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. (UUU) reported an insider equity award on a Form 4. A Director and Vice Chairman received 50,000 stock options (transaction code A) with an exercise price of $3.4 per share. The options were granted on August 27, 2025, subject to stockholder approval, and vested on October 20, 2025 upon that approval.
The options become exercisable once the NYSE American approves the supplemental listing application for the underlying common shares and carry an expiration date of August 26, 2035. Following the reported transaction, the filing shows 50,000 derivative securities beneficially owned, held directly.
Universal Safety Products (UUU) filed a Form 4 reporting a director’s stock option grant tied to stockholder approval. The filing shows 25,000 stock options with an exercise price of $3.40, granted on August 27, 2025, and vesting on October 20, 2025, the date stockholders approved the grant.
The options become exercisable once the NYSE American approves the supplemental listing application for the underlying shares, and they expire on 08/26/2035. Following the reported transaction, the director holds 25,000 derivative securities with direct ownership. The earliest transaction date reported is 10/20/2025.
Universal Safety Products (UUU) disclosed a Form 4 for a director reporting 25,000 stock options at an exercise price of $3.4 per share. The options were granted on August 27, 2025 subject to stockholder approval and vested on October 20, 2025, the date of stockholder approval. They are exercisable as soon as the NYSE American approves the supplemental listing application for the underlying shares and carry an expiration date of August 26, 2035. Following the transaction, 25,000 derivative securities are beneficially owned, held directly.
Universal Safety Products (UUU) reported results from a special stockholder meeting. Holders approved the 2025 Equity Incentive Plan, equity issuances to directors and executive officers, and—solely for NYSE American Rule 713(a) compliance—the potential issuance of additional common shares underlying a previously issued convertible note tied to an August 13, 2025 securities purchase agreement. Stockholders also approved the ability to adjourn the meeting.
Proposals to increase authorized shares, create blank check preferred stock, establish Class B common stock, and modify voting rights were not brought to a vote due to insufficient support based on proxies received. The meeting was adjourned and will reconvene at 12:00 p.m. ET on November 14, 2025. Stockholders of record as of September 17, 2025—when 2,312,887 shares were outstanding and entitled to vote—may participate via the specified meeting portal.
Milton C. Ault, III, a director of Universal Safety Products, Inc. (UUU), reported two open-market purchases of the issuer's common stock on 10/02/2025 and 10/03/2025. He acquired 4,697 shares on 10/02 at $4.56 per share and 10,000 shares on 10/03 at $4.7864 per share, totaling 14,697 shares purchased. Following these transactions, the report lists 65,407 shares beneficially owned indirectly by Ault Lending, LLC. The filing also discloses separate indirect beneficial holdings of 5,000 shares each by Ault & Company, Inc. and Alpha Structured Finance LP. The document explains Mr. Ault's voting and investment relationships to those entities but contains no derivative transactions.
Poplar Point Capital Management LLC, Poplar Point Capital Partners LP, Poplar Point Capital GP LLC and Jad Fakhry jointly filed a Schedule 13G/A regarding Universal Safety Products, Inc. (CUSIP 913821302) for the reporting period ending 09/30/2025. The filing discloses that each Reporting Person beneficially owns 0 shares, representing 0% of the class, and that they have no voting or dispositive power over the issuer's common stock. The filing lists the Reporting Persons' organizational details and business address and includes a certification that the securities, if any, were acquired in the ordinary course of business and not for the purpose of changing control.
Milton C. Ault, III, a director of Universal Safety Products, Inc. (UUU), reported multiple purchases of the company's common stock. On 09/30/2025 he acquired 1,000 shares at $4.285 and on 10/01/2025 he acquired 3,000 shares at $4.9756. Following these transactions the filing reports total beneficial ownership of 50,710 shares, held indirectly through entities including Ault & Company, Inc., Ault Lending, LLC, and Alpha Structured Finance LP. The Form 4 discloses the reporting person’s relationships to those entities that create indirect beneficial ownership.
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.