Form 4/A for UTI UNIVERSAL TECHNICAL INSTITUTE INC
Accepted 2023-12-13 00:00:00 ET · period of report 2023-12-08 · accession 0001261654-23-000131 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DMA | 2023-12-13 | 2023-12-08+ | UTI | Smith Lori B | SVP CIO | M - OptEx | — | +15.7K | 47.7K | +49% | — |
| DMA | 2023-12-13 | 2023-12-08+ | UTI | Smith Lori B | SVP CIO | F - Tax | $11.88 | -4,379 | 49.3K | -8% | -$52.0K |
| DMA | 2023-12-13 | 2023-12-08 | UTI | Smith Lori B | SVP CIO | A - Grant | $0.00 | +27.3K | 9,488 | New | $0 |
| DMA | 2023-12-13 | 2023-12-08+ | UTI | Smith Lori B | SVP CIO | M - OptEx | $0.00 | -15.7K | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock, $0.0001 par value | 2023-12-08 | M | A | 4,698 | — | 42,672 | D | — | — | (F1) Each restricted stock unit represents a contingent right to receive one share of UTI Common Stock. |
| 2 | Common | Common Stock, $0.0001 par value | 2023-12-10 | M | A | 4,646 | — | 50,607 | D | — | — | (F1) Each restricted stock unit represents a contingent right to receive one share of UTI Common Stock. |
| 3 | Common | Common Stock, $0.0001 par value | 2023-12-08 | F | D | 1,776 | $11.88 | 45,961 | D | — | — | (F3) Shares withheld to satisfy tax liability for the vesting of restricted stock units granted on 12/8/2022. |
| 4 | Common | Common Stock, $0.0001 par value | 2023-12-08 | M | A | 6,374 | — | 47,737 | D | — | — | (F1) Each restricted stock unit represents a contingent right to receive one share of UTI Common Stock. |
| 5 | Common | Common Stock, $0.0001 par value | 2023-12-08 | F | D | 1,309 | $11.88 | 41,363 | D | — | — | (F2) Shares withheld to satisfy tax liability for the vesting of restricted stock units granted on 12/08/2021. |
| 6 | Common | Common Stock, $0.0001 par value | 2023-12-10 | F | D | 1,294 | $11.88 | 49,313 | D | — | — | (F4) Shares withheld to satisfy tax liability for the vesting of restricted stock units granted on 12/10/2020. |
| 7 | Derivative | Performance Units | 2023-12-08 | A | A | 17,790 | $0.00 | 17,790 | D | — · — to — | 17,790 Common Stock, $0.0001 par value | (F8) Each performance unit represents a contingent right to receive one share of the UTI Common Stock, 60% of which vest based on revenue for the fiscal year ending September 30, 2026 and 40% of which vest based on adjusted EBITDA for the fiscal year ending September 30, 2026. |
| 8 | Derivative | Restricted Stock Units | 2023-12-08 | A | A | 9,488 | $0.00 | 9,488 | D | — · — to — | 9,488 Common Stock, $0.0001 par value | (F1) Each restricted stock unit represents a contingent right to receive one share of UTI Common Stock. (F7) The restricted stock units vest in three equal installments beginning on December 8, 2024. |
| 9 | Derivative | Restricted Stock Units | 2023-12-08 | M | D | 6,374 | $0.00 | 12,749 | D | — · — to — | 6,374 Common Stock, $0.0001 par value | (F1) Each restricted stock unit represents a contingent right to receive one share of UTI Common Stock. (F6) Share of Common Stock received from vesting of restricted stock units granted on 12/8/2022. |
| 10 | Derivative | Restricted Stock Units | 2023-12-08 | M | D | 4,698 | $0.00 | 4,698 | D | — · — to 2024-12-08 | 4,698 Common Stock, $0.0001 par value | (F1) Each restricted stock unit represents a contingent right to receive one share of UTI Common Stock. (F5) Share of Common Stock received from vesting of restricted stock units granted on 12/08/2021. |
| 11 | Derivative | Restricted Stock Units | 2023-12-10 | M | D | 4,646 | $0.00 | 0 | D | — · — to — | 4,646 Common Stock, $0.0001 par value | (F1) Each restricted stock unit represents a contingent right to receive one share of UTI Common Stock. (F9) Shares of Common Stock received from vesting of restricted stock units granted on 12/10/2020. |