SEC Form 4 · accession 0001209191-17-065765
UNITEDHEALTH GROUP INC · UNH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen J Hemsley
Officer — Executive Chair of the Board · Director
Period of report
Dec 12, 2017
Accepted (ET)
Dec 14, 2017 · 7:22 pm EST
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 StockF1,F2 | Dec 12, 2017 | A | 448 | $0.00 | A | 1,566,140 | D | |
| Common Stock | holding | — | — | — | 310 | I | by 401(k) | |
| Common Stock | holding | — | — | — | 464,482 | I | by GRAT1 | |
| Common StockF3 | holding | — | — | — | 296,943 | I | by GRAT2 | |
| Common StockF4 | holding | — | — | — | 281,028 | I | by GRAT3 | |
| Common Stock | holding | — | — | — | 630,000 | I | by GRAT4 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents dividend equivalents paid on outstanding deferred stock units and restricted stock units. The dividend equivalents are subject to the same terms as the respective underlying units and are forfeited if such units do not vest.
- F2Includes 64,224 shares transferred from Grantor Retained Annuity Trust #2 and 85,472 shares transferred from Grantor Retained Annuity Trust #3 to satisfy annuity payments on October 17, 2017. These transfers were exempt from Section 16 pursuant to Rule 16a-13.
- F3Reflects the transfer of 64,224 shares from Grantor Retained Annuity Trust #2 to the reporting person as noted in footnote 2.
- F4Reflects the transfer of 85,472 shares from Grantor Retained Annuity Trust #3 to the reporting person as noted in footnote 2.