SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-K/A
(Amendment No. 1)
[X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF
THE SECURITIES EXCHANGE ACT OF 1934
For the fiscal year ended June 30, 2001
OR
[ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 (d)
OF THE SECURITIES EXCHANGE ACT OF 1934
Commission file number 1-652
UNIVERSAL CORPORATION
(Exact name of Registrant as specified in its charter)
Virginia 54-0414210
(State or other jurisdiction of (I.R.S. Employer
incorporation or organization) Identification Number)
1501 North Hamilton Street,
Richmond, Virginia 23230 804-359-9311
(Address of principal executive offices) (Registrant's telephone number)
Securities registered pursuant to Section 12(b) of the Act:
Name of each exchange on
Title of each class which registered
------------------- ----------------
Common Stock, no par value New York Stock Exchange
Preferred Share Purchase Rights New York Stock Exchange
Securities registered pursuant to Section 12(g) of the Act:
None
Indicate by "X" mark whether the registrant (1) has filed all reports required
to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during
the preceding 12 months (or for such shorter period that the registrant was
required to file such reports), and (2) has been subject to such filing
requirements for the past 90 days. Yes X No
Indicate by "X" mark if disclosure of delinquent filers pursuant to Item 405 of
Regulation S-K is not contained herein, and will not be contained, to the best
of registrant's knowledge, in definitive proxy or information statements
incorporated by reference in Part III of this Form 10-K or any amendment to this
Form 10-K. [X]
The aggregate market value of the Registrant's voting stock held by
non-affiliates was approximately $1.1 billion and the total number of shares of
common stock outstanding was 27,078,145 at September 7, 2001.
INFORMATION INCORPORATED BY REFERENCE
Certain information contained in the September 21, 2001 Proxy Statement for the
Annual Meeting of Shareholders of Registrant is incorporated by reference into
Part III hereof.
PART II
Item 5. Market for Registrant's Common Equity and Related Shareholder Matters
The Company's Common Stock is traded on the New York Stock Exchange
("NYSE") under the symbol "UVV." The following table sets forth the high and low
sales prices per share of the Common Stock on the NYSE Composite Tape, based
upon published financial sources, and the dividends declared on each share of
Common Stock for the quarter indicated.
First Second Third Fourth
Quarter Quarter Quarter Quarter
------- ------- ------- -------
2001
Cash dividends declared:................ $ .31 $ .32 $ .32 $ .32
Market price range:..................... High 29.88 35.88 39.43 41.30
Low 20.63 27.00 31.19 36.99
2000
Cash dividends declared:................ $ .30 $ .31 $ .31 $ .31
Market price range:..................... High 31.00 26.50 23.94 24.81
Low 25.13 20.75 13.56 16.00
The Company's current dividend policy anticipates the payment of quarterly
dividends in the future. The declaration and payment of dividends to holders of
Common Stock will be at the discretion of the Board of Directors and will be
dependent upon the future earnings, financial condition, and capital
requirements of the Company. At September 4, 2001, there were 2,610 holders of
record of the registrant's Common Stock.
SIGNATURES
Pursuant to the requirements of Section 13 or 15(d) of the Securities
Exchange Act of 1934, as amended, the Registrant has duly caused this report to
be signed on its behalf by the undersigned, thereunto duly authorized.
UNIVERSAL CORPORATION
October 29, 2001
By: /s/ George C. Freeman, III
-----------------------------------
George C. Freeman, III
General Counsel and Secretary