Page 9 of 15 – SEC Filing
SCHEDULE 13D CUSIP No. 913915104 Page
9
of 15 Pages
1. Names of
reporting persons. I.R.S. Identification Nos. of above persons (entities only)
Christopher Shackelton
2. Check the appropriate box if a member
of a group (see instructions)
(a) ¨ (b) x
3. SEC use only
4. Source of funds (see instructions)
AF, PF
5. Check if disclosure of legal
proceedings is required pursuant to Items 2(d) or 2(e)
¨
6. Citizenship or place of
organization
United States
Number of
shares
beneficially
owned by
each
reporting
person
with
7. Sole voting power
41,475 (1)
8. Shared voting power
4,816,515 (2)
9. Sole dispositive power
41,475 (1)
10. Shared dispositive power
4,816,515 (2)
11. Aggregate amount beneficially owned by each reporting person
4,857,990 (1)(2)
12. Check if the aggregate amount in Row
(11) excludes certain shares (see instructions)
¨
13. Percent of class represented by amount
in Row (11)
19.0% (1)(2)
14. Type of reporting person (see
instructions)
IN
(1) Consists of Common Shares that are held directly by Christopher Shackelton, his spouse and trusts for the benefit of his descendants.
(2) Consists of (a) 3,601,724 Common Shares and (b) 1,214,791 Common Shares that could currently be obtained upon conversion of the Series A Preferred Stock or that could be voted pursuant to the as-converted
voting provisions of the Series A Preferred Stock. Does not include 19,806,230 Common Shares (or the voting equivalent thereof) subject to the Conversion Cap and the Voting Cap.
| SCHEDULE 13D | ||||
| CUSIP No. 913915104 | Page 9 of 15 Pages | |||
| 1. | Names of Christopher Shackelton | |||||
| 2. | Check the appropriate box if a member (a) ¨ (b) x | |||||
| 3. | SEC use only | |||||
| 4. | Source of funds (see instructions) AF, PF | |||||
| 5. | Check if disclosure of legal ¨ | |||||
| 6. | Citizenship or place of United States | |||||
| Number of shares beneficially owned by each reporting person with | 7. | Sole voting power 41,475 (1) | ||||
| 8. | Shared voting power 4,816,515 (2) | |||||
| 9. | Sole dispositive power 41,475 (1) | |||||
| 10. | Shared dispositive power 4,816,515 (2) | |||||
| 11. | Aggregate amount beneficially owned by each reporting person 4,857,990 (1)(2) | |||||
| 12. | Check if the aggregate amount in Row ¨ | |||||
| 13. | Percent of class represented by amount 19.0% (1)(2) | |||||
| 14. | Type of reporting person (see IN | |||||
| (1) | Consists of Common Shares that are held directly by Christopher Shackelton, his spouse and trusts for the benefit of his descendants. |
| (2) | Consists of (a) 3,601,724 Common Shares and (b) 1,214,791 Common Shares that could currently be obtained upon conversion of the Series A Preferred Stock or that could be voted pursuant to the as-converted voting provisions of the Series A Preferred Stock. Does not include 19,806,230 Common Shares (or the voting equivalent thereof) subject to the Conversion Cap and the Voting Cap. |
