0001415889-23-014458.txt : 20231020 0001415889-23-014458.hdr.sgml : 20231020 20231020170354 ACCESSION NUMBER: 0001415889-23-014458 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230926 FILED AS OF DATE: 20231020 DATE AS OF CHANGE: 20231020 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Unterseher Loren A CENTRAL INDEX KEY: 0001741560 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40345 FILM NUMBER: 231337684 MAIL ADDRESS: STREET 1: 8799 BROOKLYN BLVD CITY: MINNEAPOLIS STATE: MN ZIP: 55445 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Oxbow Industries, LLC CENTRAL INDEX KEY: 0001857514 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40345 FILM NUMBER: 231337682 BUSINESS ADDRESS: STREET 1: 4450 EXCELSIOR BOULEVARD STREET 2: SUITE 440 CITY: MINNEAPOLIS STATE: MN ZIP: 55416 BUSINESS PHONE: 612-850-9481 MAIL ADDRESS: STREET 1: 4450 EXCELSIOR BOULEVARD STREET 2: SUITE 440 CITY: MINNEAPOLIS STATE: MN ZIP: 55416 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CMI Oxbow Partners, LLC CENTRAL INDEX KEY: 0001857392 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40345 FILM NUMBER: 231337683 BUSINESS ADDRESS: STREET 1: C/O OXBOW INDUSTRIES, LLC STREET 2: 4450 EXCELSIOR BOULEVARD, SUITE 440 CITY: MINNEAPOLIS STATE: MN ZIP: 55416 BUSINESS PHONE: 612-850-9481 MAIL ADDRESS: STREET 1: C/O OXBOW INDUSTRIES, LLC STREET 2: 4450 EXCELSIOR BOULEVARD, SUITE 440 CITY: MINNEAPOLIS STATE: MN ZIP: 55416 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SkyWater Technology, Inc CENTRAL INDEX KEY: 0001819974 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 371839853 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2401 EAST 86TH STREET CITY: BLOOMINGTON STATE: MN ZIP: 55425 BUSINESS PHONE: 952-851-5200 MAIL ADDRESS: STREET 1: 2401 EAST 86TH STREET CITY: BLOOMINGTON STATE: MN ZIP: 55425 FORMER COMPANY: FORMER CONFORMED NAME: CMI Acquisition, LLC DATE OF NAME CHANGE: 20200803 4 1 form4-10202023_091047.xml X0508 4 2023-09-26 0001819974 SkyWater Technology, Inc SKYT 0001741560 Unterseher Loren A 4450 EXCELSIOR BLVD SUITE 440 MINNEAPOLIS MN 55416 true false true false 0001857392 CMI Oxbow Partners, LLC 4450 EXCELSIOR BOULEVARD SUITE 440 MINNEAPOLIS MN 55416 1 0 1 0 0001857514 Oxbow Industries, LLC 4450 EXCELSIOR BOULEVARD SUITE 440 MINNEAPOLIS MN 55416 1 0 1 0 0 Common Stock 2023-09-26 4 J 0 4591818 0 D 14947282 D Common Stock 2023-09-26 5 J 0 4545900 0 A 4545900 D Common Stock 2023-09-26 5 J 0 45918 0 A 45918 I By revocable trust Common Stock 2023-09-27 4 J 0 4545900 0 D 45459 D Common Stock 2023-09-27 5 J 0 3664692 0 A 3710610 I By revocable trust Common Stock 2023-09-27 5 J 0 180573 0 A 182041 I By family irrevocable trust Common Stock 2023-09-27 5 J 0 163794 0 A 165272 I By trust for benefit of son Common Stock 2023-09-27 5 J 0 163794 0 A 165272 I By trust for benefit of son Common Stock 2023-09-27 5 J 0 163794 0 A 165271 I By trust for benefit of daughter Common Stock 2023-09-27 5 J 0 163794 0 A 165271 I By trust for benefit of daughter Common Stock 2023-09-28 4 G 0 3710610 0 D 0 I By revocable trust Common Stock 2023-09-28 4 G 0 3710610 0 A 3710610 I By 2023 grantor retained annuity trust Common Stock 2023-09-28 4 J 0 45459 0 D 4 I See footnote Common Stock 2023-09-28 5 J 0 45459 0 A 45459 I By spouse Common Stock 32150 D Pro rata distribution from CMI Oxbow Partners, LLC ("CMI") to its members for no consideration. Includes 736 additional shares identified by routine reconciliation of Reporting Person's ownership records. Mr. Unterseher is President of CMI Oxbow Partners, LLC ("CMI") and Managing Partner of Oxbow Industries, LLC ("Oxbow"), which is the majority member of CMI. CMI directly holds the shares of Common Stock reported in Column 5. As a result, he may be deemed to be the beneficial owner of, and to have a pecuniary interest in, such shares of Common Stock. Mr. Unterseher disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein. Oxbow directly holds the shares reported in Column 5. On September 27, 2023, Oxbow distributed all 4,545,900 shares previously received by pro rata distribution from CMI to its members for no consideration. Of the shares, 3,664,692 were transferred to the revocable trust. Includes 1,478 shares received upon dissolution of preexisting grantor retained annuity trust. Includes 1,478 shares received upon dissolution of preexisting grantor retained annuity trust. Includes 1,477 shares received upon dissolution of preexisting grantor retained annuity trust. Includes 1,477 shares received upon dissolution of preexisting grantor retained annuity trust. On September 28, 2023, the revocable trust contributed 3,710,610 shares to the 2023 GRAT. Excludes 370 shares erroneously reported as beneficially owned on prior ownership report. Shares owned directly by Mr. Unterseher. /s/ Loren A. Unterseher 2023-10-20