0001206774-14-000046.txt : 20140102 0001206774-14-000046.hdr.sgml : 20140101 20140102172250 ACCESSION NUMBER: 0001206774-14-000046 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140102 FILED AS OF DATE: 20140102 DATE AS OF CHANGE: 20140102 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BROOKS RICHARD M CENTRAL INDEX KEY: 0001242397 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11807 FILM NUMBER: 14502715 MAIL ADDRESS: STREET 1: 3017 KILGORE ROAD STREET 2: SUITE 180 CITY: RANCHO CORDOVA STATE: CA ZIP: 95670 4 1 brooks_form4.xml STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES X0306 4 2014-01-02 0 0000880562 DAEGIS INC. DAEG 0001242397 BROOKS RICHARD M 600 E. LAS COLINAS BLVD SUITE 1500 DALLAS TX 75039 1 0 0 0 Common Stock 2013-12-31 4 P 0 1000 1.21 A 6700 D Stock Option 1.80 2015-08-01 Common Stock 5000 5000 D Stock Option 2.55 2017-05-01 Common Stock 2000 2000 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 2020-05-04 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 08/01/2005 (#3711) 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 (#3749) 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/ Amanda White, by power of attorney 2014-01-02