-----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, QUF26DZmwihf9eIVMIRgafuLLkdxJBlmhIq2Tsw0RKWbYMmrCRYIvHVA5xw62R7o QGXwKhmi7KopuzwPUcNf7Q== 0000950134-96-005693.txt : 19961030 0000950134-96-005693.hdr.sgml : 19961030 ACCESSION NUMBER: 0000950134-96-005693 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 3 FILED AS OF DATE: 19961029 SROS: NONE GROUP MEMBERS: DAVID FERRAN GROUP MEMBERS: LEO E. WHITSON GROUP MEMBERS: WHITSON DON E SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: TYLAN GENERAL INC CENTRAL INDEX KEY: 0000894776 STANDARD INDUSTRIAL CLASSIFICATION: INDUSTRIAL INSTRUMENTS FOR MEASUREMENT, DISPLAY, AND CONTROL [3823] IRS NUMBER: 042659273 STATE OF INCORPORATION: DE FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-44727 FILM NUMBER: 96649685 BUSINESS ADDRESS: STREET 1: 15330 AVENUE OF SCIENCE STREET 2: SUITE 200 CITY: SAN DIEGO STATE: CA ZIP: 92128 BUSINESS PHONE: 6195711222 MAIL ADDRESS: STREET 1: 15330 AVENUE OF SCIENCE STREET 2: SUITE 200 CITY: SAN DIEGO STATE: CA ZIP: 92128 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: WHITSON DON E CENTRAL INDEX KEY: 0001018703 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: PO BOX 860709 CITY: PLANO STATE: TX ZIP: 75086-0709 BUSINESS PHONE: 2144612400 MAIL ADDRESS: STREET 1: PO BOX 860709 CITY: PLANO STATE: TX ZIP: 75086-0709 SC 13D/A 1 AMENDMENT NO. 2 TO SCHEDULE 13D 1 ----------------------------- OMB APPROVAL ----------------------------- OMB Number: 3235-0145 Expires: October 31, 1997 Estimated average burden hours per response . . 14.90 ----------------------------- 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). 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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 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 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 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.
Name Number of Aggregate - ---- --------- --------- Shares Consideration ------ ------------- 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)
- -------------------------- (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 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 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 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 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):
Number of Voting Dispositive % Name Shares Power Power Ownership ---------- --------- ------- ----------- --------- 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 *
- ---------------------- * 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 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 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 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 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 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 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 EX-99.A 2 AGREEMENT REGARDING FILING SCHEDULE 13D AMENDMENT 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 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 EX-99.B 3 POWER OF ATTORNEY 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 -----END PRIVACY-ENHANCED MESSAGE-----