Unica Corp - Amended Statement of Beneficial Ownership (3/A)
March 11 2008 - 4:27PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0104
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January 31, 2008
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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McNulty Paul
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2. Date of Event Requiring Statement (MM/DD/YYYY)
3/7/2008
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3. Issuer Name
and
Ticker or Trading Symbol
UNICA CORP [UNCA]
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(Last)
(First)
(Middle)
170 TRACER LANE
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
Chief Marketing Officer /
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(Street)
WALTHAM, MA 01867
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
3/11/2008
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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 Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
(1)
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20000
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Non-Qualified Stock Option
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(2)
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3/7/2014
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Common Stock
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20000
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$6.46
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D
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Explanation of Responses:
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(
1)
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Represents restricted stock units. Each restricted stock unit represents the right to receive one share of common stock on the applicable vesting date. The restricted stock units vest annually in four equal installments commencing on December 1, 2008, and yearly thereafter. Vested shares will be issued to the reporting person as soon as practicable after each vesting date.
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(
2)
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The options will vest over a four year period, 12.5% vesting on June 1, 2008, and thereafter at a rate of 6.25% per quarter.
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Remarks:
The previous Form 3 filed displayed Unica Corporation as the Reporting Person. This was an error. The amended Form 3 correctly displays Paul McNulty as the Reporting Person.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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McNulty Paul
170 TRACER LANE
WALTHAM, MA 01867
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Chief Marketing Officer
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Signatures
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/s/ Jason Joseph Vice President and General Counsel as Power of Attorney
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3/11/2008
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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