SEC Form 4 · accession 0001140361-16-072517
UNIVERSAL CORP /VA/ · UVV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James A Huffman
Other
Period of report
Jul 13, 2016
Accepted (ET)
Jul 15, 2016 · 9:47 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000102037
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jul 13, 2016 | M | 5,200 | $51.32 | A | 36,394 | D | |
| Common StockF1 | Jul 13, 2016 | D | 4,442 | $60.08 | D | 31,952 | D | |
| Common StockF1 | Jul 13, 2016 | F | 339 | $60.08 | D | 31,613 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation Rights | $51.32 | Jul 13, 2016 | M | 5,200 | D | May 28, 2011 | May 28, 2018 | Common Stock | 5,200 | 0 | D |
Explanation of responses
- F1Includes 13,650 restricted stock units and 1,025 dividend units on the restricted stock units. The restricted stock units and the dividend units vest on the fifth anniversary of the award date, however, payment will be delayed until termination of service if the individual is a covered employee under Code Section 162(m) on the date of vesting.