Filing Details
- Accession Number:
- 0001209191-10-015898
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-03-10 12:00:00
- Reporting Period:
- 2010-03-08
- Filing Date:
- 2010-03-10
- Accepted Time:
- 2010-03-10 14:38:59
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1138804 | Unica Corp | UNCA | Services-Prepackaged Software (7372) | 043174345 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1334365 | Yuchun Lee | 170 Tracer Lane Waltham MA 02451 | President, Ceo & Chairman | Yes | Yes | 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 | 2010-03-08 | 4,500 | $0.00 | 2,598,614 | No | 4 | G | Indirect | by Agustina Sumito Living Trust |
| Common Stock | Acquisiton | 2010-03-08 | 2,191 | $0.00 | 2,600,805 | No | 4 | A | Indirect | by Agustina Sumito Living Trust |
| Common Stock | Disposition | 2010-03-08 | 2,191 | $8.98 | 2,598,614 | No | 4 | S | Indirect | by Agustina Sumito Living Trust |
| Common Stock | Disposition | 2010-03-08 | 4,500 | $0.00 | 800,890 | No | 4 | G | Indirect | by Yuchun Lee Living Trust |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | G | Indirect | by Agustina Sumito Living Trust |
| No | 4 | A | Indirect | by Agustina Sumito Living Trust |
| No | 4 | S | Indirect | by Agustina Sumito Living Trust |
| No | 4 | G | Indirect | by Yuchun Lee Living Trust |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Incentive Stock Option | Disposition | 2010-03-08 | 1,666 | $0.01 | 1,666 | $3.36 |
| Common Stock | Non-Qualified Stock Option | Disposition | 2010-03-08 | 375 | $0.01 | 375 | $6.46 |
| Common Stock | Non-Qualified Stock Option | Disposition | 2010-03-08 | 150 | $0.01 | 150 | $3.88 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2010-05-01 | 2014-01-22 | No | 4 | M | Indirect |
| 62 | 2010-05-01 | 2014-03-07 | No | 4 | M | Indirect |
| 75 | 2010-05-01 | 2014-11-24 | No | 4 | M | Indirect |
Footnotes
- A gift of 4,500 shares of common stock was transferred to three recipients, each receiving 1,500 shares.
- Represents an exercise of shares by spouse and subsequent transfer to Trust made pursuant to a Rule 10b5-1 trading plan dated February 22, 2010.
- Sale made pursuant to a Rule 10b5-1 trading plan dated February 22, 2010.
Billionaire Hedge Funds
