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Home > Insider Trading > Filing (0000930413-12-000171)

Filing Details

Accession Number:: 0000930413-12-000171
Form Type:: 5
Zero Holdings:: No
Publication Time:: 2012-01-13 14:12:23
Reporting Period:: 2011-12-31

Filing Date:: 2012-01-13
Accepted Time:: 2012-01-13 14:12:23
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1372000	Universal Power Group Inc.	UPG	Wholesale-Electrical Apparatus & Equipment, Wiring Supplies (5063)	751288690

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1057446	Wah Kim William Tan	C/O Universal Power Group Inc. 1720 Hayden Road Carrollton TX 75006		Yes	No	Yes	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2008-11-21	4,700	$1.34	2,004,700	No	4	P	Indirect	By Zunicom, Inc.
Common Stock	Acquisiton	2008-11-26	21,701	$1.30	2,026,401	No	4	P	Indirect	By Zunicom, Inc.
Common Stock	Acquisiton	2008-11-28	5,919	$1.34	2,032,320	No	4	P	Indirect	By Zunicom, Inc.
Common Stock	Acquisiton	2009-02-03	350	$1.50	2,032,670	No	4	P	Indirect	By Zunicom, Inc.
Common Stock	Acquisiton	2009-02-05	700	$1.53	2,033,370	No	4	P	Indirect	By Zunicom, Inc.
Common Stock	Acquisiton	2009-03-06	5,400	$1.22	2,038,770	No	4	P	Indirect	By Zunicom, Inc.
Common Stock	Acquisiton	2009-03-10	10,000	$1.20	2,048,870	No	4	P	Indirect	By Zunicom, Inc.

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Indirect	By Zunicom, Inc.
No	4	P	Indirect	By Zunicom, Inc.
No	4	P	Indirect	By Zunicom, Inc.
No	4	P	Indirect	By Zunicom, Inc.
No	4	P	Indirect	By Zunicom, Inc.
No	4	P	Indirect	By Zunicom, Inc.
No	4	P	Indirect	By Zunicom, Inc.

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Options	Disposition	2011-12-22	356,250	$0.00	356,250	$7.00
Common Stock	Options	Acquisiton	2011-12-22	356,250	$0.00	356,250	$1.54

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0		2016-12-19	No	4	D	Direct
356,250		2016-12-19	No	4	A	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	1,000	Indirect	By Placement & Acceptance, Inc.

Footnotes

The reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellationof the "old" option and the grant of a replacement option. The replacement option provides for vesting in two equal installments, 50% on 12/22/11 and 50% on 12/22/12.