Coliseum Capital Partners, L.P.'s Form 4 filing
Universal Technical Institute Inc (UTI) · filed Mar 30, 2023
- Accession no.
- 0000899243-23-010043
- Filed
- Mar 30, 2023, 7:49 PM ET
- Trade date
- Mar 28-30, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not checked
This filing lists 3 non-derivative transactions. Open-market purchases total $1.03M. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Coliseum Capital Partners, L.P.CIK 0001356974 | Director, 10% Owner |
| Coliseum Capital, LLCCIK 0001409585 | Director, 10% Owner |
| Coliseum Capital Management, LLCCIK 0001409751 | Director, 10% Owner |
| Shackelton Christopher SCIK 0001430708 | Director, 10% Owner |
| Gray AdamCIK 0001454123 | Director, 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Mar 28, 2023 | Common Stock, par value $0.0001 ("Common Stock") | PPurchaseAcquired | +6,282 | $6.74F3 | +$42,340.68 | 478,361 | Indirect | |
| Mar 29, 2023 | Common Stock | PPurchaseAcquired | +30,560 | $6.84F4 | +$209,030.4 | 508,921 | Indirect | |
| Mar 30, 2023 | Common Stock | PPurchaseAcquired | +112,390 | $6.97F5 | +$783,358.3 | 621,311 | Indirect |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F3
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.71 to $6.75, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission ("SEC"), upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F4
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.75 to $6.88, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F5
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.84 to $7.05, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
Remarks
Shackelton is a director of the Issuer. As a result, the following persons may be deemed directors by deputization of the Issuer solely for purposes of Section 16 of the Securities Exchange Act of 1934, as amended: CCM, CC, CCP and Gray.