SEC Form 4 · accession 0001454969-16-000012
UNIVEST FINANCIAL Corp · UVSP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Duane J Brobst
Officer — Sr EVP & Chief Risk Officer
Period of report
Dec 28, 2016
Accepted (ET)
Dec 29, 2016 · 1:45 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 | Dec 28, 2016 | M | 2,000 | $14.80 | A | 36,999 | D | |
| CommonF1,F2 | Dec 28, 2016 | D | 951 | $31.15 | D | 36,048 | D | |
| CommonF3,F1,F2 | Dec 28, 2016 | F | 333 | $31.15 | D | 35,715 | D | |
| CommonF1,F2 | Dec 28, 2016 | M | 1,333 | $16.88 | A | 37,048 | D | |
| CommonF1,F2 | Dec 28, 2016 | D | 722 | $31.15 | D | 36,326 | D | |
| CommonF3,F1,F2 | Dec 28, 2016 | F | 194 | $31.15 | D | 36,132 | D | |
| CommonF1,F2 | Dec 28, 2016 | M | 6,000 | $21.11 | A | 42,132 | D | |
| CommonF1,F2 | Dec 28, 2016 | D | 4,066 | $31.15 | D | 38,066 | D | |
| CommonF3,F1,F2 | Dec 28, 2016 | F | 614 | $31.15 | D | 37,452 | D | |
| CommonF1,F2 | Dec 28, 2016 | M | 2,000 | $17.235 | A | 39,452 | D | |
| CommonF1,F2 | Dec 28, 2016 | D | 1,107 | $31.15 | D | 38,345 | D | |
| CommonF3,F1,F2 | Dec 28, 2016 | F | 284 | $31.15 | D | 38,061 | D | |
| CommonF1,F2 | Dec 28, 2016 | M | 667 | $18.78 | A | 38,728 | D | |
| CommonF1,F2 | Dec 28, 2016 | D | 402 | $31.15 | D | 38,326 | D | |
| CommonF3,F1,F2 | Dec 28, 2016 | F | 84 | $31.15 | D | 38,242 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Incentive Stock Options (Right to Buy) | $14.80 | Dec 28, 2016 | M | 2,000 | D | Jan 31, 2014 | Jan 31, 2022 | Common | 2,000 | 0 | D |
| Incentive Stock Options (Right to Buy) | $16.88 | Dec 28, 2016 | M | 1,333 | D | Jan 31, 2015 | Jan 31, 2023 | Common | 1,333 | 667 | D |
| Incentive Stock Options (Right to Buy) | $21.11 | Dec 28, 2016 | M | 6,000 | D | Dec 31, 2009 | Dec 31, 2017 | Common | 6,000 | 0 | D |
| Incentive Stock Options (Right to Buy) | $17.235 | Dec 28, 2016 | M | 2,000 | D | Jan 31, 2013 | Jan 31, 2021 | Common | 2,000 | 0 | D |
| Incentive Stock Options (Right to Buy) | $18.78 | Dec 28, 2016 | M | 667 | D | Jan 31, 2016 | Jan 31, 2024 | Common | 667 | 1,333 | D |
Explanation of responses
- F1DOES INCLUDE 9,224 RESTRICTED SHARES SUBJECT TO VESTING.
- F2DOES INCLUDE 6,660.6690 SHARES ACQUIRED ON OR AFTER AUGUST 15, 1996 THROUGH THE DIVIDEND REINVESTMENT PLAN AND EMPLOYEE STOCK PURCHASE PLAN.
- F3SHARES USED TO PAY TAXES.