SEC Form 4 · accession 0000920427-18-000020

· UNTY

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

Reporting owner

Director · 10% Owner

Period of report

Jan 2, 2018

Accepted (ET)

Jan 4, 2018 · 1:23 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0000920427

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Restricted Stock^F1,F2,F3	Jan 2, 2018	A	750	$19.75	A	4,081	D
Common Stock^F4	Jan 2, 2018	M	8,800	$3.46	A	11,025	D
Common Stock^F5	holding	—	—		—	1,706,942	I	Dallas Financial Holdings, LLC

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Options^F6	$19.75	Jan 2, 2018	A	3,200	A	Jan 2, 2019	Jan 2, 2028	Common Stock	3,200	9,100	D
Stock Options^F7,F9,F8	$3.46	Jan 2, 2018	M	8,800	D	Dec 18, 2009	Dec 18, 2018	Common Stock	8,800	9,100	D

F1750 restricted shares were granted on 1/2/18 from the 2013 Stock Bonus Plan and vest over four years; vesting commences with 187 shares on 1/2/19; 188 shares on 1/2/20; 187 shares on 1/2/21; and 188 shares on 1/2/22.
F2Stock price at the close of business on 12/29/17
F33,630 shares are currently held in an account at Computershare, which have upcoming vesting dates; 451 shares are dividend reinvested shares for a total of 4,081.
F411,025 shares are held in Mr. Dallas' name in an account at Computershare.
F5171,632 shares are held in an account at Computershare; 1,535,310 shares are held in a brokerage account.
F63,200 stock options were granted on 1/2/18, which vest 1/3 per year; i.e., 1,067 on 1/2/19; 1,066 on 1/2/20; and 1,067 on 1/2/21.
F7Mr. Dallas exercised 8,800 stock options at $3.46 per share.
F88,800 stock options were granted on 12/18/2008, which vested one-third per year at $3.46 per share and expire on 12/18/2018.
F99,100 stock options were granted under various dates and vesting periods of which 1,967 are currently exercisable.

Total Beneficial Ownership: 1,724,015