Statement of Changes in Beneficial Ownership (4)
July 01 2021 - 6:30PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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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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1. Name and Address of Reporting Person
*
HEMSLEY STEPHEN J |
2. Issuer Name and Ticker or Trading Symbol
UNITEDHEALTH GROUP INC
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UNH
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O UNITEDHEALTH GROUP, 9900 BREN ROAD EAST |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/29/2021 |
(Street)
MINNETONKA, MN 55343
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 6/29/2021 | | A | | 41.061 (1) | A | $0.00 | 1001219.91 (2) | D | |
Common Stock | | | | | | | | 326.4853 | I | by 401(k) |
Common Stock | 5/13/2021 | | G |
V
| 157488 | D | $0.00 | 0 (3) | I | by GRAT5 |
Common Stock | | | | | | | | 327150 (4) | I | by GRAT6 |
Common Stock | | | | | | | | 243000 | I | by GRAT7 |
Common Stock | | | | | | | | 250000 (5) | I | by GRAT8 |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | Represents dividend equivalents paid on outstanding deferred stock units and restricted stock units. The dividend equivalents are subject to the same terms as the respective underlying units and are forfeited if such units do not vest. |
(2) | Includes 143,000 UNH shares transferred from the Grantor Retained Annuity Trust #5 to the reporting person to satisfy an annuity payment on May 7, 2021. Also reflects the transfer of 2,000 UNH shares from the reporting person to GRAT #6 on June 7, 2021, and 250,000 UNH shares from the reporting person to GRAT #8 on June 16, 2021. These transfers were exempt from Section 16 pursuant to Rule 16a-13. |
(3) | On May 7, 2021, 143,000 UNH shares held in GRAT #5 were distributed to the reporting person to satisfy an annuity payment and are reported as directly owned as set forth in footnote (2). |
(4) | Reflects the transfer of 2,000 UNH shares from the reporting person to GRAT #6 on June 7, 2021. This transfer was exempt from Section 16 pursuant to Rule 16a-13. |
(5) | Reflects the transfer of 250,000 UNH shares from the reporting person to GRAT #8 on June 16, 2021. This transfer was exempt from Section 16 pursuant to Rule 16a-13. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
HEMSLEY STEPHEN J C/O UNITEDHEALTH GROUP 9900 BREN ROAD EAST MINNETONKA, MN 55343 | X |
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Signatures
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Faraz A. Choudhry, Attorney-in-Fact for Stephen J. Hemsley | | 7/1/2021 |
**Signature of Reporting Person | Date |
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