0001140361-11-025004.txt : 20110504 0001140361-11-025004.hdr.sgml : 20110504 20110504181636 ACCESSION NUMBER: 0001140361-11-025004 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110502 FILED AS OF DATE: 20110504 DATE AS OF CHANGE: 20110504 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: George Duane V CENTRAL INDEX KEY: 0001398823 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11807 FILM NUMBER: 11811810 MAIL ADDRESS: STREET 1: 2101 ARENA BLVD, SUITE 100 CITY: SACRAMENTO STATE: CA ZIP: 95834 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: UNIFY CORP CENTRAL INDEX KEY: 0000880562 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 942710559 FISCAL YEAR END: 0430 BUSINESS ADDRESS: STREET 1: 1420 ROCKY RIDGE DRIVE STREET 2: SUITE 380 CITY: ROSEVILLE STATE: CA ZIP: 95661 BUSINESS PHONE: 9162184700 MAIL ADDRESS: STREET 1: 1420 ROCKY RIDGE DRIVE STREET 2: SUITE 380 CITY: ROSEVILLE STATE: CA ZIP: 95661 4 1 doc1.xml FORM 4 X0303 4 2011-05-02 0 0000880562 UNIFY CORP UNFY 0001398823 George Duane V 1420 ROCKY RIDGE DRIVE SUITE 380 ROSEVILLE CA 95661 0 1 0 0 VP of Product Dev't and CTO Stock Option 1.30 2011-11-16 Common Stock 5000 5000 D Stock Option 2.75 2012-05-09 Common Stock 2000 2000 D Stock Option 3.35 2013-11-03 Common Stock 2000 2000 D Stock Option 4.70 2014-05-03 Common Stock 3000 3000 D Stock Option 2.05 2014-12-10 Common Stock 200 200 D Stock Option 2.05 2014-12-10 Common Stock 1200 1200 D Stock Option 1.10 2016-11-16 Common Stock 15000 15000 D Stock Option 2.55 2017-05-01 Common Stock 3000 3000 D Stock Option 2.55 2017-05-01 Common Stock 12000 12000 D Stock Option 5.20 2017-11-27 Common Stock 10000 10000 D Stock Option 6.40 2018-05-02 Common Stock 15000 15000 D Stock Option 6.40 2018-05-02 Common Stock 12000 12000 D Stock Option 2.60 2019-05-05 Common Stock 37500 37500 D Stock Option 2.60 2019-05-05 Common Stock 7500 7500 D Stock Option 3.56 2020-05-04 Common Stock 30000 30000 D Stock Option 3.56 2020-05-04 Common Stock 10000 10000 D Stock Option 2.90 2011-05-02 4 A 0 22000 2.90 A 2021-05-02 Common Stock 22000 22000 D Option granted 11/16/01(#3458), pursuant to the 2001 Stock Option Plan and vests as to one fourth of the subject shares one year from the grant date and an additional one forty-eighth of the subject shares upon completion of each full month of continuous employment with Unify Corporation. Option is exercisable to the extent vested. Option granted 5/9/2002 (#3537), pursuant to the 2001 Stock Option Plan and vests as to one fourth of the subject shares one year from the grant date and an additional one forty-eighth of the subject shares upon completion of each full month of continuous employment with Unify Corporation. Option is exercisable to the extent vested. Option granted 11/3/03 (#3597), pursuant to the 2001 Stock Option Plan and vests as to one fourth of the subject shares one year from the grant date and an additional one forty-eighth of the subject shares upon completion of each full month of continuous employment with Unify Corporation. Option is exercisable to the extent vested. Option granted 5/3/04 (#3609), pursuant to the 2001 Stock Option Plan and vests as to one fourth of the subject shares one year from the grant date and an additional one forty-eighth of the subject shares upon completion of each full month of continuous employment with Unify Corporation. Option is exercisable to the extent vested. Option granted 12/10/04 (#3640), pursuant to the 2001 Stock Option Plan and vests as to one fourth of the subject shares one year from the grant date and an additional one forty-eighth of the subject shares upon completion of each full month of continuous employment with Unify Corporation. Option is exercisable to the extent vested. Option granted 12/10/04 (#3679), pursuant to the 2001 Stock Option Plan and vests as to one fourth of the subject shares one year from the grant date and an additional one forty-eighth of the subject shares upon completion of each full month of continuous employment with Unify Corporation. Option is exercisable to the extent vested. Option granted 11/16/06 (#3731), pursuant to the 2001 Stock Option Plan and vests as to one fourth of the subject shares one year from the grant date and an additional one forty-eighth of the subject shares upon completion of each full month of continuous employment with Unify Corporation. Option is exercisable to the extent vested. Option granted 5/1/07 (#3738), pursuant to the 2001 Stock Option Plan and vests as to one fourth of the subject shares one year from the grant date and an additional one forty-eighth of the subject shares upon completion of each full month of continuous employment with Unify Corporation. Option is exercisable to the extent vested. Non Plan Option granted 5/1/07(#3744) and vests as to one forty-eighth of the subject shares per month upon completion of each full month of continuous employment with Unify Corporation. Option is exercisable to the extent vested. Option (#3786) granted 11/27/07, pursuant to the 2001 Stock Option Plan and vests as to one forty-eighth of the subject shares upon completion of each full month of continuous employment with Unify Corporation. Option is exercisable to the extent vested. Option granted 05/02/08, pursuant to the 2001 Stock Option Plan and vests as to one forty-eighth of the subject shares upon completion of each full month of continuous employment with Unify Corporation. Option is exercisable to the extent vested. Option granted 5/2/08 pursuant to the 2001 Stock Option Plan and vests in full on 4/30/09 if several financial performance goals are achieved. Option granted 05/05/09, pursuant to the 2001 Stock Option Plan and vests as to one forty-eighth of the subject shares upon completion of each full month of continuous employment with Unify Corporation. Option is exercisable to the extent vested. Option granted 5/5/09 pursuant to the 2001 Stock Option Plan and vests over a two year period if several financial performance goals are achieved. Option granted 5/4/10, pursuant to the 2001 Stock Option Plan and vests monthly as to one forty-eighth (1/48th) of the subject shares upon completion of each full month of continuous employment with Unify Corporation. Option is exercisable to the extent vested. Option granted 5/4/10, will vest over a three-year period with sixty-seven (67%) percent vesting on April 30, 2012 and the remainder will vest evenly as to 1/12th per month until the option is fully vested on April 30, 2013. Option granted 5/2/11, pursuant to the 2010 Stock Option Plan and vests monthly as to one forty-eighth (1/48th) of the subject shares upon completion of each full month of continuous employment with Unify Corporation. Option is exercisable to the extent vested. /s/ Christa Flanery, by Power of Attorney 2011-05-04