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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, Section 17(a) of the Public Utility Holding Company Act of 1935 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 Stock Units | (1) | 06/14/2017 | A | 1,161 | (2) | (2) | Common Stock | 1,161 | $ 0 | 1,161 | D | ||||
Restricted Stock Units | (1) | 06/14/2017 | A | 9,670 | (3) | (3) | Common Stock | 9,670 | $ 0 | 9,670 | D | ||||
Stock Option (Right to Buy) | $ 77.56 | 06/14/2017 | A | 21,521 | (4) | 06/14/2027 | Common Stock | 21,521 | $ 0 | 21,521 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Hart Brett J P. O. BOX 66100 HDQLD CHICAGO, IL 60666 |
EVP, Chief Adm Ofcr & Gen Cnsl |
/s/ Sarah E. Hagy for Brett J. Hart | 06/16/2017 | |
**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) | Each restricted stock unit ("RSU") represents the economic equivalent of one share of UAL common stock and shall be settled in shares of UAL common stock upon vesting. |
(2) | The RSUs vest in three installments of 387 RSUs on February 28, 2018, 387 RSUs on February 28, 2019 and 387 RSUs on February 28, 2020. |
(3) | The RSUs vest in three installments of 3,223 RSUs on June 14, 2020, 3,223 RSUs on June 14, 2021 and 3,224 RSUs on June 14, 2022. |
(4) | The stock options vest in three installments of 7,173 options on June 14, 2020, 7,174 options on June 14, 2021 and 7,174 options on June 14, 2022. |