# EDGAR Filing Document

**Accession Number:** 0000101984
**File Stem:** 0001209191-23-008847
**Filing Date:** 2023-2
**Character Count:** 6849
**Document Hash:** 74c536cbfe25341ee9237f449540b437
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001209191-23-008847.hdr.sgml**: 20230213

**ACCESSION NUMBER**: 0001209191-23-008847

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230209

**FILED AS OF DATE**: 20230213

**DATE AS OF CHANGE**: 20230213

**REPORTING-OWNER**: 

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

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 000-21044
- **FILM NUMBER:** 23620690

**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]
- **IRS NUMBER:** 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 ROAD<br>SUITE H300<br><sub>(Street)</sub><br>SCOTTSDALE, AZ 85254<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-02-09 | **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>_S.V.P. Global Operations_ |
| **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 |  |  |  |  |  |  |  | 1727 | 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 |
| Restricted Stock Units<sup>(1)</sup> | <sup>(2)</sup> | 2023-02-09 |  | A |  | 8075 |  | <sup>(1)</sup> | <sup>(1)</sup> | Common Stock | 8075 | $0.00 | 16374 | D |  |
| Employee Stock Option (Rt. To Buy)<sup>(3)</sup> | 24.765<sup>(4)</sup> | 2023-02-09 |  | A |  | 18465 |  | 2024-02-09 | 2030-02-09 | Common Stock | 18465 | 24.765<sup>(4)</sup> | 18465 | D |  |

---

### Footnotes:

(1) Restricted Stock Grant was approved by the Compensation Committee of the Board of Directors on January 30, 2023 and ratified and approved by the Board of Directors on February 9, 2023, and granted on February 9, 2023. The Restricted Stock Units will vest over a 3 year vesting schedule of 33.33% on February 9, 2024, and 8.33% quarterly thereafter.

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

(3) Stock Option Grant was approved by the Compensation Committee of the Board of Directors on January 30, 2023 and ratified and approved by the Board of Directors on February 9, 2023, and granted on February 9, 2023. The Stock Options will vest over a 3-year vesting schedule of 33.33% on February 9, 2024, and 8.33% quarterly thereafter, and will expire on February 9, 2030.

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

**Signature:** /s/Richard Carnifax by Valerie J. Ballard, pursuant to Limited Power of Attorney dated July 11, 2022  
**Date:** 2023-02-13

### 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.**