SEC Form 4 · accession 0001209191-18-010024

UNITEDHEALTH GROUP INC · UNH

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Vice Chmn, UHG and CEO, Optum

Period of report

Feb 12, 2018

Accepted (ET)

Feb 14, 2018 · 5:38 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
Common Stock	Feb 12, 2018	F	1,797	$225.69	D	166,633	D
Common Stock^F1	Feb 13, 2018	A	35,130	$0.00	A	201,763	D
Common Stock^F2	Feb 13, 2018	F	15,616	$226.64	D	186,147	D
Common Stock^F3,F4	Feb 13, 2018	A	9,266	$0.00	A	195,413	D

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)^F5	$226.64	Feb 13, 2018	A	49,505	A	—	Feb 13, 2028	Common Stock	49,505	49,505	D

F1Represents the settlement of Performance Share Awards for the performance period 2015-2017.
F2Represents the withholding of shares to satisfy tax obligations upon the settlement of Performance Share Awards for the performance period 2015-2017.
F3The restricted stock units vest at a rate of 25% annually on February 13 from the years 2019 through 2022.
F4Amount does not include Performance Share Awards granted to the executive officer on February 13, 2018, as performance awards not tied to stock price are not derivative securities for purposes of Section 16 under guidance from the staff of the SEC. The number of Performance Shares that the executive officer will receive will be determined at the end of the 3-year performance period and will be dependent upon the achievement of cumulative 3-year EPS and average return-on-equity performance metrics approved by the Compensation and Human Resources Committee. The target number of Performance Shares is 18,532.
F5The stock options vest at a rate of 25% annually on February 13 from the years 2019 through 2022.