SEC Form 4 · accession 0001225208-16-025326
UNITED PARCEL SERVICE INC · UPS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David A Barnes
Officer — Senior Vice President
Period of report
Jan 29, 2016
Accepted (ET)
Feb 1, 2016 · 4:21 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 | 1,078 | $90.04 | A | 154,196 | D | |
| Class A Common Stock | Jan 29, 2016 | M | 734 | $90.04 | A | 154,930 | D | |
| Class A Common Stock | Jan 29, 2016 | M | 691 | $90.04 | A | 155,622 | D | |
| Class A Common Stock | Jan 29, 2016 | M | 675 | $90.04 | A | 156,297 | D | |
| Class A Common Stock | Jan 29, 2016 | F | 226 | $90.04 | D | 156,071 | D | |
| Class A Common Stock | Jan 29, 2016 | F | 231 | $90.04 | D | 155,840 | D | |
| Class A Common Stock | Jan 29, 2016 | F | 239 | $90.04 | D | 155,601 | D | |
| Class A Common StockF1 | Jan 29, 2016 | F | 404 | $90.04 | D | 155,197 | D | |
| Class A Common Stock | holding | — | — | — | 2,596 | I | Child I | |
| Class A Common Stock | holding | — | — | — | 2,596 | I | Child II |
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 | 1,078 | D | — | Jan 15, 2017 | Class A Common Stock | 1,078 | 1,078 | D |
| Restricted Performance UnitsF4,F2,F3 | — | Jan 29, 2016 | M | 734 | D | — | Jan 15, 2018 | Class A Common Stock | 734 | 1,467 | D |
| Restricted Performance UnitsF4,F2,F3 | — | Jan 29, 2016 | M | 675 | D | — | Jan 15, 2019 | Class A Common Stock | 675 | 2,028 | D |
| Restricted Performance UnitsF4,F2,F3 | — | Jan 29, 2016 | M | 691 | D | — | Jan 15, 2020 | Class A Common Stock | 691 | 2,764 | D |
Explanation of responses
- F1Includes 25.7503 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 275.8352 Dividend Equivalent Units acquired in the Restricted Performance Plan account between January 30, 2015 and January 28, 2016.