FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
|
|||||||||||||||
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
|
2. Issuer Name and Ticker or Trading Symbol
UniTek Global Services, Inc. [ UNTK ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
||||||||||||||||||||||||
3. Date of Earliest Transaction
(Month/Day/Year) 04/03/2012 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
---|---|---|---|---|---|---|---|---|---|---|
1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock(1) | 04/03/2012 | M | 18,634 | A | $0 | 18,634 | D | |||
Common Stock | 0(2)(3) | I | N/A |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
1. Consists of Restricted Stock Units (RSUs), representing the right to receive one share of the issuer's common stock for each vested RSU, that were awarded on April 3, 2012 as a portion of the annual compensation of non-employee members of the Board of Directors of the issuer under the Berliner Communications, Inc. 2009 Omnibus Equity and Incentive Compensation Plan (the "Plan"). The RSUs shall vest and be paid in nine (9) equal increments on the last day of each month from April 2012 through December 2012, provided that the reporting person remains in continuous employment or service with the issuer on each applicable vesting date. |
2. The reporting person holds an indirect interest in Sector Performance Fund, LP, HM Unitek Coinvest, LP and SPF SBS LP (the "Investment Funds"), which beneficially own an aggregate of 4,521,264 shares of the Common Stock of the issuer. In addition, the reporting person is an officer and member of Sector Performance LLC (the "General Partner"), which is the direct or indirect general partner of the Investment Funds. The reporting person is a member of a six-person committee (consisting of Sarah A. Bradley, Robert Sperry, Jason H. Downie, Edward Herring, John R. Muse and Andrew Rosen) that exercises, on behalf of the ultimate general partner, voting and dispositive powers over the securities held by the Investment Funds. |
3. The reporting person may be deemed to beneficially own all or a portion of the shares of Common Stock beneficially owned by the Investment Funds; however, the reporting person disclaims beneficial ownership of the shares of Common Stock, except to the extent of any pecuniary interest therein. |
/s/ Robert W. Sperry, by Kyle M. Hall, Attorney-in-fact | 04/13/2012 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |