We could not find any results for:
Make sure your spelling is correct or try broadening your search.
Share Name | Share Symbol | Market | Type |
---|---|---|---|
Unica (MM) | NASDAQ:UNCA | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 21.00 | 0 | 00:00:00 |
FORM 4
[
X
]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
|
OMB APPROVAL
OMB Number: 3235-0287 Expires: February 28, 2011 Estimated average burden hours per response... 0.5 |
|
Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 |
|
1. Name and Address of Reporting Person
*
Sweet David |
2. Issuer Name
and
Ticker or Trading Symbol
UNICA CORP [ UNCA ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __ X __ Officer (give title below) _____ Other (specify below) Sr. VP Corporate Development |
170 TRACER LANE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
|
|
WALTHAM, MA 02451 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_ X _ Form filed by One Reporting Person ___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
||||||||||
1.Title of Security
(Instr. 3) |
2. Trans. Date | 2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 10/5/2010 | D | 17919 | D | $21.00 (1) | 0 | D |
Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) |
|||||||||||||||
1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Units | (2) | 10/5/2010 | D | 5000 | (3) (4) | (5) | Common Stock | 5000 | (3) (4) | 0 | D | ||||
Restricted Stock Units | (2) | 10/5/2010 | D | 5000 | (3) (6) | (5) | Common Stock | 5000 | (3) (6) | 0 | D | ||||
Restricted Stock Units | (2) | 10/5/2010 | D | 18750 | (3) (7) | (5) | Common Stock | 18750 | (3) (7) | 0 | D | ||||
Restricted Stock Units | (2) | 10/5/2010 | D | 20000 | (3) (8) | (5) | Common Stock | 20000 | (3) (8) | 0 | D | ||||
Nonqualified Stock Option | $4.21 | 10/5/2010 | D | 10000 | (9) (10) | 12/11/2014 | Common Stock | 10000 | (9) (10) | 0 | D | ||||
Nonqualified Stock Option | $4.84 | 10/5/2010 | D | 26666 | (9) (11) | 2/26/2015 | Common Stock | 26666 | (9) (11) | 0 | D | ||||
Nonqualified Stock Option | $4.84 | 10/5/2010 | D | 46666 | (9) (12) | 2/26/2010 | Common Stock | 46666 | (9) (12) | 0 | D | ||||
Nonqualified Stock Option | $4.84 | 10/5/2010 | D | 26666 | (9) (11) | 2/26/2015 | Common Stock | 26666 | (9) (11) | 0 | D | ||||
Nonqualified Stock Option | $6.79 | 10/5/2010 | D | 20000 | (9) (13) | 12/3/2015 | Common Stock | 20000 | (9) (13) | 0 | D |
Explanation of Responses: | |
( 1) | Shares were disposed of pursuant to the merger agreement between the Issuer and International Business Machines Corporation ("IBM") in exchange for a cash payment of $21.00 per share on the effective date of the merger. |
( 2) | Each restricted stock unit represents a contingent right to receive one share of Issuer common stock. |
( 3) | Pursuant to the terms of the restricted stock unit award agreement and certain employment arrangements with IBM, 50% of the restricted stock units vested at the effective time of the merger. Each such restricted stock unit that vested at the effective time of the merger agreement was disposed of pursuant to the merger agreement in exchange for a cash payment of $21.00 per restricted stock unit. The remaining 50% of the restricted stock units were converted, pursuant to the merger agreement, into the right to receive a cash payment of $21.00 per restricted stock unit at the time that such restricted stock unit would have vested pursuant to its terms in effect as of immediately prior to the effective time of the merger. |
( 4) | The remaining restricted stock units will vest as follows: 2,500 of the total number of restricted stock units in this grant on December 1, 2010 subject to the reporting person's continued service with IBM. |
( 5) | These restricted stock units do not have an expiration date. |
( 6) | The remaining restricted stock units will vest as follows: 1,250 of the total number of restricted stock units in this grant on December 1, 2010, and 1,250 of the total number of restricted stock units in this grant on December 1, 2011, subject to the reporting person's continued service with IBM. |
( 7) | The remaining restricted stock units will vest as follows: 3,125 of the total number of restricted stock units in this grant on December 1, 2010, 3,125 of the total number of restricted stock units in this grant on December 1, 2011, and 3,125 of the total number of restricted stock units in this grant on December 1, 2012, subject to the reporting person's continued service with IBM. |
( 8) | The remaining restricted stock units will vest as follows: 2,500 of the total number of restricted stock units in this grant on December 1, 2010, 2,500 of the total number of restricted stock units in this grant on December 1, 2011, 2,500 of the total number of restricted stock units in this grant on December 1, 2012, and 2,500 of the total number of restricted stock units in this grant on December 1, 2013, subject to the reporting person's continued service with IBM. |
( 9) | Pursuant to the terms of the stock option agreement and certain employment arrangements with IBM, 50% of the unvested stock options vested at the effective time of the merger. |
( 10) | This option was granted on December 11, 2008 and provided for vesting as to 12.5% of the underlying shares on June 1, 2009 and as to an additional 6.25% every three months thereafter. Pursuant to the terms of the merger agreement, option award agreement, and certain employment arrangements with IBM, this option was (i) with respect to 7,187 shares, cancelled in exchange for a cash payment equal to $120,669.73 before reduction for taxes, representing the difference between the exercise price of the option and $21.00 per share; and (ii) with respect to 2813 shares, pursuant to the merger agreement, was replaced with an option to acquire 449 shares of IBM common stock at an exercise price of $26.33. |
( 11) | This option was granted on February 26, 2009 and provided for vesting as to 50.0% of the underlying shares on February 26, 2010 and as to an additional 12.5% every three months thereafter. Pursuant to the terms of the merger agreement, option award agreement, and certain employment arrangements with IBM, this option was (i) with respect to 23,333 shares, cancelled in exchange for a cash payment equal to $377,061.28 before reduction for taxes, representing the difference between the exercise price of the option and $21.00 per share; and (ii) with respect to 3,333 shares, pursuant to the merger agreement, was replaced with an option to acquire 533 shares of IBM common stock at an exercise price of $30.27. |
( 12) | This option was granted on February 26, 2009 and provided for vesting as to 50.0% of the underlying shares on February 26, 2010 and as to an additional 12.5% every three months thereafter. Pursuant to the terms of the merger agreement, option award agreement, and certain employment arrangements with IBM, this option was (i) with respect to 40,833 shares, cancelled in exchange for a cash payment equal to $659,861.28 before reduction for taxes, representing the difference between the exercise price of the option and $21.00 per share; and (ii) with respect to 5,833 shares, pursuant to the merger agreement, was replaced with an option to acquire 932 shares of IBM common stock at an exercise price of $30.27. |
( 13) | This option was granted on December 3, 2009 and provided for vesting as to 12.5% of the underlying shares on June 1, 2010 and as to an additional 6.25% every three months thereafter. Pursuant to the terms of the merger agreement, option award agreement, and certain employment arrangements with IBM, this option was (i) with respect to 11,875 shares, cancelled in exchange for a cash payment equal to $168,743.75 before reduction for taxes, representing the difference between the exercise price of the option and $21.00 per share; and (ii) with respect to 8,125 shares, pursuant to the merger agreement, was replaced with an option to acquire 1,299 shares of IBM common stock at an exercise price of $42.46. |
Reporting Owners
|
|||||
Reporting Owner Name / Address |
|
||||
Director | 10% Owner | Officer | Other | ||
Sweet David
170 TRACER LANE WALTHAM, MA 02451 |
|
|
Sr. VP Corporate Development |
|
Signatures
|
||
/s/ Jason W. Joseph, Vice President and General Counsel By Power of Attorney | 10/7/2010 | |
** Signature of Reporting Person |
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1 Year Unica (MM) Chart |
1 Month Unica (MM) Chart |
It looks like you are not logged in. Click the button below to log in and keep track of your recent history.
Support: +44 (0) 203 8794 460 | support@advfn.com
By accessing the services available at ADVFN you are agreeing to be bound by ADVFN's Terms & Conditions