SEC Form 4 · accession 0001225208-17-002004
UNITED PARCEL SERVICE INC · UPS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark R. Wallace
Officer — SVP, Eng & Sustainability
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 | 815 | $114.24 | A | 19,135 | D | |
| Class A Common Stock | Jan 27, 2017 | M | 353 | $114.24 | A | 19,488 | D | |
| Class A Common Stock | Jan 27, 2017 | M | 301 | $114.24 | A | 19,789 | D | |
| Class A Common Stock | Jan 27, 2017 | M | 258 | $114.24 | A | 20,047 | D | |
| Class A Common Stock | Jan 27, 2017 | M | 241 | $114.24 | A | 20,288 | D | |
| Class A Common Stock | Jan 27, 2017 | F | 124 | $114.24 | D | 20,164 | D | |
| Class A Common Stock | Jan 27, 2017 | F | 138 | $114.24 | D | 20,026 | D | |
| Class A Common Stock | Jan 27, 2017 | F | 142 | $114.24 | D | 19,884 | D | |
| Class A Common Stock | Jan 27, 2017 | F | 189 | $114.24 | D | 19,695 | D | |
| Class A Common Stock | Jan 27, 2017 | F | 389 | $114.24 | D | 19,306 | 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 | 353 | D | — | Jan 15, 2017 | Class A Common Stock | 353 | 0 | D |
| Restricted Performance UnitsF3,F1,F2 | — | Jan 27, 2017 | M | 258 | D | — | Jan 15, 2018 | Class A Common Stock | 258 | 258 | D |
| Restricted Performance UnitsF3,F1,F2 | — | Jan 27, 2017 | M | 241 | D | — | Jan 15, 2019 | Class A Common Stock | 241 | 482 | D |
| Restricted Performance UnitsF3,F1,F2 | — | Jan 27, 2017 | M | 301 | D | — | Jan 15, 2020 | Class A Common Stock | 301 | 903 | D |
| Restricted Performance UnitsF3,F1,F2 | — | Jan 27, 2017 | M | 815 | D | — | Jan 15, 2021 | Class A Common Stock | 815 | 3,259 | 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 166.0341 Dividend Equivalent Units acquired in the Restricted Performance Plan account between January 29, 2016 and January 26, 2017.