-----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, GGJ9ujBzppHytyI+cu921sO6h13aVZKv0S65p5ygPlARVSgZbSshfMReXryCEvYY UNEGnNmXJApwjNnUMgIErw== /in/edgar/work/20000808/0001073416-00-000036/0001073416-00-000036.txt : 20000921 0001073416-00-000036.hdr.sgml : 20000921 ACCESSION NUMBER: 0001073416-00-000036 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: 688202 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: SHEEHAN JEREMIAH J CENTRAL INDEX KEY: 0001009143 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 SHEEHAN, JEREMIAH J. 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 ( ) Officer (give title below) ( ) Other (specify below) 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 | | | | | |1,000 |I* | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK | | | | | |1,400 |D** | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | |62 |D*** | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | |--------- | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | |TOTAL |2,462 | | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ 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)| | ___________________________________________________________________________________________________________________________________| COMMON STOCK |37.125 |10/28| |**** |A | | | |1,000 | | | | | | |/98 | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| COMMON STOCK |21.8125 |10/27| |**** |A | | | |1,000 | | | | | | |/99 | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| DEFERRED STOCK UNITS |1 FOR 1 |**** |A |1,596.99006|A |*****|*****|COMMON STOCK|1,596.9|***** |2,722.94825 | | | | | | | | | | | |9006 | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________|
Explanation of Responses: *GIFT TO WIFE. THE REPORTING PERSON DISCLAIMS OWNERSHIP OF THESE SECURITIES, AND THIS REPORT SHALL NOT BE DEEMED AN ADMISSION THAT THE REPORTING PERSON IS THE BENEFICIAL OWNER OF SUCH SECURITIES FOR PURPOSES OF SECTION 16 OR FOR ANY OTHER PURPOSE. **SHARES WERE GRANTED FOR SERVICE AS A DIRECTOR. TRANSFER OF THE SHARES IS PROHIBITED AND THE SHARES MAY BE FORFEITED TO THE COMPANY UNLESS CERTAIN SPECIFIED CONDITIONS ARE MET. ***SHARES HELD IN THE DIVIDEND REINVESTMENT PLAN ****GRANT TO REPORTING PERSON OF OPTIONS TO BUY 1,000 SHARES OF COMMON STOCK UNDER THE UNIVERSAL CORPORATION 1994 STOCK OPTION PLAN FOR NON-EMPLOYEE DIRECTORS. *****THE DEFERRED STOCK UNITS WERE ACQUIRED UNDER THE UNIVERSAL CORPORATION OUTSIDE DIRECTORS' DEFERRED INCOME PLAN ON A PERIODIC BASIS DURING THE FISCAL YEAR ENDED JUNE 30, 2000. EACH DEFERRED STOCK UNIT WILL BE SETTLED IN CASH BASED UPON A FIXED DATE PAYOUT ELECTION, OR UPON DEATH, DISABILITY OR TERMINATION OF SERVICE, OR EARLIER PURSUANT TO THE TERMS OF THE PLAN. THE RANGE OF HIGH AND LOW MARKET PRICES FOR THE COMPANY'S COMMON STOCK ON THE DATES THE DEFERRED STOCK UNITS WERE CREDITED IS $28.56 AND $16.25, RESPECTIVELY. SIGNATURE OF REPORTING PERSON JEREMIAH J. SHEEHAN,SIGNATURE OF FILE,FILED ELECTRONICALLY DATE AUGUST 7, 2000 -----END PRIVACY-ENHANCED MESSAGE-----