SEC Form 4 · accession 0000920427-17-000075

· UNTY

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Sep 1, 2017

Accepted (ET)

Sep 5, 2017 · 4:33 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0000920427

Table I — non-derivative securities

Security	Date	Code	Shares	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1	holding	—	—	—	77,354	D
Restricted Stock^F2	holding	—	—	—	4,700	D
Common Stock^F3	holding	—	—	—	40,102	I	Financial Planning Analysts
Common Stock^F3	holding	—	—	—	252,520	I	Financial Planning Analysts Dispositive Shares

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Options^F4,F6,F5	$6.46	Sep 1, 2017	M	435	D	Dec 20, 2008	Dec 20, 2017	Common Stock	435	18,305	D
Stock Options^F4,F6,F5	$6.46	Sep 5, 2017	M	470	D	Dec 20, 2008	Dec 20, 2017	Common Stock	470	18,305	D

F164,649 shares are held in accounts at Computershare, of which 48,400 are held jointly with his spouse; 12,705 shares are held in street name.
F24,700 shares are held in an account at Computershare, which have upcoming vesting dates.
F3Shares are held in a master account of Financial Planning Analysts over which Dr. Brody has no voting authority, but has dispositive power.
F4Mr. Brody exercised 905 stock options at $6.46 per share, and sold at $17.50 per share.
F54,620 stock options were granted on 12/20/2007, which vested one-third per year commencing 12/20/2008; 12/20/2009; and 12/20/2010 at $6.46 per share that expire on 12/20/2017.
F618,305 stock options were granted to Mr. Brody of which 13,772 are currently exercisable.

Total Beneficial Ownership: 374,676