# EDGAR Filing Document

**Accession Number:** 0001938060
**File Stem:** 0000101984-25-000238
**Filing Date:** 2025-11
**Character Count:** 7940
**Document Hash:** d8cfc6baf8328cb7fe27b43422406ca0
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000101984-25-000238.hdr.sgml**: 20251117

**ACCESSION NUMBER**: 0000101984-25-000238

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20251113

**FILED AS OF DATE**: 20251117

**DATE AS OF CHANGE**: 20251117

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Carnifax Richard K
- **CENTRAL INDEX KEY:** 0001938060

**ORGANIZATION NAME:**

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 000-21044
- **FILM NUMBER:** 251490094

**MAIL ADDRESS:**
- **STREET 1:** 15147 N. SCOTTSDALE ROAD
- **STREET 2:** SUITE H300
- **CITY:** SCOTTSDALE
- **STATE:** AZ
- **ZIP:** 85254
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** UNIVERSAL ELECTRONICS INC
- **CENTRAL INDEX KEY:** 0000101984
- **STANDARD INDUSTRIAL CLASSIFICATION:** HOUSEHOLD AUDIO & VIDEO EQUIPMENT [3651]
- **ORGANIZATION NAME:** 04 Manufacturing
- **EIN:** 330204817
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 15147 N SCOTTSDALE RD
- **STREET 2:** SUITE H300
- **CITY:** SCOTTSDALE
- **STATE:** AZ
- **ZIP:** 85254
- **BUSINESS PHONE:** 480-530-3000

**MAIL ADDRESS:**
- **STREET 1:** 15147 N SCOTTSDALE RD
- **STREET 2:** SUITE H300
- **CITY:** SCOTTSDALE
- **STATE:** AZ
- **ZIP:** 85254

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Carnifax Richard K<br><sub>(Last) (First) (Middle)</sub><br>15147 N SCOTTSDALE RD STE H300<br><sub>(Street)</sub><br>SCOTTSDALE, AZ 85254<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2025-11-13 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_COO and Interim CEO_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>UNIVERSAL ELECTRONICS INC [ UEIC ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock |  |  |  |  |  |  |  | 14697 | D |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Performance Stock Units | <sup>(1)</sup> | 2025-11-13 |  | A |  | 150000 |  | <sup>(2)</sup> | <sup>(2)</sup> | Common Stock | 150000 | $0 | 242433<sup>(3)</sup> | D |  |
| Performance Stock Units | <sup>(1)</sup> | 2025-11-13 |  | A |  | 150000 |  | <sup>(2)</sup> | <sup>(2)</sup> | Common Stock | 150000 | $0 | 392433<sup>(3)</sup> | D |  |
| Employee Stock Option (Rt to Buy) | <sup>(4)</sup> | 2025-11-13 |  | A |  | 150000 |  | <sup>(5)</sup> | <sup>(5)</sup> | Common Stock | 150000 | 2.97<sup>(4)</sup> | 168465<sup>(6)</sup> | D |  |
| Restricted Stock Units | <sup>(7)</sup> |  |  |  |  |  |  | <sup>(8)</sup> | <sup>(8)</sup> | Common Stock | 6503 |  | 6503<sup>(9)</sup> | D |  |

---

### Footnotes:

(1) Each performance stock unit represents a contingent right to receive one share of UEI common stock.

(2) The performance stock unit award was approved and granted by the Compensation Committee of the Board of Directors on November 13, 2025. The performance stock unit award will vest in three tranches with one stock market condition and three service conditions. Each tranche will vest only when both the stock price market and service conditions have been achieved. The stock price market condition must be met on or by the fifth anniversary of the grant (November 13, 2030). Any unvested tranche will expire at close of business on November 13, 2030.

(3) This figure represents an aggregate number of performance stock units held by Reporting Person.

(4) Exercise Price Determined in accordance with the terms of the Company's applicable Stock Incentive Plan.

(5) The stock option award was approved and granted by the Compensation Committee of the Board of Directors on November 13, 2025. The stock option award will vest over a 3-year vesting schedule with 33.33% on November 13, 2026, 33.33% on November 13, 2027 and the remainder vesting on November 13, 2028. The stock option award will expire on the tenth anniversary of the grant date (November 13, 2035).

(6) This figure represents an aggregate number of stock options held by Reporting Person.

(7) Each restricted stock unit represents a contingent right to receive one share of UEI common stock.

(8) The restricted stock units vest in accordance with the vesting schedule of each RSU Grant.

(9) This figure represents an aggregate number of restricted stock units held by Reporting Person.

**Signature:** /s/Richard K. Carnifax, by Bryan Allison, pursuant to Limited Power of Attorney dated May 7, 2024  
**Date:** 2025-11-17

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** 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 is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**