Mark Brody - Oct 21, 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
Oct 21, 2021
Transactions value $
-$26,513
Form type
4
Date filed
10/25/2021, 04:43 PM
Next filing
Nov 23, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction UNTY Common Stock Gift -$26.5K -1.01K -1.37% $26.25 72.6K Oct 21, 2021 Direct F1
holding UNTY Common Stock 40.1K Oct 21, 2021 Financial Planning Analysts
holding UNTY Common Stock 255K Oct 21, 2021 Financial Planning Analysts Dispositive Shares F2
holding UNTY Restricted Stock 1.68K Oct 21, 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) 22.8K Oct 21, 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