SEC Form 4 · accession 0000920427-18-000116
UNITY BANCORP INC /NJ/ · UNTY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark S Brody
Director
Period of report
Nov 30, 2018
Accepted (ET)
Dec 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 StockF1 | holding | — | — | — | 3,490 | D | ||
| Common StockF2 | holding | — | — | — | 79,464 | D | ||
| Common Stock | holding | — | — | — | 40,102 | I | Financial Planning Analysts | |
| Common StockF3 | holding | — | — | — | 270,102 | I | Financial Planning Analysts Dispositive Shares |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF4,F5 | $3.46 | Nov 30, 2018 | M | 2,200 | D | Dec 18, 2009 | Dec 18, 2018 | Common Stock | 2,200 | 9,200 | D |
Explanation of responses
- F13,490 restricted shares are held in an account at Computershare, which have upcoming vesting dates.
- F2A total of 79,464 shares are beneficially owned by Dr. Brody; 48,400 are held jointly with his spouse; 12,705 are held in street name; 18,239 are held in an account at Shareworks; and 120 are held in an account at Computershare.
- F3Shares held in a master account of Financial Planning Analysts over which Dr. Brody has no voting authority, but has dispositive power.
- F4Dr. Brody exercised 2,200 stock options at $3.46 per share, and sold at $22.40 per share.
- F59,200 stock options were granted of which 3,467 are currently exercisable.
Remarks
Total Beneficial Ownership: 396,625