0000920427-18-000116.txt : 20181204 0000920427-18-000116.hdr.sgml : 20181204 20181204132335 ACCESSION NUMBER: 0000920427-18-000116 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181130 FILED AS OF DATE: 20181204 DATE AS OF CHANGE: 20181204 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BRODY MARK S CENTRAL INDEX KEY: 0001248813 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12431 FILM NUMBER: 181216074 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: UNITY BANCORP INC /NJ/ CENTRAL INDEX KEY: 0000920427 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 223282551 STATE OF INCORPORATION: NJ FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 64 OLD HIGHWAY 22 CITY: CLINTON STATE: NJ ZIP: 08809 BUSINESS PHONE: 9087307630 MAIL ADDRESS: STREET 1: 64 OLD HIGHWAY 22 CITY: CLINTON STATE: NJ ZIP: 08809 FORMER COMPANY: FORMER CONFORMED NAME: UNITY BANCORP INC /DE/ DATE OF NAME CHANGE: 19940316 4 1 wf-form4_154394779947750.xml FORM 4 X0306 4 2018-11-30 0 0000920427 UNITY BANCORP INC /NJ/ UNTY 0001248813 BRODY MARK S C/O UNITY BANK 64 OLD HIGHWAY 22 CLINTON NJ 08809 1 0 0 0 Restricted Stock 3490 D Common Stock 79464 D Common Stock 40102 I Financial Planning Analysts Common Stock 270102 I Financial Planning Analysts Dispositive Shares Stock Options 3.46 2018-11-30 4 M 0 2200 3.46 D 2009-12-18 2018-12-18 Common Stock 2200.0 9200 D 3,490 restricted shares are held in an account at Computershare, which have upcoming vesting dates. A total of 79,464 shares are beneficially owned by Dr. Brody; 48,400 are held jointly with his spouse; 12,705 are held in street name; 18,239 are held in an account at Shareworks; and 120 are held in an account at Computershare. Shares held in a master account of Financial Planning Analysts over which Dr. Brody has no voting authority, but has dispositive power. Dr. Brody exercised 2,200 stock options at $3.46 per share, and sold at $22.40 per share. 9,200 stock options were granted of which 3,467 are currently exercisable. Total Beneficial Ownership: 396,625 Dr. Mark Brody, POA Alan Bedner, CFO/EVP 2018-12-04