SEC Form 5 · accession 0001201785-16-000004
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, 2015
Accepted (ET)
Jan 28, 2016 · 1:02 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, 2015 | L | 103 | $19.49 | A | 4,604 | D | |
| CommonF1,F3 | Dec 31, 2015 | L | 144 | $20.84 | A | 4,831 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom StockF4,F5 | — | holding | — | — | — | — | — | Common | 10,441 | 10,441 | D |
Explanation of responses
- F1DOES INCLUDE 2,000 SHARES OF RESTRICTED STOCK SUBJECT TO VESTING.
- F2DOES INCLUDE 681.7064 SHARES ACQUIRED ON OR AFTER AUGUST 15, 1996 THROUGH THE DIVIDEND REINVESTMENT PLAN.
- F3DOES INCLUDE 909.4406 SHARES ACQUIRED ON OR AFTER AUGUST 15, 1996 THROUGH THE DIVIDEND REINVESTMENT PLAN.
- F4THE PHANTOM STOCK UNITS WERE ACCRUED UNDER THE UNIVEST DIRECTORS DEFERRED COMPENSATION PLAN ON VARIOUS DATES DURING 2015 AT PRICES RANGING FROM $18.990 TO $20.860 PER UNIT; 1 FOR 1 EXCHANGE AT RETIREMENT.
- F5PHANTOM STOCK RIGHTS ARE EXERCISABLE AT RETIREMENT.