SEC Form 4 · accession 0001209191-18-039944
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
Jun 26, 2018
Accepted (ET)
Jun 28, 2018 · 5:55 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 StockF1,F2 | Jun 26, 2018 | A | 436 | $0.00 | A | 1,734,250 | D | |
| Common Stock | holding | — | — | — | 312 | I | by 401(k) | |
| Common StockF3 | holding | — | — | — | 477,182 | I | by GRAT1 | |
| Common StockF4 | holding | — | — | — | 303,143 | I | by GRAT2 | |
| Common StockF5 | holding | — | — | — | 287,178 | I | by GRAT3 | |
| Common StockF6,F7 | holding | — | — | — | 419,155 | 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 220,695 shares transferred from Grantor Retained Annuity Trust #4 to satisfy an annuity payment on April 26, 2018, and excludes an aggregate of 34,900 shares previously directly owned which were contributed to each Grantor Retained Annuity Trust as set forth in footnotes 3 through 6 on May 14, 2018. These transfers were exempt from Section 16 pursuant to Rule 16a-13.
- F3Reflects the transfer of 12,700 shares previously owned directly which were contributed to Grantor Retained Annuity Trust #1 on May 14, 2018.
- F4Reflects the transfer of 6,200 shares previously owned directly which were contributed to Grantor Retained Annuity Trust #2 on May 14, 2018.
- F5Reflects the transfer of 6,150 shares previously owned directly which were contributed to Grantor Retained Annuity Trust #3 on May 14, 2018.
- F6Reflects the transfer of 9,850 shares previously owned directly which were contributed to Grantor Retained Annuity Trust #4 on May 14, 2018.
- F7Reflects the transfer of 220,695 shares from Grantor Retained Annuity Trust #4 to the reporting person to satisfy an annuity payment on April 26, 2018.