Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| UNIVERSAL TECHNICAL INSTITUTE INCUTI · Entity 4868 | SVP Chief Commercial Officer | September 15, 2023 | September 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $0.0001 par valueSEC Table I · non-derivative | Direct | 19,067 |
Ending reported balance
After 2023-09-15 transaction · row 2
2 source rows · reconciled sequenceRow 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 security | Direct | 0 |
Reported balance
After 2023-09-15 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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. Read SEC document |
| 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 |
DisclosureSEC 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. Read SEC document |
| 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 |
DisclosureSEC 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. Read SEC document |
| 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 |
DisclosureSEC 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. Read SEC document |
| 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 |
DisclosureSEC 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. Read SEC document |
| 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 |
DisclosureSEC 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. Read SEC document |
| 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 |
DisclosureSEC 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. Read SEC document |
| 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 |
DisclosureSEC 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. Read SEC document |
| 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 |
DisclosureSEC 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.