SEC Form 4 · accession 0001225208-17-001995
UNITED PARCEL SERVICE INC · UPS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James J. Barber
Officer — President, UPS International
Period of report
Jan 27, 2017
Accepted (ET)
Jan 30, 2017 · 4:10 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 27, 2017 | M | 950 | $114.24 | A | 32,294 | D | |
| Class A Common Stock | Jan 27, 2017 | M | 672 | $114.24 | A | 32,966 | D | |
| Class A Common Stock | Jan 27, 2017 | M | 662 | $114.24 | A | 33,627 | D | |
| Class A Common Stock | Jan 27, 2017 | M | 414 | $114.24 | A | 34,041 | D | |
| Class A Common Stock | Jan 27, 2017 | M | 314 | $114.24 | A | 34,355 | D | |
| Class A Common Stock | Jan 27, 2017 | F | 167 | $114.24 | D | 34,188 | D | |
| Class A Common Stock | Jan 27, 2017 | F | 221 | $114.24 | D | 33,967 | D | |
| Class A Common Stock | Jan 27, 2017 | F | 312 | $114.24 | D | 33,655 | D | |
| Class A Common Stock | Jan 27, 2017 | F | 323 | $114.24 | D | 33,332 | D | |
| Class A Common Stock | Jan 27, 2017 | F | 456 | $114.24 | D | 32,876 | 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 UnitsF3,F1,F2 | — | Jan 27, 2017 | M | 414 | D | — | Jan 15, 2017 | Class A Common Stock | 414 | 0 | D |
| Restricted Performance UnitsF3,F1,F2 | — | Jan 27, 2017 | M | 314 | D | — | Jan 15, 2018 | Class A Common Stock | 314 | 315 | D |
| Restricted Performance UnitsF3,F1,F2 | — | Jan 27, 2017 | M | 662 | D | — | Jan 15, 2019 | Class A Common Stock | 662 | 1,324 | D |
| Restricted Performance UnitsF3,F1,F2 | — | Jan 27, 2017 | M | 672 | D | — | Jan 15, 2020 | Class A Common Stock | 672 | 2,014 | D |
| Restricted Performance UnitsF3,F1,F2 | — | Jan 27, 2017 | M | 950 | D | — | Jan 15, 2021 | Class A Common Stock | 950 | 3,801 | D |
Explanation of responses
- F1Represents 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.
- F2RPUs vest at the rate of 20% on January 15th of each year during the vesting period.
- F3Includes 263.8951 Dividend Equivalent Units acquired in the Restricted Performance Plan account between January 29, 2016 and January 26, 2017.