SEC Form 4/A · accession 0001449046-16-000002
UNITY BANCORP INC /NJ/ · UNTY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Allen Tucker
Director · Other
Period of report
Nov 1, 2016
Accepted (ET)
Nov 14, 2016 · 10:01 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 Stock | Nov 1, 2016 | M | 3,032 | $11.48 | A | 347,926 | D | |
| Common Stock | holding | — | — | — | 63,497 | I | By Spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF2,F1 | $11.48 | Nov 1, 2016 | M | 3,032 | D | Jan 25, 2008 | Jan 25, 2017 | Common Stock | 3,032 | 13,200 | D |
Explanation of responses
- F1Stock Options vest over three (3) years; options were granted on 1/25/2007; one-third exercisable 1/25/2008; 1/25/2009 and 1/25/2010, and expire on 1/25/2017.
- F2A total of 13,200 Stock Options have been granted of which 8,800 are currently exercisable.