U.S. SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM 5
ANNUAL 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).
[_] Form 3 Holdings Reported
[_] Form 4 Transactions Reported
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1. Name and Address of Reporting Person*
Harrell Henry H.
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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)
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2. Issuer Name and Ticker or Trading Symbol
Universal Corporation UVV
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3. IRS Identification Number of Reporting Person, if an Entity (Voluntary)
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4. Statement for Month/Year
8/01
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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)
[X] Director [_] 10% Owner
[X] Officer (give title below) [_] Other (specify below)
Chairman and CEO
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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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5. 6.
4. Amount of Owner-
Securities Acquired (A) or Securities ship
Disposed of (D) Beneficially Form: 7.
(Instr. 3, 4 and 5) Owned at End Direct Nature of
2. 3. ----------------------------- of Issuer's (D) or Indirect
1. Transaction Transaction (A) Fiscal Year Indirect Beneficial
Title of Security Date Code Amount or Price (Instr. 3 (I) Ownership
(Instr. 3) (mm/dd/yy) (Instr. 8) (D) and 4) (Instr.4) (Instr. 4)
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Common Stock 98,355 D
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Common Stock 6/30/01 I 2,177 A 43,497(1) I(2)
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Common Stock 337 I(3)
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Common Stock 550 I(4)
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total 142,739
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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 Responses) (Over)
FORM 5 (continued)
Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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9. 10.
Number Owner-
of ship
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- Securities Date Securities Price Bene- ity: In-
cise 3. Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct
Price Trans- 4. or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene-
1. of action Trans- of (D) (Month/Day/Year) Amount ative at End In- ficial
Title of Deriv- Date action (Instr. 3, ---------------- or Secur- of direct Owner-
Derivative ative (Month/ Code 4 and 5) Date Expira- Number ity Year (I) ship
Security Secur- Day/ (Instr. ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr.
(Instr. 3) ity Year) 8) (A) (D) cisable Date Title Shares 5) 4) 4) 4)
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Options to Buy
Common Stock 35.375 12/6/97 12/1/04 Common Stock(4) 14,789 D
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Options to Buy
Common stock 38.94 6/15/98 11/20/07 Common Stock(4) 120,000 D
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Options to Buy
Common Stock 40.1875 6/8/98 12/4/01 Common Stock(4) 9,050 D
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Options to Buy
Common Stock 40.1875 6/8/98 12/4/04 Common Stock(4) 10,038 D
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Options to Buy
Common Stock 33.25 6/15/99 12/1/04 Common Stock(4) 10,936 D
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Options to Buy
Common Stock 24.69 6/15/00 12/2/09 Common Stock(4) 51,075 D
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Options to Buy
Common Stock 32.00 6/15/01 12/2/09 Common Stock(4) 49,521 D
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Options to Buy
Common Stock 38.20 12/15/01 12/2/09 Common Stock(4) 22,449 D
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Phantom Stock units 1 for 1 (5) A 474.4740 (5) (5) Common Stock 474.4740 (5) 12,915.0980
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Explanation of Responses:
(1)includes 2,177 shares acquired from 7/1/00 through 6/30/01 in the stock
Purchase Plan
(2)number of shares held in the stock purchase plan
(3)number of shares held in the dividend reinvestment plan
(4)Custodian Account for Children
(5)Options issued under the executive stock plan
(6)The phantom stock units were acquired under the Universal Leaf Tobacco
Company, Inc. Supplemental Stock Purchase Plan on a periodic basis during the
fiscal year ended June 30, 2001. Each phantom stock unit will be settled in
cash upon the earlier of death, disability, retirement or termination of
employment. The range of high low market prices for the company's common
stock on the dates the phantom units were credited is $39.66 and $26.3125,
respectively.
Signature on file, filed electronically August 10, 2001
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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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