Monthly Portfolio Investments Report on Form N-port (public) (nport-p)
November 25 2020 - 2:53PM
Edgar (US Regulatory)
FORM 4
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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).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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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
*
Bolomey Janice |
2. Issuer Name and Ticker or Trading Symbol
UNITY BANCORP INC /NJ/
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UNTY
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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) EVP/CAO |
(Last)
(First)
(Middle)
UNITY BANK, 64 OLD HIGHWAY 22 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/23/2020 |
(Street)
CLINTON, NJ 08809
(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 | 11/23/2020 | | M | | 3502.00 | A | $6.06 | 26464.00 | D | |
Common Stock | 11/23/2020 | | S | | 3502.00 | D | $17.1089 (1) | 22962.00 | D | |
Common Stock | 11/24/2020 | | M | | 3498.00 | A | $6.06 | 26460.00 | D | |
Common Stock | 11/24/2020 | | S | | 3498.00 | D | $17.7162 (2) | 22962.00 (3) | D | |
Restricted Stock | | | | | | | | 10500.00 (4) | 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) | $6.06 | 11/23/2020 | | M | | | 3502.00 | (5) | 5/26/2021 | Common Stock | 3502.00 | $0.00 | 98498.00 | D | |
Stock Option (Right to Buy) | $6.06 | 11/24/2020 | | M | | | 3498.00 | (5) | 5/26/2021 | Common Stock | 3498.00 | $0.00 | 95000.00 (6) | D | |
Explanation of Responses: |
(1) | This transaction was executed in multiple trades at prices ranging from $17.00 USD to $17.36 USD; the price reported above reflects the weighted average sale price. |
(2) | This transaction was executed in multiple trades at prices ranging from $17.611 USD to $17.755 USD; the price reported above reflects the weighted average sale price. |
(3) | 22,962 shares are held in an account at Shareworks. |
(4) | 10,500 restricted shares are held in an account at Computershare, which have upcoming vesting dates. |
(5) | Vests 3,667 share(s) on 26-May-2012, 3,666 share(s) on 26-May-2013, 3,667 share(s) on 26-May-2014 |
(6) | 95,000 stock options were granted under various dates and vesting periods of which 75,001 are currently exercisable. |
Remarks: Total Beneficial Ownership: 108,463 |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Bolomey Janice UNITY BANK 64 OLD HIGHWAY 22 CLINTON, NJ 08809 |
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| EVP/CAO |
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Signatures
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Janice Bolomey, POA Laurie Cook, Controller/SVP | | 11/25/2020 |
**Signature of Reporting Person | Date |
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