SEC Form 4 · accession 0001089212-17-000001
UCP, Inc. · UCP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
BUCKINGHAM CAPITAL MANAGEMENT INC
10% Owner
Period of report
Jan 3, 2017
Accepted (ET)
Jan 5, 2017 · 5:00 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001572684
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| UCP, Inc.F3,F4 | Jan 3, 2017 | S | 1,711 | $12.0354 | D | 963,824 | I | See Footnote |
| UCP, Inc.F1,F3,F4 | Jan 3, 2017 | S | 30,208 | $12.0163 | D | 933,616 | I | See Footnote |
| UCP, Inc.F2,F3,F4 | Jan 4, 2017 | S | 12,289 | $12.0279 | D | 921,327 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.00 to $12.10, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth herein.
- F2The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.00 to $12.15, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth herein.
- F3This statement is being filed by Buckingham Capital Management, Inc. Buckingham Capital Management, Inc. is a registered investment adviser which acts as the general partner and investment manager for various private investment funds and which also manages other accounts on a discretionary basis that directly hold the securities reported herein.
- F4Buckingham Capital Management, Inc. disclaims beneficial ownership of the securities reported herein, except to the extent of such person's pecuniary interest therein, if any, and, pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, states that the inclusion of the securities reported herein shall not be deemed an admission of beneficial ownership of the securities for purposes of Section 16 or for any other purpose.