-----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, JYkjwkVIKQLIFZQcM0+ruWv+aBLWhOLJk6YYH3euDp2qmpe2g4a59LgbGt55xrgb BeoPSEZWWf0k4/6SxqLmrA== 0000905558-98-000013.txt : 19981113 0000905558-98-000013.hdr.sgml : 19981113 ACCESSION NUMBER: 0000905558-98-000013 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19981112 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/A SEC ACT: SEC FILE NUMBER: 005-39772 FILM NUMBER: 98744586 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/A 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/A 1 United States Securities and Exchange Commission Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Amendment No. 1 Name of Issuer: UTILX Corporation Title of Class of Securities: Common Stock, par value of $.01 per share 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: October 14, 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 WC 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 538,000 12. Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares [ ] 13. Percent of Class Represented by Amount in Row (11) 7.26% 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 18,500 12. Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares [ ] 13. Percent of Class Represented by Amount in Row (11) .25% 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 Except as expressly stated below, there have been no material changes in the facts and statements set forth in Schedule 13D, filed September 15, 1998, with respect to the Common Stock, par value $.01 per share, of UTILX Corporation. (Where no material change has occurred with respect to items 2-8 inclusive, or a part thereof, of the Schedule 13D, such particular item or respective part thereof is omitted from this Amendment No. 1. 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 538,000 shares or 7.26% (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 18,500 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 September 15, 1998 through November 3,1998. Date of Transaction Amounts Price Per Share Transaction 10/09/98 10,000 1.67 Open Market 10/09/98 5,000 1.60 Open Market 10/09/98 5,000 1.5625 Open Market 10/13/98 5,000 1.875 Open Market 10/14/98 3,500 1.81 Open Market 10/14/98 5,000 1.8525 Open Market 10/14/98 50,000 1.6875 Open Market 10/15/98 50,000 1.75 Open Market 10/30/98 1,000 2.125 Open Market 11/03/98 5,000 2.1875 Open Market Signature After reasonable inquiry and to the best of the undersigned's knowledge, the undersigned certifies that the information set forth in this statement is true, complete and correct. November 11, 1998 TRIGRAN INVESTMENTS L.P., an Illinois limited partnership By: Trigran Investments, Inc., general partner By: /s/ Lawrence A. Oberman Lawrence A. Oberman Vice President -----END PRIVACY-ENHANCED MESSAGE-----