Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| UNIVERSAL TECHNICAL INSTITUTE INCUTI · Entity 4868 | SVP Chief Information Officer | December 13, 2024 | December 18, 2024 |
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 December 13, 2024 · Filed December 18, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $0.0001 par valueSEC Table I · non-derivative | Direct | 91,219 |
Ending reported balance
After 2024-12-17 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2024-12-13 · Grant · Acquired 9,725 · Balance 93,928 F1: 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). Row 2 · 2024-12-17 · Tax withholding · Disposed 2,709 · Balance 91,219 |
Filing footnotes · ownership attribution and instrument terms
F1: 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).
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 |
|---|---|---|---|---|---|---|
| December 15, 2021 Filed Dec 17, 2021 22:57 UTC | UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 | Tax withholdingCommon Stock, $0.0001 par value | 1,327 | $8.14 | $10,801.78 |
DisclosureSEC source: 0001261654-21-000107 · wf-form4_163978183972748.xml · nonDerivative · entry 2 Smith Lori B · CIK 0001799017 · SVP Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,525 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 22:57 UTC | UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 | Exercise / conversionCommon Stock, $0.0001 par value | 4,646 | $0.00 | $0.00 |
DisclosureSEC source: 0001261654-21-000107 · wf-form4_163978183972748.xml · nonDerivative · entry 1 Smith Lori B · CIK 0001799017 · SVP Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,852 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 22:18 UTC | UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 | GrantRestricted Stock Units · Derivative | 14,094 | $0.00 | $0.00 |
DisclosureSEC source: 0001261654-21-000089 · wf-form4_163917468321375.xml · derivative · entry 2 Smith Lori B · CIK 0001799017 · SVP Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,729 Underlying: Common Stock, $0.0001 par value · 14,094 shares Expires 2024-12-08 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, 2022. Read SEC document |
| December 08, 2021 Filed Dec 10, 2021 22:18 UTC | UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 | GrantPerformance Units · Derivative | 26,427 | $0.00 | $0.00 |
DisclosureSEC source: 0001261654-21-000089 · wf-form4_163917468321375.xml · derivative · entry 1 Smith Lori B · CIK 0001799017 · SVP Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,208 Underlying: Common Stock, $0.0001 par value · 26,427 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 |
| January 11, 2021 Filed Jan 13, 2021 22:18 UTC | UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 | Exercise / conversionRestricted Stock Units · Derivative | 3,848 | $0.00 | $0.00 |
DisclosureSEC source: 0001261654-21-000010 · wf-form4_161057627981342.xml · derivative · entry 4 Smith Lori B · CIK 0001799017 · SVP Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,635 Underlying: Common Stock, $0.0001 par value · 3,848 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 1/7/2021. F4 · derivative.expiration_date: The restricted stock units vest in three equal annual installments beginning on 1/7/2021. Read SEC document |
| January 11, 2021 Filed Jan 13, 2021 22:18 UTC | UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 | Tax withholdingCommon Stock, $0.0001 par value | 1,303 | $6.41 | $8,352.23 |
DisclosureSEC source: 0001261654-21-000010 · wf-form4_161057627981342.xml · nonDerivative · entry 2 Smith Lori B · CIK 0001799017 · SVP Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,206 F3 · shares: Shares withheld to satisfy tax liability for the vesting of restricted stock units granted on 1/7/2020. Read SEC document |
| January 11, 2021 Filed Jan 13, 2021 22:18 UTC | UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 | Exercise / conversionCommon Stock, $0.0001 par value | 3,848 | $0.00 | $0.00 |
DisclosureSEC source: 0001261654-21-000010 · wf-form4_161057627981342.xml · nonDerivative · entry 1 Smith Lori B · CIK 0001799017 · SVP Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,509 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, 2020 Filed Dec 14, 2020 23:35 UTC | UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 | GrantRestricted Stock Units · Derivative | 13,938 | $0.00 | $0.00 |
DisclosureSEC source: 0001261654-20-000079 · wf-form4_160798892018364.xml · derivative · entry 3 Smith Lori B · CIK 0001799017 · SVP Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,483 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 23:35 UTC | UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 | GrantPerformance Units · Derivative | 26,134 | $0.00 | $0.00 |
DisclosureSEC source: 0001261654-20-000079 · wf-form4_160798892018364.xml · derivative · entry 2 Smith Lori B · CIK 0001799017 · SVP Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,781 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 |
| January 07, 2020 Filed Jan 9, 2020 21:29 UTC | UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 | GrantPerformance Units · Derivative | 21,647 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-002747 · doc4.xml · derivative · entry 3 Smith Lori B · CIK 0001799017 · SVP Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,647 Underlying: Common Stock · 21,647 shares Expires 2022-01-07 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 |
| January 07, 2020 Filed Jan 9, 2020 21:29 UTC | UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 | GrantCommon Stock, $0.0001 par value | 11,545 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-002747 · doc4.xml · nonDerivative · entry 1 Smith Lori B · CIK 0001799017 · SVP Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,206 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 |
| January 07, 2020 Filed Dec 23, 2020 22:21 UTC Amendment | UNIVERSAL TECHNICAL INSTITUTE INC UTI · Entity 4868 | GrantRestricted Stock Units · Derivative | 11,545 | $0.00 | $0.00 |
DisclosureSEC source: 0001261654-20-000101 · wf-form4a_160876208198126.xml · derivative · entry 1 Smith Lori B · CIK 0001799017 · SVP Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,483 Underlying: Common Stock, $0.0001 par value · 11,545 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 January 7, 2021. F3 · derivative.expiration_date: The restricted stock units vest in three equal annual installments beginning on January 7, 2021. F4 · balance_after: The incorrect classification described in footnote (2) above resulted in incorrect reporting of beneficial ownership of the 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.