-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, WxczZZQblNNbuv2XUyJ4CVU3yKP6hV2ehfQLtn+0ssFvzRtHgcBNk8ReBpgF9m1T Pa9YFkgjykTbKE6+abuEGA== /in/edgar/work/20000808/0001073416-00-000032/0001073416-00-000032.txt : 20000921 0001073416-00-000032.hdr.sgml : 20000921 ACCESSION NUMBER: 0001073416-00-000032 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000630 FILED AS OF DATE: 20000808 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: UNIVERSAL CORP /VA/ CENTRAL INDEX KEY: 0000102037 STANDARD INDUSTRIAL CLASSIFICATION: [5150 ] IRS NUMBER: 540414210 STATE OF INCORPORATION: VA FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 5 SEC ACT: SEC FILE NUMBER: 001-00652 FILM NUMBER: 688156 BUSINESS ADDRESS: STREET 1: 1501 NORTH HAMILTON STREET STREET 2: PO BOX 25099 CITY: RICHMOND STATE: VA ZIP: 23230 BUSINESS PHONE: 8043599311 MAIL ADDRESS: STREET 1: PO BOX 25099 CITY: RICHMOND STATE: VA ZIP: 23260 FORMER COMPANY: FORMER CONFORMED NAME: UNIVERSAL LEAF TOBACCO CO INC DATE OF NAME CHANGE: 19880314 COMPANY DATA: COMPANY CONFORMED NAME: HARRELL HENRY H CENTRAL INDEX KEY: 0001073318 STANDARD INDUSTRIAL CLASSIFICATION: [ ]DIRECTOR FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: 1501 N HAMILTON STREET CITY: RICHMOND STATE: VA ZIP: 23230 BUSINESS PHONE: 8043599311 MAIL ADDRESS: STREET 1: 1501 N HAMILTON STREET CITY: RICHMOND STATE: VA ZIP: 23230 5 1 0001.txt FORM 5 - 6/30/00 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 5 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP ( ) Check box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instructions 1(b). ( ) Form 3 Holdings Reported ( ) Form 4 Transactions Reported 1. Name and Address of Reporting Person HARRELL, HENRY H. 1501 NORTH HAMILTON STREET RICHMOND, VA 23230 USA 2. Issuer Name and Ticker or Trading Symbol UNIVERSAL CORPORATION UVV 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Statement for Month/Year 6/30/00 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) (X) Director ( ) 10% Owner (X) Officer (give title below) ( ) Other (specify below) CHAIRMAN & CEO 7. Individual or Joint/Group Reporting (Check Applicable Line) (X) Form filed by One Reporting Person ( ) Form filed by More than One Reporting Person
___________________________________________________________________________________________________________________________________ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1. Title of Security |2. |3. |4.Securities Acquired (A) |5.Amount of |6.Dir |7.Nature of Indirect | |Transaction| or Disposed of (D) | Securities |ect | Beneficial Ownership | |Date |Code| | Beneficially |(D)or | | | | | | A/| | Owned at |Indir | | | | | Amount | D | Price | End of Year |ect(I)| | ___________________________________________________________________________________________________________________________________| COMMON STOCK |6/30/0|I |3,078 |A | |41,320(1) |I(2) | | |0 | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK | | | | | |550 |I(3) | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK | | | | | |137,110 |D | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK | | | | | |324 |I(4) | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | |---------- | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | |TOTAL |179,304 | | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ Table II -- Derivative Securitites Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1.Title of Derivative |2.Con |3. |4. |5.Number of De |6.Date Exer|7.Title and Amount |8.Price|9.Number |10.|11.Nature of| Security |version |Transaction rivative Secu |cisable and| of Underlying |of Deri|of Deriva |Dir|Indirect | |or Exer |Date |Code| rities Acqui |Expiration | Securities |vative |tive |ect|Beneficial | |cise Pr | | | red(A) or Dis |Date(Month/| |Secu |Securities |(D)|Ownership | |ice of | | | posed of(D) |Day/Year) | |rity |Benefi |or | | |Deriva | | | |Date |Expir| | |ficially |Ind| | |tive | | | | A/|Exer-|ation| Title and Number | |Owned at |ire| | |Secu | | | | D |cisa-|Date | of Shares | |End of |ct | | |rity | | | Amount | |ble | | | |Year |(I)| | ___________________________________________________________________________________________________________________________________| OPTIONS TO BUY COMMON ST|$35.3125| | | | |12/15|12/4/|COMMON STOCK| | |43,766 |D | | OCK | | | | | |/98 |01 |(5) | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| OPTIONS TO BUY COMMON ST|$35.375 | | | | |12/6/|12/1/|COMMON STOCK| | |14,789 |D | | OCK | | | | | |97 |04 |(5) | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| OPTIONS TO BUY COMMON ST|$38.94 | | | | |6/15/|11/20|COMMON STOCK| | |120,000 |D | | OCK | | | | | |98 |/07 |(5) | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| OPTIONS TO BUY COMMON ST|$40.1875| | | | |6/8/9|12/4/|COMMON STOCK| | |9,050 |D | | OCK | | | | | |8 |01 |(5) | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| OPTIONS TO BUY COMMON ST|$40.1875| | | | |6/8/9|12/1/|COMMON STOCK| | |10,038 |D | | OCK | | | | | |8 |04 |(5) | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| OPTIONS TO BUY COMMON ST|$33.25 | | | | |6/15/|12/4/|COMMON STOCK| | |24,088 |D | | OCK | | | | | |99 |01 |(5) | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| OPTIONS TO BUY COMMON ST|$33.25 | | | | |6/15/|12/1/|COMMON STOCK| | |10,936 |D | | OCK | | | | | |99 |04 |(5) | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| OPTIONS TO BUY COMMON ST|$24.69 | | | | |6/15/|12/2/|COMMON STOCK| | |150,000 |D | | OCK | | | | | |00 |09 |(5) | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| PHANTOM STOCK UNITS |1 FOR 1 |(6) |A |755.686 |A |(6) |(6) |COMMON STOCK|755.686|(6) |11,161.982 | | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________|
Explanation of Responses: (1)INCLUDES 3,078 SHARES ACQUIRED FROM 7/1/99 THROUGH 6/30/00 IN THE STOCK PURCHASE PLAN (2)NUMBER OF SHARES HELD IN THE STOCK PURCHASE PLAN (3)CUSTODIAN ACCOUNT FOR CHILDREN (4)NUMBER OF SHARES HELD IN THE DIVIDEND REINVESTMENT PLAN (5)OPTIONS ISSUED UNDER THE EXECUTIVE STOCK PLAN (6)THE PHANTOM STOCK UNITS WERE ACQUIRED UNDER THE UNIVERSAL LEAF TOBACCO COMPANY, INCORPORATED SUPPLEMENTAL STOCK PURCHASE PLAN ON A PERIODIC BASIS DURING THE FISCAL YEAR ENDED JUNE 30, 2000. EACH PHANTOM STOCK UNIT WILL BE SETTLED IN CASH UPON THE EARLIER OF DEATH, DISABILITY, RETIREMENT OR TERMINATION OF EMPLOYMENT. THE RANGE OF HIGH AND LOW MARKET PRICES FOR THE COMPANY'S COMMON STOCK ON THE DATES THE PHANTOM UNITS WERE CREDITED IS $30.75 AND $13.56. SIGNATURE OF REPORTING PERSON HENRY H. HARRELL, SIGNATURE ON FILE, FILED ELECTRONICALLY DATE AUGUST 9, 2000 -----END PRIVACY-ENHANCED MESSAGE-----