Mark Brody - Nov 23, 2021 Form 4 Insider Report for UNITY BANCORP INC /NJ/ (UNTY)

Role
Director
Signature
Dr. Mark Brody, POA Laurie Cook, Chief Accounting Officer/SVP
Stock symbol
UNTY
Transactions as of
Nov 23, 2021
Transactions value $
-$28,827
Form type
4
Date filed
11/26/2021, 10:52 AM
Previous filing
Nov 23, 2021
Next filing
Dec 7, 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction UNTY Common Stock Sale -$28.8K -1.08K -1.51% $26.82 70.1K Nov 23, 2021 Direct F1, F2
holding UNTY Common Stock 40.1K Nov 23, 2021 Financial Planning Analysts
holding UNTY Common Stock 255K Nov 23, 2021 Financial Planning Analysts Dispositive Shares F3
holding UNTY Restricted Stock 1.68K Nov 23, 2021 Direct F4

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding UNTY Stock Options (Right to buy) 22.8K Nov 23, 2021 Common Stock Direct F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 This transaction was executed in multiple trades at prices ranging from $26.78 USD to $27.34 USD, the price reported above reflects the weighted average sale price.
F2 A total of 70,069 shares are beneficially owned by Dr. Brody; 33,712 are held in accounts at Computershare, of which 33,592 are held jointly with his spouse. 16,428 are held in street name, and 19,929 are held in an account at Shareworks.
F3 Shares held in a master account of Financial Planning Analysts over which Dr. Brody has no voting authority, but has dispositive power.
F4 1,675 restricted shares are held in an account at Computershare, which have upcoming vesting dates.
F5 22,800 stock options were granted under various dates and vesting periods of which 13,400 are currently exercisable.

Remarks:

Total Beneficial Ownership: 380,711