Welcome to our dedicated page for UNIVERSAL SAFETY PRODS SEC filings (Ticker: UUU), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
The Universal Safety Products, Inc. (UUU) SEC filings page on Stock Titan aggregates the company’s regulatory disclosures as filed with the U.S. Securities and Exchange Commission. Universal Safety Products is a Maryland corporation whose common stock is listed on the NYSE American under the symbol UUU, as noted in its Form 8-K and registration statement disclosures. Through this page, readers can access the company’s periodic reports, current reports and registration statements, along with AI-powered summaries that explain the key points in more accessible language.
Universal Safety Products’ filings provide insight into both its operations and its corporate structure. Annual and quarterly reports, such as the Form 10-K referenced in a July 2025 news release, contain financial statements and narrative discussion of results. The company’s Form 12b-25 (NT 10-Q) for the quarter ended September 30, 2025, explains why a Form 10-Q could not be filed on time and notes that significant changes in results of operations were expected compared to the prior year period.
Current reports on Form 8-K document material events and shareholder decisions. In 2025, Universal Safety Products filed several 8-Ks describing special meetings of stockholders, voting results on proposals to amend its articles of incorporation, approve a 2025 equity incentive plan, approve equity issuances to directors and executive officers, and authorize additional shares underlying a convertible note. Another 8-K details an employment agreement with the company’s President and Chief Executive Officer, including compensation and change-of-control provisions. These filings help investors understand how the company structures its governance, compensation, and financing.
The company’s Form S-1 registration statement, as amended, compiles key corporate documents by reference, including its articles of incorporation, bylaws, lease agreements, factoring agreement, employment agreements, and a securities purchase agreement with SJC Lending LLC. On Stock Titan, AI-generated highlights can assist readers in identifying the most relevant sections of these lengthy documents—such as descriptions of capital stock, the terms of the convertible note, or the scope of the 2025 stock incentive plan—without replacing the need to review the full filings.
This filings page also surfaces information related to listing compliance and timing of reports. For example, a July 2025 news release notes that the company received a NYSE American notice of noncompliance for failing to timely file its Form 10-K, and a later release states that filing the Form 10-K cured that noncompliance. By reviewing the underlying SEC documents alongside AI explanations, users can see how Universal Safety Products reports on such matters in formal regulatory language.
Universal Safety Products, Inc. ownership update: David E. Lazar amended his Schedule 13G/A to report beneficial ownership of 281,400 shares, equal to 9.9% of common stock. The filing cites 2,842,787 shares outstanding as of March 31, 2026 and reports the 281,400 shares as of May 7, 2026; shared voting and dispositive power are reported for those shares.
Universal Safety Products, Inc. received an updated ownership filing from JLA Realty Associates, SJC Lending, and manager Steven J. Caspi, who together report beneficial ownership of approximately 6.8% of the company’s common stock. This is based on 2,842,787 shares outstanding as of March 31, 2026.
JLA holds 992 shares and SJC holds 205,739 shares, including 4,151 shares already converted from two convertible promissory notes and 201,588 shares still underlying those notes. The notes convert at the greater of a $1.00 floor price or an issue‑specific volume‑weighted price, capped at $10.00 per share.
The filing also describes a Stock Purchase Agreement dated April 30, 2026, under which SJC agreed that Ault Lending will purchase a total of 355,000 shares at $5.75 per share. SJC already sold 155,000 shares at a first closing, and a second closing covers 200,000 additional shares to be delivered after exercising part of a convertible note. As consideration, Ault Lending issued promissory notes totaling $2,041,250 bearing 8% annual interest, maturing in August and September 2026.
Universal Safety Products, Inc. (UUU) received an updated Schedule 13D/A from an investor group led by Hyperscale Data and Ault-related entities. The group reports beneficial ownership of 918,452 common shares, or approximately 31.7% of the company’s stock, based on 2,842,787 shares outstanding as of March 31, 2026.
Ault Lending agreed to purchase a total of 355,000 shares at $5.75 per share from SJC Lending under a Stock Purchase Agreement, funded through $2,041,250 in promissory notes bearing 8% annual interest and maturing in August and September 2026. The filing also notes director stock options for Milton C. Ault III (50,000 shares at $3.40) and Henry C. Nisser (25,000 shares at $3.40), all currently exercisable or becoming exercisable within 60 days.
UNIVERSAL SAFETY PRODUCTS, INC. director and more-than-10% owner Milton C. Ault III reported an indirect open-market purchase of the company’s common stock. On April 30, 2026, Ault Lending, LLC bought 155,000 shares at $5.75 per share, an open-market or private transaction.
After this trade, Ault Lending, LLC held 840,252 shares of Universal Safety Products common stock indirectly for Mr. Ault. The filing also reports indirect holdings of 6,000 shares through Ault & Company, Inc., 20,000 shares through Alpha Structured Finance LP, and a direct holding of 2,200 shares in Mr. Ault’s name.
Universal Safety Products, Inc. (UUU) large shareholders filed Amendment No. 14 to update their Schedule 13D on the company’s common stock. Based on 2,842,787 shares outstanding as of March 31, 2026, entities affiliated with Milton C. Ault report significant ownership positions.
Ault Lending beneficially owns 685,252 shares, or 24.1% of the common stock, while Ault Capital and Hyperscale Data each may be deemed to beneficially own 705,252 shares, or 24.8%. Mr. Ault beneficially owns 763,452 shares, or approximately 26.4%, including 50,000 stock options with a $3.40 strike price and 2,200 shares bought personally.
UNIVERSAL SAFETY PRODUCTS, INC. director and ten percent owner Milton C. Ault III reported open-market purchases of the company’s common stock on March 30–31, 2026, mainly through affiliated entities. Across five buy transactions, entities associated with him acquired 12,608 shares at prices around the mid‑$5 range.
Indirect purchases included 5,000 shares at $5.8406 per share by Alpha Structured Finance LP and a total of 7,008 shares at prices around $5.54 per share by Ault Lending, LLC$5.3896 and $5.5364, bringing his direct holdings to 2,200 shares. Following these trades, Ault is shown with indirect positions including 20,000 shares via Alpha Structured Finance LP, 685,252 shares via Ault Lending, LLC, and 6,000 shares via Ault & Company, Inc.
UNIVERSAL SAFETY PRODUCTS, INC. director and ten percent owner Milton C. Ault III, through affiliated entities, reported net open-market purchases of common stock. Ault Lending, LLC bought 1,000 shares at $6.01 on March 26 and 1,405 shares at $5.81 on March 27.
After these trades, Ault Lending, LLC held 678,244 indirectly owned shares. The filing also shows 1,600 shares held directly, plus 15,000 shares beneficially owned through Alpha Structured Finance LP and 6,000 shares through Ault & Company, Inc., indicating multiple ownership channels.
Universal Safety Products, Inc. held its 2026 annual stockholder meeting, where investors elected three directors and approved all four proposals on the ballot. Stockholders elected one Class II director to a term ending in 2028 and two Class III directors to terms ending in 2029.
They ratified CBIZ CPAs P.C. as independent auditor for the fiscal year ending March 31, 2026 and approved, on an advisory basis, the compensation of named executive officers. Stockholders also favored holding future advisory votes on executive pay every three years, and the company chose to follow this three-year frequency.
Universal Safety Products insider activity: entities associated with director and 10% owner Milton C. Ault III bought 15,000 shares of Common Stock in open-market transactions. Ault Lending, LLC purchased 10,000 shares at $6.02 per share on March 24, 2026 and 5,000 shares at $6.12 per share on March 25, 2026, all reported as indirect ownership.
Following these purchases, Ault Lending holds 675,839 shares indirectly. The filing also reports Mr. Ault’s beneficial ownership of 1,600 shares held directly, 15,000 shares held by Alpha Structured Finance LP, and 6,000 shares held by Ault & Company, Inc., reflecting additional indirect positions.
UUU submitted a Form 144 reporting a proposed sale of Common Stock. The filing includes a securities table referencing 04/01/2026, the NYSE, and numeric entries 32186, 192150.00 and 2717887.
The filing also lists prior option exercises dated 10/02/2002 (26,640 shares), 03/03/2005 (34 shares) and 08/25/2005 (5,546 shares). The form contains standard sections for securities to be sold, securities sold during the past three months, and signature/remarks.