4//SEC Filing
UNICA CORP 4
Accession 0001138804-05-000011
CIK 0001138804operating
Filed
Aug 4, 8:00 PM ET
Accepted
Aug 5, 3:00 PM ET
Size
13.3 KB
Accession
0001138804-05-000011
Insider Transaction Report
Form 4
UNICA CORPUNCA
Woloson Bradford D
Director
Transactions
- Award
Non-Qualified Stock Option (right to buy)
2005-08-03$10.00/sh+7,500$75,000→ 7,500 totalExercise: $10.00Exp: 2015-08-02→ Common Stock (7,500 underlying)
Holdings
- 758,479(indirect: By Partnership)
Convertible Preferred
→ Common Stock (758,479 underlying)
Footnotes (3)
- [F1]These options will vest in full as of the 2006 annual stockholder meeting (date of meeting to be determined).
- [F2]JMI Equity Fund IV (AI), LP holds (i) 1,387.35 shares of Series A convertible participating preferred stock ("Series A Preferred") which will convert into 55,494 shares of common stock upon the closing of Unica Corporation's initial public offering (the "Closing") and (ii) 40,810 shares of Series B convertible participating preferred stock ("Series B Preferred") which will convert into 27,206 shares of common stock upon the Closing. JMI Equity Fund IV, LP holds (i) 17,519 shares of Series A Preferred which will convert into 700,765 shares of common stock upon the Closing and (ii) 515,339 shares of Series B Preferred which will convert into 343,559 shares of common stock upon the Closing. JMI Equity Side Fund, LP holds (i) 436.39 shares of Series A Preferred which will convert into 17,455 shares of common stock upon the Closing and (ii) 12,837 shares of Series B Preferred which will convert into 8,558 shares of common stock upon the Closing. JMI Euro Equity Fund IV, LP holds (i) 5,59
- [F3]JMI Associates IV, L.L.C. is the general partner of JMI Equity Fund IV, L.P., JMI Euro Equity Fund IV, L.P. and JMI Equity Fund IV (AI), L.P. and may be deemed the beneficial owner of the shares held by such entities. Charles E. Noell III, Harry S. Gruner, Paul V. Barber, Robert F. Smith, Bradford D. Woloson and Peter C. Arrowsmith are managing members of JMI Associates IV, L.L.C. and may be deemed the beneficial owners of the shares beneficially owned by JMI Associates IV, L.L.C. Messrs. Noell, Gruner, Barber, Smith, Woloson and Arrowsmith disclaim beneficial ownership of the shares beneficially owned by JMI Associates IV, L.L.C., JMI Equity Fund IV, L.P., JMI Euro Equity Fund IV, L.P. and JMI Equity Fund IV (AI), L.P., except to the extent of their respective pecuniary interests therein. JMI Side Associates, L.L.C. is the general partner of JMI Equity Side Fund, L.P. and may be deemed the beneficial owner of the shares held by JMI Equity Side Fund, L.P. Messrs. Noell, Barber and Wolo
Issuer
UNICA CORP
CIK 0001138804
Entity typeoperating
Related Parties
1- filerCIK 0001138804
Filing Metadata
- Form type
- 4
- Filed
- Aug 4, 8:00 PM ET
- Accepted
- Aug 5, 3:00 PM ET
- Size
- 13.3 KB