Annual Statement of Changes in Beneficial Ownership (5)
January 12 2021 - 10:02AM
Edgar (US Regulatory)
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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Form 3 Holdings Reported
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Form 4 Transactions Reported
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
ANNUAL 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
*
Jabal Kim | 2. Issuer Name and Ticker or Trading SymbolUnity Software Inc. [U] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) SVP and CFO |
(Last)
(First)
(Middle)
C/O UNITY SOFTWARE INC., 30 3RD STREET | 3. Statement for Issuer's Fiscal Year Ended (MM/DD/YYYY) 12/31/2020 |
(Street)
SAN FRANCISCO, CA 94103
(City)
(State)
(Zip)
| 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
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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) | 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) |
Amount | (A) or (D) | Price |
Table II - Derivative Securities Acquired, Disposed of, or 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 (MM/DD/YYYY) | 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 at End of Issuer's Fiscal Year (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (Right to Buy) | $8.95 | 12/14/2020 | | G | | 316952 (1) | (2) | 3/12/2029 | Common Stock | 316952.0 | $0 | 384537 | D | |
Stock Option (Right to Buy) | $8.95 | 12/14/2020 | | G | 316952 (3) | | (2) | 3/12/2029 | Common Stock | 316952.0 | $0 | 316952 | I (1) | By KJ Family Trust |
Explanation of Responses: |
(1) | On December 14, 2020, the reporting person transferred 316,952 outstanding and unexercised options to a family trust of which the reporting person is trustee. |
(2) | The underlying option is exercisable as follows: 25% of the shares subject to the option vested on March 4, 2020 and the balance vest in equal monthly installments thereafter for 36 months, subject to the reporting person's continued service through each vesting date. |
(3) | The options were granted under the Issuer's 2009 Stock Plan 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. The transferee has agreed in writing to be bound by the restrictions set forth in the lock-up agreement. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Jabal Kim C/O UNITY SOFTWARE INC. 30 3RD STREET SAN FRANCISCO, CA 94103 |
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| SVP and CFO |
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Signatures
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/s/ Ruth Ann Keene, Attorney-in-fact | | 1/11/2021 |
**Signature of Reporting Person | Date |
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