SMITH LORI B (SVP Chief Information Officer) exercised options at UNIVERSAL TECHNICAL INSTITUTE INC

Option exercise — a mechanical event triggered by vesting or expiry. Not a discretionary conviction trade.

M · 3 exercises

SMITH LORI B

Filed: 12/13/2023ACC: 0001261654-23-000123

InsiderSMITH LORI BCIK 1799017

→

IssuerUNIVERSAL TECHNICAL INSTITUTE INCCIK 1261654

Officer· SVP Chief Information Officer

Since Jan 2020

+22.90K

Net shares

Net buyer

$52.0K

Total sold

Open market trades

0B · 0S

Total transactions

43K acquired · 20.10K disposed

Non-Derivative Transactions6

Common Stock, $0.0001 par value

Direct

M · Option Exercise

+4.70K

Price / share

—

Trade value

—

% of position

12.4%

12/8/2023

37.97K→42.67K

Common Stock, $0.0001 par value

Direct

F · Tax Withholding

−1.31K

Price / share

$11.88

Trade value

$15.55K

% of position

3.1%

12/8/2023

42.67K→41.36K

Common Stock, $0.0001 par value

Direct

M · Option Exercise

+6.37K

Price / share

—

Trade value

—

% of position

15.4%

12/8/2023

41.36K→47.74K

Common Stock, $0.0001 par value

Direct

F · Tax Withholding

−1.78K

Price / share

$11.88

Trade value

$21.10K

% of position

3.7%

12/8/2023

47.74K→45.96K

Common Stock, $0.0001 par value

Direct

M · Option Exercise

+4.65K

Price / share

—

Trade value

—

% of position

10.1%

12/10/2023

45.96K→50.61K

Common Stock, $0.0001 par value

Direct

F · Tax Withholding

−1.29K

Price / share

$11.88

Trade value

$15.37K

% of position

2.6%

12/10/2023

50.61K→49.31K

Total

Net shares

+11.34K

Net value

-$52.02K

Security	Date	Type	Shares	Price / Share	Trade Value	% of Position	Held Before	Held After
Common Stock, $0.0001 par value Direct	12/8/2023	M · Option Exercise	+4.70K	—	—	12.4%	37.97K	42.67K
Common Stock, $0.0001 par value Direct	12/8/2023	F · Tax Withholding	−1.31K	$11.88	$15.55K	3.1%	42.67K	41.36K
Common Stock, $0.0001 par value Direct	12/8/2023	M · Option Exercise	+6.37K	—	—	15.4%	41.36K	47.74K
Common Stock, $0.0001 par value Direct	12/8/2023	F · Tax Withholding	−1.78K	$11.88	$21.10K	3.7%	47.74K	45.96K
Common Stock, $0.0001 par value Direct	12/10/2023	M · Option Exercise	+4.65K	—	—	10.1%	45.96K	50.61K
Common Stock, $0.0001 par value Direct	12/10/2023	F · Tax Withholding	−1.29K	$11.88	$15.37K	2.6%	50.61K	49.31K
Total			+11.34K		-$52.02K

Derivative Transactions5

Restricted Stock Units

Direct

M · Option Exercise

Converts to

Common Stock, $0.0001 par value

4.70K shares

−4.70K

Strike price

Held after

4.70K

Exercisable

—

12/8/2023

Restricted Stock Units

Direct

M · Option Exercise

Converts to

Common Stock, $0.0001 par value

6.37K shares

−6.37K

Strike price

Held after

19.11K

Exercisable

—

12/8/2023

Restricted Stock Units

Direct

A · Award

Converts to

Common Stock, $0.0001 par value

9.49K shares

+9.49K

Strike price

Held after

9.49K

Exercisable

—

12/8/2023

Performance Units

Direct

A · Award

Converts to

Common Stock, $0.0001 par value

17.79K shares

+17.79K

Strike price

Held after

17.79K

Exercisable

—

12/8/2023

Restricted Stock Units

Direct

M · Option Exercise

Converts to

Common Stock, $0.0001 par value

4.65K shares

−4.65K

Strike price

Held after

0.00

Exercisable

—

12/10/2023

Security	Converts To	Date	Type	Shares	Exercisable	Held After
Restricted Stock Units Direct	Common Stock, $0.0001 par value4.70K shares	12/8/2023	M · Option Exercise	−4.70K	—	4.70K
Restricted Stock Units Direct	Common Stock, $0.0001 par value6.37K shares	12/8/2023	M · Option Exercise	−6.37K	—	19.11K
Restricted Stock Units Direct	Common Stock, $0.0001 par value9.49K shares	12/8/2023	A · Award	+9.49K	—	9.49K
Performance Units Direct	Common Stock, $0.0001 par value17.79K shares	12/8/2023	A · Award	+17.79K	—	17.79K
Restricted Stock Units Direct	Common Stock, $0.0001 par value4.65K shares	12/10/2023	M · Option Exercise	−4.65K	—	0.00