0001206774-11-003019.txt : 20111229 0001206774-11-003019.hdr.sgml : 20111229 20111229190914 ACCESSION NUMBER: 0001206774-11-003019 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111114 FILED AS OF DATE: 20111229 DATE AS OF CHANGE: 20111229 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WILLE TODD CENTRAL INDEX KEY: 0001243292 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11807 FILM NUMBER: 111287654 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 wille_form4.xml STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES X0304 4 2011-11-14 0 0000880562 DAEGIS INC. DAEG 0001243292 WILLE TODD 1420 ROCKY RIDGE DRIVE, SUITE 380 ROSEVILLE CA 95661 1 1 0 0 President, CEO Common Stock 2011-11-14 4 X 0 15000 1.30 A 15000 D Stock Option 1.30 2011-11-14 4 X 0 15000 1.30 D 2011-11-16 Common Stock 0 0 D Stock Option 2.75 2012-05-09 Common Stock 30000 30000 D Stock Option 2.55 2017-05-01 Common Stock 30000 30000 D Stock Option 2.55 2017-05-01 Common Stock 20000 20000 D Stock Option 5.20 2017-11-27 Common Stock 60000 60000 D Stock Option 6.40 2018-05-02 Common Stock 75000 75000 D Stock Option 6.40 2018-05-02 Common Stock 40000 40000 D Stock Option 2.60 2019-05-05 Common Stock 87500 87500 D Stock Option 3.56 2020-05-04 Common Stock 63750 63750 D Stock Option 3.56 2020-05-04 Common Stock 21250 21250 D Stock Option 2.90 2021-05-02 Common Stock 66000 66000 D Stock Option 1.92 2021-07-01 Common Stock 74250 74250 D Stock Option 1.92 2021-07-01 Common Stock 24750 24750 D Option granted 11/16/01 (#3505), 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 5/9/02 (#3535), 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 5/1/07 (#3737) 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 5/1/07 (#3740) and vests in full on 4/30/08 if several financial performance goals are achieved. Non Plan Option granted 11/27/07 (#3788) 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 5/2/08, 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 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 5/5/09, 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. /s/ Christa Flanery, by Power of Attorney 2011-12-29