SEC Form 5 · accession 0000102212-17-000004
UNIVEST FINANCIAL Corp · UVSP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Margaret K Zook
Director
Period of report
Dec 31, 2016
Accepted (ET)
Jan 26, 2017 · 12:30 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000102212
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| CommonF1,F2 | Mar 31, 2016 | L | 156 | $19.27 | A | 6,133 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom StockF3,F4 | — | holding | — | — | — | — | — | Common | 10,441 | 11,666 | D |
Explanation of responses
- F1DOES INCLUDE 2,000 RESTRICTED SHARES SUBJECT TO VESTING.
- F2DOES INCLUDE 1,210.9763 SHARES ACQUIRED ON OR AFTER AUGUST 15, 1996 THROUGH THE DIVIDEND REINVESTMENT PLAN.
- F3THE PHANTOM STOCK UNITS WERE ACCRUED UNDER THE UNIVEST DIRECTORS DEFERRED COMPENSATION PLAN ON VARIOUS DATES DURING 2016 AT PRICES RANGING FROM $19.510 TO $30.900 PER UNIT; 1 FOR 1 EXCHANGE AT RETIREMENT.
- F4PHANTOM STOCK RIGHTS ARE EXERCISABLE AT RETIREMENT.