U.S. SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM 4
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934,
Section 17(a) of the Public Utility Holding Company Act of 1935 or
Section 30(f) of the Investment Company Act of 1940
[_] Check box if no longer subject to Section 16. Form 4 or Form 5 obligations
may continue. See Instruction 1(b).
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1. Name and Address of Reporting Person*
Whelan Karen M.L.
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(Last) (First) (Middle)
1501 North Hamilton Street
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(Street)
Richmond Va 23230
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(City) (State) (Zip)
Universal Corporation UVV
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2. Issuer Name and Ticker or Trading Symbol
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3. IRS Identification Number of Reporting Person, if an Entity (Voluntary)
06/01
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4. Statement for Month/Year
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5. If Amendment, Date of Original (Month/Year)
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6. Relationship of Reporting Person to Issuer
(Check all applicable)
[_] Director [_] 10% Owner
[X] Officer (give title below) [_] Other (specify below)
Vice President & Treasurer
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7. Individual or Joint/Group Filing (Check applicable line)
[X] Form filed by one Reporting Person
[_] Form filed by more than one Reporting Person
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Table I -- Non-Derivative Securities Acquired, Disposed of,
or Beneficially Owned
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6.
4. 5. Owner-
Securities Acquired (A) or Amount of ship
3. Disposed of (D) Securities Form: 7.
Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of
2. Code ------------------------------- Owned at End (D) or Indirect
1. Transaction (Instr. 8) (A) of Month Indirect Beneficial
Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership
(Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4)
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Common Stock 6/14/01 D V 8,841(1) D $38.60
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Common Stock 6/14/01 F V 3,482(2) D $38.60
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Common Stock 6/15/01 S 1,678(3) D $38.3313
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Common Stock 6/27/01 S 25(3) D $38.56 16,220 D
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Common Stock 6/15/01 M 622 A $24.6875
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Common Stock 6/15/01 F V 402 D $38.20
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Common Stock 6/18/01 I V 161 D $37.4019
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Common Stock 6/29/01 I V 5 D $39.74 54 D
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Common Stock 2,425 I(4)
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Total 18,699
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* If the Form is filed by more than one Reporting Person, see Instruction
4(b)(v).
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
(Print or Type Response) (Over)
FORM 4 (continued)
Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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10.
9. Owner-
Number ship
of Form
2. Deriv- of
Conver- 5. 7. ative Deriv- 11.
sion Number of Title and Amount Secur- ative Nature
or Derivative 6. of Underlying 8. ities Secur- of
Exer- 4. Securities Date Securities Price Bene- ity: In-
cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct
Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene-
1. of action Code of(D) (Month/Day/Year) Amount ative at End In- ficial
Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of direct Owner-
Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity Month (I) ship
Security Secur- Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr.
(Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4)
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Options To Buy
Common Stock $24.6875 6/15/01 M 622 6/15/00 12/2/09 Common Stock(5) 26,136 D
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Options to Buy
Common Stock $38.20 6/15/01 A V 402 12/15/01 12/2/09 Common Stock(5) 402 D
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Explanation of Responses:
(1)Shares used to repay an unsecured stock purchase loan(USPL).
(2)Shares withheld to pay minimum withholding tax incurred in exercise of
stock options corresponding to USPL and secured stock purchase loan (SSPL).
(3) Shares used to repay SSPL and to pay unpaid interest on SSPL and USPL and
withholding taxes above minimum tax incurred in exercise of corresponding
stock options
(4) Shares held in the Stock Purchase Plan as of 5/31/01
(5)Shares issued under the Executive Stock Plan
Signature on file, filed electronically 7/5/01
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**Signature of Reporting Person Date
** 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 provided is insufficient, see Instruction 6 for procedure.
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