UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Option to Purchase UPS Class A Common | 11/09/2002 | 11/09/2009 | Class A Common Stock | 2,584 | $ 50 | D | |
Option to Purchase UPS Class A Common | 03/30/2004 | 03/30/2011 | Class A Common Stock | 4,169 | $ 56.9 | D | |
Option to Purchase UPS Class A Common | 04/25/2005 | 04/25/2012 | Class A Common Stock | 4,652 | $ 60.22 | D | |
Option to Purchase UPS Class A Common | 05/02/2008 | 05/02/2013 | Class A Common Stock | 2,471 | $ 62.4 | D | |
Option to Purchase UPS Class A Common | 05/04/2009 | 05/02/2014 | Class A Common Stock | 3,624 | $ 70.7 | D | |
Option to Purchase UPS Class A Common | 05/10/2012 | 05/08/2017 | Class A Common Stock | 4,298 | $ 70.9 | D | |
Option to Purchase UPS Class A Common | 05/10/2010 | 05/08/2015 | Class A Common Stock | 3,928 | $ 72.07 | D | |
Option to Purchase UPS Class A Common | 05/02/2011 | 04/29/2016 | Class A Common Stock | 3,623 | $ 80.88 | D | |
Phantom Stock Units | (1) | (1) | Class A Common Stock | 7,371.6881 | $ (2) | D | |
Restricted Performance Units | 05/02/2008 | 05/02/2008 | Class A Common Stock | 1,089.7832 | $ (2) | D | |
Restricted Performance Units | 05/03/2009 | 05/03/2009 | Class A Common Stock | 1,574.9828 | $ (2) | D | |
Restricted Performance Units | 05/10/2010 | 05/10/2010 | Class A Common Stock | 1,680.6992 | $ (2) | D | |
Restricted Performance Units | 05/01/2011 | 05/01/2011 | Class A Common Stock | 1,521.7702 | $ (2) | D | |
Restricted Performance Units | 05/09/2012 | 05/09/2012 | Class A Common Stock | 1,768.0864 | $ (2) | D | |
Restricted Stock Units | (3) | 10/15/2010 | Class A Common Stock | 684.2158 | $ (2) | D | |
Restricted Stock Units | (3) | 10/15/2011 | Class A Common Stock | 611.5692 | $ (2) | D | |
Restricted Stock Units | 01/31/2009 | 01/31/2009 | Class A Common Stock | 1,859.7379 | $ (2) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Brutto Daniel J 55 GLENLAKE PARKWAY, NE ATLANTA, GA 30328 |
Vice President |
Robert S. Shaw, Power of Attorney | 10/26/2007 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Represents the participant's contributions to the UPS Deferred Compensation Plan. The settlement date of the stock generally will be the earlier of death, disability, retirement or termination of employment. |
(2) | One unit is equivalent to one share of UPS Class A Common stock. |
(3) | Represents Restricted Stock Units (RSUs) granted as Management Incentive Awards under the United Parcel Service, Inc. Incentive Compensation Plan. Twenty percent of the award vests on October 15th of the year following the grant and on each anniversary date thereafter. |
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