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UNIVERSAL ELECTRONICS INC — Director's Dealing 2021
May 14, 2021
34452_dirs_2021-05-14_7254c564-9473-473b-9d1c-432f350515d2.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: UNIVERSAL ELECTRONICS INC (UEIC)
CIK: 0000101984
Period of Report: 2021-05-12
Reporting Person: ARLING PAUL D (Director, CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-05-12 | Common Stock | M | 1895 | — | Acquired | 215503 | Indirect |
| 2021-05-12 | Common Stock | F | 897 | $47.07 | Disposed | 214606 | Indirect |
| 2021-05-13 | Common Stock | M | 2001 | — | Acquired | 216607 | Indirect |
| 2021-05-13 | Common Stock | F | 947 | $46.62 | Disposed | 215660 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-05-12 | Restricted Stock Units | $ | M | 1895 | Disposed | Common Stock (1895) | Direct | |
| 2021-05-13 | Restricted Stock Units | $ | M | 2001 | Disposed | Common Stock (2001) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 1800 | Direct |
| Common Stock | 213608 | Indirect |
| Common Stock | 1000 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Employee Stock Option (Rt to Buy) | $ | Common Stock (0) | 419405 | Direct |
Footnotes
F1: These shares are held by the Arling Family Trust. All of the shares now being reported as held indirectly by the Trust (except for those shares newly acquired in the transaction reported on this Form 4) were previously reported as held directly by the Reporting Person in prior reports.
F2: Each restricted stock unit represents a contingent right to receive one share of UEI common stock.
F3: This transaction represents a withholding of shares to cover taxes applicable to a vesting of RSUs also reported on this Form 4.
F4: Price determined in accordance with the terms of the Company's applicable Stock Incentive Plan.
F5: The restricted stock units vest in accordance with the vesting schedule of each RSU Grant.
F6: Exercise Price determined in accordance with the terms of the Company's applicable Stock Incentive Plan.
F7: The Exercisable and Expiration Dates were reported at the time the Stock Options were granted.
F8: This figure represents an aggregate number of stock options held by Reporting Person.