SEC Form 4 · accession 0000920427-18-000142
UNITY BANCORP INC /NJ/ · UNTY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Peter E Maricondo
Director
Period of report
Dec 21, 2018
Accepted (ET)
Dec 26, 2018 · 11:01 am 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 | — | — | — | 32,483 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF3,F4 | $18.25 | Dec 21, 2018 | A | 3,000 | A | Dec 21, 2019 | Dec 21, 2028 | Common Stock | 3,000 | 12,200 | D |
Explanation of responses
- F13,490 shares are held in an account at Computershare, which have upcoming vesting dates.
- F230,353 shares are held in an account at Shareworks; and 2,130 shares are held in a broker account in Mr. Maricondo's name.
- F33,000 stock options were granted on 12/21/18 at $18.25 per share, which vest 1/3 per year; i.e., 1,000 on 12/21/19; 1,000 on 12/21/20; and 1,000 on 12/21/21.
- F412,200 stock options were granted to Mr. Maricondo of which 3,467 are currently exercisable.
Remarks
Total Amount of Beneficial Securities Owned: 39,440