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4//SEC Filing

George Duane V 4

Accession 0001140361-11-049945

CIK 0000880562other
View on SEC.govCompany Profile

Filed

Oct 19, 8:00 PM ET

Accepted

Oct 20, 3:56 PM ET

Size

32.8 KB

Accession

0001140361-11-049945

Insider Transaction Report

Form 4
Period: 2011-10-18
DAEGIS INC.DAEG
George Duane V
VP of Product Devt. and CTO
Transactions
  • Exercise of In-Money

    Stock Option

    2011-10-18$1.30/sh−5,000$6,500→ 0 total
    Exercise: $1.30Exp: 2011-11-16→ Common Stock (0 underlying)
  • Exercise of In-Money

    Common Stock

    2011-10-18$1.30/sh+5,000$6,500→ 5,000 total
Holdings

  • Stock Option

    Exercise: $2.75Exp: 2012-05-09→ Common Stock (2,000 underlying)
    2,000

  • Stock Option

    Exercise: $2.05Exp: 2014-12-10→ Common Stock (200 underlying)
    200

  • Stock Option

    Exercise: $2.55Exp: 2017-05-01→ Common Stock (3,000 underlying)
    3,000

  • Stock Option

    Exercise: $5.20Exp: 2017-11-27→ Common Stock (10,000 underlying)
    10,000

  • Stock Option

    Exercise: $6.40Exp: 2018-05-02→ Common Stock (12,000 underlying)
    12,000

  • Stock Option

    Exercise: $2.60Exp: 2019-05-05→ Common Stock (37,500 underlying)
    37,500

  • Stock Option

    Exercise: $3.56Exp: 2020-05-04→ Common Stock (30,000 underlying)
    30,000

  • Stock Option

    Exercise: $2.90Exp: 2021-05-02→ Common Stock (22,000 underlying)
    22,000

  • Stock Option

    Exercise: $3.35Exp: 2013-11-03→ Common Stock (2,000 underlying)
    2,000

  • Stock Option

    Exercise: $2.05Exp: 2014-12-10→ Common Stock (1,200 underlying)
    1,200

  • Stock Option

    Exercise: $1.10Exp: 2016-11-16→ Common Stock (15,000 underlying)
    15,000

  • Stock Option

    Exercise: $2.55Exp: 2017-05-01→ Common Stock (12,000 underlying)
    12,000

  • Stock Option

    Exercise: $4.70Exp: 2014-05-03→ Common Stock (3,000 underlying)
    3,000

  • Stock Option

    Exercise: $6.40Exp: 2018-05-02→ Common Stock (15,000 underlying)
    15,000

  • Stock Option

    Exercise: $3.56Exp: 2020-05-04→ Common Stock (10,000 underlying)
    10,000

  • Stock Option

    Exercise: $1.92Exp: 2021-07-01→ Common Stock (24,000 underlying)
    24,000

  • Stock Option

    Exercise: $1.92Exp: 2021-07-01→ Common Stock (8,000 underlying)
    8,000
Footnotes (18)
  • [F1]Option granted 11/16/01(#3458), pursuant to the 2001 Stock Option Plan and vests as to one fourth of the subject shares one year from the grant date and an additional one forty-eighth of the subject shares upon completion of each full month of continuous employment with Unify Corporation. Option is exercisable to the extent vested.
  • [F10]Option (#3786) granted 11/27/07, pursuant to the 2001 Stock Option Plan and vests as to one forty-eighth of the subject shares upon completion of each full month of continuous employment with Unify Corporation. Option is exercisable to the extent vested.
  • [F11]Option granted 05/02/08, pursuant to the 2001 Stock Option Plan and vests as to one forty-eighth of the subject shares upon completion of each full month of continuous employment with Unify Corporation. Option is exercisable to the extent vested.
  • [F12]Option granted 5/2/08 pursuant to the 2001 Stock Option Plan and vests in full on 4/30/09 if several financial performance goals are achieved.
  • [F13]Option granted 05/05/09, pursuant to the 2001 Stock Option Plan and vests as to one forty-eighth of the subject shares upon completion of each full month of continuous employment with Unify Corporation. Option is exercisable to the extent vested.
  • [F14]Option granted 5/4/10, pursuant to the 2001 Stock Option Plan and vests monthly as to one forty-eighth (1/48th) of the subject shares upon completion of each full month of continuous employment with Unify Corporation. Option is exercisable to the extent vested.
  • [F15]Option granted 5/4/10, will vest over a three-year period with sixty-seven (67%) percent vesting on April 30, 2012 and the remainder will vest evenly as to 1/12th per month until the option is fully vested on April 30, 2013.
  • [F16]Option granted 5/2/11, pursuant to the 2010 Stock Option Plan and vests monthly as to one forty-eighth (1/48th) of the subject shares upon completion of each full month of continuous employment with Unify Corporation. Option is exercisable to the extent vested.
  • [F17]Option granted 7/1/11, pursuant to the 2010 Stock Option Plan and vests monthly as to one forty-eighth (1/48th) of the subject shares upon completion of each full month of continuous employment with Unify Corporation. Option is exercisable to the extent vested.
  • [F18]Option granted 7/1/11, pursuant to the 2010 Stock Option Plan and vests over a three-year period with sixty-seven (67%) percent vesting on April 30, 2013 and the remainder will vest evenly as to 1/12th per month until the option is fully vested on April 30, 2014 if specific stock price appreciation goals are achieved.
  • [F2]Option granted 5/9/2002 (#3537), pursuant to the 2001 Stock Option Plan and vests as to one fourth of the subject shares one year from the grant date and an additional one forty-eighth of the subject shares upon completion of each full month of continuous employment with Unify Corporation. Option is exercisable to the extent vested.
  • [F3]Option granted 11/3/03 (#3597), pursuant to the 2001 Stock Option Plan and vests as to one fourth of the subject shares one year from the grant date and an additional one forty-eighth of the subject shares upon completion of each full month of continuous employment with Unify Corporation. Option is exercisable to the extent vested.
  • [F4]Option granted 5/3/04 (#3609), pursuant to the 2001 Stock Option Plan and vests as to one fourth of the subject shares one year from the grant date and an additional one forty-eighth of the subject shares upon completion of each full month of continuous employment with Unify Corporation. Option is exercisable to the extent vested.
  • [F5]Option granted 12/10/04 (#3640), pursuant to the 2001 Stock Option Plan and vests as to one fourth of the subject shares one year from the grant date and an additional one forty-eighth of the subject shares upon completion of each full month of continuous employment with Unify Corporation. Option is exercisable to the extent vested.
  • [F6]Option granted 12/10/04 (#3679), pursuant to the 2001 Stock Option Plan and vests as to one fourth of the subject shares one year from the grant date and an additional one forty-eighth of the subject shares upon completion of each full month of continuous employment with Unify Corporation. Option is exercisable to the extent vested.
  • [F7]Option granted 11/16/06 (#3731), pursuant to the 2001 Stock Option Plan and vests as to one fourth of the subject shares one year from the grant date and an additional one forty-eighth of the subject shares upon completion of each full month of continuous employment with Unify Corporation. Option is exercisable to the extent vested.
  • [F8]Option granted 5/1/07 (#3738), pursuant to the 2001 Stock Option Plan and vests as to one fourth of the subject shares one year from the grant date and an additional one forty-eighth of the subject shares upon completion of each full month of continuous employment with Unify Corporation. Option is exercisable to the extent vested.
  • [F9]Non Plan Option granted 5/1/07(#3744) and vests as to one forty-eighth of the subject shares per month upon completion of each full month of continuous employment with Unify Corporation. Option is exercisable to the extent vested.

Documents

1 file

Issuer

DAEGIS INC.

CIK 0000880562

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Entity typeother

Related Parties

1
  • filerCIK 0001398823

Filing Metadata

Form type
4
Filed
Oct 19, 8:00 PM ET
Accepted
Oct 20, 3:56 PM ET
Size
32.8 KB
View on SEC.gov