Check the appropriate box to
designate the rule pursuant to which this Schedule is filed:
* The remainder of this cover
page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities,
and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
The information required 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).
SCHEDULE 13G
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1.
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NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
William Roth, as Trustee of the William and Amy Roth Living
Trust, dated 4/29/97
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2.
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(see instructions)
(a) ¨
(b) ¨
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3.
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SEC USE ONLY
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4.
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CITIZENSHIP OR PLACE OF ORGANIZATION
United States
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
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5.
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SOLE VOTING POWER
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6.
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SHARED VOTING POWER
264,261
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7.
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SOLE DISPOSITIVE POWER
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8.
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SHARED DISPOSITIVE POWER
264,261
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9.
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
264,261
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10.
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CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
(see instructions) ¨
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11.
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
4.98%*
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12.
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TYPE OF REPORTING PERSON (see instructions)
IN
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* Percentage ownership
is based on 5,305,742 shares of Common Stock issued and outstanding as of May 15, 2020, as reported in the Issuer’s
Form 10-Q for the fiscal quarter ended March 31, 2020.
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1.
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NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Amy Roth, as Trustee of the William and Amy Roth Living Trust,
dated 4/29/97
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2.
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(see instructions)
(a) ¨
(b) ¨
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3.
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SEC USE ONLY
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4.
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CITIZENSHIP OR PLACE OF ORGANIZATION
United States
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
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5.
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SOLE VOTING POWER
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6.
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SHARED VOTING POWER
264,261
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7.
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SOLE DISPOSITIVE POWER
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8.
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SHARED DISPOSITIVE POWER
264,261
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9.
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
264,261
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10.
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CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
(see instructions) ¨
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11.
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
4.98%*
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12.
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TYPE OF REPORTING PERSON (see instructions)
IN
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* Percentage ownership
is based on 5,305,742 shares of Common Stock issued and outstanding as of May 15, 2020, as reported in the Issuer’s
Form 10-Q for the fiscal quarter ended March 31, 2020.
Item 1.
(a) Name
of Issuer: Unico American Corporation
(b) 26050
Mureau Road
Calabasas, California
91302
Item 2.
(a) Name
of Person Filing:
William
Roth, as Trustee of the William and Amy Roth Living Trust, dated 4/29/97
Amy Roth, as Trustee of the William and Amy Roth
Living Trust, dated 4/29/97
(b) Address
of Principal Business Office or, if none, Residence:
216 Narcissus Ave.
Corona del Mar, CA 92625
(c) Citizenship:
William Roth, as
Trustee of the William and Amy Roth Living Trust, dated 4/29/97 – United States
Amy Roth, as
Trustee of the William and Amy Roth Living Trust, dated 4/29/97 – United States
(d) Title
of Class of Securities: Common Stock
(e) CUSIP
Number: 904607108
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Item 3.
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If this statement is filed pursuant to §§240.13d-1(b)
or 240.13d-2(b) or (c), check whether the person filing is a:
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(a)
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¨ Broker
or dealer registered under section 15 of the Act (15 U.S. C. 78o).
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(b)
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¨ Bank
as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
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(c)
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¨ Insurance
Company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).
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(d)
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¨ Investment
company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).
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(e)
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¨ An
investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);
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(f)
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¨ An
employee benefit plan or endowment fund in accordance with §240.1d-1(b)(1)(ii)(F);
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(g)
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¨ A
parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G);
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(h)
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¨ A
savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
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(i)
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¨ A
church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act
of 1940 (15 U.S.C. 80a-3);
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(j)
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¨ Group,
in accordance with §240.13d-1(b)(1)(ii)(J).
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Provide the following
information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.
(a) Amount
beneficially owned:
William
Roth, as Trustee of the William and Amy Roth Living Trust, dated 4/29/97 – 264,261 shares
Amy
Roth, as Trustee of the William and Amy Roth Living Trust, dated 4/29/97 – 264,261 shares
(b) Percent
of class: 4.98%*.
(c) Number
of shares as to which such person has:
(i) Sole
power to vote or to direct the vote
William Roth, as Trustee of the
William and Amy Roth Living Trust, dated 4/29/97 – 0 shares
Amy Roth, as Trustee of
the William and Amy Roth Living Trust, dated 4/29/97 – 0 shares
(ii) Shared
power to vote or to direct the vote
William
Roth, as Trustee of the William and Amy Roth Living Trust, dated 4/29/97 – 264,261 shares
Amy
Roth, as Trustee of the William and Amy Roth Living Trust, dated 4/29/97 – 264,261 shares
(iii) Sole
power to dispose or to direct the disposition of
William Roth, as Trustee of the
William and Amy Roth Living Trust, dated 4/29/97 – 0 shares
Amy Roth, as Trustee
of the William and Amy Roth Living Trust, dated 4/29/97 – 0 shares
(iv) Shared
power to dispose or to direct the disposition of
William
Roth, as Trustee of the William and Amy Roth Living Trust, dated 4/29/97 – 264,261 shares
Amy
Roth, as Trustee of the William and Amy Roth Living Trust, dated 4/29/97 – 264,261 shares
*
Percentage ownership is based on 5,305,742 shares of Common Stock issued and outstanding as of May 15, 2020, as reported in
the Issuer’s Form 10-Q for the fiscal quarter ended March 31, 2020. Each of the Reporting Persons disclaims
beneficial ownership of the shares reported herein except to the extent of its, his, or her pecuniary interest
therein.
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Item 5.
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Ownership of Five Percent or Less of a Class.
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If
this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial
owner of more than five percent of the class of securities, check the following [X].
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Item 6.
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Ownership of More than Five Percent on Behalf of Another Person.
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Not applicable.
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Item 7.
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Identification and Classification of the Subsidiary Which Acquired the Security Being Reported
on by the Parent Holding Company.
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Not applicable.
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Item 8.
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Identification and Classification of Members of the Group.
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Not applicable.
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Item 9.
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Notice of Dissolution of Group.
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Not applicable.
By signing below I
certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the
purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and
are not held in connection with or as a participant in any transaction having that purpose or effect.
SIGNATURE
After reasonable inquiry
and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
July 8, 2020
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By:
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/s/ William Roth
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William Roth, as trustee of the William and
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Amy Roth Living Trust, dated 4/29/97
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By:
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/s/ Amy Roth
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Amy Roth, as trustee of the William and Amy
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Roth Living Trust, dated 4/29/97
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Exhibit 99.1
JOINT FILING AGREEMENT
This Joint Filing
Agreement, dated as of September 19, 2019, is by and between William and Amy Roth Living Trust, dated 4/29/97, William Roth,
and Amy Roth (collectively, the “Filers”).
Each of the Filers
may be required to file with the United States Securities and Exchange Commission a statement on Schedule 13D and/or 13G with respect
to shares of Common Stock of Unico American Corporation beneficially owned by them from time to time.
Pursuant to and in
accordance with Rule 13(d)(1)(k) promulgated under the Securities Exchange Act of 1934, as amended, the Filers hereby agree to
file a single statement on Schedule 13D and/or 13G (and any amendments thereto) on behalf of each of the Filers, and hereby further
agree to file this Joint Filing Agreement as an exhibit to such statement, as required by such rule.
This Joint Filing
Agreement may be terminated by any of the Filers upon written notice or such lesser period of notice as the Filers may mutually
agree.
Executed and delivered
as of the date first above written.
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By:
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/s/ William Roth
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William Roth, as trustee of the William and
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Amy Roth Living Trust, dated 4/29/97
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By:
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/s/ Amy Roth
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Amy Roth, as trustee of the William and Amy
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Roth Living Trust, dated 4/29/97
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