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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Options | $ 6.46 | 09/01/2017 | M | 435 (4) | 12/20/2008(5) | 12/20/2017(5) | Common Stock | 435 | $ 6.46 | 18,305 (6) | D | ||||
Stock Options | $ 6.46 | 09/05/2017 | M | 470 (4) | 12/20/2008(5) | 12/20/2017(5) | Common Stock | 470 | $ 6.46 | 18,305 (6) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BRODY MARK S C/O UNITY BANK 64 OLD HIGHWAY 22 CLTION, NJ 08809 |
X |
Dr. Mark Brody, POA Laurie Cook, Controller/SVP | 09/05/2017 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | 64,649 shares are held in accounts at Computershare, of which 48,400 are held jointly with his spouse; 12,705 shares are held in street name. |
(2) | 4,700 shares are held in an account at Computershare, which have upcoming vesting dates. |
(3) | Shares are held in a master account of Financial Planning Analysts over which Dr. Brody has no voting authority, but has dispositive power. |
(4) | Mr. Brody exercised 905 stock options at $6.46 per share, and sold at $17.50 per share. |
(5) | 4,620 stock options were granted on 12/20/2007, which vested one-third per year commencing 12/20/2008; 12/20/2009; and 12/20/2010 at $6.46 per share that expire on 12/20/2017. |
(6) | 18,305 stock options were granted to Mr. Brody of which 13,772 are currently exercisable. |
Remarks: Total Beneficial Ownership: 374,676 |