0001140361-11-047216.txt : 20110928 0001140361-11-047216.hdr.sgml : 20110928 20110928201243 ACCESSION NUMBER: 0001140361-11-047216 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110926 FILED AS OF DATE: 20110928 DATE AS OF CHANGE: 20110928 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: VERARDI FRANK CENTRAL INDEX KEY: 0001243296 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11807 FILM NUMBER: 111113231 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: DAEGIS INC. CENTRAL INDEX KEY: 0000880562 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 942710559 STATE OF INCORPORATION: DE 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 FORMER COMPANY: FORMER CONFORMED NAME: UNIFY CORP DATE OF NAME CHANGE: 19960419 4 1 doc1.xml FORM 4 X0304 4 2011-09-26 0 0000880562 DAEGIS INC. DAEG 0001243296 VERARDI FRANK 1420 ROCKY RIDGE DRIVE SUITE 380 ROSEVILLE CA 95661 0 1 0 0 VP, Sales Common Stock 2011-09-26 4 X 0 8000 1.25 A 39389 D Stock Option 1.25 2011-09-26 4 X 0 8000 1.25 D 2011-09-26 Common Stock 0 0 D Stock Option 1.30 2011-11-16 Common Stock 50000 50000 D Stock Option .55 2012-05-09 Common Stock 75000 75000 D Stock Option 2.30 2015-02-02 Common Stock 20000 20000 D Stock Option 6.40 2018-05-02 Common Stock 12000 12000 D Stock Option 2.60 2019-05-05 Common Stock 22500 22500 D Stock Option 3.56 2020-05-04 Common Stock 22500 22500 D Stock Option 3.56 2020-05-04 Common Stock 7500 7500 D Stock Option 2.90 2021-05-02 Common Stock 9000 9000 D Stock Option 1.92 2021-07-01 Common Stock 10125 10125 D Stock Option 1.92 2021-07-01 Common Stock 3375 3375 D Option granted 9/26/01 (#3496), 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 11/16/01 (#3506), 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 05/09/02 (#3534), 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. Non-Plan Option granted 02/02/2005 (#3684) 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 and expires 02/2015. Option granted 05/02/08, 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 05/05/09, 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, 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. Option granted 7/1/11, 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. Option granted 7/1/11, pursuant to the 2010 Stock Option Plan and vests over a three-year period with sixty-seven (67%) percent vesting on April 30, 2013 and the remainder will vest evenly as to 1/12th per month until the option is fully vested on April 30, 2014 if specific stock price appreciation goals are achieved. NOTE: The SEC recommends that "by power of attorney" be typed after the signature of the person holding the power of attorney (Example: John Jones, by power of attorney) /s/ Christa Flanery, by power of attorney 2011-09-26