SEC Form 4 · accession 0000100885-18-000113
UNION PACIFIC CORP · UNP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Elizabeth F Whited
Officer — EVP & CHIEF MARKETING OFFICER
Period of report
Apr 3, 2018
Accepted (ET)
Apr 5, 2018 · 10:36 am 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 Stock | Apr 3, 2018 | M | 5,886 | $57.37 | A | 65,613 | D | |
| Common StockF2 | Apr 3, 2018 | S | 5,886 | $133.8035 | D | 59,727 | D | |
| Common Stock | Apr 3, 2018 | M | 4,782 | $46.80 | A | 64,509 | D | |
| Common StockF2 | Apr 3, 2018 | S | 4,782 | $133.8035 | D | 59,727 | D | |
| Common Stock | Apr 3, 2018 | M | 1,000 | $30.49 | A | 60,727 | D | |
| Common StockF2 | Apr 3, 2018 | S | 1,000 | $133.0835 | D | 59,727 | D | |
| Common Stock | Apr 3, 2018 | M | 1,000 | $23.64 | A | 60,727 | D | |
| Common StockF2 | Apr 3, 2018 | S | 1,000 | $133.8035 | D | 59,727 | D | |
| Common StockF3 | Apr 3, 2018 | S | 2,908 | $133.978 | D | 56,819 | D | |
| Common StockF4 | holding | — | — | — | 2,241 | I | By Deferral Account |
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)F5 | $23.64 | Apr 3, 2018 | M | 1,000 | D | Feb 5, 2010 | Feb 5, 2019 | Common Stock | 1,000 | 0 | D |
| Non-Qualified Stock Option (right to buy)F5 | $30.49 | Apr 3, 2018 | M | 1,000 | D | Feb 4, 2011 | Feb 4, 2020 | Common Stock | 1,000 | 0 | D |
| Non-Qualified Stock Option (right to buy)F5 | $46.80 | Apr 3, 2018 | M | 4,782 | D | Feb 3, 2012 | Feb 3, 2021 | Common Stock | 4,782 | 0 | D |
| Non-Qualified Stock Option (right to buy)F5 | $57.37 | Apr 3, 2018 | M | 5,886 | D | Feb 2, 2013 | Feb 2, 2022 | Common Stock | 5,886 | 0 | D |
Explanation of responses
- F1This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 5, 2018.
- F2This transaction was executed in multiple trades at prices ranging from $132.93 to $134.465. 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.
- F3This transaction was executed in multiple trades at prices ranging from $133.59 to $134.35. 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.
- F4Represents 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.
- F5This option became exercisable in three equal installments starting one year from the grant date.