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Fesperman Bart

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109599
SEC CIK
0001821616

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Latest disclosed role at each company.

CompanyLast reported asReport datePublished
UNIVERSAL TECHNICAL INSTITUTE INCUTI · Entity 4868SVP Chief Commercial OfficerSeptember 15, 2023September 19, 2023

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

UNIVERSAL TECHNICAL INSTITUTE INC

Report date September 15, 2023 · Filed September 19, 2023

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common Stock, $0.0001 par valueSEC Table I · non-derivativeDirect19,067 Ending reported balance After 2023-09-15 transaction · row 2
2 source rows · reconciled sequence

Row 1 · 2023-09-15 · Exercise / conversion · Acquired 3,778 · Balance 20,063

F1: Shares of Commons Stock received from vesting of restricted stock units granted on 9/15/2020.

F2: Each restricted stock unit represents a contingent right to receive one share of UTI Common Stock.

Row 2 · 2023-09-15 · Tax withholding · Disposed 996 · Balance 19,067

F3: Shares withheld to satisfy tax liability for the vesting of restricted stock units granted on 9/15/2020.

Restricted Stock UnitsSEC Table II · derivative / convertible securityDirect0 Reported balance After 2023-09-15 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2023-09-15 · Exercise / conversion · Disposed 3,778 · Balance 0

F2: Each restricted stock unit represents a contingent right to receive one share of UTI Common Stock.

F4: On September 15, 2020, the reporting person was granted restricted stock units, vesting in three equal annual installments beginning on the first anniversary of the grant date.

Filing footnotes · ownership attribution and instrument terms

F1: Shares of Commons Stock received from vesting of restricted stock units granted on 9/15/2020.

F2: Each restricted stock unit represents a contingent right to receive one share of UTI Common Stock.

F3: Shares withheld to satisfy tax liability for the vesting of restricted stock units granted on 9/15/2020.

F4: On September 15, 2020, the reporting person was granted restricted stock units, vesting in three equal annual installments beginning on the first anniversary of the grant date.

Transaction history

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
September 15, 2023 Filed Sep 19, 2023 22:05 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 Exercise / conversionRestricted Stock Units · Derivative 3,778 $0.00 $0.00
Disclosure

SEC source: 0001261654-23-000092 · wk-form4_1695161145.xml · derivative · entry 3

Fesperman Bart · CIK 0001821616 · SVP Chief Commercial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.0001 par value · 3,778 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of UTI Common Stock.

F4 · derivative.exercise_date: On September 15, 2020, the reporting person was granted restricted stock units, vesting in three equal annual installments beginning on the first anniversary of the grant date.

F4 · derivative.expiration_date: On September 15, 2020, the reporting person was granted restricted stock units, vesting in three equal annual installments beginning on the first anniversary of the grant date.

Read SEC document
September 15, 2023 Filed Sep 19, 2023 22:05 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 Tax withholdingCommon Stock, $0.0001 par value 996 $8.47 $8,436.12
Disclosure

SEC source: 0001261654-23-000092 · wk-form4_1695161145.xml · nonDerivative · entry 2

Fesperman Bart · CIK 0001821616 · SVP Chief Commercial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,067

F3 · shares: Shares withheld to satisfy tax liability for the vesting of restricted stock units granted on 9/15/2020.

Read SEC document
September 15, 2023 Filed Sep 19, 2023 22:05 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 Exercise / conversionCommon Stock, $0.0001 par value 3,778 $0.00 $0.00
Disclosure

SEC source: 0001261654-23-000092 · wk-form4_1695161145.xml · nonDerivative · entry 1

Fesperman Bart · CIK 0001821616 · SVP Chief Commercial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,063

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Shares of Commons Stock received from vesting of restricted stock units granted on 9/15/2020.

F2 · price: Each restricted stock unit represents a contingent right to receive one share of UTI Common Stock.

Read SEC document
December 10, 2022 Filed Dec 13, 2022 20:48 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 Exercise / conversionRestricted Stock Units · Derivative 4,646 $0.00 $0.00
Disclosure

SEC source: 0001261654-22-000171 · wf-form4_167096450285447.xml · derivative · entry 3

Fesperman Bart · CIK 0001821616 · SVP Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,646

Underlying: Common Stock, $0.0001 par value · 4,646 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Common Stock.

F4 · derivative.exercise_date: The restricted stock units vest in three equal annual installments beginning on 12/10/2021.

F4 · derivative.expiration_date: The restricted stock units vest in three equal annual installments beginning on 12/10/2021.

Read SEC document
December 10, 2022 Filed Dec 13, 2022 20:48 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 Tax withholdingCommon Stock, $0.0001 par value 1,257 $7.15 $8,987.55
Disclosure

SEC source: 0001261654-22-000171 · wf-form4_167096450285447.xml · nonDerivative · entry 2

Fesperman Bart · CIK 0001821616 · SVP Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,285

F3 · shares: Shares withheld to satisfy tax liability for the vesting of restricted stock units granted on 12/10/2020.

Read SEC document
December 10, 2022 Filed Dec 13, 2022 20:48 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 Exercise / conversionCommon Stock, $0.0001 par value 4,646 $0.00 $0.00
Disclosure

SEC source: 0001261654-22-000171 · wf-form4_167096450285447.xml · nonDerivative · entry 1

Fesperman Bart · CIK 0001821616 · SVP Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,542

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Shares of Common Stock received from vesting of restricted stock units granted on 12/10/2020.

F2 · price: Each restricted stock unit represents a contingent right to receive one share of Common Stock.

Read SEC document
December 08, 2022 Filed Dec 12, 2022 23:35 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 GrantRestricted Stock Units · Derivative 26,002 $0.00 $0.00
Disclosure

SEC source: 0001261654-22-000142 · wf-form4_167088808776191.xml · derivative · entry 2

Fesperman Bart · CIK 0001821616 · SVP Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,083

Underlying: Common Stock, $0.0001 par value · 26,002 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Common Stock.

F3 · derivative.exercise_date: The restricted stock units vest in three equal annual installments beginning on December 8, 2023.

F3 · derivative.expiration_date: The restricted stock units vest in three equal annual installments beginning on December 8, 2023.

Read SEC document
December 08, 2022 Filed Dec 12, 2022 23:35 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 GrantPerformance Units · Derivative 39,194 $0.00 $0.00
Disclosure

SEC source: 0001261654-22-000142 · wf-form4_167088808776191.xml · derivative · entry 1

Fesperman Bart · CIK 0001821616 · SVP Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,671

Underlying: Common Stock, $0.0001 par value · 39,194 shares

Expires not disclosed

F1 · derivative.exercise_price: 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, 2025 and 40% of which vest based on adjusted EBITDA for the fiscal year ending September 30, 2025, the sum of which will be adjusted by a compound annual total shareholder return ("TSR") modifier (which modifier may result in the adjustment of the performance units by up to 25% either upward or downward). For purposes of determining the TSR, the change in the price of the UTI Common Stock is based upon the 30-trading day average closing stock price (i) immediately preceding and through grant date, and (ii) immediately preceding and through the 3rd anniversary of grant date (ending price). The amount represents the maximum number of shares that may be delivered pursuant to the award, which is 187.5% of the target number of shares.

F1 · derivative.exercise_date: 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, 2025 and 40% of which vest based on adjusted EBITDA for the fiscal year ending September 30, 2025, the sum of which will be adjusted by a compound annual total shareholder return ("TSR") modifier (which modifier may result in the adjustment of the performance units by up to 25% either upward or downward). For purposes of determining the TSR, the change in the price of the UTI Common Stock is based upon the 30-trading day average closing stock price (i) immediately preceding and through grant date, and (ii) immediately preceding and through the 3rd anniversary of grant date (ending price). The amount represents the maximum number of shares that may be delivered pursuant to the award, which is 187.5% of the target number of shares.

F1 · derivative.expiration_date: 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, 2025 and 40% of which vest based on adjusted EBITDA for the fiscal year ending September 30, 2025, the sum of which will be adjusted by a compound annual total shareholder return ("TSR") modifier (which modifier may result in the adjustment of the performance units by up to 25% either upward or downward). For purposes of determining the TSR, the change in the price of the UTI Common Stock is based upon the 30-trading day average closing stock price (i) immediately preceding and through grant date, and (ii) immediately preceding and through the 3rd anniversary of grant date (ending price). The amount represents the maximum number of shares that may be delivered pursuant to the award, which is 187.5% of the target number of shares.

Read SEC document
December 08, 2022 Filed Dec 12, 2022 21:59 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 Exercise / conversionRestricted Stock Units · Derivative 4,505 $0.00 $0.00
Disclosure

SEC source: 0001261654-22-000123 · wf-form4_167088233178482.xml · derivative · entry 3

Fesperman Bart · CIK 0001821616 · SVP Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,011

Underlying: Common Stock, $0.0001 par value · 4,505 shares

Expires 2024-12-08

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Common Stock.

F4 · derivative.exercise_date: The restricted stock units vest in three equal annual installments beginning on December 8, 2022.

F4 · derivative.expiration_date: The restricted stock units vest in three equal annual installments beginning on December 8, 2022.

Read SEC document
December 08, 2022 Filed Dec 12, 2022 21:59 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 Tax withholdingCommon Stock, $0.0001 par value 1,219 $7.19 $8,764.61
Disclosure

SEC source: 0001261654-22-000123 · wf-form4_167088233178482.xml · nonDerivative · entry 2

Fesperman Bart · CIK 0001821616 · SVP Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,896

F3 · shares: Shares withheld to satisfy tax liability for the vesting of restricted stock units granted on 12/08/2021.

Read SEC document
December 08, 2022 Filed Dec 12, 2022 21:59 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 Exercise / conversionCommon Stock, $0.0001 par value 4,505 $0.00 $0.00
Disclosure

SEC source: 0001261654-22-000123 · wf-form4_167088233178482.xml · nonDerivative · entry 1

Fesperman Bart · CIK 0001821616 · SVP Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,115

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Share of Common Stock received from vesting of restricted stock units granted on 12/08/2021.

F2 · price: Each restricted stock unit represents a contingent right to receive one share of Common Stock.

Read SEC document
December 08, 2022 Filed Jan 11, 2023 00:18 UTC Amendment UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 GrantRestricted Stock Units · Derivative 25,991 $0.00 $0.00
Disclosure

SEC source: 0001261654-23-000002 · wf-form4a_167339628513835.xml · derivative · entry 2

Fesperman Bart · CIK 0001821616 · SVP Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,072

Underlying: Common Stock, $0.0001 par value · 25,991 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Common Stock.

F3 · derivative.exercise_date: The restricted stock units vest in three equal annual installments beginning on December 8, 2023.

F3 · derivative.expiration_date: The restricted stock units vest in three equal annual installments beginning on December 8, 2023.

Read SEC document
December 08, 2022 Filed Jan 11, 2023 00:18 UTC Amendment UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 GrantPerformance Units · Derivative 39,171 $0.00 $0.00
Disclosure

SEC source: 0001261654-23-000002 · wf-form4a_167339628513835.xml · derivative · entry 1

Fesperman Bart · CIK 0001821616 · SVP Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,648

Underlying: Common Stock, $0.0001 par value · 39,171 shares

Expires not disclosed

F1 · derivative.exercise_price: 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, 2025 and 40% of which vest based on adjusted EBITDA for the fiscal year ending September 30, 2025, the sum of which will be adjusted by a compound annual total shareholder return ("TSR") modifier (which modifier may result in the adjustment of the performance units by up to 25% either upward or downward). For purposes of determining the TSR, the change in the price of the UTI Common Stock is based upon the 30-trading day average closing stock price (i) immediately preceding and through grant date, and (ii) immediately preceding and through the 3rd anniversary of grant date (ending price). The amount represents the maximum number of shares that may be delivered pursuant to the award, which is 187.5% of the target number of shares.

F1 · derivative.exercise_date: 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, 2025 and 40% of which vest based on adjusted EBITDA for the fiscal year ending September 30, 2025, the sum of which will be adjusted by a compound annual total shareholder return ("TSR") modifier (which modifier may result in the adjustment of the performance units by up to 25% either upward or downward). For purposes of determining the TSR, the change in the price of the UTI Common Stock is based upon the 30-trading day average closing stock price (i) immediately preceding and through grant date, and (ii) immediately preceding and through the 3rd anniversary of grant date (ending price). The amount represents the maximum number of shares that may be delivered pursuant to the award, which is 187.5% of the target number of shares.

F1 · derivative.expiration_date: 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, 2025 and 40% of which vest based on adjusted EBITDA for the fiscal year ending September 30, 2025, the sum of which will be adjusted by a compound annual total shareholder return ("TSR") modifier (which modifier may result in the adjustment of the performance units by up to 25% either upward or downward). For purposes of determining the TSR, the change in the price of the UTI Common Stock is based upon the 30-trading day average closing stock price (i) immediately preceding and through grant date, and (ii) immediately preceding and through the 3rd anniversary of grant date (ending price). The amount represents the maximum number of shares that may be delivered pursuant to the award, which is 187.5% of the target number of shares.

Read SEC document
September 15, 2022 Filed Sep 19, 2022 20:16 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 Exercise / conversionRestricted Stock Units · Derivative 3,777 $0.00 $0.00
Disclosure

SEC source: 0001261654-22-000093 · wf-form4_166361857625046.xml · derivative · entry 4

Fesperman Bart · CIK 0001821616 · SVP Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,778

Underlying: Common Stock, $0.0001 par value · 3,777 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Common Stock.

F3 · derivative.exercise_date: On September 15, 2020, the reporting person was granted restricted stock units, vesting in three equal annual installments beginning on the first anniversary of the grant date.

F3 · derivative.expiration_date: On September 15, 2020, the reporting person was granted restricted stock units, vesting in three equal annual installments beginning on the first anniversary of the grant date.

Read SEC document
September 15, 2022 Filed Sep 19, 2022 20:16 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 Tax withholdingCommon Stock, $0.0001 par value 264 $6.50 $1,716.00
Disclosure

SEC source: 0001261654-22-000093 · wf-form4_166361857625046.xml · nonDerivative · entry 3

Fesperman Bart · CIK 0001821616 · SVP Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,610

F2 · shares: Shares withheld to satisfy tax liability for the vesting of performance units granted on 9/15/2020.

Read SEC document
September 15, 2022 Filed Sep 19, 2022 20:16 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 Tax withholdingCommon Stock, $0.0001 par value 1,022 $6.50 $6,643.00
Disclosure

SEC source: 0001261654-22-000093 · wf-form4_166361857625046.xml · nonDerivative · entry 2

Fesperman Bart · CIK 0001821616 · SVP Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,874

Read SEC document
September 15, 2022 Filed Sep 19, 2022 20:16 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 Exercise / conversionCommon Stock, $0.0001 par value 3,777 $0.00 $0.00
Disclosure

SEC source: 0001261654-22-000093 · wf-form4_166361857625046.xml · nonDerivative · entry 1

Fesperman Bart · CIK 0001821616 · SVP Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,896

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of Common Stock.

Read SEC document
January 13, 2022 Filed Jan 18, 2022 23:22 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 Exercise / conversionPerformance Units · Derivative 975 $0.00 $0.00
Disclosure

SEC source: 0001261654-22-000014 · wf-form4_164254813227377.xml · derivative · entry 2

Fesperman Bart · CIK 0001821616 · SVP Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.0001 par value · 975 shares

Expires 2022-09-15

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each performance unit represents a contingent right to receive one share of the Company's Common Stock, $0.0001, 60% of which vested based on revenue and 40% of which vested based on income from operations for the fiscal year ending September 30, 2021, the sum of which was adjusted by a compound annual total shareholder return ("TSR") modifier. For purposes of determining the TSR, the change in the price of the Company's common stock was based upon the 30-trading day average closing stock price (i) ending on and including January 7, 2020, and (ii) ending on and including the last day of the Performance Period, or January 6, 2022. The number of shares delivered is equal to 8.6% performance achievement pursuant to the terms of the award and was approved by the Compensation Committee of the Board of Directors on January 13, 2022 per the terms of the award.

F1 · derivative.exercise_date: Each performance unit represents a contingent right to receive one share of the Company's Common Stock, $0.0001, 60% of which vested based on revenue and 40% of which vested based on income from operations for the fiscal year ending September 30, 2021, the sum of which was adjusted by a compound annual total shareholder return ("TSR") modifier. For purposes of determining the TSR, the change in the price of the Company's common stock was based upon the 30-trading day average closing stock price (i) ending on and including January 7, 2020, and (ii) ending on and including the last day of the Performance Period, or January 6, 2022. The number of shares delivered is equal to 8.6% performance achievement pursuant to the terms of the award and was approved by the Compensation Committee of the Board of Directors on January 13, 2022 per the terms of the award.

Read SEC document
January 13, 2022 Filed Jan 18, 2022 23:22 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 Exercise / conversionCommon Stock, $0.0001 par value 975 $0.00 $0.00
Disclosure

SEC source: 0001261654-22-000014 · wf-form4_164254813227377.xml · nonDerivative · entry 1

Fesperman Bart · CIK 0001821616 · SVP Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,119

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each performance unit represents a contingent right to receive one share of the Company's Common Stock, $0.0001, 60% of which vested based on revenue and 40% of which vested based on income from operations for the fiscal year ending September 30, 2021, the sum of which was adjusted by a compound annual total shareholder return ("TSR") modifier. For purposes of determining the TSR, the change in the price of the Company's common stock was based upon the 30-trading day average closing stock price (i) ending on and including January 7, 2020, and (ii) ending on and including the last day of the Performance Period, or January 6, 2022. The number of shares delivered is equal to 8.6% performance achievement pursuant to the terms of the award and was approved by the Compensation Committee of the Board of Directors on January 13, 2022 per the terms of the award.

Read SEC document
December 15, 2021 Filed Dec 17, 2021 22:54 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 Exercise / conversionRestricted Stock Units · Derivative 4,646 $0.00 $0.00
Disclosure

SEC source: 0001261654-21-000103 · wf-form4_163978166457541.xml · derivative · entry 3

Fesperman Bart · CIK 0001821616 · SVP Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,292

Underlying: Common Stock, $0.0001 par value · 4,646 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of UTI Common Stock.

F4 · derivative.exercise_date: The restricted stock units vest in three equal annual installments beginning on 12/10/2021.

F4 · derivative.expiration_date: The restricted stock units vest in three equal annual installments beginning on 12/10/2021.

Read SEC document
December 15, 2021 Filed Dec 17, 2021 22:54 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 Tax withholdingCommon Stock, $0.0001 par value 1,257 $8.14 $10,231.98
Disclosure

SEC source: 0001261654-21-000103 · wf-form4_163978166457541.xml · nonDerivative · entry 2

Fesperman Bart · CIK 0001821616 · SVP Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,144

F3 · shares: Shares withheld to satisfy tax liability for the vesting of restricted stock units granted on 12/10/2020.

Read SEC document
December 15, 2021 Filed Dec 17, 2021 22:54 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 Exercise / conversionCommon Stock, $0.0001 par value 4,646 $0.00 $0.00
Disclosure

SEC source: 0001261654-21-000103 · wf-form4_163978166457541.xml · nonDerivative · entry 1

Fesperman Bart · CIK 0001821616 · SVP Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,401

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Shares of Common Stock received from vesting of restricted stock units granted on 12/10/2020.

F2 · price: Each restricted stock unit represents a contingent right to receive one share of UTI Common Stock.

Read SEC document
December 08, 2021 Filed Dec 10, 2021 22:03 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 GrantRestricted Stock Units · Derivative 13,516 $0.00 $0.00
Disclosure

SEC source: 0001261654-21-000075 · wf-form4_163917377769712.xml · derivative · entry 2

Fesperman Bart · CIK 0001821616 · SVP Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,009

Underlying: Common Stock, $0.0001 par value · 13,516 shares

Expires 2024-12-08

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of UTI Common Stock.

F3 · derivative.exercise_date: The restricted stock units vest in three equal annual installments beginning on December 8, 2022.

Read SEC document
December 08, 2021 Filed Dec 10, 2021 22:03 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 GrantPerformance Units · Derivative 25,343 $0.00 $0.00
Disclosure

SEC source: 0001261654-21-000075 · wf-form4_163917377769712.xml · derivative · entry 1

Fesperman Bart · CIK 0001821616 · SVP Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,725

Underlying: Common Stock, $0.0001 par value · 25,343 shares

Expires 2024-12-08

F1 · derivative.exercise_price: 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, 2024 and 40% of which vest based on income (loss) from operations for the fiscal year ending September 30, 2024, the sum of which will be adjusted by a compound annual total shareholder return ("TSR") modifier (which modifier may result in the adjustment of the performance units by up to 25% either upward or downward). For purposes of determining the TSR, the change in the price of the UTI Common Stock is based upon the 30-trading day average closing stock price (i) ending on and including the grant date, and (ii) ending on and including the last day of the Performance Period. The amount represents the maximum number of shares that may be delivered pursuant to the award, which is 187.5% of the target number of shares.

F1 · derivative.exercise_date: 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, 2024 and 40% of which vest based on income (loss) from operations for the fiscal year ending September 30, 2024, the sum of which will be adjusted by a compound annual total shareholder return ("TSR") modifier (which modifier may result in the adjustment of the performance units by up to 25% either upward or downward). For purposes of determining the TSR, the change in the price of the UTI Common Stock is based upon the 30-trading day average closing stock price (i) ending on and including the grant date, and (ii) ending on and including the last day of the Performance Period. The amount represents the maximum number of shares that may be delivered pursuant to the award, which is 187.5% of the target number of shares.

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September 17, 2021 Filed Sep 20, 2021 23:03 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 Exercise / conversionRestricted Stock Units · Derivative 3,777 $0.00 $0.00
Disclosure

SEC source: 0001261654-21-000065 · wf-form4_163217899284430.xml · derivative · entry 3

Fesperman Bart · CIK 0001821616 · SVP Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,493

Underlying: Common Stock, $0.0001 par value · 3,777 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Common Stock.

F4 · derivative.exercise_date: The restricted stock units vest in three equal annual installments beginning on 9/15/2021.

F4 · derivative.expiration_date: The restricted stock units vest in three equal annual installments beginning on 9/15/2021.

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September 17, 2021 Filed Sep 20, 2021 23:03 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 Tax withholdingCommon Stock, $0.0001 par value 1,022 $6.93 $7,082.46
Disclosure

SEC source: 0001261654-21-000065 · wf-form4_163217899284430.xml · nonDerivative · entry 2

Fesperman Bart · CIK 0001821616 · SVP Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,755

F3 · shares: Shares withheld to satisfy tax liability for the vesting of restricted stock units granted on 9/15/2020.

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September 17, 2021 Filed Sep 20, 2021 23:03 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 Exercise / conversionCommon Stock, $0.0001 par value 3,777 $0.00 $0.00
Disclosure

SEC source: 0001261654-21-000065 · wf-form4_163217899284430.xml · nonDerivative · entry 1

Fesperman Bart · CIK 0001821616 · SVP Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,777

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Shares of Common Stock received from vesting of restricted stock units granted on 9/15/2020.

F2 · price: Each restricted stock unit represents a contingent right to receive one share of Common Stock.

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December 10, 2020 Filed Dec 14, 2020 23:27 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 GrantRestricted Stock Units · Derivative 13,938 $0.00 $0.00
Disclosure

SEC source: 0001261654-20-000075 · wf-form4_160798845335007.xml · derivative · entry 2

Fesperman Bart · CIK 0001821616 · SVP Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,270

Underlying: Common Stock, $0.0001 par value · 13,938 shares

Expires 2023-12-10

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of UTI Common Stock.

F3 · derivative.exercise_date: The restricted stock units vest in three equal annual installments beginning on December 10, 2021.

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December 10, 2020 Filed Dec 14, 2020 23:27 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 GrantPerformance Units · Derivative 26,134 $0.00 $0.00
Disclosure

SEC source: 0001261654-20-000075 · wf-form4_160798845335007.xml · derivative · entry 1

Fesperman Bart · CIK 0001821616 · SVP Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,382

Underlying: Common Stock, $0.0001 par value · 26,134 shares

Expires 2023-12-10

F1 · derivative.exercise_price: 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, 2023 and 40% of which vest based on income (loss) from operations for the fiscal year ending September 30, 2023, the sum of which will be adjusted by a compound annual total shareholder return ("TSR") modifier (which modifier may result in the adjustment of the performance units by up to 25% either upward or downward). For purposes of determining the TSR, the change in the price of the UTI Common Stock is based upon the 30-trading day average closing stock price (i) ending on and including the grant date, and (ii) ending on and including the last day of the Performance Period. The amount represents the maximum number of shares that may be delivered pursuant to the award, which is 187.5% of the target number of shares.

F1 · derivative.exercise_date: 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, 2023 and 40% of which vest based on income (loss) from operations for the fiscal year ending September 30, 2023, the sum of which will be adjusted by a compound annual total shareholder return ("TSR") modifier (which modifier may result in the adjustment of the performance units by up to 25% either upward or downward). For purposes of determining the TSR, the change in the price of the UTI Common Stock is based upon the 30-trading day average closing stock price (i) ending on and including the grant date, and (ii) ending on and including the last day of the Performance Period. The amount represents the maximum number of shares that may be delivered pursuant to the award, which is 187.5% of the target number of shares.

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September 15, 2020 Filed Sep 17, 2020 21:26 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 GrantPerformance Units · Derivative 21,248 $0.00 $0.00
Disclosure

SEC source: 0001261654-20-000053 · wf-form4_160037799600727.xml · derivative · entry 2

Fesperman Bart · CIK 0001821616 · SVP Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,248

Underlying: Common Stock, $0.0001 par value · 21,248 shares

Expires 2022-09-15

F2 · derivative.exercise_price: Each performance unit represents a contingent right to receive one share of the Company's common stock, 60% of which vest based on revenue for the fiscal year ending September 30, 2021 and 40% of which vest based on income (loss) from operations for the fiscal year ending September 30, 2021, the sum of which will be adjusted by a compound annual total shareholder return ("TSR") modifier (which modifier may result in the adjustment of the performance units by up to 25% either upward or downward). For purposes of determining the TSR, the change in the price of the Company's common stock is based upon the 30-trading day average closing stock price (i) ending on and including the grant date, and (ii) ending on and including the last day of the Performance Period. The amount represents the maximum number of shares that may be delivered pursuant to the award, which is 187.5% of the target number of shares.

F2 · derivative.exercise_date: Each performance unit represents a contingent right to receive one share of the Company's common stock, 60% of which vest based on revenue for the fiscal year ending September 30, 2021 and 40% of which vest based on income (loss) from operations for the fiscal year ending September 30, 2021, the sum of which will be adjusted by a compound annual total shareholder return ("TSR") modifier (which modifier may result in the adjustment of the performance units by up to 25% either upward or downward). For purposes of determining the TSR, the change in the price of the Company's common stock is based upon the 30-trading day average closing stock price (i) ending on and including the grant date, and (ii) ending on and including the last day of the Performance Period. The amount represents the maximum number of shares that may be delivered pursuant to the award, which is 187.5% of the target number of shares.

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September 15, 2020 Filed Sep 17, 2020 21:26 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 GrantCommon Stock, $0.0001 par value 11,332 $0.00 $0.00
Disclosure

SEC source: 0001261654-20-000053 · wf-form4_160037799600727.xml · nonDerivative · entry 1

Fesperman Bart · CIK 0001821616 · SVP Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,332

F1 · shares: One third of the restricted stock units approved by the Board of Directors shall vest on each anniversary of the grant date.

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September 15, 2020 Filed Dec 23, 2020 21:26 UTC Amendment UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 GrantRestricted Stock Units · Derivative 11,332 $0.00 $0.00
Disclosure

SEC source: 0001261654-20-000093 · wf-form4a_160875875692799.xml · derivative · entry 1

Fesperman Bart · CIK 0001821616 · SVP Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,270

Underlying: Common Stock, $0.0001 par value · 11,332 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of UTI Common Stock.

F2 · shares: This Form 4/A does not report a new transaction. The reporting person's original Form 4 incorrectly reported these securities as Common Stock rather than restricted stock units.

F3 · derivative.exercise_date: The restricted stock units vest in three equal annual installments beginning on September 15, 2021.

F3 · derivative.expiration_date: The restricted stock units vest in three equal annual installments beginning on September 15, 2021.

F4 · balance_after: The incorrect classification described in footnote (2) above resulted in incorrect reporting of beneficial ownership of the UTI Common Stock in the original Form 4. As of the date of this Form 4/A, none of the restricted stock units has vested. The beneficial ownership of the restricted stock units has been corrected in this Form 4/A and reflects the reporting person's correct ownership as of the date of this filing.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.