Annual Statement of Changes in Beneficial Ownership (5)
February 04 2021 - 8:31AM
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
*
Santana Megan D | 2. Issuer Name and Ticker or Trading SymbolUNIVEST FINANCIAL Corp [UVSP] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) __X__ Other (specify below) EVP & Chief Risk Officer
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General Counsel |
(Last)
(First)
(Middle)
14 NORTH MAIN STREET, PO BOX 197 | 3. Statement for Issuer's Fiscal Year Ended (MM/DD/YYYY) 12/31/2020 |
(Street)
SOUDERTON, PA 18964
(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 |
Common | | | | | | | 7051.7909 (1)(2) | D | |
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 Options (Right to Buy) | $28.15 | | | | | | 1/31/2018 (3) | 1/31/2027 | Common | 2522.0 | | 2522 | D | |
Stock Options (Right to Buy) | $28.5 | | | | | | 3/15/2019 (3) | 3/15/2028 | Common | 2787.0 | | 2787 | D | |
Restricted Stock Units | | | | | | | 3/15/2020 (5) | 3/15/2022 (5) | Common | 578.0 | | 578 | D | |
Restricted Stock Units | | | | | | | 3/15/2021 (5) | 3/15/2023 (5) | Common | 1800.0 | | 1800 | D | |
Performance Restricted Stock Units | | | | | | | 3/15/2022 (6) | 3/15/2022 (6) | Common | 2019.0 | | 2019 | D | |
Performance Restricted Stock Units | | | | | | | 3/15/2023 (6) | 3/15/2023 (6) | Common | 4201.0 | | 4201 | D | |
Explanation of Responses: |
(1) | INCLUDES 1,474 PERFORMANCE-BASED RESTRICTED SHARES SUBJECT TO VESTING ON THE THIRD ANNIVERSARY OF THE DATE OF THE GRANT AT WHICH POINT THE ACTUAL NUMBER OF SHARES TO BE AWARDED WILL BE DETERMINED BASED ON THE PERFORMANCE OF THE COMPANY DURING THE THREE YEAR PERIOD. THE RECIPIENT MAY RECEIVE UP TO 150% OF THE REPORTED RESTRICTED STOCK UNITS. |
(2) | INCLUDES 4,445.7909 SHARES ACQUIRED THROUGH THE DIVIDEND REINVESTMENT PLAN AND EMPLOYEE STOCK PURCHASE PLAN. |
(3) | AT THE GRANT DATE, STOCK OPTIONS ARE EXERCISABLE AT 33.3% PER YEAR FOR THREE YEARS COMMENCING WITH THE EXERCISABLE DATE INDICATED. |
(4) | EACH RESTRICTED STOCK UNIT REPRESENTS A CONTINGENT RIGHT TO RECEIVE ONE SHARE OF COMMON STOCK UPON VESTING OF THE UNIT. |
(5) | RESTRICTED STOCK UNITS VEST AT 33.33% PER YEAR FOR THREE YEARS COMMENCING WITH THE EXERCISABLE DATE INDICATED ASSUMING CONTINUED EMPLOYMENT THROUGH THE VESTING DATE. |
(6) | THE PERFORMANCE-BASED RESTRICTED STOCK UNITS VEST ON THE THIRD ANNIVERSARY OF THE DATE OF THE GRANT AT WHICH POINT THE ACTUAL NUMBER OF SHARES TO BE AWARDED WILL BE DETERMINED BASED ON THE PERFORMANCE OF THE COMPANY DURING THE THREE YEAR PERIOD. THE RECIPIENT MAY RECEIVE UP TO 150% OF THE REPORTED RESTRICTED STOCK UNITS. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Santana Megan D 14 NORTH MAIN STREET PO BOX 197 SOUDERTON, PA 18964 |
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| EVP & Chief Risk Officer | General Counsel |
Signatures
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Megan D. Santana | | 2/4/2021 |
**Signature of Reporting Person | Date |
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