SEC Form 4 · accession 0001140361-17-001220
UNIVERSAL CORP /VA/ · UVV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert Peebles
Officer — Vice President & Controller
Period of report
Jan 5, 2017
Accepted (ET)
Jan 9, 2017 · 4:45 pm EST
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 | Jan 5, 2017 | M | 7,200 | $62.66 | A | 43,564 | D | |
| Common StockF1 | Jan 5, 2017 | D | 7,006 | $64.40 | D | 36,558 | D | |
| Common StockF1 | Jan 5, 2017 | F | 90 | $64.40 | D | 36,468 | 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 | $62.66 | Jan 5, 2017 | M | 7,200 | D | May 24, 2007 | May 23, 2017 | Common Stock | 7,200 | 0 | D |
Explanation of responses
- F1Includes 12,750 restricted stock units and 1,092 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.