SEC Form 4 · accession 0001225208-19-001293
UNITED PARCEL SERVICE INC · UPS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James J. Barber
Officer — Chief Operating Officer
Period of report
Jan 23, 2019
Accepted (ET)
Jan 25, 2019 · 5:11 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 StockF1 | Jan 23, 2019 | M | 1,039 | $0.00 | A | 39,546 | D | |
| Class A Common StockF1 | Jan 23, 2019 | M | 1,011 | $0.00 | A | 40,557 | D | |
| Class A Common StockF1 | Jan 23, 2019 | M | 715 | $0.00 | A | 41,271 | D | |
| Class A Common StockF1 | Jan 23, 2019 | M | 704 | $0.00 | A | 41,975 | D | |
| Class A Common StockF1 | Jan 23, 2019 | M | 625 | $0.00 | A | 42,601 | D | |
| Class A Common StockF1 | Jan 23, 2019 | F | 283 | $97.56 | D | 42,318 | D | |
| Class A Common StockF1 | Jan 23, 2019 | F | 319 | $97.56 | D | 41,999 | D | |
| Class A Common StockF1 | Jan 23, 2019 | F | 355 | $97.56 | D | 41,644 | D | |
| Class A Common StockF1 | Jan 23, 2019 | F | 456 | $97.56 | D | 41,188 | D | |
| Class A Common StockF1 | Jan 23, 2019 | F | 469 | $97.56 | D | 40,719 | D | |
| Class B Common Stock | holding | — | — | — | 75 | 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 UnitsF2,F3 | — | Jan 23, 2019 | M | 704 | D | — | Jan 15, 2019 | Class A Common Stock | 704 | 0 | D |
| Restricted Performance UnitsF4,F2,F3 | — | Jan 23, 2019 | M | 715 | D | — | Jan 15, 2020 | Class A Common Stock | 715 | 714 | D |
| Restricted Performance UnitsF4,F2,F3 | — | Jan 23, 2019 | M | 1,011 | D | — | Jan 15, 2021 | Class A Common Stock | 1,011 | 2,021 | D |
| Restricted Performance UnitsF4,F2,F3 | — | Jan 23, 2019 | M | 625 | D | — | Jan 15, 2022 | Class A Common Stock | 625 | 1,878 | D |
| Restricted Performance UnitsF4,F2,F3 | — | Jan 23, 2019 | M | 1,039 | D | — | Jan 15, 2023 | Class A Common Stock | 1,039 | 4,152 | D |
Explanation of responses
- F1Includes 632.8782 shares in the Reporting Person's 401(k) account.
- 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 ratably over five years from the date of grant.
- F4Includes dividend equivalent units attributed to the RPUs.