SEC Form 4 · accession 0000920427-18-000049
UNITY BANCORP INC /NJ/ · UNTY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Allen Tucker
Director · Other
Period of report
Mar 9, 2018
Accepted (ET)
Mar 13, 2018 · 1:45 pm EDT
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 |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Mar 9, 2018 | M | 8,800 | $3.46 | A | 356,708 | D | |
| Common StockF2 | holding | — | — | — | 63,497 | I | Spouse | |
| Restricted StockF3 | holding | — | — | — | 3,943 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF4,F6,F5 | $3.46 | Mar 9, 2018 | M | 8,800 | D | Dec 18, 2009 | Dec 18, 2018 | Common Stock | 8,800 | 9,200 | D |
Explanation of responses
- F1240,888 shares are held in a brokerage account; 115,820 shares are held in an account at Computershare for a total of 356,708.
- F212,403 shares are held in an account in Charlotte Tucker's name; 3,029 are held in a trust account; and 48,065 are held in a brokerage account for a total of 63,497.
- F33,490 restricted stock shares are held in an account at Computershare, which have upcoming vesting dates; 453 shares are dividend reinvestment shares for a total of 3,943.
- F4Mr. Tucker exercised 8,800 stock options at $3.46 per share.
- F58,800 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.
- F69,200 stock options were granted under various dates and vesting periods of which 3,467 are currently exercisable.
Remarks
Total Beneficial Ownership: 427,615