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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 | (15) | 02/28/2019 | M(3) | 2,124 | (4) | (4) | Common Stock | 2,124 | $ 0 | 2,124 | D | ||||
Restricted Stock Units | (15) | 02/28/2019 | M(3) | 3,092 | (6) | (6) | Common Stock | 3,092 | $ 0 | 6,185 | D | ||||
Restricted Stock Units | (15) | 02/28/2019 | M(3) | 907 | (10) | (10) | Common Stock | 907 | $ 0 | 907 | I | See Footnote (13) | |||
Restricted Stock Units | (15) | 02/28/2019 | M(3) | 1,038 | (11) | (11) | Common Stock | 1,038 | $ 0 | 2,456 | I | See Footnote (13) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Gebo Kate P. O. BOX 66100 HDQLD CHICAGO, IL 60666 |
EVP HR and Labor Relations |
/s/ Sarah Hagy for Kate Gebo | 03/01/2019 | |
**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) | This transaction represents the withholding of shares to pay tax withholding obligations associated with the vesting of the restricted stock award granted on February 17, 2016. |
(2) | This transaction represents the withholding of shares to pay tax withholding obligations associated with the vesting of the restricted stock award granted on November 16, 2016. |
(3) | Represents the settlement upon vesting of restricted stock units ("RSUs") into UAL common stock. |
(4) | The RSUs were granted on February 23, 2017 and vest in 1/3 annual installments on February 28, 2018, 2019 and 2020. |
(5) | This transaction represents the withholding of shares to pay tax withholding obligations associated with the vesting of the RSU award granted on February 23, 2017. |
(6) | The RSUs were granted on February 22, 2018 and vest in 1/3 annual installments on February 28, 2019, 2020 and 2021. |
(7) | This transaction represents the withholding of shares to pay tax withholding obligations associated with the vesting of the RSU award granted on February 22, 2018. |
(8) | This transaction represents the withholding of shares to pay tax withholding obligations associated with the vesting of the restricted stock award granted to the spouse of the reporting person on February 17, 2016. |
(9) | This transaction represents the withholding of shares to pay tax withholding obligations associated with the vesting of the RSUs granted to the spouse of the reporting person on February 23, 2017 and February 22, 2018. |
(10) | The RSUs were granted to the spouse of the reporting person on February 23, 2017 and vest in 1/3 annual installments on February 28, 2018, 2019 and 2020. |
(11) | The RSUs were granted to the spouse of the reporting person on February 22, 2018 and vest in 1/3 annual installments on February 28, 2019, 2020 and 2021. |
(12) | Includes 5,374 shares held in a revocable trust in the name of the reporting person. |
(13) | By spouse of the reporting person. |
(14) | Includes 6,765 shares held in a revocable trust in the name of the spouse of the reporting person. |
(15) | Each RSU represents the economic equivalent of one share of UAL common stock and is settled in shares of UAL common stock upon vesting. |