SEC Form 4 · accession 0001225208-16-025317
UNITED PARCEL SERVICE INC · UPS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James J. Barber
Officer — Senior Vice President
Period of report
Jan 29, 2016
Accepted (ET)
Feb 1, 2016 · 4:18 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 | Jan 29, 2016 | M | 652 | $90.04 | A | 26,170 | D | |
| Class A Common Stock | Jan 29, 2016 | M | 642 | $90.04 | A | 26,812 | D | |
| Class A Common Stock | Jan 29, 2016 | M | 403 | $90.04 | A | 27,215 | D | |
| Class A Common Stock | Jan 29, 2016 | M | 305 | $90.04 | A | 27,520 | D | |
| Class A Common Stock | Jan 29, 2016 | F | 118 | $90.04 | D | 27,402 | D | |
| Class A Common Stock | Jan 29, 2016 | F | 156 | $90.04 | D | 27,246 | D | |
| Class A Common Stock | Jan 29, 2016 | F | 214 | $90.04 | D | 27,032 | D | |
| Class A Common StockF1 | Jan 29, 2016 | F | 220 | $90.04 | D | 26,812 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Performance UnitsF4,F2,F3 | — | Jan 29, 2016 | M | 403 | D | — | Jan 15, 2017 | Class A Common Stock | 403 | 402 | D |
| Restricted Performance UnitsF4,F2,F3 | — | Jan 29, 2016 | M | 305 | D | — | Jan 15, 2018 | Class A Common Stock | 305 | 611 | D |
| Restricted Performance UnitsF4,F2,F3 | — | Jan 29, 2016 | M | 642 | D | — | Jan 15, 2019 | Class A Common Stock | 642 | 1,929 | D |
| Restricted Performance UnitsF4,F2,F3 | — | Jan 29, 2016 | M | 652 | D | — | Jan 15, 2020 | Class A Common Stock | 652 | 2,609 | D |
Explanation of responses
- F1Includes 2.8105 shares acquired in the Reporting Person's 401(k) account between December 2, 2015 and January 28, 2016.
- F2Represents Restricted Performance Units (RPUs) granted as Management Incentive Awards under the United Parcel Service, Inc. Incentive Compensation Plan. Each RPU represents the right to receive one share of Class A common stock.
- F3RPUs vest at the rate of 20% on January 15th of each year during the vesting period.
- F4Includes 192.6617 Dividend Equivalent Units acquired in the Restricted Performance Plan account between January 30, 2015 and January 28, 2016.