SEC Form 4/A · accession 0001140361-17-001796
UNIVERSAL CORP /VA/ · UVV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
George C Freeman III
Officer — Chairman, President & CEO · Director
Period of report
Jan 10, 2017
Accepted (ET)
Jan 13, 2017 · 2:59 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 10, 2017 | M | 31,800 | $62.66 | A | 255,963 | D | |
| Common StockF1 | Jan 10, 2017 | D | 30,237 | $65.90 | D | 225,726 | D | |
| Common StockF1 | Jan 10, 2017 | F | 807 | $65.90 | D | 224,919 | D | |
| Common Stock | holding | — | — | — | 200 | I | By oldest daughter | |
| Common Stock | holding | — | — | — | 200 | I | By youngest daughter | |
| Common Stock | holding | — | — | — | 200 | I | As UGMA custodian for son |
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 10, 2017 | M | 31,800 | D | May 24, 2007 | May 23, 2017 | Common Stock | 31,800 | 0 | D |
Explanation of responses
- F1Includes 100,513 restricted stock units and 16,928 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.
- F2This amendment is filed to correct the transaction code on Table 1 to reflect the cashless exercise of Mr. Freeman's Stock Appreciation Rights. No new transactions are reported on this Form 4 amendment.