SEC Form 5 · accession 0001076542-16-000216
UNIROYAL GLOBAL ENGINEERED PRODUCTS, INC. · UNIR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Howard R Curd
Officer — Chief Executive Officer · Director · 10% Owner
Period of report
Jan 3, 2016
Accepted (ET)
Jan 26, 2016 · 2:02 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001172706
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| COMMON STOCKF1,F2 | Dec 30, 2015 | C | 1,280,116 | — | A | 8,223,815 | D | |
| CLASS B COMMON STOCKF3 | Dec 30, 2015 | C | 1,619,102 | — | A | 1,619,102 | D | |
| COMMON STOCK | holding | — | — | — | 6,943,699 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| STOCK OPTIONF6 | $2.37 | Jul 30, 2015 | A | 100,000 | A | — | Jul 30, 2025 | COMMON STOCK | 100,000 | 100,000 | D |
| SERIES A PFD STOCKF4 | $0.60 | Dec 30, 2015 | C | 9,715 | D | — | — | CLASS B COMMON STOCK | 1,619,102 | 0 | D |
| SERIES B PFD STOCKF4 | $0.60 | Dec 30, 2015 | C | 2,702 | D | — | — | COMMON STOCK | 450,316 | 0 | D |
| SERIES C PFD STOCKF7,F4 | $0.60 | Dec 30, 2015 | C | 4,979 | D | — | — | COMMON STOCK | 829,800 | 0 | D |
| CLASS B COMMON STOCKF8 | $0.00 | Dec 30, 2015 | C | 1,619,102 | A | — | — | COMMON STOCK | 1,619 | 1,619,102 | D |
| SERIES A PFD STOCKF4 | $0.60 | holding | — | — | — | — | — | CLASS B COMMON STOCK | 1,619,102 | 9,715 | D |
| SERIES B PFD STOCKF4 | $0.60 | holding | — | — | — | — | — | COMMON STOCK | 450,316 | 2,702 | D |
| SERIES C PFD STOCKF5,F4 | $0.60 | holding | — | — | — | — | — | COMMON STOCK | 829,800 | 4,979 | D |
Explanation of responses
- F1Shares obtained through conversion of Series B and Series C Preferred Stock.
- F2Does not include 50,000 shares of common stock held by Jesup & Lamont Asset Management, Inc., which is controlled by the undersigned, and 563,477 shares held by The Curd Family Foundation, Inc.
- F3Shares obtained through conversion of Series A Preferred.
- F4The shares of Series A, Series B and Series C Preferred Stock became exercisable upon date of issuance and had no expiration date.
- F5Does not include 1,691 shares held by The Curd Family Foundation, Inc.
- F61/3 exercisable on each of 7/30/16, 7/30/17 and 7/30/18.
- F7Does not include 1,691 shares converted by The Curd Family Foundation, Inc.
- F8The shares of Class B Common Stock became exercisable upon date of issuance and have no expiration date.