0001206774-12-004162.txt : 20121001 0001206774-12-004162.hdr.sgml : 20121001 20121001183119 ACCESSION NUMBER: 0001206774-12-004162 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120928 FILED AS OF DATE: 20121001 DATE AS OF CHANGE: 20121001 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WHITEMAN STEVEN CENTRAL INDEX KEY: 0001243299 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11807 FILM NUMBER: 121121127 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 whiteman_form4.xml STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES X0306 4 2012-09-28 0 0000880562 DAEGIS INC. DAEG 0001243299 WHITEMAN STEVEN 1420 ROCKY RIDGE DRIVE SUITE 380 ROSEVILLE CA 95661 1 0 0 0 Common Stock 2012-09-28 5 P 0 E 3300 1.25 A 27948 D Stock Option 2.05 2013-06-10 Common Stock 10000 10000 D Stock Option 2.10 2016-03-10 Common Stock 35000 35000 D Stock Option 2.55 2017-05-01 Common Stock 10000 10000 D Stock Option 6.40 2018-05-02 Common Stock 5000 5000 D Stock Option 2.60 2019-05-05 Common Stock 6500 6500 D Stock Option 3.56 2020-05-03 Common Stock 10000 10000 D Stock Option 2.90 2021-05-02 Common Stock 5000 5000 D Stock Option 1.92 2021-07-01 Common Stock 7500 7500 D Stock Option 1.40 2022-05-01 Common Stock 12500 12500 D Non-Plan Option granted 6/10/03 and vests monthly as to one thirty-sixth (1/36th) of the subject shares upon completion of each full month of continuous directorship with Daegis Inc. Option is exercisable to the extent vested. Option granted 03/10/06 pursuant to the 2001 Stock Option Plan and vests monthly as to one thirty-sixth (1/36th) of the subject shares upon completion of each full month of continuous directorship with Daegis Inc. Option is exercisable to the extent vested. Option granted 05/01/07 (#3746) pursuant to the 2001 Stock Option Plan and vests monthly as to one twelfth (1/12th) of the subject shares upon completion of each full month of continuous directorship with Daegis Inc. Option is exercisable to the extent vested. Option granted 05/02/08 pursuant to the 2001 Stock Option Plan and vests monthly as to one twelfth (1/12th) of the subject shares upon completion of each full month of continuous directorship with Daegis Inc. 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 twelfth (1/12th) of the subject shares upon completion of each full month of continuous directorship with Daegis Inc. Option is exercisable to the extent vested. Option granted 05/04/10 pursuant to the 2001 Stock Option Plan and vests monthly as to one twelfth (1/12th) of the subject shares upon completion of each full month of continuous directorship with Daegis Inc. Option is exercisable to the extent vested. Option granted 05/02/11 pursuant to the 2010 Stock Option Plan and vests monthly as to one twelfth (1/12th) of the subject shares upon completion of each full month of continuous directorship with Daegis Inc. Option is exercisable to the extent vested. Option granted 07/01/11 pursuant to the 2010 Stock Option Plan and vests monthly as to one tenth (1/10th) of the subject shares upon completion of each full month of continuous directorship with Daegis Inc. Option is exercisable to the extent vested. Option granted 05/01/12 pursuant to the 2010 Stock Option Plan and vests monthly as to one twelfth (1/12th) of the subject shares upon completion of each full month of continuous directorship with Daegis Inc. Option is exercisable to the extent vested. /s/ Christa Flanery, by power of attorney 2012-10-01