SEC Form 4 · accession 0001604682-15-000003
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 2, 2015
Accepted (ET)
Jan 6, 2015 · 1:33 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,F3 | Jan 2, 2015 | A | 2,400 | $9.32 | A | 13,550 | D | |
| Common Stock | holding | — | — | — | 1,463,667 | I | Dallas Financial Holdings, LLC | |
| Common Stock | holding | — | — | — | 6,324 | I | Trenton Liberty Insurance |
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 | 14,956 | 14,956 | D |
Explanation of responses
- F12,400 Restricted shares were granted on 1/2/15 from the 2013 Stock Bonus Plan; vesting comences with 600 shares on 1/2/16; 600 shares on 1/2/17; 600 shares on 1/2/18; and 600 shares on 1/2/19.
- F2Stock price at the close of business on 1/2/15.
- F313,550 shares of total beneficially owned shares are Restricted Stock.
- F4The following options are from the 2006 Stock Option Plan: 2,756 options granted on 1/2/507 @ $12.62 expires 1/25/17; 4,200 options granted on 12/20/07 @ $7.10 expire 12/20/17; 8,000 options granted on 12/18/08 @ $3.80 expire 12/18/18.