SEC Form 4 · accession 0001234542-18-000031
UNIVERSAL STAINLESS & ALLOY PRODUCTS INC · USAP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dennis M Oates
Officer — Chairman, President & CEO
Period of report
Nov 29, 2018
Accepted (ET)
Dec 3, 2018 · 4:52 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000931584
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Nov 29, 2018 | A | 2,000 | — | A | 97,569 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F2 | $19.41 | Nov 29, 2018 | A | 8,600 | A | — | Nov 29, 2028 | Common Stock | 8,600 | 8,600 | D |
Explanation of responses
- F1Award of Restricted Stock Units which vest 2,000 units on 11/29/2022
- F22,150 options exercisable on 11/29/2019 2,150 options exercisable on 11/29/2020 2,150 options exercisable on 11/29/2021 2,150 options exercisable on 11/29/2022