0001140361-11-049945.txt : 20111020
0001140361-11-049945.hdr.sgml : 20111020
20111020155602
ACCESSION NUMBER: 0001140361-11-049945
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20111018
FILED AS OF DATE: 20111020
DATE AS OF CHANGE: 20111020
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: 111150303
MAIL ADDRESS:
STREET 1: 2101 ARENA BLVD, SUITE 100
CITY: SACRAMENTO
STATE: CA
ZIP: 95834
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
2011-10-18
0
0000880562
DAEGIS INC.
DAEG
0001398823
George Duane V
1420 ROCKY RIDGE DRIVE
ROSEVILLE
CA
95661
1
1
0
0
VP of Product Dev't and CTO
Common Stock
2011-10-18
4
X
0
5000
1.30
A
5000
D
Stock Option
1.30
2011-10-18
4
X
0
5000
1.30
D
2011-11-16
Common Stock
0
0
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
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
2021-05-02
Common Stock
22000
22000
D
Stock Option
1.92
2021-07-01
Common Stock
24000
24000
D
Stock Option
1.92
2021-07-01
Common Stock
8000
8000
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 5/4/10, 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.
/s/ Christa Flanery, by Power of Attorney
2011-10-19