SEC Form 4 · accession 0001604682-16-000019

· UNTY

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

A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).

Reporting owner

Director

Period of report

Jan 5, 2016

Accepted (ET)

Jan 5, 2016 · 3:41 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 Restricted^{F1,F2,F3,F4,F6}	Jan 5, 2016	A	1,600	$12.06	A	72,999	D
Common Stock	holding	—	—		—	36,456	I	Financial Planning Analysts
Common Stock^F5	holding	—	—		—	662,725	I	Dispositive Shares held by Financial Planning Analysts

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Options^F7,F8	$12.06	Jan 5, 2016	A	4,000	A	Jan 5, 2017	Jan 5, 2026	Common Stock	4,000	14,956	D

F11,600 restricted shares were granted on 1/5/16 from the 2013 Stock Bonus Plan and vest over four years; vesting commences with 400 shares on 1/5/17; 400 shares on 1/5/18; 400 shares on 1/5/19 and 400 shares on 1/5/20.
F2Stock price at the close of business on 1/5/16.
F310,400 shares of total beneficially owned shares are Restricted Stock subject to four-year vesting periods determined by the individual grant dates.
F444,000 shares are held jointly with spouse.
F5Shares held in a master account of Financial Planning Analysts over which Dr. Brody has no voting authority, but has dispositive power.
F618,599 shares are held by Mr. Brody; 11,550 in street name; and 7,049 in an account at Computershare.
F74,000 stock options granted on 1/5/16, which vest 1/3 each year; i.e., 1,333 on 1/5/17; 1,333 on 1/5/18 and 1,334 on 1/5/19.
F8Total exercisable options.