SEC Form 4 · accession 0001225208-16-029854
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
Mar 11, 2016
Accepted (ET)
Mar 14, 2016 · 6:05 pm EDT
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 | Mar 11, 2016 | M | 1,878 | $93.20 | A | 26,726 | D | |
| Class A Common Stock | Mar 11, 2016 | M | 1,832 | $93.20 | A | 28,558 | D | |
| Class A Common Stock | Mar 11, 2016 | M | 1,777 | $93.20 | A | 30,335 | D | |
| Class A Common Stock | Mar 11, 2016 | F | 593 | $93.20 | D | 29,742 | D | |
| Class A Common Stock | Mar 11, 2016 | F | 611 | $93.20 | D | 29,131 | D | |
| Class A Common StockF1 | Mar 11, 2016 | F | 627 | $93.20 | D | 28,504 | 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 UnitsF2,F3,F4 | — | Mar 11, 2016 | M | 5,487 | D | Jan 31, 2016 | Jan 31, 2016 | Class A Common Stock | 5,487 | 0 | D |
Explanation of responses
- F1Includes 11.8365 shares acquired in the Reporting Person's 401(k) account between January 29, 2016 and March 11, 2016.
- F2One unit is equivalent to one share of UPS Class A Common stock.
- F3The Restricted Stock Units vested on January 31, 2016. Vested shares of Class A common stock were delivered to the reporting person on March 11, 2016.
- F4Includes 190.4752 Dividend Equivalent Units acquired in the Long Term Incentive Performance Plan account between March 4, 2014 and March 11, 2016.