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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Performance Units | (6) | 02/19/2021 | M | 24,294 | (7) | (7) | Class A Common Stock | 24,294 | $ 0 | 0 | D | ||||
Restricted Units | (6) | 02/19/2021 | M | 2,089.3093 (2) | (8) | (8) | Class A Common Stock | 2,089.3093 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Brothers Norman M. Jr 55 GLENLAKE PARKWAY, NE ATLANTA, GA 30328 |
Chief Legal & Compliance Off |
Eli Brown, Power of Attorney | 02/22/2021 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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) | Includes 431.5515 shares in the Reporting Person's 401(k) account. |
(2) | Includes dividend equivalent units attributable to the restricted units prior to conversion. |
(3) | Conversion of shares of Class A common stock into Class B common stock in accordance with the terms thereof. |
(4) | The sale reported on this Form 4 was effected pursuant to a previously adopted Rule 10b5-1 plan. |
(5) | The price shown is the weighted average price at which shares were sold in multiple sales transactions made pursuant to a single market order. The range of prices for the transactions made was $159.05 to $160.02. Upon request by SEC staff, the issuer or a security holder of the issuer, the reporting person will provide full information regarding the number of shares sold at each separate price. |
(6) | One unit is equivalent to one share of UPS Class A common stock. |
(7) | The RPUs were vested when earned on February 10, 2021. |
(8) | The restricted units vested one year after the date of grant. |