Form 4: Director Ault Buys UUU Shares Under 10b5-1 Plan

Milton C. Ault III, a Director and 10% owner of Universal Safety Products, Inc., purchased 100 shares of common stock at $4.399 per share under a Rule 10b5-1 plan.

Summary

• Milton C. Ault III, a Director and 10% owner of Universal Safety Products, Inc. (UUU), acquired 100 shares of common stock.
• The transaction occurred on November 28, 2025, at a price of $4.399 per share.
• The purchase was made pursuant to a Rule 10b5-1(c) plan, indicating a pre-arranged transaction.
• Following this transaction, Mr. Ault beneficially owns a total of 107,422 shares of Common Stock.
• Beneficial ownership includes 96,369 shares indirectly through Ault Lending, LLC, 5,953 shares indirectly through Alpha Structured Finance LP, 5,000 shares indirectly through Ault & Company, Inc., and the newly acquired 100 shares.

Sentiment

Score: 7

Explanation: The insider purchase by a director and 10% owner, even if pre-planned under a 10b5-1, is a positive signal of confidence in the company's long-term value, though the transaction volume is relatively small.

Positives

• A Director and 10% owner of the company, Milton C. Ault III, purchased shares, signaling confidence in the company's future prospects.
• The transaction was executed under a Rule 10b5-1 plan, which often reflects a long-term investment strategy.

Future Outlook

NA

Industry Context

NA

Related Party Transactions

• Milton C. Ault III indirectly beneficially owns 96,369 shares through Ault Lending, LLC, a wholly owned subsidiary of Hyperscale Data, Inc., where Mr. Ault is Executive Chairman.
• Mr. Ault indirectly beneficially owns 5,953 shares through Alpha Structured Finance LP, where he is the Manager of Alpha Structured Finance GP LLC (general partner) and ACG Alpha Management LLC (investment manager).
• Mr. Ault indirectly beneficially owns 5,000 shares through Ault & Company, Inc., where he is the Chief Executive Officer and Chairman.

Stakeholder Impact

• Shareholders may view the insider purchase as a positive indicator of management's belief in the company's future performance and value.

Key Dates

Recommendation

The purchase of shares by a director and 10% owner, executed under a Rule 10b5-1 plan, reflects pre-determined confidence in the company's long-term prospects. While positive, the pre-scheduled nature and relatively small volume of 100 shares suggest a 'hold' recommendation rather than a strong 'buy' based solely on this filing.

Keywords

Universal Safety Products, UUU, Milton C. Ault III, Insider Trading, Form 4, Stock Purchase, Director, 10% Owner, Equity Acquisition, 10b5-1 Plan