4//SEC Filing
PERAKIS JAMES A 4
Accession 0001209191-10-049698
CIK 0001138804other
Filed
Oct 6, 8:00 PM ET
Accepted
Oct 7, 3:02 PM ET
Size
23.5 KB
Accession
0001209191-10-049698
Insider Transaction Report
Form 4
UNICA CORPUNCA
PERAKIS JAMES A
Director
Transactions
- Disposition to Issuer
Restricted Stock Units
2010-10-05−5,000→ 0 total→ Common Stock (5,000 underlying) - Disposition to Issuer
Nonqualified Stock Option
2010-10-05$9.60/sh−15,000$144,000→ 0 totalExercise: $11.40Exp: 2013-03-06→ Common Stock (15,000 underlying) - Disposition to Issuer
Nonqualified Stock Option
2010-10-05$14.54/sh−15,000$218,100→ 0 totalExercise: $6.46Exp: 2014-03-07→ Common Stock (15,000 underlying) - Disposition to Issuer
Nonqualified Stock Option
2010-10-05$8.26/sh−15,000$123,900→ 0 totalExercise: $8.26Exp: 2012-02-27→ Common Stock (15,000 underlying) - Disposition to Issuer
Nonqualified Stock Option
2010-10-05$16.16/sh−5,000$80,800→ 0 totalExercise: $4.84Exp: 2015-02-26→ Common Stock (5,000 underlying) - Disposition to Issuer
Nonqualified Stock Option
2010-10-05$13.50/sh−10,000$135,000→ 0 totalExercise: $7.50Exp: 2014-10-28→ Common Stock (10,000 underlying) - Disposition to Issuer
Nonqualified Stock Option
2010-10-05−5,000→ 0 totalExercise: $8.75Exp: 2016-02-25→ Common Stock (5,000 underlying) - Disposition to Issuer
Common Stock
2010-10-05$21.00/sh−33,983$713,643→ 0 total
Footnotes (10)
- [F1]Shares were disposed of pursuant to the merger agreement between the Issuer and International Business Machines Corporation ("IBM") in exchange for a cash payment of $21.00 per share on the effective date of the merger.
- [F10]This option was granted on February 25, 2010 and provided for vesting as to 100% of the underlying shares on February 25, 2011. Pursuant to the terms of the option award agreement and resolutions adopted by the board of directors of the Issuer, at the effective time of the merger, 100% of the then unvested options vested. Pursuant to the merger agreement and an option cancellation agreement between the Issuer and the reporting person, this option was cancelled in exchange for a cash payment equal to $61,250, before reduction for taxes, representing the difference between the exercise price of the option and the value of the merger consideration per share of common stock payable pursuant to the merger agreement of $21.00.
- [F2]Each restricted stock unit represents a contingent right to receive one share of Issuer common stock.
- [F3]Pursuant to the terms of the restricted stock unit award agreement and resolutions adopted by the board of directors of the issuer, 100% of the restricted stock units vested at the effective time of the merger. Each such restricted stock unit that vested at the effective time of the merger agreement was disposed of pursuant to the merger agreement in exchange for a cash payment of $21.00 per restricted stock unit.
- [F4]These restricted stock units do not have an expiration date.
- [F5]This option, which is fully vested, was cancelled pursuant to the merger agreement in exchange for a cash payment equal to $135,000, representing the difference between the exercise price of the option and the value of the merger consideration per share of common stock payable pursuant to the merger agreement of $21.00.
- [F6]This option, which is fully vested, was cancelled pursuant to the merger agreement in exchange for a cash payment equal to $123,900, representing the difference between the exercise price of the option and the value of the merger consideration per share of common stock payable pursuant to the merger agreement of $21.00.
- [F7]This option, which is fully vested, was cancelled pursuant to the merger agreement in exchange for a cash payment equal to $144,000, representing the difference between the exercise price of the option and the value of the merger consideration per share of common stock payable pursuant to the merger agreement of $21.00.
- [F8]This option, which is fully vested, was cancelled pursuant to the merger agreement in exchange for a cash payment equal to $218,100, representing the difference between the exercise price of the option and the value of the merger consideration per share of common stock payable pursuant to the merger agreement of $21.00.
- [F9]This option, which is fully vested, was cancelled pursuant to the merger agreement in exchange for a cash payment equal to $80,800, representing the difference between the exercise price of the option and the value of the merger consideration per share of common stock payable pursuant to the merger agreement of $21.00.
Documents
Issuer
UNICA CORP
CIK 0001138804
Entity typeother
IncorporatedCT
Related Parties
1- filerCIK 0000903251
Filing Metadata
- Form type
- 4
- Filed
- Oct 6, 8:00 PM ET
- Accepted
- Oct 7, 3:02 PM ET
- Size
- 23.5 KB