SEC Form 4 · accession 0001566245-16-000011
UNIVEST FINANCIAL Corp · UVSP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael S Keim
Officer — Senior EVP
Period of report
Nov 16, 2016
Accepted (ET)
Nov 17, 2016 · 1:28 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 | Nov 16, 2016 | M | 667 | $18.78 | A | 29,926 | D | |
| CommonF1,F2 | Nov 16, 2016 | D | 601 | $27.40 | D | 29,325 | D | |
| CommonF3,F1,F2 | Nov 16, 2016 | F | 66 | $27.40 | D | 29,259 | D | |
| CommonF1,F2 | Nov 16, 2016 | M | 1,333 | $16.88 | A | 30,592 | D | |
| CommonF1,F2 | Nov 16, 2016 | D | 1,172 | $27.40 | D | 29,420 | D | |
| CommonF3,F1,F2 | Nov 16, 2016 | F | 161 | $27.40 | D | 29,259 | D | |
| CommonF1,F2 | Nov 16, 2016 | M | 1,500 | $17.235 | A | 30,759 | D | |
| CommonF1,F2 | Nov 16, 2016 | D | 1,325 | $27.40 | D | 29,434 | D | |
| CommonF3,F1,F2 | Nov 16, 2016 | F | 175 | $27.40 | D | 29,259 | D | |
| CommonF1,F2 | Nov 16, 2016 | M | 1,500 | $17.58 | A | 30,759 | D | |
| CommonF1,F2 | Nov 16, 2016 | D | 1,330 | $27.40 | D | 29,429 | D | |
| CommonF3,F1,F2 | Nov 16, 2016 | F | 170 | $27.40 | D | 29,259 | D | |
| CommonF1,F2 | Nov 16, 2016 | M | 1,500 | $14.80 | A | 30,759 | D | |
| CommonF1,F2 | Nov 16, 2016 | D | 1,282 | $27.40 | D | 29,477 | D | |
| CommonF3,F1,F2 | Nov 16, 2016 | F | 218 | $27.40 | D | 29,259 | 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) | $17.58 | Nov 16, 2016 | M | 1,500 | D | Jan 31, 2012 | Jan 31, 2020 | Common | 1,500 | 0 | D |
| Incentive Stock Options (Right to Buy) | $17.235 | Nov 16, 2016 | M | 1,500 | D | Jan 31, 2013 | Jan 31, 2021 | Common | 1,500 | 0 | D |
| Incentive Stock Options (Right to Buy) | $14.80 | Nov 16, 2016 | M | 1,500 | D | Jan 31, 2014 | Jan 31, 2022 | Common | 1,500 | 0 | D |
| Incentive Stock Options (Right to Buy) | $16.88 | Nov 16, 2016 | M | 1,333 | D | Jan 31, 2015 | Jan 31, 2023 | Common | 1,333 | 667 | D |
| Incentive Stock Options (Right to Buy) | $18.78 | Nov 16, 2016 | M | 667 | D | Jan 31, 2016 | Jan 31, 2024 | Common | 667 | 1,333 | D |
Explanation of responses
- F1DOES INCLUDE 13,090 RESTRICTED SHARES SUBJECT TO VESTING.
- F2DOES INCLUDE 11,542.0794 SHARES ACQUIRED ON OR AFTER AUGUST 15, 1996 THROUGH THE DIVIDEND REINVESTMENT PLAN AND EMPLOYEE STOCK PURCHASE PLAN.
- F3SHARES USED TO PAY TAXES.