[D] Universal Safety Products, Inc. SEC Filing

Rhea-AI Filing Summary

Universal Safety Products, Inc. filed a Form D claiming a Regulation D exemption under Rule 506(b) for a private offering of securities. The issuer is a Maryland corporation with principal offices in Owings Mills, MD. The offering size is $2,500,000, of which $1,000,000 has been sold and $1,500,000 remains available. The filing lists the types of securities offered as debt, options/warrants, and the securities issuable on exercise. The minimum outside investment is stated as $2,500,000, and the filing reports one investor to date. Sales commissions and finders’ fees are reported as $0. The issuer indicates the offering will not last more than one year and is not tied to a business combination.

Positive

• $1,000,000 of the $2,500,000 offering has already been sold, indicating partial subscription progress
• The issuer used Rule 506(b), a common Regulation D exemption that allows reliance on accredited investors without state registration in many cases
• No sales commissions or finders' fees reported, suggesting direct placement and reduced issuance costs

Negative

• Minimum outside investment of $2,500,000 severely limits participation and indicates a highly concentrated investor base
• Only one investor has invested so far, creating concentration risk and potential governance/control issues
• Offering remains $1,500,000 unsold, which may indicate limited market interest at the stated terms

Insights

Securities Analyst

TL;DR: Routine private placement under Rule 506(b) with $1.0M sold of a $2.5M offering; investor concentration and high minimums stand out.

The Form D indicates a small, targeted raise using a standard exemptive route (Rule 506(b)). Selling $1.0M so far against a $2.5M ceiling shows moderate traction but the stated $2.5M minimum investment implies participation is limited to a single large accredited investor or related parties, consistent with the filing showing one investor. No sales commissions were paid, which may reflect direct placement. For investors, material considerations are the concentration of ownership, offering size relative to the issuer's reported asset range ($5M–$25M), and the securities mix including debt and exercisable instruments; these factors affect liquidity and capital structure but the filing provides no financial performance data.

Corporate Governance Expert

TL;DR: The filing is a routine securities notice; governance implications center on concentrated investor exposure and related-party involvement of listed executives.

The Form D names executive officers and directors at the issuer’s address, suggesting insider-led fundraising. With only one investor reported and a very high minimum subscription, governance risks include potential control influence by a single investor and limited new investor oversight. The filing discloses $0 being allocated to payments to insiders. Overall, the disclosure is standard but highlights investor concentration and limited public participation.

The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

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

Notice of Exempt Offering of Securities

OMB APPROVAL

OMB Number:			3235-0076
Estimated average burden
hours per response:			4.00

1. Issuer's Identity

CIK (Filer ID Number)

Previous Names

None

Entity Type

0000102109

UNIVERSAL SECURITY INSTRUMENTS INC

X	Corporation
	Limited Partnership
	Limited Liability Company
	General Partnership
	Business Trust
	Other (Specify)

Name of Issuer

UNIVERSAL SAFETY PRODUCTS, INC.

Jurisdiction of Incorporation/Organization

MARYLAND

Year of Incorporation/Organization

X	Over Five Years Ago
	Within Last Five Years (Specify Year)
	Yet to Be Formed

2. Principal Place of Business and Contact Information

Name of Issuer
UNIVERSAL SAFETY PRODUCTS, INC.
Street Address 1		Street Address 2
11407 CRONHILL DRIVE, SUITES A-D
City	State/Province/Country	ZIP/PostalCode	Phone Number of Issuer
OWINGS MILLS	MARYLAND	21117-3586	4103633000

3. Related Persons

Last Name	First Name	Middle Name
Grossblatt	Harvey	B.
Street Address 1	Street Address 2
11407 Cronhill Drive, Suite A
City	State/Province/Country	ZIP/PostalCode
Owings Mills	MARYLAND	21117

Relationship: X Executive Officer X Director Promoter

Clarification of Response (if Necessary):

Last Name	First Name	Middle Name
Seff	Ronald	A.
Street Address 1	Street Address 2
11407 Cronhill Drive, Suite A
City	State/Province/Country	ZIP/PostalCode
Owings Mills	MARYLAND	21117

Relationship: Executive Officer X Director Promoter

Clarification of Response (if Necessary):

Last Name	First Name	Middle Name
Bormel	Ira
Street Address 1	Street Address 2
11407 Cronhill Drive, Suite A
City	State/Province/Country	ZIP/PostalCode
Owings Mills	MARYLAND	21117

Relationship: Executive Officer X Director Promoter

Clarification of Response (if Necessary):

Last Name	First Name	Middle Name
Ault, III	Milton	C.
Street Address 1	Street Address 2
11407 Cronhill Drive, Suite A
City	State/Province/Country	ZIP/PostalCode
Owings Mills	MARYLAND	21117

Relationship: Executive Officer X Director Promoter

Clarification of Response (if Necessary):

Last Name	First Name	Middle Name
Nisser	Henry
Street Address 1	Street Address 2
11407 Cronhill Drive, Suite A
City	State/Province/Country	ZIP/PostalCode
Owings Mills	MARYLAND	21117

Relationship: Executive Officer X Director Promoter

Clarification of Response (if Necessary):

4. Industry Group

Agriculture

Banking & Financial Services

Commercial Banking

Insurance

Investing

Investment Banking

Pooled Investment Fund

Is the issuer registered as
an investment company under
the Investment Company
Act of 1940?

Yes No

Other Banking & Financial Services

Business Services

Energy

Coal Mining

Electric Utilities

Energy Conservation

Environmental Services

Oil & Gas

Other Energy

	Health Care
	Biotechnology
	Health Insurance
	Hospitals & Physicians
	Pharmaceuticals
	Other Health Care
	Manufacturing
	Real Estate
	Commercial
	Construction
	REITS & Finance
	Residential
	Other Real Estate

X

Retailing

Restaurants

Technology

Computers

Telecommunications

Other Technology

Travel

Airlines & Airports

Lodging & Conventions

Tourism & Travel Services

Other Travel

Other

5. Issuer Size

Revenue Range		OR	Aggregate Net Asset Value Range
	No Revenues			No Aggregate Net Asset Value
	$1 - $1,000,000			$1 - $5,000,000
	$1,000,001 - $5,000,000			$5,000,001 - $25,000,000
X	$5,000,001 - $25,000,000			$25,000,001 - $50,000,000
	$25,000,001 - $100,000,000			$50,000,001 - $100,000,000
	Over $100,000,000			Over $100,000,000
	Decline to Disclose			Decline to Disclose
	Not Applicable			Not Applicable

6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)

		Rule 504(b)(1) (not (i), (ii) or (iii))
		Rule 504 (b)(1)(i)
		Rule 504 (b)(1)(ii)
		Rule 504 (b)(1)(iii)
	X	Rule 506(b)
		Rule 506(c)
		Securities Act Section 4(a)(5)

Investment Company Act Section 3(c)

Section 3(c)(1) Section 3(c)(9)

Section 3(c)(2) Section 3(c)(10)

Section 3(c)(3) Section 3(c)(11)

Section 3(c)(4) Section 3(c)(12)

Section 3(c)(5) Section 3(c)(13)

Section 3(c)(6) Section 3(c)(14)

Section 3(c)(7)

7. Type of Filing

X	New Notice			Date of First Sale	2025-08-13				First Sale Yet to Occur
	Amendment

8. Duration of Offering

Does the Issuer intend this offering to last more than one year? Yes X No

9. Type(s) of Securities Offered (select all that apply)

	Equity		Pooled Investment Fund Interests
X	Debt		Tenant-in-Common Securities
X	Option, Warrant or Other Right to Acquire Another Security		Mineral Property Securities
X	Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security		Other (describe)

10. Business Combination Transaction

Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? Yes X No

Clarification of Response (if Necessary):

11. Minimum Investment

Minimum investment accepted from any outside investor $2,500,000 USD

12. Sales Compensation

Recipient	Recipient CRD Number X None
N/A	None
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
N/A	N/A
City	State/Province/Country	ZIP/Postal Code
N/A	NEW YORK	00000
State(s) of Solicitation (select all that apply) Check "All States" or check individual States All States	Foreign/non-US
NEW YORK

13. Offering and Sales Amounts

Total Offering Amount	$2,500,000	USD	or Indefinite
Total Amount Sold	$1,000,000	USD
Total Remaining to be Sold	$1,500,000	USD	or Indefinite

Clarification of Response (if Necessary):

14. Investors

Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors, and enter the number of such non-accredited investors who already have invested in the offering.

Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering:

1

15. Sales Commissions & Finder's Fees Expenses

Provide separately the amounts of sales commissions and finders fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.

Sales Commissions	$0	USD	Estimate
Finders' Fees	$0	USD	Estimate

Clarification of Response (if Necessary):

16. Use of Proceeds

Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.

$0

USD

Estimate

Clarification of Response (if Necessary):

Signature and Submission

Please verify the information you have entered and review the Terms of Submission below before signing and clicking SUBMIT below to file this notice.

Terms of Submission

In submitting this notice, each issuer named above is:

• Notifying the SEC and/or each State in which this notice is filed of the offering of securities described and undertaking to furnish them, upon written request, in the accordance with applicable law, the information furnished to offerees.*

• Irrevocably appointing each of the Secretary of the SEC and, the Securities Administrator or other legally designated officer of the State in which the issuer maintains its principal place of business and any State in which this notice is filed, as its agents for service of process, and agreeing that these persons may accept service on its behalf, of any notice, process or pleading, and further agreeing that such service may be made by registered or certified mail, in any Federal or state action, administrative proceeding, or arbitration brought against the issuer in any place subject to the jurisdiction of the United States, if the action, proceeding or arbitration (a) arises out of any activity in connection with the offering of securities that is the subject of this notice, and (b) is founded, directly or indirectly, upon the provisions of: (i) the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, or the Investment Advisers Act of 1940, or any rule or regulation under any of these statutes, or (ii) the laws of the State in which the issuer maintains its principal place of business or any State in which this notice is filed.

• Certifying that, if the issuer is claiming a Regulation D exemption for the offering, the issuer is not disqualified from relying on Rule 504 or Rule 506 for one of the reasons stated in Rule 504(b)(3) or Rule 506(d).

Each Issuer identified above has read this notice, knows the contents to be true, and has duly caused this notice to be signed on its behalf by the undersigned duly authorized person.

For signature, type in the signer's name or other letters or characters adopted or authorized as the signer's signature.

Issuer	Signature	Name of Signer	Title	Date
UNIVERSAL SAFETY PRODUCTS, INC.	/s/ Harvey B. Grossblatt	Harvey B. Grossblatt	President	2025-08-15

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.

* This undertaking does not affect any limits Section 102(a) of the National Securities Markets Improvement Act of 1996 ("NSMIA") [Pub. L. No. 104-290, 110 Stat. 3416 (Oct. 11, 1996)] imposes on the ability of States to require information. As a result, if the securities that are the subject of this Form D are "covered securities" for purposes of NSMIA, whether in all instances or due to the nature of the offering that is the subject of this Form D, States cannot routinely require offering materials under this undertaking or otherwise and can require offering materials only to the extent NSMIA permits them to do so under NSMIA's preservation of their anti-fraud authority.

FAQ

What exemption did Universal Safety Products, Inc. (UUU) claim on its Form D?

The issuer claimed a Regulation D exemption under Rule 506(b).

How large is the offering reported by UUU and how much has been sold?

The total offering amount is $2,500,000; $1,000,000 has been sold and $1,500,000 remains available.

What is the minimum investment required for the offering (UUU)?

The filing states a minimum outside investment of $2,500,000 USD.

What types of securities is UUU offering in this Form D?

The filing lists debt, options/warrants, and securities issuable upon exercise as the types of securities offered.

How many investors have participated in UUU’s offering so far?

The Form D reports one investor has invested in the offering to date.