SEC Form 5/A · accession 0001664015-17-000002
UNIROYAL GLOBAL ENGINEERED PRODUCTS, INC. · UNIR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 5/A). It replaces an earlier filing for the same period.
Reporting owner
Howard R Curd
Officer — Chief Executive Officer · Director · 10% Owner
Period of report
Jan 1, 2017
Accepted (ET)
Jan 25, 2017 · 1:28 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 stock | Nov 28, 2016 | G | 140,517 | $0.00 | D | 8,078,298 | D | |
| common stock | Dec 15, 2016 | G | 5,000 | $0.00 | D | 8,078,298 | D | |
| Class B common stock | holding | — | — | — | 1,619,102 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| stock optionF1 | $2.37 | holding | — | — | — | — | Jul 30, 2025 | common stock | 100,000 | 100,000 | D |
| stock optionF2 | $3.57 | holding | — | — | — | — | Apr 7, 2026 | common stock | 50,000 | 50,000 | D |
Explanation of responses
- F11/3 exercisable on each of 7/30/2016, 7/30/2017, and 7/30/2018
- F21/3 exercisable on each of 4/7/2017, 4/7/2018 and 4/7/2019