SEC Form 4 · accession 0001225208-15-020168
UNITED PARCEL SERVICE INC · UPS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kathleen M. Gutmann
Officer — Senior Vice President
Period of report
Oct 30, 2015
Accepted (ET)
Nov 2, 2015 · 4:11 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001090727
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Oct 22, 2015 | G | 402 | $0.00 | D | 23,592 | D | |
| Class A Common Stock | Oct 30, 2015 | M | 153 | $103.80 | A | 23,745 | D | |
| Class A Common StockF1 | Oct 30, 2015 | F | 52 | $103.80 | D | 23,693 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF4,F2,F3 | — | Oct 30, 2015 | M | 153 | D | — | Oct 15, 2015 | Class A Common Stock | 153 | 0 | D |
Explanation of responses
- F1Includes 61.5696 shares acquired in the Reporting Person's 401(k) account between May 16, 2015 and October 30, 2015.
- F2Represents Restricted Stock Units (RSUs) granted as Management Incentive Awards under the United Parcel Service, Inc. Incentive Compensation Plan. Each RSU represents the right to receive one share of Class A common stock.
- F3RSUs vest at the rate of 20% on October 15th of each year during the vesting period.
- F4Includes 4.5396 Dividend Equivalent Units acquired in the Restricted Stock Unit Plan account between November 1, 2014 and October 30, 2015