SEC Form 4 · accession 0001209191-18-050265
UNITEDHEALTH GROUP INC · UNH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven H Nelson
Officer — EVP & CEO, UnitedHealthcare
Period of report
Sep 7, 2018
Accepted (ET)
Sep 10, 2018 · 4:32 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 | Sep 7, 2018 | M | 10,071 | $70.24 | A | 28,493 | D | |
| Common Stock | Sep 7, 2018 | M | 8,594 | $108.97 | A | 37,087 | D | |
| Common Stock | Sep 7, 2018 | M | 10,436 | $111.16 | A | 47,523 | D | |
| Common Stock | Sep 7, 2018 | M | 9,148 | $160.31 | A | 56,671 | D | |
| Common StockF2 | Sep 7, 2018 | S | 26,033 | $270.6488 | D | 30,638 | D |
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 Option (right to buy)F3 | $70.24 | Sep 7, 2018 | M | 10,071 | A | — | Feb 12, 2024 | Common Stock | 10,071 | 0 | D |
| Non-Qualified Stock Option (right to buy)F4 | $108.97 | Sep 7, 2018 | M | 8,594 | A | — | Feb 10, 2025 | Common Stock | 8,594 | 8,594 | D |
| Non-Qualified Stock Option (right to buy)F5 | $111.16 | Sep 7, 2018 | M | 10,436 | A | — | Feb 9, 2026 | Common Stock | 10,436 | 20,872 | D |
| Non-Qualified Stock Option (right to buy)F6 | $160.31 | Sep 7, 2018 | M | 9,148 | A | — | Feb 8, 2027 | Common Stock | 9,148 | 27,444 | D |
Explanation of responses
- F1Includes shares received through UnitedHealth Group Incorporated's Employee Stock Purchase Plan.
- F2This transaction was executed in multiple trades ranging from $270.343 to $270.925 per share. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the sales were effected.
- F3The non-qualified stock options vested at a rate of 25% annually on February 12 from the years 2015 through 2018.
- F4The non-qualified stock options vest at a rate of 25% annually on February 10 from the years 2016 through 2019.
- F5The non-qualified stock options vest at a rate of 25% annually on February 9 from the years 2017 through 2020.
- F6The non-qualified stock options vest at a rate of 25% annually on February 8 from the years 2018 through 2021.