Mark S. Brody - 21 Oct 2021 Form 4 Insider Report for UNITY BANCORP INC /NJ/ (UNTY)

Role
Director
Signature
Dr. Mark Brody, POA Laurie Cook, Chief Accounting Officer/SVP
Issuer symbol
UNTY
Transactions as of
21 Oct 2021
Net transactions value
-$26,512
Form type
4
Filing time
25 Oct 2021, 16:43:38 UTC
Next filing
23 Nov 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 Gift $26,512 -1,010 -1.4% $26.25 72,607 21 Oct 2021 Direct F1
holding UNTY Common Stock 40,102 21 Oct 2021 Financial Planning Analysts
holding UNTY Common Stock 255,465 21 Oct 2021 Financial Planning Analysts Dispositive Shares F2
holding UNTY Restricted Stock 1,675 21 Oct 2021 Direct F3

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) 22,800 21 Oct 2021 Common Stock Direct F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 A total of 72,607 shares are beneficially owned by Dr. Brody; 33,592 are held jointly with his spouse, 18,966 are held in street name, 19,929 are held in an account at Shareworks, and 120 are held in an account at Computershare.
F2 Shares held in a master account of Financial Planning Analysts over which Dr. Brody has no voting authority, but has dispositive power.
F3 1,675 restricted shares are held in an account at Computershare, which have upcoming vesting dates.
F4 22,800 stock options were granted under various dates and vesting periods of which 13,400 are currently exercisable.

Remarks:

Total Beneficial Ownership: 383,249