-----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, OfSp5u64LYalrsaeiaSFziCpSuxSie4my4bvzQ5hu+1gfaSohRmIz69AQyOdPxOH LZdpT5BH/h6pimDHlrximQ== 0001106605-02-000062.txt : 20020416 0001106605-02-000062.hdr.sgml : 20020416 ACCESSION NUMBER: 0001106605-02-000062 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020331 FILED AS OF DATE: 20020411 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: UNITED AUTO GROUP INC CENTRAL INDEX KEY: 0001019849 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-AUTO DEALERS & GASOLINE STATIONS [5500] IRS NUMBER: 223086739 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12297 FILM NUMBER: 02607634 BUSINESS ADDRESS: STREET 1: 13400 OUTER DRIVE WEST CITY: DETROIT STATE: MI ZIP: 48239 BUSINESS PHONE: 3135927311 MAIL ADDRESS: STREET 1: 13400 OUTER DRIVE WEST CITY: DETROIT STATE: MI ZIP: 48239 COMPANY DATA: COMPANY CONFORMED NAME: JP MORGAN PARTNERS BHCA LP CENTRAL INDEX KEY: 0001106607 OWNER STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: J.P. MORGAN PARTNERS STREET 2: 1221 AVENUE OF THE AMERICAS 40TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10020 BUSINESS PHONE: 2128993400 MAIL ADDRESS: STREET 1: J.P. MORGAN PARTNERS STREET 2: 1221 AVENUE OF THE AMERICAS 40TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10020 FORMER COMPANY: FORMER CONFORMED NAME: CHASE EQUITY ASSOCIATES LLC DATE OF NAME CHANGE: 20000214 4 1 uag_bhcaform4033102.txt FORM 4 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 [_] Check box if no longer subject of Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). ________________________________________________________________________________ 1. Name and Address of Reporting Person* J.P. Morgan Partners (BHCA), L.P. - -------------------------------------------------------------------------------- (Last) (First) (Middle) c/o J.P. Morgan Partners, LLC 1221 Avenue of the Americas-40th Floor - -------------------------------------------------------------------------------- (Street) New York New York 10020 - -------------------------------------------------------------------------------- (City) (State) (Zip) ________________________________________________________________________________ 2. Issuer Name and Ticker or Trading Symbol United Auto Group, Inc. ("UAG") ________________________________________________________________________________ 3. IRS Identification Number of Reporting Person, if an Entity (Voluntary) ________________________________________________________________________________ 4. Statement for Month/Year March 2002 ________________________________________________________________________________ 5. If Amendment, Date of Original (Month/Year) ================================================================================ 6. Relationship of Reporting Person to Issuer (Check all applicable) [_] Director [X] 10% Owner [_] Officer (give title below) [_] Other (specify below) ________________________________________________________________________________ 7. Individual or Joint/Group Filing (Check applicable line) [_] Form filed by one Reporting Person [X] Form filed by more than one Reporting Person ________________________________________________________________________________ ================================================================================ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ================================================================================
6. 4. 5. Owner- Securities Acquired (A) or Amount of ship 3. Disposed of (D) Securities Form: 7. Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of 2. Code ------------------------------- Owned at End (D) or Indirect 1. Transaction (Instr. 8) (A) of Month Indirect Beneficial Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership (Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ Voting Common Stock 3/18/02 C (FN 1) 1,213,068 A $20.90 4,451,034 I By (FN 2) Internat- ional Motor Cars Group I, L.L.C. - ------------------------------------------------------------------------------------------------------------------------------------ Voting Common Stock 3/18/02 J (FN 3) 17,084 A $20.90 4,451,034 I By (FN 2) Internat- ional Motor Cars Group I, L.L.C. - ------------------------------------------------------------------------------------------------------------------------------------ Voting Common Stock 3/25/02 C (FN 4) 114,146 A $20.90 4,451,034 I By (FN 2) Internat- ional Motor Cars Group I, L.L.C. - ------------------------------------------------------------------------------------------------------------------------------------ Voting Common Stock 3/25/02 J (FN 3) 1,752 A $20.90 4,451,034 I By (FN 2) Internat- ional Motor Cars Group I, L.L.C. - ------------------------------------------------------------------------------------------------------------------------------------ Voting Common Stock 3/18/02 S 1,230,152 D $20.90 4,451,034 I By (FN 2) Internat- ional Motor Cars Group I, L.L.C. - ------------------------------------------------------------------------------------------------------------------------------------ Voting Common Stock 3/25/02 S 115,898 D $20.90 4,451,034 I By (FN 2) Internat- ional Motor Cars Group I, L.L.C. - ------------------------------------------------------------------------------------------------------------------------------------ Voting Common Stock N/A N/A N/A N/A N/A 962,027 I By (FN 5) Internat- ional Motor Cars Group I, L.L.C. - ------------------------------------------------------------------------------------------------------------------------------------ Non-Voting Common Stock N/A N/A N/A N/A N/A 1,095,052 I By (FN 6) Internat- ional Motor Cars Group II, L.L.C. - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
* If the Form is filed by more than one Reporting Person, see Instruction 4(b)(v). Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Print or Type Responses) (Over) (Form 4-07/99) FORM 4 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
10. 9. Owner- Number ship of Form 2. Deriv- of Conver- 5. 7. ative Deriv- 11. sion Number of Title and Amount Secur- ative Nature or Derivative 6. of Underlying 8. ities Secur- of Exer- 4. Securities Date Securities Price Bene- ity: In- cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene- 1. of action Code of(D) (Month/Day/Year) Amount ative at End In- ficial Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of direct Owner- Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity Month (I) ship Security Secur- Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Series A Convertible Preferred 1:1,000 3/18/02 C 1,213.068 Immed N/A Voting 1,213,068 N/A 334.827 I By Stock Common Intern- Stock ational Motor Cars I, L.L.C - ------------------------------------------------------------------------------------------------------------------------------------ Series A Convertible Voting Preferred J Common Stock 1:1,000 3/18/02 (FN 7) 133.655 Immed N/A Stock 133,655 N/A 334.827 I By Intern- ational Motor Cars I, L.L.C - ------------------------------------------------------------------------------------------------------------------------------------ Series A Convertible 1:1,000 3/25/02 C 114.1462 Immed N/A Voting 114,146 N/A 334.827 I By Preferred Common Intern- Stock Stock ational Motor Cars I, L.L.C - ------------------------------------------------------------------------------------------------------------------------------------ Series A Convertible 1:1,000 3/25/02 J 13.293 Immed N/A Voting 13,293 N/A 334.827 I By Preferred (FN 7) Common Intern- Stock Stock ational Motor Cars I, L.L.C - ------------------------------------------------------------------------------------------------------------------------------------ Series A Convertible Voting By Preferred Common Interna- Stock 1:1,000 N/A N/A N/A N/A N/A Stock 1,417,027 N/A 1,417,027 I ational Motor Cars II, L.L.C. - ------------------------------------------------------------------------------------------------------------------------------------ Series B Convertible Voting By Preferred Common Interna- Stock 1:1,000 N/A N/A N/A N/A N/A Stock 642,101 N/A 642,101 I ational Motor Cars II, L.L.C. - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Explanation of Responses: (1) The amount shown represents the conversion of ries A Convertible Preferred Stock pursuant to the recent underwritten combined primary and secondary public offering of common stock of the Issuer. (2) The amount shown in column 5 of Table I represents the number of shares of the Issuer's equity securities on an as converted basis attributable as of March 31, 2002 to the reporting person's membership interests in International Motor Cars Group I, L.L.C. ("IMCG I") and International Motor Cars Group II, L.L.C. ("IMCG II") after giving effect to (a) the conversion of 1,213.068 shares of Series A Convertible Preferred Stock of the Issuer into 1,230,152 shares of the common stock of the Issuer, (b) the sale of 1,230,152 shares of common stock of the Issuer in the recent underwritten combined primary and secondary public offering of common stock of the Issuer, (c) the allocation of 133.655 shares of Series A Convertible Preferred Stock of the Issuer (which were convertible into 135,538 shares of common stock of the Issuer as of March 18, 2002) to the carry account of the managing member of IMCG I, (d) the conversion of 114.1462 shares of Series A Convertible Preferred Stock of the Issuer into 115,898 shares of common stock of the Issuer, (e) the sale of 115,898 shares of common stock pursuant to the recent exercise by the underwriters of their over-allotment right, (f) the allocation of 13.293 shares of Series A Convertible Preferred Stock of the Issuer (which were convertible into 13,497 shares of common stock of the Issuer as of March 25, 2002) to the carry account of the managing member of IMCG I, and (g) the issuance of 20,922 shares of common stock of the Issuer upon conversion of the Series A Convertible Preferred Stock of the Issuer in lieu of accrued cash dividends payable on such converted shares of the Series A Convertible Preferred Stock of the Issuer. Pursuant to the respective operating agreements of each of IMCG I and IMCG II, the number of shares of equity securities of the Issuer attributable to the reporting person's membership interests in IMCG I and IMCG II is reduced at the time of each distribution made by IMCG I or IMCG II to the reporting person by the number of shares actually distributed to the reporting person and by the number of shares attributable to the carry account of the managing member of IMCG I or IMCG II, as the case may be, pursuant to the respective operating agreements of each of IMCG I and IMCG II. The reporting person is a non-managing member of each of IMCG I and IMCG II. The actual number of shares of the Issuer's equity securities beneficially owned by the reporting person is not determinable because the number of shares attributable to the carry account of the managing member is subject to several variables, including the fair market value of the Issuer's equity securities at the time of distribution to the reporting person. Moreover, the number of shares of the Issuer's equity securities beneficially owned by the reporting person includes dividends accrued on the Series A Convertible Preferred Stock and Series B Convertible Preferred Stock issuable at the time of conversion of such preferred stock of the Issuer into common stock of the Issuer. Accordingly, the reporting person disclaims beneficial ownership of the Issuer's securities shown in Table I except to the extent of its pecuniary interest therein. (3) The amount shown represents shares of common stock of the Issuer issued in lieu of accrued dividends on converted shares of Series A Convertible Preferred Stock owned by IMCG I, and as such, is exempt from Section 16 of the Securities Exchange Act of 1934 pursuant to Rule 16a-9(a). (4) The amount shown represents the conversion of Series A Convertible Preferred Stock after the initial public offering of the Issuer in order to satisfy the underwriters' exercise of their over-allotment option. (5) The amount shown represents shares of voting common stock of the Issuer owned by IMCG I; such shares are included in the calculation of the 4,451,034 shares of equity securities of the Issuer reported as beneficially owned by the reporting person as of the end of the month. (6) The amount shown represents shares of non-voting common stock of the Issuer owned by IMCG II; such shares are included in the calculation of the 4,451,034 shares of equity securities reported as beneficially owned by the reporting person as of the end of the month. (7) The amounts shown in column 5 of Table II, as applicable, represent the (a) allocation of 133.655 shares of Series A Convertible Preferred Stock of the Issuer (which were convertible into 135,538 shares of common stock of the Issuer as of March 18, 2002) by the reporting person to the carry account of the managing member of IMCG I, or (b) allocation of 13.293 shares of Series A Convertible Preferred Stock of the Issuer (which were convertible into 13,497 shares of common stock of the Issuer as of March 25, 2002) by the reporting person to the carry account of the managing member of IMCG I. Pursuant to the respective operating agreements of each of IMCG I and IMCG II, the number of shares of equity securities of the Issuer attributable to the reporting person's membership interests in IMCG I and IMCG II is reduced at the time of each distribution made by IMCG I or IMCG II to the reporting person by the number of shares actually distributed to the reporting person and by the number of shares attributable to the carry account of the managing member of IMCG I or IMCG II, as the case may be, pursuant to the respective operating agreements of each of IMCG I and IMCG II. The reporting person is a non-managing member of each of IMCG I and IMCG II. The actual number of shares of the Issuer's equity securities beneficially owned by the reporting person is not determinable because the number of shares attributable to the carry account of the managing member is subject to several variables, including the fair market value of the Issuer's equity securities at the time of distribution to the reporting person. Moreover, the number of shares of the Issuer's equity securities beneficially owned by the reporting person includes dividends accrued on the Series A Convertible Preferred Stock and Series B Convertible Preferred Stock issuable at the time of conversion of such preferred stock of the Issuer into common stock of the Issuer. Accordingly, the reporting person disclaims beneficial ownership of the Issuer's securities shown in Table II except to the extent of its pecuniary interest therein. J.P. Morgan Partners (BHCA), L.P. By: JPMP Master Fund Manager, L.P., its General Partner By: JPMP Capital Corp., its General Partner /s/ Donald J Hofmann, Jr. 4/10/02 By: ----------------------------------------- -------------------- Donald J. Hoffman, Jr. Date ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. NAME AND ADDRESS OF DESIGNATED STATEMENT ISSUER NAME, TICKER REPORTING PERSON REPORTER (Note 1) FOR OR TRADING SYMBOL MONTH/YEAR - ------------------------------------------------------------------------------------------------------------------------------------ JPMP Master Fund Manager, L.P. J.P. Morgan Partners March 2002 United Auto Group, Inc. ("UAG") c/o J.P. Morgan Partners, LLC (BHCA), LP 1221 Avenue of the Americas 40th Floor New York, NY 10020 - ------------------------------------------------------------------------------------------------------------------------------------ JPMP Capital Corporation J.P. Morgan Partners March 2002 United Auto Group, Inc. ("UAG") c/o J.P. Morgan Partners, LLC (BHCA), LP 1221 Avenue of the Americas 40th Floor New York, NY 10020 - ------------------------------------------------------------------------------------------------------------------------------------ J.P. Morgan Chase & Co. J.P. Morgan Partners March 2002 United Auto Group, Inc. ("UAG") 270 Park Avenue (BHCA), LP 35th Floor New York, NY 10017 - ------------------------------------------------------------------------------------------------------------------------------------
- ----------------------------------------------------------------------------------------------------------------------------------- TITLE OF DERIVATIVE SECURITIES AND TITLE AND AMOUNTS OF SECURITIES NAME AND ADDRESS OF TITLE OF AMOUNT OF UNDERLYING OWNERSHIP FORM: NATURE OF INDIRECT DISCLAIMS REPORTING PERSON SECURITY SECURITIES DERIVATIVE DIRECT (D) OR BENEFICIAL OWNERSHIP PECUNIARY BENEFICIALLY SECURITIES INDIRECT (I) INTEREST OWNED (Note 1) ---------------------------------------------------------------------------------------------------------------------------------- JPMP Master Fund Manager, L.P. See Table I See Table I See Table II I See Explanatory See c/o J.P. Morgan Partners, LLC Note 2 below Explanatory 1221 Avenue of the Americas Note 1 below 40th Floor New York, NY 10020 - ------------------------------------------------------------------------------------------------------------------------------------ JPMP Capital Corporation See Table I See Table I See Table II I See Explanatory See c/o J.P. Morgan Partners, LLC Note 3 below Explanatory 1221 Avenue of the Americas Note 1 below 40th Floor New York, NY 10020 - ------------------------------------------------------------------------------------------------------------------------------------ J.P. Morgan Chase & Co. See Table II See Table I See Table II I See Explanatory See 270 Park Avenue Note 4 below Explanatory 35th Floor Note 1 below New York, NY 10017 - ------------------------------------------------------------------------------------------------------------------------------------
(1) The Designated Reporter is executing this report on behalf of all Reporting Persons, each of whom has authorized it to do so. Each of such Persons disclaims beneficial ownership of the securities to the extent it exceeds such Person's pecuniary interest therein. (2) The amounts shown in Table II represent the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners (BHCA), L.P. ("JPM BHCA"). A portion of the securities may be deemed attributable to the Reporting Person because the Reporting Person is the general partner of JPM BHCA. The actual pro rata portion of such beneficial ownership that may be deemed to be attributable to the Reporting Person is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within JPM BHCA. (3) The amounts shown in Table II represent the beneficial ownership of the Issuer's equity securities by JPM BHCA, a portion of which may be deemed attributable to the Reporting Person because the Reporting Person is the sole stockholder of JPMP Master Fund Manager ("MF Manager") the general partner of JPM BHCA. The actual pro rata portion of such beneficial ownership that may be deemed attributable to the Reporting Person is not readily determinable because it is subject to several variables, including the internal rate of return and vesting within JPM BHCA and MF Manager. (4) The amounts shown in Table II represent beneficial ownership of the Issuer's equity securities by JPM BHCA, a portion of which may be deemed attributable to the Reporting Person because it is the sole stockholder of (a) JPMP Capital Corporation, the general partner of MF Manager and (b) Chatham Ventures, Incorporated, the limited partner of JPM BHCA. The actual pro rata portion of such beneficial ownership that may be attributable to the Reporting Person is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within JPM BHCA and MF Manager. -----END PRIVACY-ENHANCED MESSAGE-----