SEC Form 4 · accession 0001033206-17-000001
UNITY BANCORP INC /NJ/ · UNTY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David D Dallas
Director · 10% Owner · Other
Period of report
Jan 12, 2017
Accepted (ET)
Jan 12, 2017 · 12:57 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 Stock | Jan 12, 2017 | M | 3,032 | $11.48 | A | 17,713 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF2,F1 | $11.48 | Jan 12, 2017 | M | 3,032 | D | Jan 25, 2008 | Jan 25, 2017 | Common Stock | 3,032 | 14,886 | D |
Explanation of responses
- F1On 1/25/2007 Mr. Dallas was granted 3,032 stock options at $11.48 which vested one-third per year commencing 1/25/08; 1/25/09 and 1/25/10 and expire on 1/25/17.
- F2A total of 19,420 stock options were granted under various dates and vesting periods of which 14,886 are currently exercisable.