SEC Form 4 · accession 0001225208-17-001997
UNITED PARCEL SERVICE INC · UPS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Teresa M. Finley
Officer — Chief Mktng & Bus Serv Officer
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 | 803 | $114.24 | A | 48,764 | D | |
| Class A Common Stock | Jan 27, 2017 | M | 429 | $114.24 | A | 49,193 | D | |
| Class A Common Stock | Jan 27, 2017 | M | 321 | $114.24 | A | 49,515 | D | |
| Class A Common Stock | Jan 27, 2017 | M | 300 | $114.24 | A | 49,815 | D | |
| Class A Common Stock | Jan 27, 2017 | M | 300 | $114.24 | A | 50,115 | D | |
| Class A Common Stock | Jan 27, 2017 | F | 142 | $114.24 | D | 49,973 | D | |
| Class A Common Stock | Jan 27, 2017 | F | 142 | $114.24 | D | 49,831 | D | |
| Class A Common Stock | Jan 27, 2017 | F | 172 | $114.24 | D | 49,659 | D | |
| Class A Common Stock | Jan 27, 2017 | F | 229 | $114.24 | D | 49,430 | D | |
| Class A Common Stock | Jan 27, 2017 | F | 385 | $114.24 | D | 49,045 | 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 | 429 | D | — | Jan 15, 2017 | Class A Common Stock | 429 | 0 | D |
| Restricted Performance UnitsF3,F1,F2 | — | Jan 27, 2017 | M | 321 | D | — | Jan 15, 2018 | Class A Common Stock | 321 | 321 | D |
| Restricted Performance UnitsF3,F1,F2 | — | Jan 27, 2017 | M | 300 | D | — | Jan 15, 2019 | Class A Common Stock | 300 | 600 | D |
| Restricted Performance UnitsF3,F1,F2 | — | Jan 27, 2017 | M | 300 | D | — | Jan 15, 2020 | Class A Common Stock | 300 | 901 | D |
| Restricted Performance UnitsF3,F1,F2 | — | Jan 27, 2017 | M | 803 | D | — | Jan 15, 2021 | Class A Common Stock | 803 | 3,211 | 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 175.5507 Dividend Equivalent Units acquired in the Restricted Performance Plan account between January 29, 2016 and January 26, 2017.