SEC Form 4 · accession 0000920427-19-000072
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
Feb 20, 2019
Accepted (ET)
Mar 5, 2019 · 3:59 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 |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Feb 20, 2019 | W | 63,497 | $0.00 | D | 0 | I | Spouse |
| Common StockF2 | holding | — | — | — | 358,382 | D | ||
| Restricted StockF3 | holding | — | — | — | 3,217 | 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 | — | 12,200 | D |
Explanation of responses
- F163,497 shares were transferred to Charlotte Tucker's children following her death.
- F2326,974 shares are held in a brokerage account; 29,733 shares are held in a Trust account at Computershare, and 1,675 shares are held in an account at Shareworks for a total of 358,382.
- F32,715 shares are held in an account at Computershare, which have upcoming vesting dates. 502 shares are dividend reinvested shares for a total of 3,217.
- F412,200 stock options were granted under various dates and vesting periods of which 6,534 are currently exercisable.
Remarks
Total Beneficial Ownership: 368,133 Mr. Tucker receives additional shares on a quarterly basis through his dividend reinvestment plan.