Filing Details
- Accession Number:
- 0001415889-22-012357
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2022-12-09 20:02:41
- Reporting Period:
- 2022-11-09
- Accepted Time:
- 2022-12-09 20:02:41
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1819974 | Skywater Technology Inc | SKYT | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1741560 | A Loren Unterseher | 2401 East 86Th Street Bloomington MN 55425 | No | No | No | No | |
| 1857392 | Cmi Oxbow Partners, Llc | 4450 Excelsior Boulevard Suite 440 Minneapolis MN 55416 | Yes | No | Yes | No | |
| 1857514 | Oxbow Industries, Llc | 4450 Excelsior Boulevard Suite 440 Minneapolis MN 55416 | Yes | No | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2022-11-09 | 366 | $0.00 | 366 | No | 5 | G | Indirect | By revocable trust |
| Common Stock | Acquisiton | 2022-11-10 | 1,468 | $0.00 | 1,468 | No | 5 | G | Indirect | By family irrevocable trust |
| Common Stock | Acquisiton | 2022-11-10 | 5,910 | $0.00 | 5,910 | No | 5 | G | Indirect | By grantor retained annuity trust |
| Common Stock | Acquisiton | 2022-11-10 | 370 | $0.00 | 370 | No | 5 | G | Indirect | By spouse |
| Common Stock | Acquisiton | 2022-11-10 | 28,848 | $0.00 | 29,214 | No | 5 | G | Indirect | By revocable trust |
| Common Stock | Disposition | 2022-11-11 | 29,214 | $0.00 | 0 | No | 5 | G | Indirect | By revocable trust |
| Common Stock | Disposition | 2022-12-07 | 8,000 | $9.29 | 21,914,992 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2022-12-08 | 37,500 | $9.28 | 21,877,492 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2022-12-09 | 36,500 | $9.30 | 21,840,992 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 5 | G | Indirect | By revocable trust |
| No | 5 | G | Indirect | By family irrevocable trust |
| No | 5 | G | Indirect | By grantor retained annuity trust |
| No | 5 | G | Indirect | By spouse |
| No | 5 | G | Indirect | By revocable trust |
| No | 5 | G | Indirect | By revocable trust |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 22,090 | Direct |
Footnotes
- Contribution of 5,910 shares previously held by Oxbow Industries, LLC to a grantor retained annuity trust for the benefit of Mr. Unterseher's children.
- Reflects the weighted average price of 8,000 shares of common stock of SkyWater Technology, Inc. sold in multiple transactions on December 7, 2022 with sale prices ranging from $9.25 to $9.31 per share. The reporting person undertakes to provide upon request by the U.S. Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- 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.
- On November 10, 2022, Oxbow Industries, LLC distributed 37,332 shares to its members on a pro rata basis for no consideration.
- Reflects the weighted average price of 37,500 shares of common stock of SkyWater Technology, Inc. sold in multiple transactions on December 8, 2022 with sale prices ranging from $9.25 to $9.34 per share. The reporting person undertakes to provide upon request by the U.S. Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- Reflects the weighted average price of 36,500 shares of common stock of SkyWater Technology, Inc. sold in multiple transactions on December 9, 2022 with sale prices ranging from $9.25 to $9.49 per share. The reporting person undertakes to provide upon request by the U.S. Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- Shares owned directly by Mr. Unterseher.
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