Amended Statement of Changes in Beneficial Ownership (4/a)
May 23 2019 - 4:07PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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SCOPIA CAPITAL MANAGEMENT LP
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2. Issuer Name
and
Ticker or Trading Symbol
ITRON INC /WA/
[
ITRI
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
__
X
__ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
152 WEST 57TH STREET, 33RD FLOOR
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3. Date of Earliest Transaction
(MM/DD/YYYY)
3/11/2019
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(Street)
NEW YORK, NY 10019
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
3/13/2019
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_
X
_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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1202
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D
(1)
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Common Stock
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653
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D
(1)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(1)
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The Reporting Persons previously disclosed an in-kind pro rata distribution for no consideration of shares of common stock of Itron, Inc. (the "Issuer") by an investment fund for which Scopia Capital Management LP serves as investment manager to investors in such investment fund that took place on March 11, 2019. The previously filed Form 4 stated that none of the Reporting Persons nor any Investment Vehicle (as defined in the previously filed Form 4) retained a pecuniary interest in such shares of common stock of the Issuer. The Form 4 is amended to delete that statement as 1,202 shares of common stock were transferred to Matthew Sirovich and 653 shares of common stock were transferred to Jeremy Mindich in the in-kind pro rata distribution for no consideration that was exempt from Section 16 as a change in form of beneficial ownership pursuant to Rule 16a-13.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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SCOPIA CAPITAL MANAGEMENT LP
152 WEST 57TH STREET, 33RD FLOOR
NEW YORK, NY 10019
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X
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Scopia Management, Inc.
152 WEST 57TH STREET, 33RD FLOOR
NEW YORK, NY 10019
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X
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SIROVICH MATTHEW
152 WEST 57TH STREET, 33RD FLOOR
NEW YORK, NY 10019
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X
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MINDICH JEREMY
152 WEST 57TH STREET, 33RD FLOOR
NEW YORK, NY 10019
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X
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Signatures
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SCOPIA CAPITAL MANAGEMENT LP, By: Scopia Management, Inc., its general partner, Name: /s/ Matthew Sirovich, Title: Managing Director
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5/23/2019
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**
Signature of Reporting Person
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Date
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SCOPIA MANAGEMENT, INC., Name: /s/ Matthew Sirovich, Title: Managing Director
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5/23/2019
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**
Signature of Reporting Person
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Date
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/s/ Matthew Sirovich
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5/23/2019
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**
Signature of Reporting Person
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Date
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/s/ Jeremy Mindich
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5/23/2019
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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