Filing Details
- Accession Number:
- 0001234542-18-000014
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-06-04 16:37:00
- Reporting Period:
- 2018-05-31
- Accepted Time:
- 2018-06-04 16:37:00
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 931584 | Universal Stainless & Alloy Products Inc | USAP | Steel Works, Blast Furnaces & Rolling Mills (Coke Ovens) (3312) | 251724540 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1431803 | David M. Kornblatt | 1214 Round Hill Road Bryn Mawr PA 19010 | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2018-05-31 | 1,712 | $0.00 | 21,155 | No | 4 | A | Direct | |
| Common Stock | Acquisiton | 2018-05-31 | 2,500 | $12.20 | 23,655 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2018-05-31 | 2,500 | $10.20 | 26,155 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-05-31 | 5,000 | $23.92 | 21,155 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | A | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Acquisiton | 2018-05-31 | 1,250 | $0.00 | 1,250 | $23.92 |
| Common Stock | Stock Option (Right to Buy) | Acquisiton | 2018-05-31 | 2,500 | $0.00 | 2,500 | $12.20 |
| Common Stock | Stock Option (Right to Buy) | Acquisiton | 2018-05-31 | 2,500 | $0.00 | 2,500 | $10.20 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 1,250 | 2028-05-31 | No | 4 | A | Direct | |
| 0 | 2018-11-30 | No | 4 | M | Direct | |
| 0 | 2019-02-28 | No | 4 | M | Direct |
Footnotes
- Shares underlying Restricted Stock Units which may be settled solely in shares of the issuer's common stock. Vesting occurs in 1/3 increments on the first three anniversary dates.
- This represents the weighted average price paid for the shares. The shares were sold at prices ranging from $23.90 to $24.02. Mr. Kornblatt will provide upon request of the SEC staff, Universal Stainless & Alloy Products, Inc. or a Shareholder of Universal Stainless & Alloy Products, Inc., complete information regarding the number of shares sold at each price within the range.
- 417 options exercisable 05/31/2019417 options exercisable 05/31/2020416 options exercisable 05/31/2021
- 825 options exercisable 11/30/2009825 options exercisable 11/30/2010850 options exercisable 11/30/2011
- 825 options exercisable 02/28/2010825 options exercisable 02/28/2011850 options exercisable 02/28/2012
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