0001193125-17-043013.txt : 20170214 0001193125-17-043013.hdr.sgml : 20170214 20170214144555 ACCESSION NUMBER: 0001193125-17-043013 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20170214 DATE AS OF CHANGE: 20170214 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: UFP TECHNOLOGIES INC CENTRAL INDEX KEY: 0000914156 STANDARD INDUSTRIAL CLASSIFICATION: PLASTICS FOAM PRODUCTS [3086] IRS NUMBER: 042314970 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-44833 FILM NUMBER: 17607361 BUSINESS ADDRESS: STREET 1: 100 HALE STREET CITY: NEWBURYPORT STATE: MA ZIP: 01950 BUSINESS PHONE: 978-352-2200 MAIL ADDRESS: STREET 1: 100 HALE STREET CITY: NEWBURYPORT STATE: MA ZIP: 01950 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Virtus Investment Advisers, Inc. CENTRAL INDEX KEY: 0000019481 IRS NUMBER: 042453743 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 100 PEARL STREET STREET 2: 9TH FLOOR CITY: HARTFORD STATE: CT ZIP: 06103 BUSINESS PHONE: 800-248-7971 MAIL ADDRESS: STREET 1: 100 PEARL STREET STREET 2: 9TH FLOOR CITY: HARTFORD STATE: CT ZIP: 06103 FORMER COMPANY: FORMER CONFORMED NAME: PHOENIX INVESTMENT COUNSEL INC DATE OF NAME CHANGE: 19920929 FORMER COMPANY: FORMER CONFORMED NAME: PHOENIX INVESTMENT COUNSEL OF BOSTON INC DATE OF NAME CHANGE: 19600201 FORMER COMPANY: FORMER CONFORMED NAME: CHASE JOHN P INC DATE OF NAME CHANGE: 19600201 SC 13G 1 d345142dsc13g.htm SCHEDULE 13G Schedule 13G

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

SCHEDULE 13G

Under the Securities Exchange Act of 1934

(Amendment No. 1)*

 

 

UFP Technologies, Inc.

(Name of Issuer)

Common Stock

(Title of Class of Securities)

902673102

(CUSIP Number)

December 31, 2016

(Date of Event Which Requires Filing of this Statement)

 

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

☒ 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).

 

 

 


CUSIP No. 902673102   Page 2 of 4

 

  1.   

Names of Reporting Persons.

 

Virtus Investment Advisers, Inc.

04-2453743

  2.  

Check the Appropriate Box if a Member of a Group

 

Not applicable.

  3.  

SEC Use Only

 

  4.  

Citizenship or Place of Organization

 

Massachusetts

Number of Shares Beneficially Owned by

Each Reporting

Person

With:

   5.    

Sole Voting Power

 

0

   6.   

Shared Voting Power

 

354,102

   7.   

Sole Dispositive Power

 

0

   8.   

Shared Dispositive Power

 

354,102

  9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

354,102

10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares  ☐

 

Not applicable.

11.  

Percent of Class Represented by Amount in Row (9)

 

4.9%

12.  

Type of Reporting Person

 

IA

 


CUSIP No. 902673102   Page 3 of 4

ITEM 1.

 

  (a) Name of Issuer: UFP Technologies, Inc.

 

  (b) Address of Issuer’s Principal Executive Offices: 172 East Main Street, Georgetown, MA 01833

ITEM 2.

 

  (a) Name of Person Filing: Virtus Investment Advisers, Inc.

 

  (b) Address of Principal Business Office, or if None, Residence:

100 Pearl Street, 9th Floor

Hartford, CT 06103

 

  (c) Citizenship: Massachusetts

 

  (d) Title of Class of Securities: Common Stock

 

  (e) CUSIP Number: 902673102

ITEM  3. IF THIS STATEMENT IS FILED PURSUANT TO SS.240.13d-1(b) OR 240.13d-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS A:

 

  (a)       Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78o).
  (b)       Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c).
  (c)       Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c).
  (d)       Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).
  (e)       An investment adviser in accordance with ss.240.13d-1(b)(1)(ii)(E);
  (f)       An employee benefit plan or endowment fund in accordance with ss.240.13d-1(b)(1)(ii)(F);
  (g)       A parent holding company or control person in accordance with ss.240.13d-1(b)(1)(ii)(G);
  (h)       A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
  (i)       A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
  (j)       Group, in accordance with ss.240.13d-1(b)(1)(ii)(J).

ITEM 4. OWNERSHIP.

The information set forth in rows 5 through 11 of the cover page is incorporated herein by reference.

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  ☒.

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 GROUP.

Not Applicable.


  Page 4 of 4

ITEM 10. CERTIFICATIONS.

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 the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. Virtus Investment Advisers, Inc. hereby declares that the filing of Schedule 13G shall not be construed as an admission that Virtus Investment Advisers, Inc. is the beneficial owner of any securities covered by the Schedule 13G.

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 14, 2017

VIRTUS INVESTMENT ADVISERS, INC.

 

By:

  

/s/ Kevin J. Carr

  

Kevin J. Carr

  

Senior Vice President and Clerk