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1. Name and Address of Reporting Person
*
Cousins Peter
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2. Issuer Name
and
Ticker or Trading Symbol
UNICA CORP
[
UNCA
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Chief Technology Officer
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(Last)
(First)
(Middle)
170 TRACER LANE
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3. Date of Earliest Transaction
(MM/DD/YYYY)
10/5/2010
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(Street)
WALTHAM, MA 02451
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Explanation of Responses:
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(
1)
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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.
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(
2)
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Each restricted stock unit represents a contingent right to receive one share of Issuer common stock.
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(
3)
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Pursuant to the terms of the restricted stock unit award agreement and certain employment arrangements with IBM, 50% 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. The remaining 50% of the restricted stock units were converted, pursuant to the merger agreement, into the right to receive a cash payment of $21.00 per restricted stock unit at the time that such restricted stock unit would have vested pursuant to its terms in effect as of immediately prior to the effective time of the merger.
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(
4)
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The remaining restricted stock units will vest as follows: 2,500 of the total number of restricted stock units in this grant on December 1, 2010 and 2,500 of the total number of restricted stock units in this grant on December 1, 2011, subject to the reporting person's continued service with IBM.
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(
5)
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These restricted stock units do not have an expiration date.
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(
6)
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The remaining restricted stock units will vest as follows: 2,500 of the total number of restricted stock units in this grant on December 1, 2010, 2,500 of the total number of restricted stock units in this grant on December 1, 2011, and 2,500 of the total number of restricted stock units in this grant on December 1, 2012, subject to the reporting person's continued service with IBM.
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(
7)
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The remaining restricted stock units will vest as follows: 1,875 of the total number of restricted stock units in this grant on December 1, 2010, 1,875 of the total number of restricted stock units in this grant on December 1, 2011, 1,875 of the total number of restricted stock units in this grant on December 1, 2012, and 1,875 of the total number of restricted stock units in this grant on December 1, 2013, subject to the reporting person's continued service with IBM.
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(
8)
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Pursuant to the terms of the stock option agreement and certain employment arrangements with IBM, 50% of the unvested stock options vested at the effective time of the merger.
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(
9)
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This option was granted on December 11, 2008 and provided for vesting as to 12.5% of the underlying shares on June 1, 2009 and as to an additional 6.25% every three months thereafter. Pursuant to the terms of the merger agreement, option award agreement, and certain employment arrangements with IBM, this option was (i) with respect to 14,375 shares, cancelled in exchange for a cash payment equal to $241,356.25 before reduction for taxes, representing the difference between the exercise price of the option and $21.00 per share; and (ii) with respect to 5,625 shares, pursuant to the merger agreement, was replaced with an option to acquire 899 shares of IBM common stock at an exercise price of $26.33.
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(
10)
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This option was granted on February 26, 2009 and provided for vesting as to 50.0% of the underlying shares on February 26, 2010 and as to an additional 6.25% every three months thereafter. Pursuant to the terms of the merger agreement, option award agreement, and certain employment arrangements with IBM, this option was (i) with respect to 10,834 shares, cancelled in exchange for a cash payment equal to $175,077.44 before reduction for taxes, representing the difference between the exercise price of the option and $21.00 per share; and (ii) with respect to 2,499 shares, pursuant to the merger agreement, was replaced with an option to acquire 399 shares of IBM common stock at an exercise price of $30.27.
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(
11)
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This option was granted on December 3, 2009 and provided for vesting as to 12.5% of the underlying shares on June 1, 2010 and as to an additional 6.25% every three months thereafter. Pursuant to the terms of the merger agreement, option award agreement, and certain employment arrangements with IBM, this option was (i) with respect to 8,906 shares, cancelled in exchange for a cash payment equal to $126,554.26 before reduction for taxes, representing the difference between the exercise price of the option and $21.00 per share; and (ii) with respect to 6,094 shares, pursuant to the merger agreement, was replaced with an option to acquire 974 shares of IBM common stock at an exercise price of $42.46.
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