SEC Form 4 · accession 0001225208-17-002002
UNITED PARCEL SERVICE INC · UPS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard N. Peretz
Officer — Chief Financial Officer
Period of report
Jan 27, 2017
Accepted (ET)
Jan 30, 2017 · 4:11 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 | 892 | $114.24 | A | 22,438 | D | |
| Class A Common Stock | Jan 27, 2017 | M | 429 | $114.24 | A | 22,867 | D | |
| Class A Common Stock | Jan 27, 2017 | M | 321 | $114.24 | A | 23,189 | D | |
| Class A Common Stock | Jan 27, 2017 | M | 305 | $114.24 | A | 23,494 | D | |
| Class A Common Stock | Jan 27, 2017 | M | 305 | $114.24 | A | 23,799 | D | |
| Class A Common Stock | Jan 27, 2017 | F | 144 | $114.24 | D | 23,655 | D | |
| Class A Common Stock | Jan 27, 2017 | F | 144 | $114.24 | D | 23,511 | D | |
| Class A Common Stock | Jan 27, 2017 | F | 171 | $114.24 | D | 23,340 | D | |
| Class A Common Stock | Jan 27, 2017 | F | 229 | $114.24 | D | 23,111 | D | |
| Class A Common Stock | Jan 27, 2017 | F | 428 | $114.24 | D | 22,683 | D | |
| Class A Common Stock | holding | — | — | — | 50 | I | Child I | |
| Class A Common Stock | holding | — | — | — | 30 | 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 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 | 305 | D | — | Jan 15, 2019 | Class A Common Stock | 305 | 610 | D |
| Restricted Performance UnitsF3,F1,F2 | — | Jan 27, 2017 | M | 305 | D | — | Jan 15, 2020 | Class A Common Stock | 305 | 918 | D |
| Restricted Performance UnitsF3,F1,F2 | — | Jan 27, 2017 | M | 892 | D | — | Jan 15, 2021 | Class A Common Stock | 892 | 3,572 | 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 186.119 Dividend Equivalent Units acquired in the Restricted Performance Plan account between January 29, 2016 and January 26, 2017.