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
[X] 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*
Zalzneck Robert J
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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
06/02
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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
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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 6/30/02 I 511 A 24,599(1) D
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Common Stock 6/30/02 I 535 A 2,612(2) I(3)
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Common Stock 4,481 I(4)
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total 31,692
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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 $38.94 6/15/98 12/20/07 Common Stock(5) 25,000 D
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Options to buy
common stock $40.1875 6/8/98 12/1/04 Common Stock(5) 6,267 D
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Options to buy
common stock $38.00 12/15/01 12/2/09 Common Stock(5) 6,366 D
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Options to buy
common stock $38.70 12/17/02 12/1/04 Common Stock(5) 9,373 D
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Options to buy
common stock $38.70 12/17/02 12/2/09 Common Stock(5) 14,274 D
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phantom stock units 1 for 1 (6) 53.208 (6) (6) Common Stock(6) 53.208 3,094.256
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Explanation of Responses:
(1)includes 511 shares that were previously owned in the stock purchase plan
(2)includes 535 shares acquired from 7/1/01 through 6/30/02 in the stock
purchase plan
(3) shares held in the stock purchase plan
(4) shares held in the dividend reinvestment plan
(5) options issued under the Executive Stock Plan
(6) the phantom stock units were acquired under the ULT supplemental stock
purchase plan on a periodic basis during the fiscal year ended June 30, 2002.
Each phantom stock unit will be settled in cash upon the earlier of death,
disability, retirement or termination of employment. The range of high and
low market prices for the company's common stock on the dates the phantom
units were credits is $42.96 and $31.78 respectively.
signature on file, filed electronically August 12, 2002
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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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