1 unchanged sentence
(a) Evaluation of disclosure controls and procedures:
−Removed: Based on their evaluation, as of the end of the period covered by this Annual Report on Form 10-K, our Chief Executive Officer and Interim Principal Financial and Accounting Officer have concluded that our disclosure controls and procedures (as defined in Rules 13a-14(c) and 15d-14(c) under the Securities Exchange Act of 1934 (the “Exchange Act”)) are effective to ensure that information required to be disclosed by us in reports that we file or submit under the Exchange Act is recorded, processed, summarized and reported within the time periods specified in the Securities and Exchange Commission’s rules and forms.
+Added: Based on their evaluation, as of the end of the period covered by this Annual Report on Form 10-K, our Chief Executive Officer and Chief Financial Officer have concluded that our disclosure controls and procedures (as defined in Rules 13a-14(c) and 15d-14(c) under the Securities Exchange Act of 1934 (the “Exchange Act”)) are effective to ensure that information required to be disclosed by us in reports that we file or submit under the Exchange Act is recorded, processed, summarized and reported within the time periods specified in the Securities and Exchange Commission’s rules and forms.
(b) Management’s Report on Internal Control Over Financial Reporting:
42 unchanged sentences
Review, Approval or Ratification of Transactions with Related Persons,” in the Proxy Statement for the Company’s 2023 Annual Meeting of Shareholders is incorporated by reference herein.
−Removed: expected that such Proxy Statement will be filed with the Securities and Exchange Commission no later than April 30, 2022.
+Added: It is expected that such Proxy Statement will be filed with the Securities and Exchange Commission no later than April 30, 2023.
Principal Accountant Fees and Services:
17 unchanged sentences
Description of the Registrant’s Securities
−Removed: 1998 Stock Option Plan (2)
Amended and Restated Employment Agreement dated June 4, 2015 with James A.
Hughes (7), as amended by Amendment Agreement dates February, 6 2020 (12)
−Removed: Retention Agreement dated September 18, 2017 with John Kauchak (8), as amended by Amendment Agreement dates February, 6 2020 (18)
−Removed: Retention Agreement dated September 18, 2017 with Janice Bolomey (8), as amended by Amendment Agreement dates February, 6 2020 (18)
−Removed: Change in Control Agreement dated July 23, 2020 with Laureen Cook (15)
−Removed: 2002 Stock Option Plan (3)
+Added: Retention Agreement dated September 18, 2017 with John Kauchak (5), as amended by Amendment Agreement dates February, 6 2020 (12), as amended by Amendment Agreement dated November 10, 2022 (15)
+Added: Retention Agreement dated September 18, 2017 with Janice Bolomey (5), as amended by Amendment Agreement dates February, 6 2020 (12), as amended by amendment Agreement dated November 10, 2022 (15)
2011 Stock Option Plan (3)
−Removed: 2011 Stock Option Plan and 2011 Stock Bonus Plan (6)
2013 Stock Bonus Plan (4)
4 unchanged sentences
2019 Equity Compensation Plan (11)
−Removed: Acknowledgment and Consent of FDIC Consent Order between Commissioner of Banking and Insurance and Unity Bank (16)
−Removed: Consent Order with the Federal Deposit Insurance Corporation (17)
Form of Indemnification Agreement entered into on January 23, 2020 by and among the Registrant, Unity Bank and each of their respective Directors (13)
+Added: Joinder Agreement with Executive Vice President and Chief Financial Officer George Boyan dated February 24, 2022 (14), as amended by Amendment Agreement dated November 10, 2022 (15)
Subsidiaries of the Registrant
11 unchanged sentences
(1) Previously filed with the Securities and Exchange Commission as an Exhibit to the Current Report on Form 8-K filed on July 22, 2002 and incorporated by reference herein.
−Removed: (2) Previously filed with the Securities and Exchange Commission as an Exhibit to the Proxy Statement for the Annual Meeting of Shareholders filed on March 30, 1998.
−Removed: (3) Previously filed with the Securities and Exchange Commission as an Exhibit to the Proxy Statement for the Annual Meeting of Shareholders filed on April 10, 2002.
(2) Previously filed with the Securities and Exchange Commission as an Exhibit to the Current Report on Form 8-K filed February 24, 2017.
−Removed: (5) Previously filed with the Securities and Exchange Commission as an Exhibit to the Proxy Statement for the Annual Meeting of Shareholders filed on May 4, 2006.
(3) Previously filed with the Securities and Exchange Commission as an Exhibit to Form S-8 filed on May 26, 2011 and incorporated by reference herein.
7 unchanged sentences
(11) Previously filed with the Securities and Exchange Commission as an Exhibit to Form S-8 filed on June 4, 2019 and incorporated by reference herein.
−Removed: (15) Previously filed with the Securities and Exchange Commission as an Exhibit to Form 8-K filed on July 24, 2020 and incorporated by reference herein.
−Removed: (16) Previously filed with the Securities and Exchange Commission as an Exhibit to Form 8-K filed on July 16, 2020 and incorporated by reference herein.
−Removed: (17) Previously filed with the Securities and Exchange Commission as an Exhibit to Form 8-K filed on July 14, 2020 and incorporated by reference herein.
(12) Previously filed with the Securities and Exchange Commission as an Exhibit to Form 8-K filed on February 6, 2020 and incorporated by reference herein.
(13) Previously filed with the Securities and Exchange Commission as an Exhibit to Form 8-K filed on January 28, 2020 and incorporated by reference herein.
+Added: (14) Incorporated by reference from Exhibit 10.1 to the Registrant’s Current Report on Form 8-K filed February 24, 2022.
+Added: (15) Previously filed with the Securities and Exchange Commission as an Exhibit to Form 8-K filed on November 10, 2022 and incorporated herein.
c) Not applicable
27 unchanged sentences
March 10, 2023
−Removed: /s/ Allen Tucker
−Removed: March 11, 2022
Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.