0000909012-16-000417.txt : 20160212
0000909012-16-000417.hdr.sgml : 20160212
20160212111922
ACCESSION NUMBER: 0000909012-16-000417
CONFORMED SUBMISSION TYPE: SC 13G
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20160212
DATE AS OF CHANGE: 20160212
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: UCP, Inc.
CENTRAL INDEX KEY: 0001572684
STANDARD INDUSTRIAL CLASSIFICATION: OPERATIVE BUILDERS [1531]
IRS NUMBER: 900978085
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-87551
FILM NUMBER: 161416220
BUSINESS ADDRESS:
STREET 1: 99 ALMADEN BOULEVARD
STREET 2: SUITE 400
CITY: SAN JOSE
STATE: CA
ZIP: 95113
BUSINESS PHONE: 408-207-9499
MAIL ADDRESS:
STREET 1: 99 ALMADEN BOULEVARD
STREET 2: SUITE 400
CITY: SAN JOSE
STATE: CA
ZIP: 95113
FORMER COMPANY:
FORMER CONFORMED NAME: UCP, LLC
DATE OF NAME CHANGE: 20130321
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: River Road Asset Management, LLC
CENTRAL INDEX KEY: 0001341401
IRS NUMBER: 432076925
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G
BUSINESS ADDRESS:
STREET 1: 462 SOUTH FOURTH STREET, SUITE 2000
CITY: LOUISVILLE
STATE: KY
ZIP: 40202
BUSINESS PHONE: 5023714100
MAIL ADDRESS:
STREET 1: 462 SOUTH FOURTH STREET, SUITE 2000
CITY: LOUISVILLE
STATE: KY
ZIP: 40202
SC 13G
1
t307895.txt
UCP
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO.)*
UCP, Inc.
------------------------------------
(Name of Issuer)
Class A Common Stork
------------------------------------
(Title of Class of Securities)
90265Y106
--------------------
(CUSIP Number)
December 31, 2015
-------------------------------------------------------------
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule
is filed:
[x] Rule 13d-1(b)
[ ] Rule 13d-1(c)
[ ] Rule 13d-1(d)
*The remainder of this cover page shall be filled out for a reporting person's
initial filing on this form with respect to the subject class of securities, and
for any subsequent amendment containing information which would alter the
disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed
to be "filed" for the purpose of Section 18 of the Securities Exchange Act of
1934 ("Act") or otherwise subject to the liabilities of that section of the Act
but shall be subject to all other provisions of the Act (however, see the
Notes).
PAGE 1 OF 4 PAGES
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
River Road Asset Management, LLC 43-2076925
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_]
(b) [_]
N/A
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
--------------------------------------------------------------------------------
5 SOLE VOTING POWER
509,944
NUMBER OF -----------------------------------------------------------
SHARES 6 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 0
EACH -----------------------------------------------------------
REPORTING 7 SOLE DISPOSITIVE POWER
PERSON
WITH 682,274
-----------------------------------------------------------
8 SHARED DISPOSITIVE POWER
0
--------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
682,274
--------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
N/A
--------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
8.5%
--------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IA
--------------------------------------------------------------------------------
PAGE 2 OF 4 PAGES
Item 1(a) Name of Issuer:
UCP, Inc.
Item 1(b) Address of Issuer's Principal Executive Offices:
99 Almaden Blvd., Suite 400
San Jose, CA 95113
Item 2(a) Name of Person Filing:
River Road Asset Management, LLC
Item 2(b) Address of the Principal Office or, if none, Residence:
462 S. 4th St., Ste 2000
Louisville, KY 40202
Item 2(c) Citizenship:
US -- State of Delaware
Item 2(d) Title of Class of Securities:
Class A Common Stock
Item 2(e) CUSIP Number:
90265Y106
Item 3 If the Statement is being filed pursuant to Rule
13d-1(b), or 13d-2(b), check whether the person filing
is a:
(e) [X] An investment advisor in accordance with
section 240.13d-1(b)(1)(ii)(E)
Item 4 Ownership:
(a) Amount Beneficially Owned:
682,274
(b) Percent of Class:
8.5%
(c) Number of shares as to which such person has:
(i) sole power to vote or direct the vote: 509,944
(ii) shared power to vote or direct the vote: 0
(iii) sole power to dispose or to direct the
disposition of: 682,274
(iv) shared power to dispose or to direct the
disposition of: 0
PAGE 3 OF 4 PAGES
Item 5 Ownership of Five Percent or Less of a Class: If this
statement is being filed to report the fact that as of
the date hereof the reporting person has ceased to be
the beneficial owner of more than five percent of the
class of securities, check the following [X].
Item 6 Ownership of More than Five Percent on Behalf of
Another Person:
Not applicable.
Item 7 Identification and Classification of the Subsidiary
Which Acquired the Security Being Reported on By the
Parent Holding Company:
Not applicable.
Item 8 Identification and Classification of Members of the
Group:
Not applicable.
Item 9 Notice of Dissolution of a Group:
Not applicable.
Item 10 Certification:
By signing below I certify that, to the best of my
knowledge and belief, the securities referred to above
were acquired and are held in the ordinary course of
business and were not acquired and are not held for the
purpose of or with the effect of changing or influencing
the control of the issuer of such securities and were
were not acquired in connection with or as a participant
in any transaction having such purpose or effect.
SIGNATURE
After reasonable inquiry and to the best of my knowledge and
belief, I certify that the information set forth in this statement is true,
complete and correct.
Dated: February 10, 2016
River Road Asset Management, LLC
By: /S/ THOMAS D. MUELLER
-------------------------------------
Name: Thomas D. Mueller
Title: CCO/COO
PAGE 4 OF 4 PAGES