SEC Form 4 · accession 0000950103-17-003659
Ultra Clean Holdings, Inc. · UCTT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Speirs
Officer — SVP, North America
Period of report
Mar 1, 2017
Accepted (ET)
Apr 19, 2017 · 5:43 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001275014
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Mar 1, 2017 | P | 4,204 | $14.29 | A | 147,920 | D | |
| Common Stock | Mar 15, 2017 | S | 9,958 | $14.60 | D | 137,962 | D | |
| Common StockF2 | Mar 17, 2017 | S | 18,052 | $15.371 | D | 119,910 | D | |
| Common StockF4 | Apr 17, 2017 | S | 16,119 | $15.1284 | D | 103,791 | D | |
| Common Stock | holding | — | — | — | 200 | I | by son |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This Form is being filed late to report transactions that were inadvertently omitted from prior reports. The reporting person's sale of UCTT common stock reported herein was matchable under Section 16(b) of the Securities Exchange Act of 1934, to the extent of 4,204 shares, with the reporting person's purchase of 4,204 shares of UCTT common stock at a price of $14.29 per share on March 1, 2017. The reporting person has paid UCTT $4,666.44, representing the full amount of the profit (using a per share sale price of $15.40, which was the highest sale price for any individual sale transaction during the relevant time period) in connection with the short-swing transaction, and the reporting person has further agreed to pay UCTT any further profits that result from future sales.
- F2This is the weighted average sale price. Shares were sold in multiple transactions at prices from $15.3338 to $15.40. The reporting person undertakes to provide to the issuer, any security holder of the issuer 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 footnote (2) to this Form 4.
- F3Shares sold pursuant to a previously established Rule 10b5-1 Plan.
- F4This is the weighted average sale price. Shares were sold in multiple transactions at prices from $15.00 to $15.30. The reporting person undertakes to provide to the issuer, any security holder of the issuer 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 footnote (4) to this Form 4.