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. filed an 8-K disclosing it entered into a material employment agreement. The company executed an Employment Agreement dated October 1, 2025 between Universal Safety Products, Inc. and Harvey B. Grossblatt. The filing lists the agreement as Exhibit 10.1 and notes Inline XBRL cover-page exhibits. The document is signed and dated October 2, 2025 by Harvey B. Grossblatt in his capacity as President and Chief Executive Officer.
Amendment No. 2 to Schedule 13D reports that JLA Realty Associates, LLC and Steven Caspi collectively beneficially own 227,400 shares of Universal Safety Products, Inc., representing 9.8% of the common stock. The filing adds that on September 25, 2025 SJC Lending, LLC (an entity wholly owned by Mr. Caspi) purchased a convertible promissory note with original principal $1,650,000 for $1,500,000, joining an earlier August purchase of a $1,100,000 note for $1,000,000. The SPA contemplates up to $2,750,000 principal for $2,500,000 total purchase price. Notes bear 8% interest (rising to 20% on specified defaults), convert into common stock at the greater of $1.00 or 80% of the 10-day VWAP (capped at $10.00), and contain a 4.99% ownership conversion limit. SJC Lending has a one-year right of first refusal on future offerings. The Reporting Persons state no other transactions since Amendment No. 1.
Milton C. Ault III, a director of Universal Safety Products, Inc. (UUU), reported an insider purchase on 09/24/2025. The filing shows a purchase (code P) of 4,000 shares of Common Stock at a price of $7.205 per share. The record lists 22,700 shares beneficially owned by Ault Lending LLC, plus separate beneficial holdings of 5,000 shares by Alpha Structured Finance LP and 4,000 shares by Ault & Company, Inc., each described as indirectly held through entities where Mr. Ault has governance roles. The form is signed by Mr. Ault on 09/26/2025. No derivative transactions or additional financial results are reported in this filing.
Milton C. Ault III, a director of Universal Safety Products, Inc. (UUU), reported open-market purchases of the company's common stock on September 17-18, 2025. The Form 4 shows two purchases: 3,000 shares on 09/17/2025 at $6.4028 per share and 3,000 shares on 09/18/2025 at $5.7137 per share. Following those transactions, the filing reports a total of 18,700 shares beneficially owned by Ault Lending LLC and additional indirect holdings of 5,000 shares via Alpha Structured Finance LP and 4,000 shares via Ault & Company, Inc., with ownership reported as indirect due to related entities.
Universal Safety Products, Inc. filed Amendment No. 1 to its Form S-1 registration statement, which relates to a proposed offering of its securities that may occur from time to time after the registration becomes effective under Rule 415. This amendment is described as being filed solely to add a legal opinion from Neuberger, Quinn, Gielen, Rubin & Gibber, P.A. as Exhibit 5.1 and the related consent as Exhibit 23.3, along with an updated exhibit index and signatures. The company states that all other parts of the original registration statement remain unchanged.
Universal Safety Products, Inc. (UUU) is seeking shareholder approvals across eight proposals in a definitive proxy. Key charter changes would raise authorized common shares from 20,000,000 to 220,000,000, authorize 25,000,000 shares of blank‑check preferred stock with board‑determined rights, and create 20,000,000 shares of Class B common stock. The company also proposes to eliminate super‑majority voting requirements, adopt a 2025 Equity Incentive Plan, permit equity issuances to directors and executive officers under NYSE American rules, approve additional common shares underlying a convertible note issued under an August 13, 2025 Securities Purchase Agreement (PIPE Proposal), and permit adjournment if further solicitation is needed.
The proxy discloses that as of the record date up to 1,100,000 common shares are issuable upon conversion of outstanding convertible notes, 2,750,000 shares are reserved for issuance pursuant to convertible notes, 1,000,000 shares are reserved under the 2025 Stock Incentive Plan, and 13,937,113 authorized unissued shares remain unreserved. The document expressly warns these amendments could dilute earnings per share and book value per share and could make dividend payments potentially more expensive.
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.
Universal Safety Products, Inc. has filed an S-1 registration that incorporates by reference its Annual Report for the fiscal year ended March 31, 2025 (filed July 29, 2025) and its Quarterly Report for the quarter ended June 30, 2025 (filed August 19, 2025), along with several specified Current Reports filed between April and August 2025. The filing discloses a selling stockholder relationship in which SJC Lending, LLC is deemed to beneficially own 227,400 shares held by JLA Realty Associates, LLC and notes that up to 2,750,000 shares may be issuable upon conversion of Conversion Notes to SJC Lending, LLC based on the Floor Price. The prospectus lists permitted methods of sale for registered shares, standard undertakings to update the registration and respond to requests for incorporated information, and the registrant notes SEC guidance that indemnification of directors/officers for Securities Act liabilities may be unenforceable. The filing is signed by Harvey B. Grossblatt as President and Chief Executive Officer.
Universal Safety Products, Inc. declared a one-time special cash dividend of $1.00 per share on its common stock. The dividend will be paid on September 25, 2025 to shareholders of record as of September 18, 2025.
Because this special dividend exceeds 20% of the company’s share price, the NYSE American will use a due bill process. From September 18 through the close of trading on September 25, 2025, anyone who sells shares also sells the right to receive the dividend, and buyers during this period obtain that right. The company notes that due bill obligations are handled between brokers and encourages shareholders to consult their brokers to understand how this trading period affects their dividend entitlement.
Universal Safety Products, Inc. reported an amendment to its governing documents in a Form 8-K filed around
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