SEC Form 4 · accession 0001209191-16-116463
UNITEDHEALTH GROUP INC · UNH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Edson de Godoy Bueno
Director
Period of report
Apr 27, 2016
Accepted (ET)
Apr 29, 2016 · 4:27 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000731766
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Apr 27, 2016 | M | 171,600 | $55.03 | D | 171,600 | D | |
| Common Stock | Apr 27, 2016 | F | 71,109 | $132.80 | D | 100,491 | D | |
| Common Stock | Apr 27, 2016 | M | 89,512 | $70.24 | D | 190,003 | D | |
| Common Stock | Apr 27, 2016 | F | 47,345 | $132.80 | D | 142,658 | D | |
| Common Stock | Apr 27, 2016 | M | 44,354 | $108.97 | D | 187,012 | D | |
| Common Stock | Apr 27, 2016 | F | 36,395 | $132.80 | D | 150,617 | D | |
| Common StockF1 | holding | — | — | — | 8,416,905 | I | By Wholly Owned Affiliate |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Options (right to buy)F2 | $55.03 | Apr 27, 2016 | M | 171,600 | D | — | Dec 21, 2022 | Common Stock | 171,600 | 57,200 | D |
| Non-Qualified Stock Options (right to buy)F3 | $70.24 | Apr 27, 2016 | M | 89,512 | D | — | Feb 12, 2024 | Common Stock | 89,512 | 89,513 | D |
| Non-Qualified Stock Options (right to buy)F4 | $108.97 | Apr 27, 2016 | M | 44,354 | D | — | Feb 10, 2025 | Common Stock | 44,354 | 133,062 | D |
Explanation of responses
- F1The reported shares are owned by CSHG 1122 FUNDO DE INVESTIMENTO MULTIMERCADO - CREDITO PRIVADO INVESTIMENTO NO EXTERIOR, which is a wholly owned affiliate of the reporting person. These shares are restricted and have not been registered under the Securities Act of 1933, as amended.
- F2The stock options vests at a rate of 25% annually on December 21 from the years 2013 through 2016.
- F3The stock options vest at a rate of 25% annually on February 12 from the years 2015 through 2018.
- F4The stock options vest at a rate of 25% annually on February 10 from the years 2016 through 2019.