-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, WX6srIvDBkbb5XZdILKtNNd4cSWmH5+bleREn0ttuUAQzVi85pAyv2siyYPOSvOf lz9CbDcon89dduDz+TAoGQ== 0000905558-98-000009.txt : 19980916 0000905558-98-000009.hdr.sgml : 19980916 ACCESSION NUMBER: 0000905558-98-000009 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980915 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: UTILX CORP CENTRAL INDEX KEY: 0000821361 STANDARD INDUSTRIAL CLASSIFICATION: WATER, SEWER, PIPELINE, COMM AND POWER LINE CONSTRUCTION [1623] IRS NUMBER: 911171716 STATE OF INCORPORATION: DE FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13D SEC ACT: SEC FILE NUMBER: 005-39772 FILM NUMBER: 98709245 BUSINESS ADDRESS: STREET 1: 22404 66TH AVE S STREET 2: P O BOX 97009 CITY: KENT STATE: WA ZIP: 98064-9709 BUSINESS PHONE: 2063950200 FORMER COMPANY: FORMER CONFORMED NAME: FLOWMOLE CORP DATE OF NAME CHANGE: 19910609 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: TRIGRAN INVESTMENTS L P ET AL CENTRAL INDEX KEY: 0000905558 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 363778244 STATE OF INCORPORATION: IL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: 155 PFINGSTEN SUITE 360 CITY: DEERFIELD STATE: IL ZIP: 60015 BUSINESS PHONE: 8474059700 MAIL ADDRESS: STREET 1: 155 PFINGSTEN STREET 2: SUITE 360 CITY: DEERFIELD STATE: IL ZIP: 60015 FORMER COMPANY: FORMER CONFORMED NAME: TRIGRAN INVESTMENTS L P DATE OF NAME CHANGE: 19930520 SC 13D 1 United States Securities and Exchange Commission Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Name of Issuer: UTILX Corporation Title of Class of Securities: Common Stock CUSIP Number: 918031105 Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications Douglas T. Granat, 155 Pfingsten Road, Suite 360, Deerfield , IL 60015 (847) 405-9700 Date of Event which Requires Filing of this Statement: August 31, 1998 CUSIP No. 918031105 Page 2 of 5 Pages 1. Name of Reporting Person Trigran Investments L.P. IRS No. 36-3778244 2. Check the appropriate box if a member of a group (a) [ ] (b) [ ] 3. SEC Use Only 4. Source of Funds 5. Check Box if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ] N/A 6. Citizenship or Place of Organization Illinois 7. Sole Voting Power See Item 5(b) 8. Shared Voting Power See Item 5(b) 9. Sole Dispositive Power See Item 5(b) 10. Shared Dispositive Power See Item 5(b) 11. Aggregate Amount Beneficially Owned by Each Reporting Person 402,000 12. Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares [ ] 13. Percent of Class Represented by Amount in Row (11) 5.42% 14. Type of Reporting Person PN CUSIP No. 918031105 Page 3 of 5 1. Name of Reporting Person Castle Creek Small Cap Fund L.P. IRS No. 36-4211662 2. Check the appropriate box if a member of a group (a) [ ] (b) [ ] 3. SEC Use Only 4. Source of Funds 5. Check Box if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ] N/A 6. Citizenship or Place of Organization Illinois 7. Sole Voting Power See Item 5(b) 8. Shared Voting Power See Item 5(b) 9. Sole Dispositive Power See Item 5(b) 10. Shared Dispositive Power See Item 5(b) 11. Aggregate Amount Beneficially Owned by Each Reporting Person 15,000 12. Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares [ ] 13. Percent of Class Represented by Amount in Row (11) .20% 14. Type of Reporting Person PN Cusip No. 918031105 Page 4 of 5 Item 1. Security and Issuer Common Stock, par value $.01 per share UTILX Corporation (the "Issuer") 22820 Russell Road Kent, WA 98032 Item 5 Interest in the Securities of the Issuer (a) The aggregate number and percentage of the common stock of the Issuer beneficially owned by the Reporting Person as of the date of this filing is 417,000 shares or 5.62% (b) The Reporting Person and Trigran Investments, Inc. each have sole power to vote and sole power to dispose of the securities listed in (a) above. Each of Douglas Granat, Kenneth Granat, and Lawrence Oberman have shared power to vote shared power to dispose of the securities listed in (a) above. With regard to the 15,000 shares owned by Castle Creek Small Cap Fund voting and dispositve Power is shared with the General Partner Castle Creek Partners LLC (c) The following transactions were effected in the securities of the Issuer from July 1, 1998 through September 14,1998: Cusip No. 918031105 Page 5 of 5 Date of Transaction Amount of Securities Price Per Share Transaction 7/31/98 500 4.375 Open Market 8/31/98 500 4.00 Open Market 8/31/98 35,000 3.875 Open Market -----END PRIVACY-ENHANCED MESSAGE-----