STOCK TITAN
  1. Home
  2. Sec-filings
  3. UEIC
  4. [Form 4] UNIVERSAL ELECTRONICS INC Insider Trading Activity

Universal Electronics insider Form 4 shows RSU vesting and tax sale

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Universal Electronics (UEIC) reported insider activity by its COO and Interim CEO. On 11/07/2025 and 11/09/2025, restricted stock units converted to common stock via code M for 1,167 and 673 shares, respectively. On 11/11/2025, 806 shares were sold at $3.212 per share, noted as a sell-to-cover for taxes.

Following these transactions, directly held common stock was 14,697 shares. Derivative holdings reported include 6,503 restricted stock units, 18,465 stock options, and 92,433 performance stock units, each labeled as aggregate figures and subject to their grant vesting schedules.

Positive

  • None.

Negative

  • None.

Insights

Administrative RSU vesting with tax sell-to-cover; neutral.

The filing lists two RSU conversions (code M) on 11/07/2025 and 11/09/2025 for 1,167 and 673 shares, respectively, followed by a sale of 806 shares at $3.212. The footnote states the sale was solely to cover taxes tied to vesting.

Post-transaction direct holdings are 14,697 common shares. Remaining derivative awards include 6,503 RSUs, 18,465 options, and 92,433 PSUs. These events are routine equity award mechanics; actual market impact depends on future vesting and any additional transactions disclosed in subsequent filings.

Insider Carnifax Richard K
Role COO and Interim CEO
Sold 806 shs ($3K)
Type Security Shares Price Value
Sale Common Stock 806 $3.212 $3K
Exercise Restricted Stock Units 673 $0.00 --
Exercise Common Stock 673 $0.00 --
Exercise Restricted Stock Units 1,167 $0.00 --
Exercise Common Stock 1,167 $0.00 --
holding Employee Stock Option (Rt to Buy) -- -- --
holding Performance Stock Units -- -- --
Holdings After Transaction: Common Stock — 14,697 shares (Direct); Restricted Stock Units — 6,503 shares (Direct); Employee Stock Option (Rt to Buy) — 18,465 shares (Direct); Performance Stock Units — 92,433 shares (Direct)
Footnotes (1)
  1. Each restricted stock unit represents a contingent right to receive one share of UEI common stock. Represents shares sold solely to cover applicable taxes and fees in connection with the vesting of restricted stock units. This sale was effected pursuant to a sell-to-cover transaction and does not represent a discretionary sale by the reporting person. The restricted stock units vest in accordance with the vesting schedule of each RSU Grant. This figure represents an aggregate number of restricted stock units held by Reporting Person. Exercise Price Determined in accordance with the terms of the Company's applicable Stock Incentive Plan. The Exercisable and Expiration Dates were reported at the time the Stock Options were granted. This figure represents an aggregate number of stock options held by Reporting Person. Each performance stock unit represents a contingent right to receive one share of UEI common stock. The performance stock units vest in accordance with the vesting schedule of each PSU Grant. This figure represents an aggregate number of performance stock units held by Reporting Person.
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Carnifax Richard K
(Last) (First) (Middle)
15147 N SCOTTSDALE RD STE H300
(Street)
SCOTTSDALE AZ 85254
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
UNIVERSAL ELECTRONICS INC [ UEIC ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
COO and Interim CEO
3. Date of Earliest Transaction (Month/Day/Year)
11/07/2025
4. 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 Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 11/07/2025 M 1,167 A (1) 14,830 D
Common Stock 11/09/2025 M 673 A (1) 15,503 D
Common Stock 11/11/2025 S 806(2) D $3.212 14,697 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Restricted Stock Units (1) 11/07/2025 M 1,167 (3) (3) Common Stock 1,167 $0 7,176(4) D
Restricted Stock Units (1) 11/09/2025 M 673 (3) (3) Common Stock 673 $0 6,503(4) D
Employee Stock Option (Rt to Buy) (5) (6) (6) Common Stock 18,465 18,465(7) D
Performance Stock Units (8) (9) (9) Common Stock 92,433 92,433(10) D
Explanation of Responses:
1. Each restricted stock unit represents a contingent right to receive one share of UEI common stock.
2. Represents shares sold solely to cover applicable taxes and fees in connection with the vesting of restricted stock units. This sale was effected pursuant to a sell-to-cover transaction and does not represent a discretionary sale by the reporting person.
3. The restricted stock units vest in accordance with the vesting schedule of each RSU Grant.
4. This figure represents an aggregate number of restricted stock units held by Reporting Person.
5. Exercise Price Determined in accordance with the terms of the Company's applicable Stock Incentive Plan.
6. The Exercisable and Expiration Dates were reported at the time the Stock Options were granted.
7. This figure represents an aggregate number of stock options held by Reporting Person.
8. Each performance stock unit represents a contingent right to receive one share of UEI common stock.
9. The performance stock units vest in accordance with the vesting schedule of each PSU Grant.
10. This figure represents an aggregate number of performance stock units held by Reporting Person.
Remarks:
/s/Richard K. Carnifax, by Bryan Allison, pursuant to Limited Power of Attorney dated May 7, 2024 11/12/2025
** 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 4 (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.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

Source: View Original Filing on SEC EDGAR

FAQ

What insider transactions did UEIC report on Form 4?

RSU conversions on 11/07/2025 (1,167 shares) and 11/09/2025 (673 shares), and a sale of 806 shares on 11/11/2025 at $3.212.

Who is the reporting person in UEICs Form 4?

An officer serving as COO and Interim CEO reported the transactions.

How many UEIC shares were held directly after the transactions?

Directly held common stock totaled 14,697 shares after the reported transactions.

Were the UEIC share sales discretionary?

No. The 806 shares sold were to cover taxes and fees related to RSU vesting, per the footnote.

What derivative awards remain for the UEIC officer?

Reported holdings include 6,503 RSUs, 18,465 stock options, and 92,433 PSUs, in aggregate.

What transaction code was used for the RSU conversions?

Code M was used for the RSU conversions; the sale used code S.