0000920427-18-000013.txt : 20180104 0000920427-18-000013.hdr.sgml : 20180104 20180104132127 ACCESSION NUMBER: 0000920427-18-000013 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180102 FILED AS OF DATE: 20180104 DATE AS OF CHANGE: 20180104 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DALLAS DAVID D CENTRAL INDEX KEY: 0001033206 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12431 FILM NUMBER: 18509399 MAIL ADDRESS: STREET 1: C/O UNITY BANCORP INC STREET 2: 64 OLD HIGHWAY 22 CITY: CLINTON STATE: NJ ZIP: 08809 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: UNITY BANCORP INC /NJ/ CENTRAL INDEX KEY: 0000920427 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 223282551 STATE OF INCORPORATION: NJ FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 64 OLD HIGHWAY 22 CITY: CLINTON STATE: NJ ZIP: 08809 BUSINESS PHONE: 9087307630 MAIL ADDRESS: STREET 1: 64 OLD HIGHWAY 22 CITY: CLINTON STATE: NJ ZIP: 08809 FORMER COMPANY: FORMER CONFORMED NAME: UNITY BANCORP INC /DE/ DATE OF NAME CHANGE: 19940316 4 1 wf-form4_151509007418007.xml FORM 4 X0306 4 2018-01-02 0 0000920427 UNITY BANCORP INC /NJ/ UNTY 0001033206 DALLAS DAVID D C/O UNITY BANCORP INC 64 OLD HIGHWAY 22 CLINTON NJ 08809 1 0 1 1 Chairman of the Board Restricted Stock 2018-01-02 4 A 0 900 19.75 A 4383 D Common Stock 2018-01-02 4 M 0 8800 3.46 A 11075 D Common Stock 1706942 I Dallas Financial Holdings, LLC Stock Option 19.75 2018-01-02 4 A 0 3200 19.75 A 2019-01-02 2028-01-02 Common Stock 3200.0 9200 D Stock Option 3.46 2018-01-02 4 M 0 8800 3.46 D 2009-12-18 2018-12-18 Common Stock 8800.0 9200 D 900 restricted shares were granted on 1/2/18 from the 2013 Stock Bonus Plan and vest over four years; vesting commences with 225 shares on 1/2/19; 225 shares on 1/2/20; 225 shares on 1/2/21; and 225 shares on 1/2/22. Stock price at the close of business on 12/29/17. 3,930 restricted stock shares are currently held in an account at Computershare, which have upcoming vesting dates; 453 shares are dividend reinvested shares for a total of 4,383. 11,075 shares are held in Mr. Dallas' name in an account at Computershare. 171,632 shares are held in an account at Computershare; 1,535,310 shares are held in a brokerage account. 3,200 stock options were granted on 1/2/18, which vest 1/3 per year; i.e., 1,067 on 1/2/19; 1,066 on 1/2/20; and 1,067 on 1/2/21. A total of 9,200 stock options were granted under various dates and vesting periods of which 2,001 are currently exercisable. Mr. Dallas exercised 8,800 stock options at $3.46 per share. 8,800 stock options were granted on 12/18/2008, which vested one-third per year at $3.46 per share and expire on 12/18/2018. Total Beneficial Ownership: 1,724,401 David D. Dallas, poa Laurie Cook, Controller/SVP 2018-01-04