SEC Form 4 · accession 0001248813-17-000001

· UNTY

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Jan 3, 2017

Accepted (ET)

Jan 5, 2017 · 11:39 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
Common Restricted^F1,F2,F7	Jan 3, 2017	A	1,400	$15.70	A	5,800	D
Common Stock^F5	holding	—	—		—	76,254	D
Common Stock	holding	—	—		—	40,102	I	Financial Planning Analysts
Common Stock^F6	holding	—	—		—	247,501	I	Financial Planning Analysts

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Options^F4,F3	$15.70	Jan 3, 2017	A	1,600	A	Jan 3, 2018	Jan 3, 2027	Common Stock	1,600	14,886	D

F11,400 restricted shares were granted on 1/3/17 from the 2013 Stock Bonus Plan and vest over four years; vesting commences with 350 shares on 1/3/18; 350 shares on 1/3/19; 350 shares on 1/3/20; and 350 shares on 1/3/21.
F2Stock price at the close of business on 12/30/16;
F31,600 stock options were granted on 1/3/17, which vest 1/3 per year; i.e., 534 on 1/3/18; 533 on 1/3/19; and 533 on 1/3/20.
F4A total of 19,420 options were granted under various dates and vesting period of which 14,886 are currently exercisable.
F5A total of 82,054 shares are beneficially owned by Dr. Brody; 48,400 are held jointly with his spouse; 12,705 are held in street name; 15,149 are held in an acct. at Computershare; and 5,800 shares are restricted stock.
F6Shares held in a master account of Financial Planning Analysts over which Dr. Brody has no voting authority, but has dispositive power.
F75,800 restricted stock shares are currently held in an account at Computershare, which have upcoming vesting dates.