UUU CFO granted 25,000 options at $3.4; vesting approved

Universal Safety Products (UUU) Form 4: The company’s Chief Financial Officer reported a grant of stock options to purchase 25,000 shares at an exercise price of $3.4.

Rhea-AI Filing Summary

Universal Safety Products (UUU) Form 4: The company’s Chief Financial Officer reported a grant of stock options to purchase 25,000 shares at an exercise price of $3.4. The options were granted on August 27, 2025, subject to stockholder approval, and vested on October 20, 2025, the date stockholders approved them.

The options expire on August 26, 2035 and become exercisable as soon as the NYSE American approves the supplemental listing application for the underlying common stock. Following the reported transaction, the reporting person beneficially owns 25,000 derivative securities, held directly.

Insights

Securities counsel

Routine insider option grant; exercisability pending listing approval.

The CFO disclosed an option grant covering 25,000 shares at an exercise price of $3.4. The grant date was conditioned on stockholder approval, which occurred on October 20, 2025, triggering vesting the same day. Form 4 reporting aligns with the earliest transaction date.

The options carry an expiration on August 26, 2035 and become exercisable after NYSE American approves the supplemental listing for the underlying shares. Actual exercise timing depends on that approval; cash-flow implications occur upon exercise, not at grant.

Insider Trade Summary

Grant/Award: 25,000 shares

Grant/Award 1 txn

Insider Huff James Ballard

Role Chief Financial Officer

Type	Security	Shares	Price	Value
Grant/Award	Stock Options (Right to Buy)	25,000	$0.00	$0.00

Holdings After Transaction: Stock Options (Right to Buy) — 25,000 contracts (Direct)

Footnotes (2)

1. F1. The stock options (the "Options") were granted on August 27, 2025, subject to stockholder approval. The Options vested on October 20, 2025, the date of stockholder approval.
2. F2. The Options are exercisable as soon as the NYSE American approves the supplemental listing application relating to the issuance of the common stock underlying the Options.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What did Universal Safety Products (UUU) disclose in this Form 4?

The CFO reported a grant of stock options for 25,000 shares at an exercise price of $3.4.

When did the UUU CFO’s options vest and when were they approved?

They vested on October 20, 2025, the date stockholders approved the grant.

What is the expiration date of the reported UUU stock options?

The options expire on August 26, 2035.

When can the UUU options be exercised?

They are exercisable once the NYSE American approves the supplemental listing application for the underlying shares.

What is the insider’s ownership after the reported transaction?

The reporting person beneficially owns 25,000 derivative securities (stock options), held directly.

Who is the insider and role at Universal Safety Products (UUU)?

The reporting person is an Officer, serving as Chief Financial Officer.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 10/27/2025 - 04:30 PM Learn about SEC filing dates

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^*

Huff James Ballard

(Last) (First) (Middle)

11407 CRONHILL DRIVE, SUITE A

(Street)

OWINGS MILLS MD 21117

(City) (State) (Zip)

2. Issuer Name and Ticker or Trading Symbol
UNIVERSAL SAFETY PRODUCTS, INC. [ UUU ]

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

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

3. Date of Earliest Transaction (Month/Day/Year)
10/20/2025

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

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
Stock Options (Right to Buy)	$3.4	10/20/2025		A		25,000(1)		(2)	08/26/2035	Common Stock	25,000	$0	25,000	D

Explanation of Responses:

1. The stock options (the "Options") were granted on August 27, 2025, subject to stockholder approval. The Options vested on October 20, 2025, the date of stockholder approval.

2. The Options are exercisable as soon as the NYSE American approves the supplemental listing application relating to the issuance of the common stock underlying the Options.

	By: /s/ James B. Huff	10/27/2025
	** 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.