-----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, NFxxdvzHyzQUm7JfJ7slkgn3VhDpBmkF4kI9z7ShOIraifl6soc2TO7fHspvJ0S7 ODjMFEP983PwQWBTA2GOrw== 0001073416-02-000012.txt : 20020413 0001073416-02-000012.hdr.sgml : 20020413 ACCESSION NUMBER: 0001073416-02-000012 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20011231 FILED AS OF DATE: 20020104 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: UNIVERSAL CORP /VA/ CENTRAL INDEX KEY: 0000102037 STANDARD INDUSTRIAL CLASSIFICATION: WHOLESALE-FARM PRODUCT RAW MATERIALS [5150] IRS NUMBER: 540414210 STATE OF INCORPORATION: VA FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00652 FILM NUMBER: 2502250 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: 4 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 4 1 f4hhh102.txt FORM 4 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 [_] Check box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). - -------------------------------------------------------------------------------- 1. Name and Address of Reporting Person* Harrell Henry H. - -------------------------------------------------------------------------------- (Last) (First) (Middle) 1501 North Hamilton Street - -------------------------------------------------------------------------------- (Street) Richmond VA 23230 - -------------------------------------------------------------------------------- (City) (State) (Zip) - -------------------------------------------------------------------------------- 2. Issuer Name and Ticker or Trading Symbol Universal Corporation-UVV - -------------------------------------------------------------------------------- 3. IRS Identification Number of Reporting Person, if an Entity (Voluntary) - -------------------------------------------------------------------------------- 4. Statement for Month/Year 12/01 - -------------------------------------------------------------------------------- 5. If Amendment, Date of Original (Month/Year) 12/01 - -------------------------------------------------------------------------------- 6. Relationship of Reporting Person to Issuer (Check all applicable) [X] Director [_] 10% Owner [X] Officer (give title below) [_] Other (specify below) Chairman & CEO - -------------------------------------------------------------------------------- 7. Individual or Joint/Group Filing (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 ================================================================================
6. 4. 5. Owner- Securities Acquired (A) or Amount of ship 3. Disposed of (D) Securities Form: 7. Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of 2. Code ------------------------------- Owned at End (D) or Indirect 1. Transaction (Instr. 8) (A) of Month Indirect Beneficial Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership (Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 12/17/01 M 51,075 A $24.6875 - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 12/17/01 M 49,521 A $32.0000 - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 12/17/01 M 7,809 A $33.2500 - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 12/17/01 F 84,108 D $36.9200 - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 12/17/01 I 8,553 D $36.9200 - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 12/17/01 I 2,577 D $35.5631 - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 12/17/01 I 99 D $35.6400 13,068 - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 98,355 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 44,260 I(1) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 343 I(2) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 550 I(3) - ------------------------------------------------------------------------------------------------------------------------------------ Total 156,576 ====================================================================================================================================
* If the Form is filed by more than one Reporting Person, see Instruction 4(b)(v). Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Print or Type Response) (Over) FORM 4 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
10. 9. Owner- Number ship of Form 2. Deriv- of Conver- 5. 7. ative Deriv- 11. sion Number of Title and Amount Secur- ative Nature or Derivative 6. of Underlying 8. ities Secur- of Exer- 4. Securities Date Securities Price Bene- ity: In- cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene- 1. of action Code of(D) (Month/Day/Year) Amount ative at End In- ficial Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of direct Owner- Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity Month (I) ship Security Secur- Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4) - ------------------------------------------------------------------------------------------------------------------------------------ Options to buy common stock $24.6875 12/17/01 M 51,075 6/15/00 12/2/09 Common Stock(4) -0- - ------------------------------------------------------------------------------------------------------------------------------------ Options to by common stock $32.0000 12/17/01 M 49,521 6/15/01 12/2/09 Common Stock(4) -0- - ------------------------------------------------------------------------------------------------------------------------------------ Options to by common stock $33.2500 12/17/01 M 7,809 6/15/99 12/1/04 Common Stock(4) 3,127 - ------------------------------------------------------------------------------------------------------------------------------------ Options to buy common stock $36.9200 12/17/01 A V 7,033 6/17/02 12/1/04 Common Stock(4) 7,033 - ------------------------------------------------------------------------------------------------------------------------------------ Options to buy common stock $36.9200 12/17/01 A V 77,075 6/17/02 12/2/09 Common Stock(4) 77,075 - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Explanation of Responses: (1) shares held in the Stock Purchase Plan (2) shares held in the Dividend Reinvestment Plan (3) Custodian account for children (4) Options issued under the Executive Stock Plan signature of file, filed electronically January 4, 2002 - --------------------------------------------- ----------------------- **Signature of Reporting Person Date ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. Page 2 -----END PRIVACY-ENHANCED MESSAGE-----