SEC Form 4 · accession 0001158369-19-000006
UNIVEST FINANCIAL Corp · UVSP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Roger H Ballou
Director
Period of report
Jan 31, 2019
Accepted (ET)
Feb 1, 2019 · 12:28 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 | holding | — | — | — | 22,002 | D | ||
| Common | holding | — | — | — | 11,483 | I | Joint | |
| Common | holding | — | — | — | 7,803 | I | Spouse Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF3,F4 | — | Jan 31, 2019 | A | 1,384 | A | Jan 31, 2021 | Jan 31, 2021 | Common | 1,384 | 1,384 | D |
Explanation of responses
- F1DOES INCLUDE 1,000 RESTRICTED SHARES SUBJECT TO VESTING.
- F2DOES INCLUDE 89.4023 SHARES ACQUIRED ON OR AFTER AUGUST 15, 1996 THROUGH THE DIVIDEND REINVESTMENT PLAN.
- F3EACH RESTRICTED STOCK UNIT REPRESENTS A CONTINGENT RIGHT TO RECEIVE ONE SHARE OF COMMON STOCK UPON VESTING OF THE UNIT.
- F4THE RESTRICTED STOCK UNITS VEST ON THE DATE INDICATED, ASSUMING CONTINUED SERVICE THROUGH THE VESTING DATE.