SEC Form 4 · accession 0000100885-17-000252
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
Nov 27, 2017
Accepted (ET)
Nov 28, 2017 · 5:49 pm EST
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 Stock | Nov 27, 2017 | M | 63,918 | $57.37 | A | 212,748 | D | |
| Common Stock | Nov 27, 2017 | F | 31,011 | $118.25 | D | 181,737 | D | |
| Common Stock | Nov 27, 2017 | F | 16,092 | $118.25 | D | 165,645 | D | |
| Common Stock | Nov 27, 2017 | M | 36,090 | $46.80 | A | 201,735 | D | |
| Common Stock | Nov 27, 2017 | F | 14,284 | $118.25 | D | 187,451 | D | |
| Common Stock | Nov 27, 2017 | F | 10,663 | $118.25 | D | 176,788 | D | |
| Common StockF1 | holding | — | — | — | 191,898 | I | (1) | |
| Common StockF2 | holding | — | — | — | 490 | I | by Managed Account | |
| Common Stock | holding | — | — | — | 13,550 | I | by Trust | |
| Common Stock | holding | — | — | — | 45,977 | I | by Trust 2 |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (right to buy)F3 | $46.80 | Nov 27, 2017 | M | 36,090 | D | Feb 3, 2012 | Feb 3, 2021 | Common Stock | 36,090 | 0 | D |
| Non-Qualified Stock Option (right to buy)F3 | $57.37 | Nov 27, 2017 | M | 63,918 | D | Feb 2, 2013 | Feb 2, 2022 | Common Stock | 63,918 | 0 | D |
Explanation of responses
- F1Represents 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.
- F2Includes holdings in employee benefit plans, Tax Reduction and Payroll Based Stock Plans, as of Transaction Date.
- F3This option became exercisable in three equal installments starting one year from the grant date.