SEC Form 4 · accession 0001225208-16-025335
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
Jan 29, 2016
Accepted (ET)
Feb 1, 2016 · 4:38 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 | 633 | $90.04 | A | 24,337 | D | |
| Class A Common Stock | Jan 29, 2016 | M | 472 | $90.04 | A | 24,808 | D | |
| Class A Common Stock | Jan 29, 2016 | M | 343 | $90.04 | A | 25,152 | D | |
| Class A Common Stock | Jan 29, 2016 | M | 315 | $90.04 | A | 25,467 | D | |
| Class A Common Stock | Jan 29, 2016 | F | 109 | $90.04 | D | 25,358 | D | |
| Class A Common Stock | Jan 29, 2016 | F | 133 | $90.04 | D | 25,225 | D | |
| Class A Common Stock | Jan 29, 2016 | F | 183 | $90.04 | D | 25,042 | D | |
| Class A Common StockF1 | Jan 29, 2016 | F | 206 | $90.04 | D | 24,836 | 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 | 472 | D | — | Jan 15, 2017 | Class A Common Stock | 472 | 471 | D |
| Restricted Performance UnitsF4,F2,F3 | — | Jan 29, 2016 | M | 343 | D | — | Jan 15, 2018 | Class A Common Stock | 343 | 688 | D |
| Restricted Performance UnitsF4,F2,F3 | — | Jan 29, 2016 | M | 315 | D | — | Jan 15, 2019 | Class A Common Stock | 315 | 947 | D |
| Restricted Performance UnitsF4,F2,F3 | — | Jan 29, 2016 | M | 633 | D | — | Jan 15, 2020 | Class A Common Stock | 633 | 2,536 | D |
Explanation of responses
- F1Includes 10.6017 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 160.5304 Dividend Equivalent Units acquired in the Restricted Performance Plan account between January 30, 2015 and January 28, 2016.