Filing Details
- Accession Number:
- 0000101984-24-000184
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2024-12-05 11:46:39
- Reporting Period:
- 2023-08-10
- Accepted Time:
- 2024-12-05 11:46:39
- Original Submission Date:
- 2023-08-11
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
101984 | Universal Electronics Inc | UEIC | Household Audio & Video Equipment (3651) | 330204817 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1216543 | D Paul Arling | 15147 N Scottsdale Rd Ste H300 Scottsdale AZ 85254 | Ceo | Yes | Yes | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2023-08-10 | 2,532 | $0.00 | 256,818 | No | 4 | M | Indirect | By Arling Family Trust |
Common Stock | Disposition | 2023-08-10 | 1,059 | $10.17 | 255,759 | No | 4 | F | Indirect | By Arling Family Trust |
Common Stock | Acquisiton | 2023-08-10 | 10,000 | $9.98 | 11,800 | No | 4 | P | Direct | |
Common Stock | Acquisiton | 2023-08-11 | 2,547 | $9.85 | 14,347 | No | 4 | P | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Indirect | By Arling Family Trust |
No | 4 | F | Indirect | By Arling Family Trust |
No | 4 | P | Direct | |
No | 4 | P | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Restricted Stock Units | Disposition | 2023-08-10 | 2,532 | $0.00 | 2,532 | $0.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
77,155 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 1,000 | Indirect | By Spouse |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Common Stock | Employee Stock Option (Rt to Buy) | $0.00 | 0 | 457,075 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
0 | 457,075 | Direct |
Footnotes
- Each restricted stock unit represents a contingent right to receive one share of UEI common stock.
- These shares are held by the Arling Family Trust. Mr. Arling disclaims beneficial ownership of the shares held by the Trust.
- This transaction represents a withholding of shares to cover taxes applicable to a vesting of RSUs also reported on this Form 4.
- Price determined in accordance with the terms of the Company's applicable Stock Incentive Plan.
- This amended Form 4 is to correct the shares purchased on August 10, 2023, which was originally reported as 7,453 shares when it was actually 10,000 shares. The additional 2,547 shares purchased on this date were inadvertently missed in the original filing due to an administrative error. In addition, with this correction to the number of shares purchased, the purchase price is updated from $9.97 to $9.778 which represents the weighted average purchase price.
- The restricted stock units vest in accordance with the vesting schedule of each RSU grant.
- Exercise Price determined in accordance with the terms of the Company's applicable Stock Incentive Plan.
- The Exercisable and Expiration Dates were reported at the time the Stock Options were granted.
- This figure represents an aggregate number of stock options held by Reporting Person.