Brothers Norman M. Jr's Form 4 filing
United Parcel Service Inc (UPS) · filed Feb 22, 2023
- Accession no.
- 0001225208-23-002551
- Filed
- Feb 22, 2023
- Trade date
- Feb 17, 2023
- Filing delay
- 5 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 9 non-derivative transactions and 2 derivative transactions. Open-market sales total $3.78M. It was filed 5 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Brothers Norman M. JrCIK 0001662878 | Officer (Chief Legal & Compliance Off) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Feb 17, 2023 | Class A Common Stock | MOption exerciseAcquired | +37,750 | $0.00 | $0 | 78,488.05 | Direct | |
| Feb 17, 2023 | Class A Common Stock | MOption exerciseAcquired | +4,078.41 | $0.00 | $0 | 82,566.46 | Direct | |
| Feb 17, 2023 | Class A Common Stock | FTax withholdingDisposed | −1,840 | $184.75 | −$339,940 | 80,726.46 | Direct | |
| Feb 17, 2023 | Class A Common Stock | FTax withholdingDisposed | −17,026 | $173.84 | −$2,959,799.84 | 63,700.46 | Direct | |
| Feb 17, 2023 | Class A Common Stock | JOtherDisposed | −20,724 | $0.00 | $0 | 42,976.46 | Direct | |
| Feb 17, 2023 | Class B Common Stock | JOtherAcquired | +20,724 | $0.00 | $0 | 20,724 | Direct | |
| Feb 17, 2023 | Class B Common Stock | SSaleDisposed | −2,149 | $183.51F4 | −$394,362.99 | 18,575 | Direct | |
| Feb 17, 2023 | Class B Common Stock | SSaleDisposed | −4,112 | $182.70F5 | −$751,262.4 | 14,463 | Direct | |
| Feb 17, 2023 | Class B Common Stock | SSaleDisposed | −14,463 | $181.96F6 | −$2,631,687.48 | 0 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Feb 17, 2023 | Class A Common Stock | MOption exerciseDisposed | −37,750 | $0.00 | $0 | 0 | Direct | |
| Feb 17, 2023 | Class A Common Stock | MOption exerciseDisposed | −4,078.41 | $0.00 | $0 | 0 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F4
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 $183.45 to $183.55. 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.
Referenced by the price of 1 transaction in Table I.
- F5
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 $182.42 to $183.18. 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.
Referenced by the price of 1 transaction in Table I.
- F6
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 $181.41 to $182.40. 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.
Referenced by the price of 1 transaction in Table I.