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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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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| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
| 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. | SEC 1474 (9-02) | ||
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1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) |
4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Stock Options (Right to buy) | (5) | (5) | (5) | Common Stock | (5) | 17,300 (5) | D | ||||||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| DALLAS ROBERT H II C/O UNITY BANCORP INC 64 OLD HIGHWAY 22 CLINTON, NJ 08809 |
X | X | ||
| Robert H. Dallas, II, POA Jason Murray, Accounting Operations Supervisor/AVP | 01/04/2024 | |
| **Signature of Reporting Person | Date |
| * | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
| ** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| (1) | 2,200 restricted shares were granted on 1/2/2024 from the 2023 Equity Compensation Plan and vest over four years; vesting commences with 550 shares on 1/2/2025, 550 shares on 1/2/2026, 550 shares on 1/2/2027, and 550 shares on 1/2/2028. |
| (2) | 4,950 shares are held in an account at Computershare, which have upcoming vesting dates. 762 shares are dividend reinvested shares for a total of 5,712. |
| (3) | 25,089 shares are held in an account at Shareworks of which dividends are reinvested quarterly. |
| (4) | 189,952 shares are held in an account at Computershare, 1,580,310 shares are held in a brokerage account totaling 1,770,262. |
| (5) | 17,300 stock options were granted under various dates and vesting periods of which all are currently exercisable. |
| Remarks: Total Beneficial Ownership: 1,818,363 |
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