SEC Form 4 · accession 0001225208-18-001605
UNITED PARCEL SERVICE INC · UPS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Norman M. Brothers Jr.
Officer — Sr VP, Gen Counsel & Sec
Period of report
Jan 24, 2018
Accepted (ET)
Jan 26, 2018 · 4:16 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 24, 2018 | M | 554 | $134.09 | A | 16,931 | D | |
| Class A Common Stock | Jan 24, 2018 | M | 331 | $134.09 | A | 17,262 | D | |
| Class A Common Stock | Jan 24, 2018 | M | 267 | $134.09 | A | 17,529 | D | |
| Class A Common Stock | Jan 24, 2018 | M | 244 | $134.09 | A | 17,773 | D | |
| Class A Common Stock | Jan 24, 2018 | M | 244 | $134.09 | A | 18,017 | D | |
| Class A Common Stock | Jan 24, 2018 | F | 124 | $134.09 | D | 17,893 | D | |
| Class A Common Stock | Jan 24, 2018 | F | 131 | $134.09 | D | 17,762 | D | |
| Class A Common Stock | Jan 24, 2018 | F | 143 | $134.09 | D | 17,619 | D | |
| Class A Common Stock | Jan 24, 2018 | F | 156 | $134.09 | D | 17,463 | D | |
| Class A Common StockF1 | Jan 24, 2018 | F | 265 | $134.09 | D | 17,198 | 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 UnitsF4,F2,F3 | — | Jan 24, 2018 | M | 267 | D | — | Jan 15, 2018 | Class A Common Stock | 267 | 0 | D |
| Restricted Performance UnitsF4,F2,F3 | — | Jan 24, 2018 | M | 244 | D | — | Jan 15, 2019 | Class A Common Stock | 244 | 245 | D |
| Restricted Performance UnitsF4,F2,F3 | — | Jan 24, 2018 | M | 244 | D | — | Jan 15, 2020 | Class A Common Stock | 244 | 486 | D |
| Restricted Performance UnitsF4,F2,F3 | — | Jan 24, 2018 | M | 331 | D | — | Jan 15, 2021 | Class A Common Stock | 331 | 996 | D |
| Restricted Performance UnitsF4,F2,F3 | — | Jan 24, 2018 | M | 554 | D | — | Jan 15, 2022 | Class A Common Stock | 554 | 2,213 | D |
Explanation of responses
- F1Includes 8.4097 shares acquired in the Reporting Person's 401(k) account between August 30, 2017 and January 24, 2018.
- F2Represents 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.
- F3RPUs vest at the rate of 20% on January 15th of each year during the vesting period.
- F4Includes 143.5063 Dividend Equivalent Units acquired in the Restricted Performance Plan account between January 27, 2017 and January 24, 2018.