SEC FORM 3 SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
 
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1. Name and Address of Reporting Person*
Hamilton Sue Ann

(Last) (First) (Middle)
15147 N SCOTTSDALE ROAD
SUITE H300

(Street)
SCOTTSDALE AZ 85254

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
11/01/2019
3. Issuer Name and Ticker or Trading Symbol
UNIVERSAL ELECTRONICS INC [ UEIC ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. 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 Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Employee Stock Option (Rt. to Buy)(1) 11/01/2020 11/01/2029 Common Stock 20,000 52.845(2) D
Restricted Stock Units(3) 12/31/2019 (3) Common Stock 3,333 0.00 D
Explanation of Responses:
1. Stock Options were granted on November 1, 2019 by action of the Corporate Governance and Nominate Committee, ratified by the Board of Directors. The options will vest ratably over the next three years and will expire on November 1, 2029.
2. Price determined in accordance with the terms of the Company's applicable Stock Incentive Plan.
3. RSU Grant awarded pursuant to the 2018 Directors Compensation Plan as described in the Company's definitive Proxy materials for the 2019 Annual Meeting of Stockholders. These Restricted Stock Units were prorated from November 1, 2019 and will vest as follows: 833 shares on December 31, 2019, 1,250 shares on March 31, 2020 and 1,250 shares on June 30, 2020.
Remarks:
/s/ Sue Ann R. Hamilton by Valerie J. Ballard 11/12/2019
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** 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 is insufficient, see Instruction 6 for procedure.
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