SEC Form 4 · accession 0001664015-18-000006
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
Apr 6, 2018
Accepted (ET)
Apr 9, 2018 · 6:15 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 | Apr 6, 2018 | P | 3,050 | $1.95 | A | 8,135,548 | D | |
| common stock | Apr 6, 2018 | P | 1,000 | $1.90 | A | 8,136,548 | D | |
| common stock | Apr 6, 2018 | P | 1,000 | $1.95 | A | 8,137,548 | D | |
| common stock | Apr 9, 2018 | P | 2,050 | $1.90 | A | 8,139,598 | D | |
| common stock | Apr 9, 2018 | P | 1,950 | $1.95 | A | 8,141,548 | 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 7/30/16, 7/30/17 and 7/30/18
- F21/3 exercisable on each of 4/7/2017, 4/7/2018 and 4/7/2019