Filing Details
- Accession Number:
- 0001206774-12-004736
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-12-03 19:21:05
- Reporting Period:
- 2012-11-30
- Filing Date:
- 2012-12-03
- Accepted Time:
- 2012-12-03 19:21:05
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 880562 | Daegis Inc. | DAEG | Services-Prepackaged Software (7372) | 942710559 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1495376 | A Kurt Jensen | 1420 Rocky Ridge Drive Suite 380 Roseville CA 95661 | No | No | Yes | No | |
| 1495804 | Dated January 25, 2007 The Jensen Revocable Trust | 1420 Rocky Ridge Drive, Suite 380 Roseville CA 95661 | No | No | Yes | No | |
| 1495805 | L Carolyn Jensen | 1420 Rocky Ridge Drive, Suite 380 Roseville CA 95661 | No | No | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Disposition | 2012-11-30 | 9,257 | $1.22 | 1,802,936 | No | 4 | S | Indirect | By trust |
| Common Stock | Disposition | 2012-11-30 | 5,300 | $1.20 | 1,797,636 | No | 4 | S | Indirect | By trust |
| Common Stock | Disposition | 2012-11-30 | 3,000 | $1.20 | 1,794,636 | No | 4 | S | Indirect | By trust |
| Common Stock | Disposition | 2012-12-03 | 100 | $1.21 | 1,794,536 | No | 4 | S | Indirect | By trust |
| Common Stock | Disposition | 2012-12-03 | 6,620 | $1.20 | 1,787,916 | No | 4 | S | Indirect | By trust |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Indirect | By trust |
| No | 4 | S | Indirect | By trust |
| No | 4 | S | Indirect | By trust |
| No | 4 | S | Indirect | By trust |
| No | 4 | S | Indirect | By trust |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option | $2.90 | 2021-05-02 | 85,000 | 85,000 | Direct | |
| Common Stock | Stock Option | $2.90 | 2021-05-02 | 40,000 | 40,000 | Direct | |
| Common Stock | Stock Option | $1.92 | 2021-07-01 | 44,250 | 44,250 | Direct | |
| Common Stock | Stock Option | $1.92 | 2021-07-01 | 14,750 | 14,750 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2021-05-02 | 85,000 | 85,000 | Direct |
| 2021-05-02 | 40,000 | 40,000 | Direct |
| 2021-07-01 | 44,250 | 44,250 | Direct |
| 2021-07-01 | 14,750 | 14,750 | Direct |
Footnotes
- Option granted 5/2/11, pursuant to the 2010 Stock Option Plan and vests 33% upon issuance of the stock option with 33% vesting over the next 12 months and the remaining 33% over the following 12 months. Option is exercisable to the extent vested.
- 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.
- 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.
- 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.
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