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Grant Jerome Alan

Disclosed activity across 1 company

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34437
SEC CIK
0001723537

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Latest disclosed role at each company.

CompanyLast reported asReport datePublished
UNIVERSAL TECHNICAL INSTITUTE INCUTI · Entity 4868Director · Chief Executive OfficerJune 29, 2026July 01, 2026

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 June 29, 2026 · Filed July 01, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common Stock, $0.0001 par valueSEC Table I · non-derivativeDirect335,715 Ending reported balance After 2026-06-29 transaction · row 2
2 source rows · reconciled sequence

Row 1 · 2026-06-29 · Sale · Disposed 45,539 · Balance 384,676

F1: These shares were sold by the reporting person for personal tax planning purposes.

F2: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $40.50 to $41.495. The reporting person undertakes to provide the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth herein.

Row 2 · 2026-06-29 · Sale · Disposed 48,961 · Balance 335,715

F1: These shares were sold by the reporting person for personal tax planning purposes.

F3: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $41.50 to $42.12. The reporting person undertakes to provide the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth herein.

Filing footnotes · ownership attribution and instrument terms

F1: These shares were sold by the reporting person for personal tax planning purposes.

F2: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $40.50 to $41.495. The reporting person undertakes to provide the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth herein.

F3: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $41.50 to $42.12. The reporting person undertakes to provide the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth herein.

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
June 29, 2026 Filed Jul 1, 2026 00:00 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 SaleCommon Stock, $0.0001 par value 48,961 $41.63 $2,038,217.05
Disclosure

SEC source: 0001193125-26-291140 · ownership.xml · nonDerivative · entry 2

Grant Jerome Alan · CIK 0001723537 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 335,715

F1 · shares: These shares were sold by the reporting person for personal tax planning purposes.

F3 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $41.50 to $42.12. The reporting person undertakes to provide the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth herein.

Read SEC document
June 29, 2026 Filed Jul 1, 2026 00:00 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 SaleCommon Stock, $0.0001 par value 45,539 $41.15 $1,874,089.24
Disclosure

SEC source: 0001193125-26-291140 · ownership.xml · nonDerivative · entry 1

Grant Jerome Alan · CIK 0001723537 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 384,676

F1 · shares: These shares were sold by the reporting person for personal tax planning purposes.

F2 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $40.50 to $41.495. The reporting person undertakes to provide the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth herein.

Read SEC document
February 27, 2026 Filed Mar 3, 2026 00:45 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 SaleCommon Stock, $0.0001 par value 60,040 $34.95 $2,098,494.06
Disclosure

SEC source: 0001193125-26-086176 · ownership.xml · nonDerivative · entry 1

Grant Jerome Alan · CIK 0001723537 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 430,215

F1 · shares: These shares were sold by the reporting person for personal tax planning purposes.

F2 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $34.41 to $35.115. The reporting person undertakes to provide the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth herein.

Read SEC document
December 17, 2025 Filed Dec 19, 2025 22:00 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 Tax withholdingCommon Stock, $0.0001 par value 9,276 $26.06 $241,732.56
Disclosure

SEC source: 0001193125-25-327031 · ownership.xml · nonDerivative · entry 1

Grant Jerome Alan · CIK 0001723537 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 490,255

F1 · shares: Shares withheld by the issuer to satisfy tax-withholding obligations upon vesting of restricted stock units granted on December 12, 2024.

Read SEC document
December 11, 2025 Filed Dec 13, 2025 01:13 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 Tax withholdingCommon Stock, $0.0001 par value 12,097 $24.55 $296,981.35
Disclosure

SEC source: 0001193125-25-318028 · ownership.xml · nonDerivative · entry 4

Grant Jerome Alan · CIK 0001723537 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 499,531

F5 · shares: Shares withheld by the issuer to satisfy tax-withholding obligations upon vesting of restricted stock units granted on December 8, 2023.

Read SEC document
December 11, 2025 Filed Dec 13, 2025 01:13 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 Tax withholdingCommon Stock, $0.0001 par value 19,232 $24.55 $472,145.60
Disclosure

SEC source: 0001193125-25-318028 · ownership.xml · nonDerivative · entry 3

Grant Jerome Alan · CIK 0001723537 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 511,628

F4 · shares: Shares withheld by the issuer to satisfy tax-withholding obligations upon vesting of restricted stock units granted on December 8, 2022.

Read SEC document
December 11, 2025 Filed Dec 13, 2025 01:13 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 Tax withholdingCommon Stock, $0.0001 par value 80,391 $24.55 $1,973,599.05
Disclosure

SEC source: 0001193125-25-318028 · ownership.xml · nonDerivative · entry 2

Grant Jerome Alan · CIK 0001723537 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 530,860

F3 · shares: Shares withheld by the issuer to satisfy tax-withholding obligations upon settlement of the performance-based restricted stock units granted on December 8, 2022.

Read SEC document
December 11, 2025 Filed Dec 13, 2025 01:13 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 GrantCommon Stock, $0.0001 par value 72,233 Not disclosed Not disclosed
Disclosure

SEC source: 0001193125-25-318028 · ownership.xml · nonDerivative · entry 1

Grant Jerome Alan · CIK 0001723537 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 611,251

F1 · shares: The restricted stock units ("RSU") vest in three equal installments beginning on December 15, 2026.

F2 · price: Each RSU represents a contingent right to receive one share of issuer's Common Stock.

Read SEC document
December 08, 2025 Filed Dec 11, 2025 00:19 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 GrantCommon Stock, $0.0001 par value 194,394 $0.00 $0.00
Disclosure

SEC source: 0001193125-25-314598 · ownership.xml · nonDerivative · entry 1

Grant Jerome Alan · CIK 0001723537 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 539,018

F1 · shares: Shares underlying a performance-based restricted stock unit award that was earned on the basis of the issuer's achievement of certain performance vesting criteria (as stated in the agreement governing the award).

Read SEC document
May 12, 2025 Filed May 14, 2025 21:00 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 SaleCommon Stock, $0.0001 par value 56,492 $33.80 $1,909,429.60
Disclosure

SEC source: 0000950170-25-071581 · ownership.xml · nonDerivative · entry 1

Grant Jerome Alan · CIK 0001723537 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 344,624

F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $33.27 to $34.185. The reporting person undertakes to provide to the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within range set forth herein.

Read SEC document
December 17, 2024 Filed Dec 18, 2024 01:27 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 Tax withholdingCommon Stock, $0.0001 par value 22,788 $25.77 $587,246.76
Disclosure

SEC source: 0000950170-24-137531 · ownership.xml · nonDerivative · entry 2

Grant Jerome Alan · CIK 0001723537 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 401,116

Read SEC document
December 13, 2024 Filed Dec 18, 2024 01:27 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 GrantCommon Stock, $0.0001 par value 55,110 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-137531 · ownership.xml · nonDerivative · entry 1

Grant Jerome Alan · CIK 0001723537 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 423,904

F1 · shares: Shares underlying a performance-based restricted stock unit award that was earned on the basis of the issuer's achievement of certain performance vesting criteria (as stated in the agreement governing the award).

Read SEC document
December 12, 2024 Filed Dec 17, 2024 01:57 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 GrantCommon Stock, $0.0001 par value 67,295 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-24-136870 · ownership.xml · nonDerivative · entry 1

Grant Jerome Alan · CIK 0001723537 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 368,794

F1 · shares: The restricted stock units ("RSU") vest in three equal installments beginning on December 15, 2025.

F2 · price: Each RSU represents a contingent right to receive one share of issuer's Common Stock.

Read SEC document
December 10, 2024 Filed Dec 12, 2024 01:38 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 Tax withholdingCommon Stock, $0.0001 par value 42,345 $25.62 $1,084,878.90
Disclosure

SEC source: 0000950170-24-135569 · ownership.xml · nonDerivative · entry 1

Grant Jerome Alan · CIK 0001723537 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 301,499

F1 · balance_after: The reported transaction involved the withholding of 42,345 shares of common stock in connection with the vesting of the reporting person's previously granted restricted stock units ("RSUs"). The reporting person has reported prior awards of RSUs in Table II of Form 4. The total reported in Column 5 includes the withholding of 42,345 shares, 207,401 RSU's previously reported in Table II and 136,443 shares of common stock.

Read SEC document
August 23, 2024 Filed Aug 24, 2024 00:54 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 SaleCommon Stock, $0.0001 par value 68,000 $17.53 $1,192,373.20
Disclosure

SEC source: 0000950170-24-100311 · ownership.xml · nonDerivative · entry 1

Grant Jerome Alan · CIK 0001723537 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 136,443

F1 · shares: The shares sold in connection with this transaction were sold to facilitate estate planning purposes.

F2 · price: The prices reported in Column 4 reflect a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.31 to 17.64. The reporting person undertakes to provide to the issuer or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth herein.

Read SEC document
December 14, 2023 Filed Dec 18, 2023 23:56 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 Exercise / conversionPerformance Units · Derivative 57,875 $0.00 $0.00
Disclosure

SEC source: 0001261654-23-000147 · wk-form4_1702943797.xml · derivative · entry 3

Grant Jerome Alan · CIK 0001723537 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.0001 par value · 57,875 shares

Expires 2020-12-05

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 performance unit represents a contingent right to receive one share of the Company's Common Stock, $0.0001 par value, 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 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, $0.0001 par value, 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 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.expiration_date: Each performance unit represents a contingent right to receive one share of the Company's Common Stock, $0.0001 par value, 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 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
December 14, 2023 Filed Dec 18, 2023 23:56 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 Tax withholdingCommon Stock, $0.0001 par value 23,932 $10.94 $261,816.08
Disclosure

SEC source: 0001261654-23-000147 · wk-form4_1702943797.xml · nonDerivative · entry 2

Grant Jerome Alan · CIK 0001723537 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 204,443

F1 · shares: Vesting of Performance Units granted on 12/10/2020. Shares withheld to satisfy tax liability.

Read SEC document
December 14, 2023 Filed Dec 18, 2023 23:56 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 Exercise / conversionCommon Stock, $0.0001 par value 57,875 $0.00 $0.00
Disclosure

SEC source: 0001261654-23-000147 · wk-form4_1702943797.xml · nonDerivative · entry 1

Grant Jerome Alan · CIK 0001723537 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 228,375

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.

Read SEC document
December 10, 2023 Filed Dec 13, 2023 00:45 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 Exercise / conversionRestricted Stock Units · Derivative 31,940 $0.00 $0.00
Disclosure

SEC source: 0001261654-23-000113 · wk-form4_1702428341.xml · derivative · entry 11

Grant Jerome Alan · CIK 0001723537 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.0001 par value · 31,940 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 UTI Common Stock.

F6 · derivative.exercise_date: The restricted stock units vest in three equal annual installments beginning on 12/10/2021.

F6 · derivative.expiration_date: The restricted stock units vest in three equal annual installments beginning on 12/10/2021.

Read SEC document
December 10, 2023 Filed Dec 13, 2023 00:45 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 Tax withholdingCommon Stock, $0.0001 par value 13,208 $11.88 $156,911.04
Disclosure

SEC source: 0001261654-23-000113 · wk-form4_1702428341.xml · nonDerivative · entry 6

Grant Jerome Alan · CIK 0001723537 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 170,500

Read SEC document
December 10, 2023 Filed Dec 13, 2023 00:45 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 Exercise / conversionCommon Stock, $0.0001 par value 31,940 $0.00 $0.00
Disclosure

SEC source: 0001261654-23-000113 · wk-form4_1702428341.xml · nonDerivative · entry 5

Grant Jerome Alan · CIK 0001723537 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 183,708

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 UTI Common Stock.

Read SEC document
December 08, 2023 Filed Dec 13, 2023 00:45 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 GrantPerformance Units · Derivative 164,552 $0.00 $0.00
Disclosure

SEC source: 0001261654-23-000113 · wk-form4_1702428341.xml · derivative · entry 10

Grant Jerome Alan · CIK 0001723537 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 164,552

Underlying: Common Stock, $0.0001 par value · 164,552 shares

Expires not disclosed

F5 · 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, 2026 and 40% of which vest based on adjusted EBITDA for the fiscal year ending September 30, 2026.

F5 · 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, 2026 and 40% of which vest based on adjusted EBITDA for the fiscal year ending September 30, 2026.

F5 · 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, 2026 and 40% of which vest based on adjusted EBITDA for the fiscal year ending September 30, 2026.

Read SEC document
December 08, 2023 Filed Dec 13, 2023 00:45 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 GrantRestricted Stock Units · Derivative 87,761 $0.00 $0.00
Disclosure

SEC source: 0001261654-23-000113 · wk-form4_1702428341.xml · derivative · entry 9

Grant Jerome Alan · CIK 0001723537 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 87,761

Underlying: Common Stock, $0.0001 par value · 87,761 shares

Expires not disclosed

F1 · 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 installments beginning on December 8, 2024.

F4 · derivative.expiration_date: The restricted stock units vest in three equal installments beginning on December 8, 2024.

Read SEC document
December 08, 2023 Filed Dec 13, 2023 00:45 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 Exercise / conversionRestricted Stock Units · Derivative 46,507 $0.00 $0.00
Disclosure

SEC source: 0001261654-23-000113 · wk-form4_1702428341.xml · derivative · entry 8

Grant Jerome Alan · CIK 0001723537 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 93,016

Underlying: Common Stock, $0.0001 par value · 46,507 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 UTI 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, 2023 Filed Dec 13, 2023 00:45 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 Exercise / conversionRestricted Stock Units · Derivative 26,623 $0.00 $0.00
Disclosure

SEC source: 0001261654-23-000113 · wk-form4_1702428341.xml · derivative · entry 7

Grant Jerome Alan · CIK 0001723537 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,624

Underlying: Common Stock, $0.0001 par value · 26,623 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 UTI Common Stock.

F2 · derivative.exercise_date: Share of Common Stock received from vesting of restricted stock units on 12/08/2021.

F2 · derivative.expiration_date: Share of Common Stock received from vesting of restricted stock units on 12/08/2021.

Read SEC document
December 08, 2023 Filed Dec 13, 2023 00:45 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 Tax withholdingCommon Stock, $0.0001 par value 19,231 $11.88 $228,464.28
Disclosure

SEC source: 0001261654-23-000113 · wk-form4_1702428341.xml · nonDerivative · entry 4

Grant Jerome Alan · CIK 0001723537 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 151,768

Read SEC document
December 08, 2023 Filed Dec 13, 2023 00:45 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 Exercise / conversionCommon Stock, $0.0001 par value 46,507 $0.00 $0.00
Disclosure

SEC source: 0001261654-23-000113 · wk-form4_1702428341.xml · nonDerivative · entry 3

Grant Jerome Alan · CIK 0001723537 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 170,999

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 UTI Common Stock.

Read SEC document
December 08, 2023 Filed Dec 13, 2023 00:45 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 Tax withholdingCommon Stock, $0.0001 par value 11,007 $11.88 $130,763.16
Disclosure

SEC source: 0001261654-23-000113 · wk-form4_1702428341.xml · nonDerivative · entry 2

Grant Jerome Alan · CIK 0001723537 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 124,492

Read SEC document
December 08, 2023 Filed Dec 13, 2023 00:45 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 Exercise / conversionCommon Stock, $0.0001 par value 26,623 $0.00 $0.00
Disclosure

SEC source: 0001261654-23-000113 · wk-form4_1702428341.xml · nonDerivative · entry 1

Grant Jerome Alan · CIK 0001723537 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 135,499

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 UTI Common Stock.

Read SEC document
January 07, 2023 Filed Jan 11, 2023 00:28 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 Exercise / conversionRestricted Stock Units · Derivative 23,570 $0.00 $0.00
Disclosure

SEC source: 0001261654-23-000019 · wf-form4_167339690801833.xml · derivative · entry 3

Grant Jerome Alan · CIK 0001723537 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.0001 par value · 23,570 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: On January 7, 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 January 7, 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
January 07, 2023 Filed Jan 11, 2023 00:28 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 Tax withholdingCommon Stock, $0.0001 par value 10,801 $6.71 $72,474.71
Disclosure

SEC source: 0001261654-23-000019 · wf-form4_167339690801833.xml · nonDerivative · entry 2

Grant Jerome Alan · CIK 0001723537 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,876

F3 · shares: Shares withheld to satisfy tax liability for the vesting of performance units granted on 1/7/2020.

Read SEC document
January 07, 2023 Filed Jan 11, 2023 00:28 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 Exercise / conversionCommon Stock, $0.0001 par value 23,570 $0.00 $0.00
Disclosure

SEC source: 0001261654-23-000019 · wf-form4_167339690801833.xml · nonDerivative · entry 1

Grant Jerome Alan · CIK 0001723537 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,677

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 1/7/2020.

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

Read SEC document
December 10, 2022 Filed Dec 13, 2022 20:34 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 Exercise / conversionRestricted Stock Units · Derivative 31,940 $0.00 $0.00
Disclosure

SEC source: 0001261654-22-000155 · wf-form4_167096363228078.xml · derivative · entry 3

Grant Jerome Alan · CIK 0001723537 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,940

Underlying: Common Stock, $0.0001 par value · 31,940 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 20:34 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 Tax withholdingCommon Stock, $0.0001 par value 13,422 $7.15 $95,967.30
Disclosure

SEC source: 0001261654-22-000155 · wf-form4_167096363228078.xml · nonDerivative · entry 2

Grant Jerome Alan · CIK 0001723537 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,107

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 20:34 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 Exercise / conversionCommon Stock, $0.0001 par value 31,940 $0.00 $0.00
Disclosure

SEC source: 0001261654-22-000155 · wf-form4_167096363228078.xml · nonDerivative · entry 1

Grant Jerome Alan · CIK 0001723537 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,529

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 22:28 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 GrantRestricted Stock Units · Derivative 139,581 $0.00 $0.00
Disclosure

SEC source: 0001261654-22-000127 · wf-form4_167088407113938.xml · derivative · entry 2

Grant Jerome Alan · CIK 0001723537 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 280,278

Underlying: Common Stock, $0.0001 par value · 139,581 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 22:28 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 GrantPerformance Units · Derivative 104,515 $0.00 $0.00
Disclosure

SEC source: 0001261654-22-000127 · wf-form4_167088407113938.xml · derivative · entry 1

Grant Jerome Alan · CIK 0001723537 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 358,128

Underlying: Common Stock, $0.0001 par value · 104,515 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 21:57 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 Exercise / conversionRestricted Stock Units · Derivative 26,623 $0.00 $0.00
Disclosure

SEC source: 0001261654-22-000118 · wf-form4_167088223658394.xml · derivative · entry 3

Grant Jerome Alan · CIK 0001723537 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,247

Underlying: Common Stock, $0.0001 par value · 26,623 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 21:57 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 Tax withholdingCommon Stock, $0.0001 par value 11,186 $7.19 $80,427.34
Disclosure

SEC source: 0001261654-22-000118 · wf-form4_167088223658394.xml · nonDerivative · entry 2

Grant Jerome Alan · CIK 0001723537 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,589

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 21:57 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 Exercise / conversionCommon Stock, $0.0001 par value 26,623 $0.00 $0.00
Disclosure

SEC source: 0001261654-22-000118 · wf-form4_167088223658394.xml · nonDerivative · entry 1

Grant Jerome Alan · CIK 0001723537 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,775

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 00:30 UTC Amendment UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 Exercise / conversionRestricted Stock Units · Derivative 26,623 $0.00 $0.00
Disclosure

SEC source: 0001261654-23-000024 · wf-form4a_167339700253778.xml · derivative · entry 5

Grant Jerome Alan · CIK 0001723537 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,623

Underlying: Common Stock, $0.0001 par value · 26,623 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.

F6 · derivative.exercise_date: Share of Common Stock received from vesting of restricted stock units on 12/08/2021.

Read SEC document
December 08, 2022 Filed Jan 11, 2023 00:30 UTC Amendment UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 GrantRestricted Stock Units · Derivative 139,523 $0.00 $0.00
Disclosure

SEC source: 0001261654-23-000024 · wf-form4a_167339700253778.xml · derivative · entry 4

Grant Jerome Alan · CIK 0001723537 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 280,220

Underlying: Common Stock, $0.0001 par value · 139,523 shares

Expires not disclosed

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

F5 · derivative.exercise_date: The restricted stock units vest in three equal annual installments beginning on December 8, 2023.

F5 · 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 00:30 UTC Amendment UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 GrantPerformance Units · Derivative 195,857 $0.00 $0.00
Disclosure

SEC source: 0001261654-23-000024 · wf-form4a_167339700253778.xml · derivative · entry 3

Grant Jerome Alan · CIK 0001723537 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 525,275

Underlying: Common Stock, $0.0001 par value · 195,857 shares

Expires not disclosed

F4 · 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.

F4 · 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.

F4 · 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 Jan 11, 2023 00:30 UTC Amendment UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 Tax withholdingCommon Stock, $0.0001 par value 11,186 $7.19 $80,427.34
Disclosure

SEC source: 0001261654-23-000024 · wf-form4a_167339700253778.xml · nonDerivative · entry 2

Grant Jerome Alan · CIK 0001723537 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,589

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 Jan 11, 2023 00:30 UTC Amendment UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 Exercise / conversionCommon Stock, $0.0001 par value 26,623 $0.00 $0.00
Disclosure

SEC source: 0001261654-23-000024 · wf-form4a_167339700253778.xml · nonDerivative · entry 1

Grant Jerome Alan · CIK 0001723537 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,775

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
June 01, 2022 Filed Jun 2, 2022 20:38 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 SaleCommon Stock, $0.0001 par value 25,000 $9.12 $228,000.00
Disclosure

SEC source: 0001261654-22-000086 · wf-form4_165420225706051.xml · nonDerivative · entry 2

Grant Jerome Alan · CIK 0001723537 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,152

F3 · price: The price reported in Column 4 is a weighted average. These shares were sold in multiple transactions at prices ranging from $9.07 to $9.23, inclusive. The Reporting Person undertakes to provide to Universal Technical Institute, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F1 · acquired: The Reporting Person's sale of shares was completed in connection with his financial planning needs, including for tax and estate planning purposes.

Read SEC document
May 31, 2022 Filed Jun 2, 2022 20:38 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 SaleCommon Stock, $0.0001 par value 20,000 $9.08 $181,600.00
Disclosure

SEC source: 0001261654-22-000086 · wf-form4_165420225706051.xml · nonDerivative · entry 1

Grant Jerome Alan · CIK 0001723537 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,152

F2 · price: The price reported in Column 4 is a weighted average. These shares were sold in multiple transactions at prices ranging from $9.01 to $9.24, inclusive. The Reporting Person undertakes to provide to Universal Technical Institute, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F1 · acquired: The Reporting Person's sale of shares was completed in connection with his financial planning needs, including for tax and estate planning purposes.

Read SEC document
January 20, 2022 Filed Jan 24, 2022 21:59 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 Tax withholdingCommon Stock, $0.0001 par value 2,809 $7.75 $21,769.75
Disclosure

SEC source: 0001261654-22-000042 · wf-form4_164306154163396.xml · nonDerivative · entry 1

Grant Jerome Alan · CIK 0001723537 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,152

F1 · shares: Shares withheld to satisfy tax liability for the vesting of performance units granted on 1/7/2020.

Read SEC document
January 13, 2022 Filed Jan 18, 2022 23:51 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 Exercise / conversionPerformance Units · Derivative 6,701 $0.00 $0.00
Disclosure

SEC source: 0001261654-22-000030 · wf-form4_164254989050412.xml · derivative · entry 2

Grant Jerome Alan · CIK 0001723537 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.0001 par value · 6,701 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 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 ended September 30, 2021, the sum of which was adjusted by the 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 the grant date of 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 ended September 30, 2021, the sum of which was adjusted by the 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 the grant date of 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.expiration_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 ended September 30, 2021, the sum of which was adjusted by the 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 the grant date of 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 23:51 UTC UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 Exercise / conversionCommon Stock, $0.0001 par value 6,701 $0.00 $0.00
Disclosure

SEC source: 0001261654-22-000030 · wf-form4_164254989050412.xml · nonDerivative · entry 1

Grant Jerome Alan · CIK 0001723537 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,961

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 ended September 30, 2021, the sum of which was adjusted by the 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 the grant date of 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

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