SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 1)*
Union Pacific Corporation
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(Name of Issuer)
Common Stock, $2.50 par value
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(Title of Class of Securities)
907818108
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(CUSIP Number)
Cannon Y. Harvey Thomas A. Richardson, Esq.
The Anschutz Corporation Holme Roberts & Owen LLP
555 Seventeenth Street, Suite 2400 1700 Lincoln Street, Suite 4100
Denver, CO 80202 Denver, CO 80203
(303) 298-1000 (303) 861-7000
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(Name, Address and Telephone Number of Person Authorized
to Receive Notices and Communications)
September 1998
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(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report
the acquisition that is the subject of this Schedule 13D, and is filing this
schedule because of ss.ss. 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the
following box. / /
Note: Schedules filed in paper format shall include a signed original and five
copies of the schedule, including all exhibits. See ss. 240.13d-7 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).
CUSIP Number: 907818108
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
The Anschutz Corporation
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [X]
(b) [ ]
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3 SEC USE ONLY
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4 SOURCE OF FUNDS
N/A
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5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS
REQUIRED PURSUANT TO ITEM 2(d) or 2(e) [ ]
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6 CITIZENSHIP OR PLACE OF ORGANIZATION
Kansas
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NUMBER OF 7 SOLE VOTING POWER
SHARES 0
BENEFICIALLY ------------------------------------
OWNED BY 8 SHARED VOTING POWER
EACH REPORT- 12,495,274
ING PERSON ------------------------------------
WITH 9 SOLE DISPOSITIVE POWER
0
------------------------------------
10 SHARED DISPOSITIVE POWER
12,495,274
------------------------------------
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11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
12,495,274
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12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11)
EXCLUDES CERTAIN SHARES [ ]
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13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
5.05%
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14 TYPE OF REPORTING PERSON
CO
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2
CUSIP Number: 907818108
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Anschutz Company
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [X]
(b) [ ]
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3 SEC USE ONLY
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4 SOURCE OF FUNDS
N/A
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5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS
REQUIRED PURSUANT TO ITEM 2(d) or 2(e) [ ]
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6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
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NUMBER OF 7 SOLE VOTING POWER
SHARES 0
BENEFICIALLY ------------------------------------
OWNED BY 8 SHARED VOTING POWER
EACH REPORT- 12,495,274
ING PERSON ------------------------------------
WITH 9 SOLE DISPOSITIVE POWER
0
------------------------------------
10 SHARED DISPOSITIVE POWER
12,495,274
------------------------------------
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11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
12,495,274
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11)
EXCLUDES CERTAIN SHARES [ ]
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
5.05%
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14 TYPE OF REPORTING PERSON
CO
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3
CUSIP Number: 907818108
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Philip F. Anschutz
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [X]
(b) [ ]
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3 SEC USE ONLY
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4 SOURCE OF FUNDS
N/A
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5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS
REQUIRED PURSUANT TO ITEM 2(d) or 2(e) [ ]
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6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States of America
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NUMBER OF 7 SOLE VOTING POWER
SHARES 1,785
BENEFICIALLY ----------------------------------
OWNED BY 8 SHARED VOTING POWER
EACH REPORT- 12,495,274
ING PERSON ----------------------------------
WITH 9 SOLE DISPOSITIVE POWER
1,785
----------------------------------
10 SHARED DISPOSITIVE POWER
12,495,274
----------------------------------
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11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
12,497,059
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12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11)
EXCLUDES CERTAIN SHARES [ ]
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13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
5.05%
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14 TYPE OF REPORTING PERSON
IN
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This Amendment No. 1 to the Schedule 13D filed on September 19, 1996, by The
Anschutz Corporation ("TAC"), Anschutz Company ("AC") and Philip F. Anschutz
("Anschutz"), relates to shares of Common Stock, $2.50 par value per share, of
Union Pacific Corporation (the "Company") ("Common Stock") and amends Items 2,
4, and 5 of the Schedule 13D. Unless otherwise indicated, all capitalized terms
used but not defined herein shall have the same meaning as set forth in the
Schedule 13D.
ITEM 2. IDENTITY AND BACKGROUND
The information previously furnished in response to this Item is amended to read
as follows:
This statement is filed on behalf of The Anschutz Corporation ("TAC"), a Kansas
corporation, Anschutz Company ("AC"), a Delaware corporation, and Philip F.
Anschutz ("Anschutz"). Anschutz owns 100% of the outstanding common stock of AC,
and AC owns 100% of the outstanding common stock of TAC. Anschutz may be deemed
to control AC and TAC.
TAC, AC, and their affiliated companies are principally engaged in exploration
and development of natural resources, real estate development,
telecommunications, and professional sports.
The name, business or residence address, and present principal occupation or
employment, and the name, principal business, and address of any corporation or
other organization in which such employment is conducted, of TAC, AC, Anschutz,
and each executive officer and director of TAC and AC are set forth below. Each
individual listed below is a citizen of the United States of America.
Filing Persons and
Executive Officers
and Directors of Present Principal Occupation or Business or Residence
TAC and AC Employment Address
- --------------------- ---------------------------------- -----------------------
TAC N/A 555 Seventeenth Street
Suite 2400
Denver, CO 80202
AC N/A 555 Seventeenth Street
Suite 2400
Denver, CO 80202
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Filing Persons and
Anschutz TAC: Chairman, Chief Executive 555 Seventeenth Street
Officer, and Director Suite 2400
AC: Chairman, Chief Executive Officer, Denver, CO 80202
and Director
Harvey, Cannon Y. TAC: President, Chief Operating 555 Seventeenth Street
Officer, and Director Suite 2400
AC: President, Chief Operating Officer, Denver, CO 80202
and Director
Kundert, Thomas G. TAC: Treasurer and Assistant Secretary 555 Seventeenth Street
AC: Treasurer and Assistant Secretary Suite 2400
Denver, CO 80202
Polson, Douglas L. TAC: Vice President, Assistant 555 Seventeenth Street
Secretary, and Director Suite 2400
AC: Vice President, Assistant Secretary, Denver, CO 80202
and Director
Williams, Miles A. TAC: Executive Vice President and 555 Seventeenth Street
Director Suite 2400
AC: Executive Vice President and Denver, CO 80202
Director
Wood, Lynn T. TAC: Secretary 555 Seventeenth Street
AC: Secretary Suite 2400
Denver, CO 80202
During the past five years, none of TAC, AC, Anschutz, or any executive officer
or director of TAC and AC has been convicted in a criminal proceeding (excluding
traffic violations or similar misdemeanors), or had 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.
ITEM 4. PURPOSE OF TRANSACTION
The information previously furnished in response to this Item is amended to add
the following:
On September 26, 1996, Anschutz acquired 1,200 shares of Common Stock and, on
October 15, 1996, Anschutz acquired an additional 585 shares of Common Stock, as
grants
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under a stock plan for non-employee directors of the Company. The purpose of the
transactions was for Anschutz to acquire additional securities of the Company
and for the Company to compensate Anschutz for his services to the Company as a
director.
On May 27, 1997, TAC gifted 384,000 shares of Common Stock to a charitable
organization. The purpose of this transaction was to support the charitable
organization.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER
The information previously furnished in response to this Item is amended to read
as follows:
As of the date hereof, TAC may be deemed to be the direct beneficial owner and
Anschutz and AC may be deemed to be indirect beneficial owners of 12,495,274
shares of Common Stock. Anschutz may be deemed to be the direct beneficial owner
of 1,785 shares of Common Stock.
Based upon the number of shares of Common Stock that were issued and outstanding
on January 22, 1999, the 12,497,059 shares of Common Stock owned in the
aggregate by Anschutz, AC, and TAC are equal to approximately 5.05% of the
number of shares of Common Stock then outstanding.
Anschutz has sole power to vote or direct the vote and sole power to dispose or
direct the disposition of 1,785 shares of Common Stock. Anschutz, AC, and TAC
have shared power to vote or direct the vote and shared power to dispose or
direct the disposition of 12,495,274 shares of Common Stock.
Since September 1998, Anschutz has not had, directly or indirectly, sole or
shared voting or investment power related to any shares of Common Stock owned by
Anschutz Foundation.
All transactions in Common Stock effected by Anschutz, AC, and TAC since the
filing of the Schedule 13D are described in Item 4 above.
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Signature
After reasonable inquiry and to the best of my knowledge and belief, I certify
that the information set forth in this statement is true, complete and correct.
THE ANSCHUTZ CORPORATION
By: Philip F. Anschutz
Chairman
By: /s/ THOMAS A. RICHARDSON March 3, 1999
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Thomas A. Richardson** Date
Attorney-in-fact
** Philip F. Anschutz executed a power of attorney that authorizes Thomas A.
Richardson to sign this Amendment No. 1 to the Schedule 13D on his behalf as an
individual and on his behalf as Chairman of Anschutz Company and The Anschutz
Corporation. A copy of the power of attorney was previously filed with the
Securities and Exchange Commission as an Exhibit to a Form 4 filed on November
9, 1998, and is hereby incorporated by reference into this Amendment No. 1 to
the Schedule 13D.
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Signature
After reasonable inquiry and to the best of my knowledge and belief, I certify
that the information set forth in this statement is true, complete and correct.
ANSCHUTZ COMPANY
By: Philip F. Anschutz
Chairman
By: /s/ THOMAS A. RICHARDSON March 3, 1999
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Thomas A. Richardson** Date
Attorney-in-fact
** Philip F. Anschutz executed a power of attorney that authorizes Thomas A.
Richardson to sign this Amendment No. 1 to the Schedule 13D on his behalf as an
individual and on his behalf as Chairman of Anschutz Company and The Anschutz
Corporation. A copy of the power of attorney was previously filed with the
Securities and Exchange Commission as an Exhibit to a Form 4 filed on November
9, 1998, and is hereby incorporated by reference into this Amendment No. 1 to
the Schedule 13D.
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Signature
After reasonable inquiry and to the best of my knowledge and belief, I certify
that the information set forth in this statement is true, complete and correct.
PHILIP F. ANSCHUTZ
By: /s/ THOMAS A. RICHARDSON March 3, 1999
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Thomas A. Richardson** Date
Attorney-in-fact
** Philip F. Anschutz executed a power of attorney that authorizes Thomas A.
Richardson to sign this Amendment No. 1 to the Schedule 13D on his behalf as an
individual and on his behalf as Chairman of Anschutz Company and The Anschutz
Corporation. A copy of the power of attorney was previously filed with the
Securities and Exchange Commission as an Exhibit to a Form 4 filed on November
9, 1998, and is hereby incorporated by reference into this Amendment No. 1 to
the Schedule 13D.
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