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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Unify Corp. (MM) | NASDAQ:UNFY | 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% | 2.01 | 0 | 00:00:00 |
FORM 4
[ ]
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
*
George Duane V |
2. Issuer Name
and
Ticker or Trading Symbol
UNIFY CORP [ UNFY ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __ X __ Officer (give title below) _____ Other (specify below) VP of Product Dev't and CTO |
1420 ROCKY RIDGE DRIVE, SUITE 380 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
|
|
ROSEVILLE, CA 95661 |
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 |
Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) |
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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 | ||||||||
Stock Option | $1.30 | (1) | 11/16/2011 | Common Stock | 5000 | 5000 | D | ||||||||
Stock Option | $2.75 | (2) | 5/9/2012 | Common Stock | 2000 | 2000 | D | ||||||||
Stock Option | $3.35 | (3) | 11/3/2013 | Common Stock | 2000 | 2000 | D | ||||||||
Stock Option | $4.70 | (4) | 5/3/2014 | Common Stock | 3000 | 3000 | D | ||||||||
Stock Option | $2.05 | (5) | 12/10/2014 | Common Stock | 200 | 200 | D | ||||||||
Stock Option | $2.05 | (6) | 12/10/2014 | Common Stock | 1200 | 1200 | D | ||||||||
Stock Option | $1.10 | (7) | 11/16/2016 | Common Stock | 15000 | 15000 | D | ||||||||
Stock Option | $2.55 | (8) | 5/1/2017 | Common Stock | 3000 | 3000 | D | ||||||||
Stock Option | $2.55 | (9) | 5/1/2017 | Common Stock | 12000 | 12000 | D | ||||||||
Stock Option | $5.20 | (10) | 11/27/2017 | Common Stock | 10000 | 10000 | D | ||||||||
Stock Option | $6.40 | (11) | 5/2/2018 | Common Stock | 15000 | 15000 | D | ||||||||
Stock Option | $6.40 | (12) | 5/2/2018 | Common Stock | 12000 | 12000 | D | ||||||||
Stock Option | $2.60 | (13) | 5/5/2019 | Common Stock | 37500 | 37500 | D | ||||||||
Stock Option | $2.60 | (14) | 5/5/2019 | Common Stock | 7500 | 7500 | D | ||||||||
Stock Option | $3.56 | (15) | 5/4/2020 | Common Stock | 30000 | 30000 | D | ||||||||
Stock Option | $3.56 | (16) | 5/4/2020 | Common Stock | 10000 | 10000 | D | ||||||||
Stock Option | $2.90 | 5/2/2011 | A | 22000 | (17) | 5/2/2021 | Common Stock | 22000 | $2.90 | 22000 | D |
Explanation of Responses: | |
( 1) | Option granted 11/16/01(#3458), pursuant to the 2001 Stock Option Plan and vests as to one fourth of the subject shares one year from the grant date and an additional one forty-eighth of the subject shares upon completion of each full month of continuous employment with Unify Corporation. Option is exercisable to the extent vested. |
( 2) | Option granted 5/9/2002 (#3537), pursuant to the 2001 Stock Option Plan and vests as to one fourth of the subject shares one year from the grant date and an additional one forty-eighth of the subject shares upon completion of each full month of continuous employment with Unify Corporation. Option is exercisable to the extent vested. |
( 3) | Option granted 11/3/03 (#3597), pursuant to the 2001 Stock Option Plan and vests as to one fourth of the subject shares one year from the grant date and an additional one forty-eighth of the subject shares upon completion of each full month of continuous employment with Unify Corporation. Option is exercisable to the extent vested. |
( 4) | Option granted 5/3/04 (#3609), pursuant to the 2001 Stock Option Plan and vests as to one fourth of the subject shares one year from the grant date and an additional one forty-eighth of the subject shares upon completion of each full month of continuous employment with Unify Corporation. Option is exercisable to the extent vested. |
( 5) | Option granted 12/10/04 (#3640), pursuant to the 2001 Stock Option Plan and vests as to one fourth of the subject shares one year from the grant date and an additional one forty-eighth of the subject shares upon completion of each full month of continuous employment with Unify Corporation. Option is exercisable to the extent vested. |
( 6) | Option granted 12/10/04 (#3679), pursuant to the 2001 Stock Option Plan and vests as to one fourth of the subject shares one year from the grant date and an additional one forty-eighth of the subject shares upon completion of each full month of continuous employment with Unify Corporation. Option is exercisable to the extent vested. |
( 7) | Option granted 11/16/06 (#3731), pursuant to the 2001 Stock Option Plan and vests as to one fourth of the subject shares one year from the grant date and an additional one forty-eighth of the subject shares upon completion of each full month of continuous employment with Unify Corporation. Option is exercisable to the extent vested. |
( 8) | Option granted 5/1/07 (#3738), pursuant to the 2001 Stock Option Plan and vests as to one fourth of the subject shares one year from the grant date and an additional one forty-eighth of the subject shares upon completion of each full month of continuous employment with Unify Corporation. Option is exercisable to the extent vested. |
( 9) | Non Plan Option granted 5/1/07(#3744) and vests as to one forty-eighth of the subject shares per month upon completion of each full month of continuous employment with Unify Corporation. Option is exercisable to the extent vested. |
( 10) | Option (#3786) granted 11/27/07, pursuant to the 2001 Stock Option Plan and vests as to one forty-eighth of the subject shares upon completion of each full month of continuous employment with Unify Corporation. Option is exercisable to the extent vested. |
( 11) | Option granted 05/02/08, pursuant to the 2001 Stock Option Plan and vests as to one forty-eighth of the subject shares upon completion of each full month of continuous employment with Unify Corporation. Option is exercisable to the extent vested. |
( 12) | 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. |
( 13) | Option granted 05/05/09, pursuant to the 2001 Stock Option Plan and vests as to one forty-eighth of the subject shares upon completion of each full month of continuous employment with Unify Corporation. Option is exercisable to the extent vested. |
( 14) | Option granted 5/5/09 pursuant to the 2001 Stock Option Plan and vests over a two year period if several financial performance goals are achieved. |
( 15) | 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. |
( 16) | 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. |
( 17) | 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. |
Reporting Owners
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Reporting Owner Name / Address |
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Director | 10% Owner | Officer | Other | ||
George Duane V
1420 ROCKY RIDGE DRIVE SUITE 380 ROSEVILLE, CA 95661 |
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VP of Product Dev't and CTO |
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Signatures
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||
/s/ Christa Flanery, by Power of Attorney | 5/4/2011 | |
** Signature of Reporting Person |
Date
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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 Unify Corp. (MM) Chart |
1 Month Unify Corp. (MM) Chart |
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