SEC Form 4 · accession 0001225208-17-008851
UNITED PARCEL SERVICE INC · UPS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alan Gershenhorn
Officer — EVP, Chief Commercial Officer
Period of report
Apr 28, 2017
Accepted (ET)
May 2, 2017 · 4:08 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 | Apr 28, 2017 | M | 8,451 | $76.89 | A | 114,168 | D | |
| Class A Common Stock | Apr 28, 2017 | M | 8,220 | $74.25 | A | 122,388 | D | |
| Class A Common Stock | Apr 28, 2017 | M | 8,165 | $67.18 | A | 130,553 | D | |
| Class A Common Stock | Apr 28, 2017 | F | 1,189 | $108.83 | D | 129,364 | D | |
| Class A Common Stock | Apr 28, 2017 | F | 1,252 | $108.83 | D | 128,111 | D | |
| Class A Common Stock | Apr 28, 2017 | F | 1,498 | $108.83 | D | 126,613 | D | |
| Class A Common Stock | Apr 28, 2017 | F | 5,040 | $108.83 | D | 121,573 | D | |
| Class A Common Stock | Apr 28, 2017 | F | 5,608 | $108.83 | D | 115,965 | D | |
| Class A Common StockF1 | Apr 28, 2017 | F | 5,971 | $108.83 | D | 109,994 | D | |
| Class A Common Stock | holding | — | — | — | 482 | I | Spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option to Purchase UPS Class A CommonF2 | $76.89 | Apr 28, 2017 | M | 8,451 | D | — | Mar 1, 2022 | Class A Common Stock | 8,451 | 0 | D |
| Option to Purchase UPS Class A CommonF3 | $74.25 | Apr 28, 2017 | M | 8,220 | D | — | May 4, 2021 | Class A Common Stock | 8,220 | 0 | D |
| Option to Purchase UPS Class A CommonF4 | $67.18 | Apr 28, 2017 | M | 8,165 | D | — | May 5, 2020 | Class A Common Stock | 8,165 | 0 | D |
Explanation of responses
- F1Includes 33.9770 shares acquired in the Reporting Person's 401(k) account between March 15, 2017 and April 28, 2017.
- F2Securities vested at the rate of 20% annually beginning on March 1, 2013 or immediately upon retirement, death or disability.
- F3Securities vested at the rate of 20% annually beginning on May 4, 2012 or immediately upon retirement, death or disability.
- F4Securities vested at the rate of 20% annually beginning on May 5, 2011 or immediately upon retirement, death or disability.