SEC Form 4 · accession 0000100885-16-000416
UNION PACIFIC CORP · UNP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert M Knight Jr.
Officer — EVP & CHIEF FINANCIAL OFFICER
Period of report
Sep 1, 2016
Accepted (ET)
Sep 2, 2016 · 3:51 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000100885
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Sep 1, 2016 | S | 10,000 | $95.2415 | D | 37,723 | I | by Trust 2 |
| Common Stock | holding | — | — | — | 150,660 | D | ||
| Common StockF3 | holding | — | — | — | 186,630 | I | (1) | |
| Common StockF4 | holding | — | — | — | 477 | I | by Managed Account | |
| Common Stock | holding | — | — | — | 13,550 | I | by Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 5, 2016. Union Pacific Corporation announced the trading plan in a Current Report on Form 8-K on the same date.
- F2This transaction was executed in multiple trades at prices ranging from $94.71 to $96.7099. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F3Represents conversion of restricted stock units to fully vested stock units with a distribution ratio of 1:1 - Payable only in shares of common stock at termination of employment or a date certain.
- F4Includes holdings in employee benefit plans, Tax Reduction and Payroll Based Stock Plans, as of Transaction Date.