Welcome to our dedicated page for Universe Pharmaceuticals SEC filings (Ticker: UPC), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Universe Pharmaceuticals INC SEC filings document the disclosures of a Cayman Islands foreign private issuer operating a pharmaceutical production and distribution business in China. Form 6-K reports cover interim financial results, revenue and cost categories for company and third-party products, and current reports tied to governance and capital-structure matters.
The filing record also includes proxy materials and annual general meeting results, an equity incentive plan, and amendments related to ordinary-share structure, including Class A and Class B ordinary shares and authorized share capital. These filings describe shareholder voting matters, board and compensation arrangements, share-based awards and formal corporate actions affecting UPC securities.
Lai Gang reported acquisition or exercise transactions in this Form 4 filing.
Universe Pharmaceuticals CEO Gang Lai reported new share grants in Universe Pharmaceuticals INC. On May 7, 2026, he received 12,610 Class B ordinary shares and 71,890 Class A ordinary shares at $0.0000 per share as a grant or award.
Footnotes state these ordinary shares were granted under the company’s 2026 Equity Incentive Plan in consideration for past services and are governed by an award agreement dated May 5, 2026. After the transactions, Lai directly holds 12,610 Class B shares and 71,890 Class A shares, and indirectly holds 3,467 Class B shares through Sununion Holding Group Limited.
Universe Pharmaceuticals INC disclosed that Chief Executive Officer and Chairman Gang Lai has become a significant shareholder through an equity compensation grant and existing holdings. On May 7, 2026, he received 71,890 Class A ordinary shares and 12,610 Class B ordinary shares under the company’s 2026 Equity Incentive Plan as compensation for past services. Including 3,467 Class B ordinary shares held through Sununion Holding Group Limited, which he controls, Lai beneficially owns 87,967 ordinary shares, representing 13.58% of the company’s outstanding Class A ordinary shares, giving him substantial voting and economic influence over the issuer.
Universe Pharmaceuticals adopted a 2026 Equity Incentive Plan allowing equity awards over up to 84,500 ordinary shares. Under this plan, the board granted Chief Executive Officer Gang Lai 71,890 Class A ordinary shares and 12,610 Class B ordinary shares as compensation for past services.
The shares were issued on May 7, 2026, with each Class B ordinary share convertible into one Class A ordinary share. After this issuance, the company has 631,761 Class A ordinary shares and 16,077 Class B ordinary shares outstanding, and Mr. Lai and his holding company beneficially control about 75.0% of the company’s total voting power.
Universe Pharmaceuticals INC adopted a new 2026 Equity Incentive Plan on April 14, 2026 to attract and retain employees, directors, and consultants and align their interests with shareholders.
The plan initially reserves up to 84,500 ordinary shares for awards and allows options, share appreciation rights, restricted shares, restricted share units, performance units, performance shares, and other share-based awards. From the first trading day in January 2027, the share pool may automatically increase each year by up to 10% of total ordinary shares issued and outstanding, subject to the Company’s authorized share capital and any lower amount set by the board. No director or officer can receive awards that would lift their holding above 75% of total voting power, and option terms may not exceed 10 years from the grant date.
Universe Pharmaceuticals INC director files initial ownership report. Zheng Ding, a director of Universe Pharmaceuticals INC, submitted a Form 3, which is an initial statement of beneficial ownership of securities. The data provided shows no reported purchases, sales, or other equity transactions in this filing.
Universe Pharmaceuticals INC director and Chief Executive Officer Lai Gang has filed an initial Form 3 reporting his beneficial ownership in the company. The filing shows indirect ownership of 3,467 Class B ordinary shares, par value US$0.00001 per share, held through Sununion Holding Group Limited, a British Virgin Islands company that is 100% owned and controlled by him.
Universe Pharmaceuticals INC filed an initial insider ownership report for Chief Operating Officer Liu Baochang. This Form 3 identifies Liu as an officer of the company and establishes his status as an insider for future reporting, but it does not list any buy, sell, or other share transactions.
Universe Pharmaceuticals INC director Pang Jiawen has filed an initial statement of beneficial ownership on Form 3. This filing establishes Pang’s status as a director of the company and does not report any stock transactions or holdings at this time.
Universe Pharmaceuticals INC director and Chief Financial Officer Yang Lin (Lydia) filed an initial Form 3 reporting insider status in the company. The filing lists no purchases, sales, gifts, or other equity transactions, and shows no derivative positions in this excerpt.
Universe Pharmaceuticals INC director Yu Yongping has filed an initial insider ownership report on Form 3 for the company’s common equity. The filing lists no insider transactions or option exercises and shows no derivative positions, serving mainly as a baseline disclosure of Yu Yongping’s status as a director.