SEC Form 4/A · accession 0001604682-16-000025

· 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

Director

Period of report

Jan 5, 2016

Accepted (ET)

Jan 6, 2016 · 1:04 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	Jan 5, 2016	A	1,600	$12.06	A	72,999	D
Common Stock	holding	—	—		—	36,456	I	Financial Planning Analysts
Common Stock^F6	holding	—	—		—	210,778	I	Financial Planning Analysts Dispositive Shares

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Options^F4,F2,F5	$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 1/4/16.
F310,400 shares of total beneficially owned shares are Restricted Stock subject to four-year vesting periods determined by the individual grant dates; 44,000 shares are held jointly with spouse; 11,550 shares are held in street name; 7,049 shares are held in an acct. at Computershare.
F44,000 stock options were 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.
F5Total exercisable options as of 1/5/16.
F6Shares held in a master account of Financial Planning Analysts over which Dr. Brody has no voting authority, but has dispositive power.