Statement of Changes in Beneficial Ownership (4)
December 09 2020 - 11:05AM
Edgar (US Regulatory)
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
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Rhodes Dave |
2. Issuer Name and Ticker or Trading Symbol
Unity Software Inc.
[
U
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) SVP & GM Create Solution |
(Last)
(First)
(Middle)
C/O UNITY SOFTWARE INC., 30 3RD STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/8/2020 |
(Street)
SAN FRANCISCO, CA 94103
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 12/8/2020 | | M | | 11700 (1) | A | $3.94 | 74200 | D | |
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 (Right to Buy) | $3.94 | 12/8/2020 | | M | | | 11700 | (2) | 2/7/2027 | Common Stock | 11700.0 | $0 | 354707 | D | |
Explanation of Responses: |
(1) | The shares were acquired in connection with an option exercise and are subject to a lock-up agreement executed by the Reporting Person in favor of the underwriters of the Issuer's initial public offering in September 2020. |
(2) | The underlying option is exercisable as follows: 25% of the shares subject to the option vested on January 16, 2018 and the balance vest in equal monthly installments thereafter for 36 months, subject to the reporting persons continued service through each vesting date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Rhodes Dave C/O UNITY SOFTWARE INC. 30 3RD STREET SAN FRANCISCO, CA 94103 |
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| SVP & GM Create Solution |
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Signatures
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/s/ Ruth Ann Keene, Attorney-in-fact | | 12/8/2020 |
**Signature of Reporting Person | Date |
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