SEC Form 4 · accession 0001664015-18-000004
UNIROYAL GLOBAL ENGINEERED PRODUCTS, INC. · UNIR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Howard R Curd
Officer — CEO & Co-Chairman · Director · 10% Owner
Period of report
Mar 29, 2018
Accepted (ET)
Apr 2, 2018 · 4:25 pm EDT
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 | Mar 29, 2018 | P | 290 | $1.73 | A | 8,116,098 | D | |
| common stock | Mar 29, 2018 | P | 6,602 | $1.839 | A | 8,122,700 | 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 07/30/2016, 07/30/2017 and 07/30/2018
- F21/3 exercisable on each of 04/07/2017, 04/07/2018 and 04/07/2019