Universe Pharmaceuticals (NASDAQ: UPC) COO Liu Baochang files initial insider Form 3

Rhea-AI Filing Summary

Universe Pharmaceuticals INC filed an initial insider ownership report for Chief Operating Officer Liu Baochang. This Form 3 identifies Liu as an officer of the company and establishes his status as an insider for future reporting, but it does not list any buy, sell, or other share transactions.

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^*

Liu Baochang

(Last) (First) (Middle)

265 JINGJIU AVENUE

JINGGANGSHAN ECON. AND TECH. DEV. ZONE

(Street)

JI'AN, JIANGXI 343100

(City) (State) (Zip)

CHINA

(Country)

2. Date of Event Requiring Statement (Month/Day/Year)
03/18/2026

3. Issuer Name and Ticker or Trading Symbol
Universe Pharmaceuticals INC [ UPC ]

3a. Foreign Trading Symbol

5. If Amendment, Date of Original Filed (Month/Day/Year)

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chief Operating Officer

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

Explanation of Responses:

No securities are beneficially owned.

	/s/ Baochang Liu	03/18/2026
	** 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.
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.
* Form 3: SEC 1473 (03-26)

FAQ

What does the Universe Pharmaceuticals (UPC) Form 3 for Liu Baochang show?

The Form 3 identifies Liu Baochang as Chief Operating Officer and an insider of Universe Pharmaceuticals INC. It serves as an initial ownership report but, in this excerpt, does not show any specific share transactions or detailed holdings information.

Did Liu Baochang buy or sell UPC shares in this Form 3 filing?

No transactions are shown in this Form 3 excerpt. The transaction summary lists zero buys, zero sells, and no derivative exercises, meaning the filing here only establishes insider status, not any recent trading activity in Universe Pharmaceuticals INC shares.

Why is Liu Baochang required to file a Form 3 for Universe Pharmaceuticals (UPC)?

Form 3 is required when someone becomes an insider, such as an officer or director. This filing reflects Liu Baochang’s role as Chief Operating Officer at Universe Pharmaceuticals INC and sets the baseline for any future Form 4 or Form 5 transaction reports.

Does the UPC Form 3 disclose any derivative or option positions for Liu Baochang?

The derivative summary in this excerpt is empty, indicating no listed options, warrants, or other derivative securities for Liu Baochang in this particular Form 3. It focuses solely on establishing his insider status at Universe Pharmaceuticals INC.

What can UPC investors learn from this Form 3 by Liu Baochang?

Investors primarily learn that Liu Baochang is a reportable insider as Chief Operating Officer of Universe Pharmaceuticals INC. Since the excerpt shows no share or derivative transactions, it functions as an administrative baseline rather than a signal of trading activity.