SEC Form 4 · accession 0000920427-19-000034
UNITY BANCORP INC /NJ/ · UNTY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Aaron Tucker
Director
Period of report
Jan 2, 2019
Accepted (ET)
Jan 4, 2019 · 4:09 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,F2 | Jan 2, 2019 | A | 750 | $20.76 | A | 2,793 | D | |
| Common StockF3 | holding | — | — | — | 31,870 | 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 | — | holding | — | — | — | — | — | Common Stock | — | 12,100 | D |
Explanation of responses
- F1750 restricted shares were granted on 1/2/19 from the 2013 Stock Bonus Plan and vest over four years; vesting commences with 188 shares on 1/2/20, 187 shares on 1/2/21, 188 shares on 1/2/22, and 187 shares on 1/2/23.
- F22,793 shares are held in an account at Computershare, which have upcoming vesting dates.
- F327,500 shares are held in a brokerage account; and 4,370 shares are held in an account at Shareworks in Mr. Tucker's name.
- F412,100 stock options were granted under various dates and vesting periods of which 5,000 are currently exercisable.
Remarks
Total Beneficial Ownership: 39,663 Mr. Tucker receives additional shares on a quarterly basis through his dividend reinvestment plan.