0000919574-13-002636.txt : 20130404 0000919574-13-002636.hdr.sgml : 20130404 20130404175441 ACCESSION NUMBER: 0000919574-13-002636 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130402 FILED AS OF DATE: 20130404 DATE AS OF CHANGE: 20130404 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FOURNIER ALAN CENTRAL INDEX KEY: 0001262236 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25032 FILM NUMBER: 13743975 MAIL ADDRESS: STREET 1: C/O PENNANT CAPITAL MANAGEMENT LLC STREET 2: 1 DEFOREST AVENUE, SUITE 200 CITY: SUMMIT STATE: NJ ZIP: 07901 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: UNIVERSAL STAINLESS & ALLOY PRODUCTS INC CENTRAL INDEX KEY: 0000931584 STANDARD INDUSTRIAL CLASSIFICATION: STEEL WORKS, BLAST FURNACES ROLLING MILLS (COKE OVENS) [3312] IRS NUMBER: 251724540 STATE OF INCORPORATION: DE FISCAL YEAR END: 1207 BUSINESS ADDRESS: STREET 1: 600 MAYER ST CITY: BRIDGEVILLE STATE: PA ZIP: 15017 BUSINESS PHONE: 4122577600 MAIL ADDRESS: STREET 1: 600 MAYER ST CITY: BRIDGEVILLE STATE: PA ZIP: 15017 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PENNANT CAPITAL MANAGEMENT, LLC CENTRAL INDEX KEY: 0001168664 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25032 FILM NUMBER: 13743974 BUSINESS ADDRESS: STREET 1: 1 DEFOREST AVENUE STREET 2: SUITE 200 CITY: SUMMIT STATE: NJ ZIP: 07901 BUSINESS PHONE: 9737011100 MAIL ADDRESS: STREET 1: 1 DEFOREST AVENUE STREET 2: SUITE 200 CITY: SUMMIT STATE: NJ ZIP: 07901 FORMER NAME: FORMER CONFORMED NAME: PENNANT CAPITAL MANAGEMENT LLC DATE OF NAME CHANGE: 20050511 FORMER NAME: FORMER CONFORMED NAME: PENNANT CAPITAL MANAGEMENT INC DATE OF NAME CHANGE: 20020307 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BROADWAY GATE MASTER FUND, LTD. CENTRAL INDEX KEY: 0001449141 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25032 FILM NUMBER: 13743973 BUSINESS ADDRESS: STREET 1: C/O GOLDMAN SACHS (CAYMAN) TRUST, LTD STREET 2: 45 MARKET ST, CAMANA BAY, PO BOX 896 CITY: GRAND CAYMAN STATE: E9 ZIP: KY1-1103 BUSINESS PHONE: 212-823-0953 MAIL ADDRESS: STREET 1: C/O GOLDMAN SACHS (CAYMAN) TRUST, LTD STREET 2: 45 MARKET ST, CAMANA BAY, PO BOX 896 CITY: GRAND CAYMAN STATE: E9 ZIP: KY1-1103 4 1 p1372250.xml OWNERSHIP DOCUMENT X0306 4 2013-04-02 0 0000931584 UNIVERSAL STAINLESS & ALLOY PRODUCTS INC USAP 0001168664 PENNANT CAPITAL MANAGEMENT, LLC 1 DEFOREST AVENUE, SUITE 200 SUMMIT NJ 07901 0 0 1 0 0001262236 FOURNIER ALAN C/O PENNANT CAPITAL MANAGEMENT, LLC 1 DEFOREST AVENUE, SUITE 200 SUMMIT NJ 07901 0 0 1 0 0001449141 BROADWAY GATE MASTER FUND, LTD. 1 DEFOREST AVENUE, SUITE 200 SUMMIT NJ 07901 0 0 1 0 Common Stock 2013-04-02 4 P 0 1000 35.55 A 701509 D Common Stock 2013-04-03 4 P 0 700 34.81 A 426212 I See footnote Common Stock 2013-04-03 4 P 0 5300 34.81 A 706809 D Common Stock 1133021 I See footnote These securities are directly owned by Broadway Gate Master Fund, Ltd. ("Broadway Gate"), which is a reporting person, and may be deemed beneficially owned by Pennant Capital Management, LLC ("Pennant") as investment manager of Broadway Gate. The reported securities may also be deemed beneficially owned by Alan Fournier as Managing Member of Pennant. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. These securities are directly owned by certain private investment vehicles managed by Pennant and may be deemed beneficially owned by Pennant as investment manager of such private investment vehicles. The reported securities may also be deemed beneficially owned by Alan Fournier as Managing Member of Pennant. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Pennant Capital Management, LLC, By: /s/ Alan Fournier, Principal 2013-04-04 /s/ Alan Fournier 2013-04-04 Broadway Gate Master Fund, Ltd., By: /s/ Alan Fournier, Director 2013-04-04