporting Person (See Instructions) IA - ------------------------------------------------------------------------------- CUSIP No. 913483103 --------- - ------------------------------------------------------------------------------- (1) Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). Osterweis Capital Management, Inc./ 94-2871718 - ------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member (a) / / of a Group (See Instructions) (b) / / - ------------------------------------------------------------------------------- (3) SEC Use Only - ------------------------------------------------------------------------------- (4) Citizenship or Place of Organization California - ------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power Beneficially 240,630 Owned by -------------------------------------------------- Each Reporting (6) Shared Voting Power Person With: 14,850 -------------------------------------------------- (7) Sole Dispositive Power 323,580 -------------------------------------------------- (8) Shared Dispositive Power 0 - ------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 323,580 - ------------------------------------------------------------------------------- (10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) - ------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (11) 4.81% - ------------------------------------------------------------------------------- (12) Type of Reporting Person (See Instructions) IA - ------------------------------------------------------------------------------- CUSIP No. 913483103 --------- - ------------------------------------------------------------------------------- (1) Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). John S. Osterweis - ------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member (a) / / of a Group (See Instructions) (b) / / - ------------------------------------------------------------------------------- (3) SEC Use Only - ------------------------------------------------------------------------------- (4) Citizenship or Place of Organization U.S.A. - ------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power Beneficially 380,240 Owned by -------------------------------------------------- Each Reporting (6) Shared Voting Power Person With: 14,850 -------------------------------------------------- (7) Sole Dispositive Power 467,690 -------------------------------------------------- (8) Shared Dispositive Power 0 - ------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 467,690 - ------------------------------------------------------------------------------- (10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) - ------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (11) 6.95% - ------------------------------------------------------------------------------- (12) Type of Reporting Person (See Instructions) IN - ------------------------------------------------------------------------------- ITEM 1. (a) Name of Issuer Universal Electronics Inc. --------------------------------------------------------------------- (b) Address of Issuer's Principal Executive Offices 6101 Gateway Drive, Cypress, CA 90630 --------------------------------------------------------------------- ITEM 2. (a) Name of Person Filing Osterweis Capital Management, Inc., Osterweis Capital Management LLC, John S. Osterweis --------------------------------------------------------------------- (b) Address of Principal Business Office or, if none, Residence 1 Maritime Plaza, Suite 800, SF CA 94111 --------------------------------------------------------------------- (c) Citizenship N/A --------------------------------------------------------------------- (d) Title of Class of Securities Common --------------------------------------------------------------------- (e) CUSIP Number 913483103 --------------------------------------------------------------------- ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO SECTIONS 240.13d-1(b) OR 240.13d-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS A: (a) / / Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o). (b) / / Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). (c) / / Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c). (d) / / Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8). (e) / / An investment adviser in accordance with section 240.13d-1(b)(1)(ii)(E). (f) / / An employee benefit plan or endowment fund in accordance with section 240.13d-1(b)(1)(ii)(F). (g) / / A parent holding company or control person in accordance with section 240.13d-1(b)(1)(ii)(G). (h) / / A savings association as defined in section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813). (i) / / A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3). (j) /X/ Group, in accordance with section 240.13d-1(b)(1)(ii)(J).* * This statement is filed by Osterweis Capital Management, Inc. and Osterweis Capital Management, LLC, Investment Advisors registered under the Investment Advisors Act of 1940, and their control person, John S. Osterweis. ITEM 4. OWNERSHIP Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount beneficially owned: 467,690 --------------------------------------------------------------------------- (b) Percent of class: 6.95% --------------------------------------------------------------------------- (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote 380,240 ----------------------------------------------------------------- (ii) Shared power to vote or to direct the vote 14,850 ----------------------------------------------------------------- (iii) Sole power to dispose or to direct the disposition of 467,690 ----------------------------------------------------------------- (iv) Shared power to dispose or to direct the disposition of 0 ----------------------------------------------------------------- ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following. / / ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP ITEM 9. NOTICE OF DISSOLUTION OF GROUP ITEM 10. CERTIFICATION (a) The following certification shall be included if the statement is filed pursuant to section 240.13d-1(b): By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. (b) The following certification shall be included if the statement is filed pursuant to section 240.13d-1(c): By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. 2/10/99 ---------------------------------------- Date /s/ John S. Osterweis ---------------------------------------- Signature John S. Osterweis, President, Osterweis Capital Management, Inc. ---------------------------------------- Name/Title 2/10/99 ---------------------------------------- Date /s/ John S. Osterweis ---------------------------------------- Signature John S. Osterweis, President, Osterweis Capital Management, LLC ---------------------------------------- Name/Title 2/10/99 ---------------------------------------- Date /s/ John S. Osterweis ---------------------------------------- Signature John S. Osterweis/Control Person ---------------------------------------- Name/Title JOINT FILING AGREEMENT PURSUANT TO RULE 13D-1(k)(1) This agreement is made pursuant to Rule 13d-1(k)(1) under the Securities and Exchange Act of 1934 (the "Act") by and among the parties listed below, each referred to herein as a "Joint Filer." The Joint Filers agree that a statement of beneficial ownership as required by Section 13(d) of the Act and the Rules thereunder may be filed on each of their behalf on Schedule 13D or Schedule 13G, as appropriate, and that said joint filing may therafter be amended by further joint filings. The Joint Filers state that they each satisfy the requirements for making a joint filing under Rule 13d-1. Dated: 2/10/99 /s/ John S. Osterweis ---------------------------------- John S. Osterweis President Osterweis Capital Management, Inc. /s/ John S. Osterweis ---------------------------------- John S. Osterweis President Osterweis Capital Management, Inc. /s/ John S. Osterweis ---------------------------------- John S. Osterweis Individually -----END PRIVACY-ENHANCED MESSAGE-----