================================================================================
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
------------------
SCHEDULE 13D
(Amendment No. 3)
UNDER THE SECURITIES EXCHANGE ACT OF 1934
------------------
TOM BROWN, INC.
(Name of Issuer)
------------------
Common Stock, par value $.10 per share
(Title of Class of Securities)
Common Stock - 11566020
(CUSIP Number)
Barry A. L. Hoffman
Deputy General Counsel
Union Oil Company of California
2141 Rosecrans Avenue, Suite 4000
El Segundo, CA 90245
(310) 726-7600
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
------------------
July 14, 2003
(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 which is the subject of this Schedule 13D, and is filing
this statement because of Rule 13d-1(b) (3) or (4), check the following box [ ].
================================================================================
(Continued on following pages)
(Page 1 of 15 Pages)
SCHEDULE 13D
--------------------------------------------- -----------------------------
CUSIP No. 11566020 Page 2 of 15
--------------------------------------------- -----------------------------
--------------------------------------------------------------------------------
1. Name of Reporting Person
Chicago Carbon Company 36-3657233
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
2. Check the Appropriate Box if a Member of a Group
(a) [x ]
(b) [ ]
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
3. SEC Use Only
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
4. Source of Funds
Not applicable. See Item 4.
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
5. Check Box if Disclosure of Legal Proceedings is Required Pursuant
to Items 2(d) or 2(e) [X ]
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
6. Citizenship or Place of Organization
Illinois
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
7. Sole Voting Power
-0-
--------------------------------------------------------------
--------------------------------------------------------------
Number of Shares 8. Shared Voting Power
Beneficially
Owned by 5,800,000
--------------------------------------------------------------
--------------------------------------------------------------
Each Reporting 9. Sole Dispositive Power
Person With
-0-
--------------------------------------------------------------
--------------------------------------------------------------
10. Shared Dispositive Power
5,800,000
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
11. Aggregate Amount Beneficially Owned by Each Reporting Person
5,800,000
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
12. Check Box if the Aggregate Amount in Row (11) Excludes Certain
shares [ ]
--------------------------------------------------------------------------------
13. Percent of Class Represented by Amount in Row (11)
14.71323% (1)
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
14. Type of Reporting Person
PN
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
(1) Based on 39,420,303 shares of common stock, $.10 par value, outstanding
as set forth in the Issuer's Form 10-Q for the quarter ended March 31, 2003.
SCHEDULE 13D
--------------------------------------------- ---------------------------
CUSIP No. 11566020 Page 3 of 15
--------------------------------------------- ---------------------------
--------------------------------------------------------------------------------
1. Name of Reporting Person
Lemont Carbon, Inc. 94-3103118
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
2. Check the Appropriate Box if a Member of a Group
(a) [X]
(b) [ ]
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
3. SEC Use Only
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
4. Source of Funds
Not applicable. See Item 4.
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
5. Check Box if Disclosure of Legal Proceedings is Required Pursuant
to Items 2(d) or 2(e) [X]
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
6. Citizenship or Place of Organization
Illinois
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
7. Sole Voting Power
-0-
--------------------------------------------------------------
--------------------------------------------------------------
Number of Shares 8. Shared Voting Power
Beneficially
Owned by 5,800,000
--------------------------------------------------------------
Each Reporting 9. Sole Dispositive Power
Person With
-0-
--------------------------------------------------------------
--------------------------------------------------------------
10. Shared Dispositive Power
5,800,000
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
11. Aggregate Amount Beneficially Owned by Each Reporting Person
5,800,000
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
12. Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares
[ ]
--------------------------------------------------------------------------------
13. Percent of Class Represented by Amount in Row (11)
14.71323% (2)
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
14. Type of Reporting Person
CO
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
(2) See footnote 1.
SCHEDULE 13D
--------------------------------------------- --------------------------
CUSIP No. 11566020 Page 4 of 15
--------------------------------------------- --------------------------
--------------------------------------------------------------------------------
1. Name of Reporting Person
Midwest 76, Inc. 94-3091652
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
2. Check the Appropriate Box if a Member of a Group
(a) [X ]
(b) [ ]
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
3. SEC Use Only
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
4. Source of Funds
Not applicable. See Item 4.
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
5. Check Box if Disclosure of Legal Proceedings is Required Pursuant
to Items 2(d) or 2(e) [X ]
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
6. Citizenship or Place of Organization
Delaware
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
7. Sole Voting Power
-0-
--------------------------------------------------------------
--------------------------------------------------------------
Number of Shares 8. Shared Voting Power
Beneficially
Owned by 5,800,000
--------------------------------------------------------------
--------------------------------------------------------------
Each Reporting 9. Sole Dispositive Power
Person With
-0-
--------------------------------------------------------------
--------------------------------------------------------------
10. Shared Dispositive Power
5,800,000
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
11. Aggregate Amount Beneficially Owned by Each Reporting Person
5,800,000
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
12. Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares
(See instructions) [ ]
--------------------------------------------------------------------------------
13. Percent of Class Represented by Amount in Row (11)
14.71323% (3)
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
14. Type of Reporting Person
CO
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
(3) See fottnote 1.
SCHEDULE 13D
--------------------------------------------- ----------------------------
CUSIP No. 11566020 5 of 15
--------------------------------------------- ----------------------------
--------------------------------------------------------------------------------
1. Name of Reporting Person
Midwest Natural Gas Pipeline Co. 33-0710784
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
2. Check the Appropriate Box if a Member of a Group
(a) [X ]
(b) [ ]
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
3. SEC Use Only
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
4. Source of Funds
Not applicable. See Item 4.
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
5. Check Box if Disclosure of Legal Proceedings is Required
Pursuant to Items 2(d) or 2(e) [X ]
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
6. Citizenship or Place of Organization
Delaware
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
7. Sole Voting Power
-0-
--------------------------------------------------------------
--------------------------------------------------------------
Number of Shares 8. Shared Voting Power
Beneficially
Owned by 5,800,000
--------------------------------------------------------------
--------------------------------------------------------------
Each Reporting 9. Sole Dispositive Power
Person With
-0-
--------------------------------------------------------------
--------------------------------------------------------------
10. Shared Dispositive Power
5,800,000
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
11. Aggregate Amount Beneficially Owned by Each Reporting Person
5,800,000
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
12. Check Box if the Aggregate Amount in Row (11) Excludes
Certain Shares (See Instructions) [ ]
--------------------------------------------------------------------------------
13. Percent of Class Represented by Amount in Row (11)
14.71323% (4)
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
14. Type of Reporting Person
CO
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
(4) See footnote 1.
SCHEDULE 13D
--------------------------------------------- ---------------------------
CUSIP No. 11566020 Page 6 of 15
--------------------------------------------- ---------------------------
--------------------------------------------------------------------------------
1. Name of Reporting Person
Union Oil Company of California 95-1315450
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
2. Check the Appropriate Box if a Member of a Group
(a) [X ]
(b) [ ]
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
3. SEC Use Only
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
4. Source of Funds
Not applicable. See Item 4.
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
5. Check Box if Disclosure of Legal Proceedings is Required Pursuant
to Items 2(d) or 2(e)
[X ]
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
6. Citizenship or Place of Organization
Delaware
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
7. Sole Voting Power
-0-
--------------------------------------------------------------
--------------------------------------------------------------
Number of Shares 8. Shared Voting Power
Beneficially
Owned by 5,800,000
--------------------------------------------------------------
--------------------------------------------------------------
Each Reporting 9. Sole Dispositive Power
Person With
-0-
--------------------------------------------------------------
--------------------------------------------------------------
10. Shared Dispositive Power
5,800,000
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
11. Aggregate Amount Beneficially Owned by Each Reporting Person
5,800,000
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
12. Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares
(See Instructions) [ ]
--------------------------------------------------------------------------------
13. Percent of Class Represented by Amount in Row (11)
14.71323% (5)
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
14. Type of Reporting Person
CO
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
(5) See footnote 1.
SCHEDULE 13D
--------------------------------------------- --------------------------
CUSIP No. 11566020 Page 7 of 15
--------------------------------------------- --------------------------
--------------------------------------------------------------------------------
1. Name of Reporting Person
Unocal Corporation 95-3825062
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
2. Check the Appropriate Box if a Member of a Group
(a) [X ]
(b) [ ]
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
3. SEC Use Only
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
4. Source of Funds
Not applicable. See Item 4.
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
5. Check Box if Disclosure of Legal Proceedings is Required Pursuant
to Items 2(d) or 2(e) [X ]
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
6. Citizenship or Place of Organization
Delaware
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
7. Sole Voting Power
-0-
--------------------------------------------------------------
--------------------------------------------------------------
Number of Shares 8. Shared Voting Power
Beneficially
Owned by 5,800,000
--------------------------------------------------------------
--------------------------------------------------------------
Each Reporting 9. Sole Dispositive Power
Person With
-0-
--------------------------------------------------------------
--------------------------------------------------------------
10. Shared Dispositive Power
5,800,000
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
11. Aggregate Amount Beneficially Owned by Each Reporting Person
5,800,000
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
12. Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares
(See Instructions) [ ]
--------------------------------------------------------------------------------
13. Percent of Class Represented by Amount in Row (11)
14.71323% (6)
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
14. Type of Reporting Person
CO
--------------------------------------------------------------------------------
--------------------------------------------------------------------------------
(6) See fottnote 1.
Item 1. Security and Issuer.
This statement relates to the shares of common stock, par value $0.10 per
share (the Common Stock"), of Tom Brown, Inc., a Delaware corporation (the
"Issuer"), which has its principal executive offices at 555 Seventeenth Street,
Suite 1850, Denver, Colorado 80202.
Item 2. Identity and Background.
(a). Name: Chicago Carbon Company, an Illinois
general partnership with three
general partners that are
wholly-owned subsidiaries of Union
Oil Company of California
("Chicago").
(b). Principal Business: General partner in a partnership
that is engaged in the business of
refining needle coke.
(c). Principal Business Address: 317 West New Avenue, Lemont,
Illinois 60439.
(a). Name: Lemont Carbon, Inc. a Delaware
corporation, and a general partner
of Chicago with a 14.29% interest
in Chicago, and a wholly-owned
subsidiary of Union Oil Company of
California ("Lemont").
(b). Principal Business: General partner in a partnership
that is engaged in the business of
refining needle coke.
(c). Principal Business Address: 2141 Rosecrans Avenue, Suite 4000,
El Segundo, California 90245.
(a). Name: Midwest 76, Inc., a Delaware
corporation, and a general partner
of Chicago with a 74.18% interest
in Chicago, and a wholly-owned
subsidiary of Union Oil Company of
California ("Midwest 76").
(b). Principal Business: Managing general partner of Chicago
Carbon Company, which is a general
partner in a partnership that is
engaged in the business of refining
needle coke.
(c). Principal Business Address: 2141 Rosecrans Avenue, Suite 4000,
El Segundo, California 90245.
(a). Name: Midwest Natural Gas Pipeline
Company, a Delaware corporation,
and a general partner of Chicago
with a 11.53% interest in Chicago,
and a wholly-owned subsidiary of
Union Oil Company of California
("Midwest").
(b). Principal Business: General partner of Chicago, which
is a general partner in a
partnership that is engaged in the
business of refining needle coke.
(c). Principal Business Address: 2141 Rosecrans Avenue, Suite 4000,
El Segundo, California 90245
(a). Name: Union Oil Company of California, a
California corporation and a wholly
owned subsidiary of Unocal
Corporation ("Union Oil")
(b). Principal Business: Oil and gas exploration and
production.
(c). Principal Business Address: 2141 Rosecrans Avenue, Suite 4000,
El Segundo, California 90245
(a). Name: Unocal Corporation, a Delaware
corporation ("Unocal")
(b). Principal Business: Oil and gas exploration and
production
(c). Principal Business Address: 2141 Rosecrans Avenue, Suite 4000,
El Segundo, California 90245
8
Attached as Appendix A is information concerning each partner of
Chicago and the executive officers and directors of Lemont, Midwest 76, Midwest,
Union and Unocal required to be disclosed in response to Item 2 and General
Instruction C to Schedule 13D. Such persons may be deemed, but are not conceded
to be, controlling persons of these entities. Collectively, Chicago, Lemont,
Midwest 76, Midwest, Union and Unocal are hereinafter referred to as the
"Reporting Persons."
(d) During the past five years, none of the Reporting Persons nor any
of the persons referred to in Appendix A has been convicted in a criminal
proceeding (excluding traffic violations and similar misdemeanors).
(e) None of the Reporting Persons nor any of the persons referred to in
Appendix A has been 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, during the last five years.
(f) All persons named in Appendix A are citizens of the United States.
Item 3. Source and Amount of Funds or Other Consideration.
Not applicable. See Item 4.
Item 4. Purpose of Transaction.
Union Oil originally purchased the shares of Common Stock reported herein
for the purpose of investment. Union Oil subsequently sold the shares to Chicago
in order to achieve a more tax-efficient corporate holding structure for the
shares and at the time Chicago acquired the shares for the purpose of
investment. Under the Stock Ownership and Registration Rights Agreement, dated
as of June 29, 1999 by and between Union Oil and the Issuer (the "Stock
Ownership Agreement"), a copy of which is attached hereto as Exhibit B, Union
Oil retained (and pursuant to the Addendum referred to in the next sentence,
Chicago succeeded to) the absolute right to vote its shares of Common Stock as
it individually determined except as otherwise described in Item 6 hereof and in
the Stock Ownership Agreement. Upon the sale of the shares to Chicago, Chicago,
Union Oil and the Issuer executed an addendum to the Stock Ownership Agreement
(the "Addendum"), attached hereto as Exhibit C, whereby Chicago became a party
to the agreement and became bound by the same obligations as Union Oil under the
agreement. With respect to plans or proposals that Union Oil may have that
relate to any change in the present board of directors or management of the
Issuer, Union Oil has the right under the Addendum to designate one member of
the board of directors of the Issuer. Union Oil's current designated director to
the Issuer's board of directors is Mr. Kenneth Butler.
The Stock Ownership Agreement affords Chicago certain rights,
including the right to: (i) require the Issuer to undertake, from time to time,
the registration with the U.S. Securities and Exchange Commission (the "S.E.C.")
some or all of the shares of Common Stock it owns, subject to customary
limitations as set forth in the Stock Ownership Agreement; (ii) request that
some or all of its shares of Common Stock be included with other shares of
Common Stock that the Issuer proposes to register with the S.E.C., whether such
registration relates to a primary or secondary offering or an offering of shares
of Common Stock under a universal shelf registration statement subject to
customary limitations as set forth in the Stock Ownership Agreement; and (iii)
to acquire as many shares of Common Stock as may be required to maintain its
then current ownership percentage if the Issuer sells or transfers additional
shares of Common Stock that would otherwise dilute Chicago's ownership
percentage.
On May 1, 2003, the Issuer filed a universal shelf registration
statement on Form S-3 (the "Registration Statement") registering the sale of up
to $500,000,000 of debt or equity securities. On July 11, 2003, the Issuer gave
telephonic notice to Chicago that the Issuer intended to file a final amendment
to the Registration Statement and request that it be declared effective by the
S.E.C. On July 14, 2003, Chicago gave notice to the Issuer (and such notice
was acknowledged by the Issuer) that it desires to include all of the 5,800,000
shares of Common Stock owned by it in the Registration Statement. At this
time, Chicago does not intend to exercise its right to acquire additional
shares of Common Stock in accordance with its rights under the Stock Ownership
Agreement.
Item 5. Interest in the Securities of the Issuer.
(a) There were 39,420,303 shares of Common Stock outstanding as of March
31, 2003. The Reporting Persons are deemed to be the beneficial owners of
5,800,000 shares of Common Stock, which constitute approximately 14.71323% of
the total issued and outstanding Common Stock as of March 31, 2003.
9
(b) Chicago is controlled by three general partners - Lemont, Midwest 76
and Midwest - which are wholly owned subsidiaries of Union. Union is a wholly
owned subsidiary of Unocal. Therefore, Unocal may be deemed to control Union,
Lemont, Midwest 76, Midwest, and Chicago. Thus, the Reporting Persons may be
deemed to share voting power and investment power with respect to the Common
Stock.
(c) None of the Reporting Persons, nor any person listed on Appendix A,
has effected any transactions in the Common Stock during the past 60 days.
(d) To the best of the knowledge of the Reporting Persons, none of the
Reporting Persons nor any person listed on Appendix A beneficially owns any
Common Stock of the Issuer except as set forth above. To the best of the
knowledge of each reporting Person, no persons other than Chicago has the right
to receive or the power to direct the receipt of dividends from, or the proceeds
from the sale of, the shares of Common Stock beneficially owned by the Reporting
Persons.
(e) Not applicable.
Item 6. Contracts, Arrangements, Understandings or Relationships with
Respect to Securities of the Issuer.
The shares of Common Stock acquired by Union and subsequently sold to
Chicago were acquired in a private placement and are restricted securities.
Pursuant to the Stock Ownership Agreement, Union retained the absolute right to
vote its shares of Common Stock as it individually determined except that for so
long as Union owns greater than 10% of Common Stock, it must vote its shares in
favor of the director nominees recommended by the management of the Issuer. In
addition, certain transfer restrictions, and registration rights granted by the
issuer are set forth in the Stock Ownership Agreement, a copy of which was
included as Exhibit B to Schedule 13D filed on July 12, 1999. After the sale of
the shares to Chicago, Union and the Issuer executed an addendum to the Stock
Ownership Agreement (included as Exhibit B to this Schedule 13D) which has the
same force and effect as if Chicago had executed a counterpart of the Stock
Ownership Agreement. Additionally, the Issuer and Union executed a covenant
(attached as Exhibit D to this Schedule 13D) whereby the Issuer consents to the
transfer, Chicago agrees to comply with the terms and conditions of the Stock
Ownership Agreement, and Union agrees to certain conditions including
maintaining not less than 80% o the voting power of Chicago. Union and Chicago
also executed a Clarification and Assignment (filed as Exhibit E to this
Schedule 13) whereby Union assigns, conveys, and delivers to Chicago al of
Union's rights, title and interest in to, and under the Stock Ownership
Agreement (other than Union's rights, titles, and interests under Article 111 of
the Stock Ownership Agreement, relating to Union's right to designate a director
or a director nominee to the Board of Directors of the Issuer.
Item 7. Material to be Filed as Exhibits.
Exhibit A Joint Filing Agreement, dated July 14, 2003.
Exhibit B Stock Ownership and Registration Rights Agreement, dated as
of June 29, 1999 by and between Union Oil and the Issuer
(incorporated by reference to Exhibit B to the Schedule 13D of
the Reporting Persons filed July 12, 1999).
Exhibit C Addendum to Stock Ownership and Registration Rights Agreement
dated as of September 30, 1999 by and between Union and Chicago
(incorporated by reference to Exhibit B to the Schedule 13D/A
of the Reporting Persons filed November 16, 1999).
Exhibit D Unocal Covenant dated as of September 30, 1999 (incorporated
by reference to Exhibit C to the Schedule 13D/A of the
Reporting Persons filed November 16, 1999).
Exhibit E Clarification and Assignment dated as of September 30, 1999
by and between Union and Chicago (incorporated by reference to
Exhibit D to the Schedule 13D/A of the Reporting Persons filed
November 16, 1999).
10
SIGNATURE
After reasonable inquiry and to the best of each of the undersigned's
knowledge and belief, each of the undersigned certifies that the information set
forth in this statement is true, complete and correct.
Date: July 14, 2003
CHICAGO CARBON COMPANY
By: Midwest 76, Inc.,
its Managing General Partner
By: /s/ Daniel A. Franchi
---------------------------------------------
Name: Daniel A. Franchi
Title: Assistant Treasurer
LEMONT CARBON, INC.
By: /s/ Daniel A. Franchi
---------------------------------------------
Name: Daniel A. Franchi
Title: Assistant Treasurer
MIDWEST 76, INC.
By: /s/ Daniel A. Franchi
---------------------------------------------
Name: Daniel A. Franchi
Title: Assistant Treasurer
MIDWEST NATURAL GAS PIPELINE CO.
By: /s/ Daniel A. Franchi
---------------------------------------------
Name: Daniel A. Franchi
Title: Treasurer
UNION OIL COMPANY OF CALIFORNIA
By: /s/ Joe D. Cecil
---------------------------------------------
Name: Joe D. Cecil
Title: Vice President and Comptroller
11
UNOCAL CORPORATION
By: /s/ Joe D. Cecil
---------------------------------------------
Name: Joe D. Cecil
Title: Vice President & Comptroller
12
APPENDIX A
EACH PARTNER OF CHICAGO CARBON COMPANY
The following table sets forth the name, business address and present principal
occupation or employment of each partner of Chicago Carbon Company. Unless
otherwise indicated below, each such person is a citizen of the United States
of America.
Name Present Principal Business; Business Address
LeMont Carbon, Inc. See below
Midwest 76, Inc. See below
Midwest Natural Gas Pipeline Co. See below
DIRECTORS, EXECUTIVE OFFICERS AND CONTROLLING PERSONS OF LEMONT CARBON, INC.
The following table sets forth the name, business address and present principal
occupation or employment of each executive officer of Lemont Carbon Company,
Inc. Unless otherwise indicated below, each such person is a citizen of the
United States of America.
Name Present Principal Occupation or Employment; Business Address
John K. Bassett Director and President of Lemont Carbon, Inc., General
Manager Chicago Carbon Plant of Union Oil Company of
California
12308 South New Avenue, Lemont, Illinois 60439
Mark A. Smith Director and Vice President of Lemont Carbon, Inc., Real
Estate, Remediation, Mining & Carbon, Vice President of
Union Oil Company of California
376 South Valencia Avenue, Brea, CA 92823
Edward A. Wong Director of Lemont Carbon, Inc., Manager Planning/Tech &
Shared Resources of Union Oil Company of California
376 South Valencia Avenue, Brea, CA 92823
DIRECTORS, EXECUTIVE OFFICERS AND CONTROLLING PERSONS OF MIDWEST 76, INC.
The following table sets forth the name, business address and present principal
occupation or employment of each executive officer of Midwest 76, Inc. Unless
otherwise indicated below, each such person is a citizen of the United States of
America.
Name Present Principal Occupation or Employment; Business Address
John K. Bassett Director and Vice President of Midwest 76, Inc., General
Manager Chicago Carbon Plant of Union Oil Company of
California
12308 South New Avenue, Lemont, Illinois 60439
Mark A. Smith Director and President of Midwest 76, Inc., Real Estate,
Remediation, Mining & Carbon, Vice President of Union Oil
Company of California
376 South Valencia Avenue, Brea, CA 92823
James J. Dean Director and Vice President of Midwest 76, Inc.,
Team Manager, Operations of Union Oil Company of California
12308 South New Avenue, Lemont, Illinois 60439
13
DIRECTORS, EXECUTIVE OFFICERS AND CONTROLLING PERSONS OF
MIDWEST NATURAL GAS PIPELINE CO.
The following table sets forth the name, business address and present principal
occupation or employment of each executive officer of Midwest Natural Gas
Pipeline Co. Unless otherwise indicated below, each such person is a citizen of
the United States of America.
Name Present Principal Occupation or Employment;
Business Address
Joseph A. Blount, Jr. Director and President of Midwest Natural Gas
Pipeline Co., President Unocal Midstream and
Trade of Union Oil Company of California and
President Unocal Midstream and Trade of Unocal
Corporation 14141 Southwest Fwy, Sugarland,
Texas 77478
John F. Oveson Director and Vice President of Midwest Natural
Gas Pipeline Co., Midstream Asset Manager of
Union Oil Company of California
14141 Southwest Fwy, Sugarland, Texas 77478
Christopher Keene Director and Vice President of Midwest Natural
Gas Pipeline Co., Manager, Midstream
Development of Union Oil Company of California
14141 Southwest Fwy, Sugarland, Texas 77478
DIRECTORS, EXECUTIVE OFFICERS AND CONTROLLING PERSONS OF
UNION OIL COMPANY OF CALIFORNIA
The following table sets forth the name, business address and present principal
occupation or employment of each executive officer of Union Oil Company of
California. Unless otherwise indicated below, each such person is a citizen of
the United States of America.
Name Present Principal Occupation or Employment;
Business Address
Charles R. Williamson Director, Chief Executive Officer of Union Oil
Company of California
2141 Rosecrans Avenue, Suite 4000,
El Segundo, California 90245
Timothy H. Ling Director, President and Chief Operating
Officer of Union Oil Company of California
2141 Rosecrans Avenue, Suite 4000, El Segundo,
California 90245
Terry G. Dallas Executive Vice President and Chief Financial
Officer of Union Oil Company of California
2141 Rosecrans Avenue, Suite 4000, El Segundo,
California 90245
Thomas E. Fisher Senior Vice President, Commercial Affairs of
Union Oil Company of California
2141 Rosecrans Avenue, Suite 4000,
El Segundo, California 90245
Charles O. Strathman Vice President and Chief Legal Officer of
Union Oil Company of California
2141 Rosecrans Avenue, Suite 4000,
El Segundo, California 90245
Douglas M. Miller Vice President, Corporate Development of Union
Oil Company of California
2141 Rosecrans Avenue, Suite 4000,
El Segundo, California 90245
Joe D. Cecil Vice President and Comptroller of Union Oil
Company of California
2141 Rosecrans Avenue, Suite 4000,
El Segundo, California 90245
DIRECTORS, EXECUTIVE OFFICERS AND CONTROLLING PERSONS OF
UNOCAL CORPORATION
The following table sets forth the name, business address and present principal
occupation or employment of each executive officer of Unocal Corporation. Unless
otherwise indicated below, each such person is a citizen of the United States of
America.
Name Present Principal Occupation or Employment;
Business Address
14
Charles R. Williamson Director, Chief Executive Officer of Unocal
Corporation
2141 Rosecrans Avenue, Suite 4000,
El Segundo, California 90245
Timothy H. Ling Director, President and Chief Operating
Officer of Unocal Corporation
2141 Rosecrans Avenue, Suite 4000,
El Segundo, California 90245
Terry G. Dallas Executive Vice President and Chief Financial
Officer of Unocal Corporation
2141 Rosecrans Avenue, Suite 4000,
El Segundo, California 90245
Thomas E. Fisher Senior Vice President, Commercial Affairs
of Unocal Corporation
2141 Rosecrans Avenue, Suite 4000,
El Segundo, California 90245
Charles O. Strathman Vice President and Chief Legal Officer of
Unocal Corporation
2141 Rosecrans Avenue, Suite 4000,
El Segundo, California 90245
Douglas M. Miller Vice President, Corporate Development of
Unocal Corporation
2141 Rosecrans Avenue, Suite 4000,
El Segundo, California 90245
Joe D. Cecil Vice President and Comptroller of
Unocal Corporation
2141 Rosecrans Avenue, Suite 4000,
El Segundo, California 90245
John W. Creighton, Jr. Director, Vice Chairman of Unocal Corporation
2141 Rosecrans Avenue, Suite 4000,
El Segundo, California 90245
John W. Amerman Director of Unocal Corporation
2141 Rosecrans Avenue, Suite 4000,
El Segundo, California 90245
James W. Crownover Director of Unocal Corporation
2141 Rosecrans Avenue, Suite 4000,
El Segundo, California 90245
Frank C. Herringer Director of Unocal Corporation, Chairman and
Director of Transamerica Corporation
2141 Rosecrans Avenue, Suite 4000,
El Segundo, California 90245
Ferrell P. McClean Director of Unocal Corporation
2141 Rosecrans Avenue, Suite 4000,
El Segundo, California 90245
Donald B. Rice Director of Unocal Corporation, Chairman,
President and Chief Executive Officer of
Agensys, Inc.
2141 Rosecrans Avenue, Suite 4000,
El Segundo, California 90245
Kevin W. Sharer Director of Unocal Corporation, Chairman,
Chief Executive Officer and President of
Amgen Inc.
2141 Rosecrans Avenue, Suite 4000,
El Segundo, California 90245
Marina v.N. Whitman Director of Unocal Corporation, Professor of
business administration and public policy at
University of Michigan
2141 Rosecrans Avenue, Suite 4000,
El Segundo, California 90245
15
EXHIBIT A
Agreement re Joint Filing of Schedule 13D
---------------------------------
The undersigned hereby agree that they are filing jointly pursuant to
Rule 13d-1 of the Securities Exchange Act of 1934 the statement dated July 14,
2003, containing the information required by Schedule 13D, for the 5,800,000
Shares of the Common Stock of Tom Brown, Inc. held by Chicago Carbon Company.
Date: July 14, 2003
CHICAGO CARBON COMPANY
By: Midwest 76, Inc.,
its Managing General Partner
By: /s/ Daniel A. Franchi
---------------------------------------
Name: Daniel A. Franchi
Title: Assistant Treasurer
LEMONT CARBON, INC.
By: /s/ Daniel A. Franchi
---------------------------------------
Name: Daniel A. Franchi
Title: Assistant Treasurer
MIDWEST 76, INC.
By: /s/ Daniel A. Franchi
---------------------------------------
Name: Daniel A. Franchi
Title: Assistant Treasurer
MIDWEST NATURAL GAS PIPELINE CO.
By: /s/ Daniel A. Franchi
---------------------------------------
Name: Daniel A. Franchi
Title: Treasurer
UNION OIL COMPANY OF CALIFORNIA
By: /s/ Joe D. Cecil
---------------------------------------
Name: Joe D. Cecil
Title: Vice President and Comptroller
UNOCAL CORPORATION
By: /s/ Joe D. Cecil
---------------------------------------
Name: Joe D. Cecil
Title: Vice President and Comptroller