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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
*
VERARDI FRANK |
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) General Manager, DDP |
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 | $1.25 | (1) | 9/26/2011 | Common Stock | 40000 | 40000 | D | ||||||||
Stock Option | $1.30 | (2) | 11/16/2011 | Common Stock | 50000 | 50000 | D | ||||||||
Stock Option | $.55 | (3) | 5/9/2012 | Common Stock | 75000 | 75000 | D | ||||||||
Stock Option | $2.30 | (4) | 2/2/2015 | Common Stock | 20000 | 20000 | D | ||||||||
Stock Option | $6.40 | (5) | 5/2/2018 | Common Stock | 12000 | 12000 | D | ||||||||
Stock Option | $2.60 | (6) | 5/5/2019 | Common Stock | 22500 | 22500 | D | ||||||||
Stock Option | $2.60 | (7) | 5/5/2019 | Common Stock | 7500 | 7500 | D | ||||||||
Stock Option | $3.56 | (8) | 5/4/2020 | Common Stock | 22500 | 22500 | D | ||||||||
Stock Option | $3.56 | (9) | 5/4/2020 | Common Stock | 7500 | 7500 | D | ||||||||
Stock Option | $2.90 | 5/2/2011 | A | 9000 | (10) | 5/2/2021 | Common Stock | 9000 | $2.90 | 9000 | D |
Explanation of Responses: | |
( 1) | Option granted 9/26/01 (#3496), 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 11/16/01 (#3506), 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. |
( 3) | Option granted 05/09/02 (#3534), 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. |
( 4) | Non-Plan Option granted 02/02/2005 (#3684) 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 and expires 02/2015. |
( 5) | Option granted 05/02/08, 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. |
( 6) | Option granted 05/05/09, 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. |
( 7) | Option granted 5/5/09 pursuant to the 2001 Stock Option Plan and vests over two year period if several financial performance goals are achieved. |
( 8) | 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. |
( 9) | 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. |
( 10) | 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 | ||
VERARDI FRANK
1420 ROCKY RIDGE DRIVE, SUITE 380 ROSEVILLE, CA 95661 |
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General Manager, DDP |
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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 |
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