Universal Safety (UUU) Director Files Form 4 Showing Multiple Open-Market Buys
Rhea-AI Filing Summary
Milton C. Ault III, a director of Universal Safety Products, Inc. (UUU), reported multiple purchases of the issuer's common stock on Form 4. On 07/29/2025 he purchased 516 shares in open-market transactions at a volume-weighted average price of $3.5122 (reported price range $3.5191–$3.5222) and was deemed to beneficially own 12,393 shares via Ault Lending LLC. On 09/10/2025 he purchased 307 shares at $5.1314 and was deemed to beneficially own 12,700 shares via Ault Lending LLC. The filing also reports indirect beneficial ownership of 5,000 shares by Alpha Structured Finance LP and 4,000 shares by Ault & Company, Inc.
Positive
- Director purchased shares in open-market transactions, indicating direct insider buying at reported prices
- Filing discloses clear ownership chains (Ault Lending LLC, Alpha Structured Finance LP, Ault & Company, Inc.), clarifying voting and investment power
- No derivative transactions reported, simplifying the ownership picture
Negative
- None.
Insights
TL;DR: Director reported multiple open-market purchases increasing indirect beneficial ownership, a potentially constructive insider activity signal.
The Form 4 shows Mr. Ault executed two open-market purchases on 07/29/2025 and 09/10/2025 with disclosed VWAP and price range for the July trades. The filing clarifies the ownership chains: Ault Lending LLC holds shares for which Mr. Ault is deemed to have voting and investment power, and additional holdings are reported through Alpha Structured Finance LP and Ault & Company, Inc. For analysts this confirms concentrated insider exposure through related entities and documents precise transaction pricing for modeling insider activity.
TL;DR: Transactions are routine insider purchases by a director; documentation of indirect ownership clarifies control relationships but shows no derivative activity.
The Form 4 contains no derivative transactions and discloses the nature of indirect beneficial ownership through affiliated entities. From a governance and compliance perspective, the filing appears complete for the reported transactions and includes the reporting person’s signature. The filing does not disclose any sales or unusual encumbrances against the reported shares.
Insider Trade Summary
| Type | Security | Shares | Price | Value |
|---|---|---|---|---|
| Purchase | Common Stock | 307 | $5.1314 | $2K |
| Purchase | Common Stock | 516 | $3.5122 | $2K |
| holding | Common Stock | -- | -- | -- |
| holding | Common Stock | -- | -- | -- |
Footnotes (1)
- The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $3.5122. The range of purchase prices on the transaction date was $3.5191 to $3.5222 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price. Ault Lending, LLC ("Ault Lending"), is a wholly owned subsidiary of Hyperscale Data, Inc. ("HSD"). Mr. Ault, the Executive Chairman of HSD, is deemed to have voting and investment power with respect to the securities held of record by Ault Lending. Securities beneficially owned by Alpha Structured Finance LP ("Alpha Fund"). Milton C. Ault, III, is the Manager of Alpha Structured Finance GP LLC ("Alpha GP") and ACG Alpha Management LLC ("Alpha Management"). Alpha GP and Alpha Management are the general partner and investment manager to Alpha Fund, respectively. As a result of these relationships, Mr. Ault may be deemed to beneficially own the securities beneficially owned by Alpha Fund. Securities beneficially owned by Ault & Co. Mr. Ault is the Chief Executive Officer and Chairman of Ault & Co. As a result of this relationship, Mr. Ault may be deemed to beneficially own the securities beneficially owned by Ault & Co.
