SEC Form 4 · accession 0001209191-19-000852
UNITEDHEALTH GROUP INC · UNH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard T Burke
Director
Period of report
Dec 31, 2018
Accepted (ET)
Jan 3, 2019 · 4:01 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 Stock | Dec 31, 2018 | G | 8,000 | $0.00 | D | 1,703,661 | D | |
| Common StockF1 | Dec 31, 2018 | G | 1,500,000 | $0.00 | D | 203,661 | D | |
| Common StockF2 | Dec 31, 2018 | G | 1,498,500 | $0.00 | A | 1,498,500 | I | by Partnership |
| Common Stock | Jan 1, 2019 | M | 5,000 | $27.59 | A | 208,661 | D | |
| Common StockF3 | Jan 2, 2019 | A | 211 | $0.00 | A | 208,872 | D | |
| Common StockF4 | holding | — | — | — | 86,000 | I | by Trust |
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) | $27.59 | Jan 1, 2019 | M | 5,000 | D | Jan 2, 2009 | Jan 2, 2019 | Common Stock | 5,000 | 0 | D |
Explanation of responses
- F1The reporting person transferred these shares to a limited partnership 99.9% owned by the reporting person.
- F2Represents the reporting person's proportionate interest in shares held by the partnership.
- F3Represents deferred stock units that are granted as regular quarterly compensation for service as a director of UnitedHealth Group. Deferred stock units are immediately vested, but must be retained by the director until the director's completion of service on the Board.
- F4These shares are held in an irrevocable trust for the benefit of the reporting person's children. The reporting person disclaims beneficial ownership of the shares held by his children's irrevocable trust, and this report should not be deemed an admission that the reporting person is the beneficial owner of the shares held by the irrevocable trust for the purposes of Section 16 or for any other purpose.