SEC Form 4 · accession 0001225208-19-001296
UNITED PARCEL SERVICE INC · UPS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kathleen M. Gutmann
Officer — Chief Sales & Solutions Off
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 | 895 | $0.00 | A | 35,751 | D | |
| Class A Common StockF1 | Jan 23, 2019 | M | 879 | $0.00 | A | 36,631 | D | |
| Class A Common StockF1 | Jan 23, 2019 | M | 694 | $0.00 | A | 37,325 | D | |
| Class A Common StockF1 | Jan 23, 2019 | M | 528 | $0.00 | A | 37,853 | D | |
| Class A Common StockF1 | Jan 23, 2019 | M | 346 | $0.00 | A | 38,199 | D | |
| Class A Common StockF1 | Jan 23, 2019 | F | 175 | $97.56 | D | 38,024 | D | |
| Class A Common StockF1 | Jan 23, 2019 | F | 239 | $97.56 | D | 37,785 | D | |
| Class A Common StockF1 | Jan 23, 2019 | F | 343 | $97.56 | D | 37,442 | D | |
| Class A Common StockF1 | Jan 23, 2019 | F | 397 | $97.56 | D | 37,045 | D | |
| Class A Common StockF1 | Jan 23, 2019 | F | 399 | $97.56 | D | 36,646 | 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 | 346 | D | — | Jan 15, 2019 | Class A Common Stock | 346 | 0 | D |
| Restricted Performance UnitsF4,F2,F3 | — | Jan 23, 2019 | M | 694 | D | — | Jan 15, 2020 | Class A Common Stock | 694 | 694 | D |
| Restricted Performance UnitsF4,F2,F3 | — | Jan 23, 2019 | M | 895 | D | — | Jan 15, 2021 | Class A Common Stock | 895 | 1,789 | D |
| Restricted Performance UnitsF4,F2,F3 | — | Jan 23, 2019 | M | 528 | D | — | Jan 15, 2022 | Class A Common Stock | 528 | 1,585 | D |
| Restricted Performance UnitsF4,F2,F3 | — | Jan 23, 2019 | M | 879 | D | — | Jan 15, 2023 | Class A Common Stock | 879 | 3,519 | D |
Explanation of responses
- F1Includes 1,847.6191 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.