SEC Form 4 · accession 0000920427-18-000145

· 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

Director

Period of report

Dec 21, 2018

Accepted (ET)

Dec 26, 2018 · 11:03 am EST

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
Restricted Stock^F1	holding	—	—	—	3,490	D
Common Stock^F2	holding	—	—	—	79,464	D
Common Stock	holding	—	—	—	40,102	I	Financial Planning Analysts
Common Stock^F3	holding	—	—	—	270,102	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,F5	$18.25	Dec 21, 2018	A	3,000	A	Dec 21, 2019	Dec 21, 2028	Common Stock	3,000	12,200	D

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.
F43,000 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.
F512,200 stock options were granted under various dates and vesting periods of which 3,467 are currently exercisable.

Total Beneficial Ownership: 396,625