Current Report Filing (8-k)
November 13 2020 - 4:40PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934
Date
of Report (Date of earliest event reported): November 13, 2020
Unico American Corporation
(Exact Name of Registrant as Specified
in its Charter)
Nevada
(State or Other Jurisdiction of Incorporation)
000-03978
|
95-2583928
|
(Commission File Number)
|
(IRS Employer Identification No.)
|
|
|
|
|
26050 Mureau Road
|
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Calabasas, California
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91302
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(Address of Principal Executive Offices)
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(Zip Code)
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(818) 591-9800
(Registrant's Telephone Number, Including Area
Code)
(Former name or former address, if changed since
last Report.)
Check the appropriate box below if the Form 8-K filing is
intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see
General Instruction A.2. below):
|_| Written communications pursuant to Rule 425 under the
Securities Act (17 CFR 230.425)
|_| Soliciting material pursuant to Rule 14a-12 under the
Exchange Act (17 CFR 240.14a-12)
|_| Pre-commencement communications pursuant to Rule 14d-2(b)
under the Exchange Act (17 CFR 240.14d-2(b))
|_| Pre-commencement communications pursuant to Rule 13e-4(c)
under the Exchange Act (17 CFR 240.13e-4(c))
Securities registered pursuant to Section
12(b) of the Act:
Title of each class
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Trading Symbol
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Name of each exchange on which registered
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Common Stock, No Par Value
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UNAM
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Nasdaq Global Market
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Indicate by check mark whether the registrant
is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2
of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company |_|
If an emerging growth company, indicate
by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial
accounting standards provided pursuant to Section 13(a) of the Exchange Act. |_|
Item 2.02. Results of Operations and Financial Condition.
On November 13, 2020, Unico American Corporation
(the “Company”) issued a press release announcing its results of operations for the quarter ended September 30,
2020. A copy of the press release is furnished herewith as Exhibit 99.1 to this Current Report on Form 8-K
and incorporated herein by reference.
The information disclosed under this Item 2.02
and the Exhibit 99.1 attached hereto shall not be deemed "filed" for purposes of Section 18 of the Securities Exchange
Act of 1934, as amended (the "Exchange Act") or otherwise subject to the liabilities of that section, nor shall
it be deemed incorporated by reference in any Company filing under the Securities Act of 1933, as amended, or the Exchange
Act, except as expressly set forth by specific reference in such a filing.
Item 5.02. Departure of Directors or Certain
Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.
On September 28, 2020 the Company appointed
Don J. Esparza as its Senior Vice President of Marketing and Distribution.
Mr. Esparza, 47, is
an award winning, 25 year veteran of the insurance industry. During his career, he has provided sales training and led, developed,
implemented and executed strategic growth initiatives spanning a wide variety of industry verticals utilizing direct-to-consumer,
association marketing, telemarketing, social media, data warehousing and customer relationship management technology methods for
business acquisition and retention. From October 2016 to September 2020, Mr. Esparza served as the Director of Business Development
& Distribution for Pacific Compensation, a wholly owned subsidiary of Copperpoint Mutual Insurance Company. Prior to
Pacific Compensation, from 2008 to October 2016, he served as the Regional Marketing Officer for Zenith Insurance Company,
a wholly owned subsidiary of Fairfax Financial Holdings Limited. Mr. Esparza began his insurance career as a Claims
Specialist at State Farm Insurance in 1994. Mr. Esparza holds a Bachelors of Arts in Psychology from Saint Mary's College
in Moraga, CA.
There are no arrangements
or understandings between Mr. Esparza and any other person pursuant to which Mr. Esparza was appointed as the Company’s Senior
Vice President of Marketing and Distribution. There are no transactions in which Mr. Esparza has an interest requiring disclosure
under Item 404(a) of Regulation S-K. Mr. Esparza will receive an annual salary of $240,000 in addition to the employee benefits
that are customarily paid by the Corporation to its executive officers.
Item 9.01. Financial Statements and Exhibits.
(d) Exhibits.
The following exhibit is being filed herewith:
SIGNATURE
Pursuant to the requirements of the
Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the
undersigned hereunto duly authorized.
UNICO
AMERICAN CORPORATION
(Registrant)
Date: November 13, 2020
By: /s/ Michael Budnitsky
Name: Michael Budnitsky
Title: Treasurer, Chief Financial
Officer and Secretary
Unico American (NASDAQ:UNAM)
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