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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 | ||||||||
Non-Qualified Stock Options (right to buy) | $ 55.03 | 04/27/2016 | M | 171,600 | (2) | 12/21/2022 | Common Stock | 171,600 | $ 0 | 57,200 | D | ||||
Non-Qualified Stock Options (right to buy) | $ 70.24 | 04/27/2016 | M | 89,512 | (3) | 02/12/2024 | Common Stock | 89,512 | $ 0 | 89,513 | D | ||||
Non-Qualified Stock Options (right to buy) | $ 108.97 | 04/27/2016 | M | 44,354 | (4) | 02/10/2025 | Common Stock | 44,354 | $ 0 | 133,062 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Bueno Edson de Godoy C/O UNITEDHEALTH GROUP 9900 BREN ROAD EAST MINNETONKA, MN 55343 |
X |
Dannette L. Smith, Attorney-in-Fact for Edson de Godoy Bueno | 04/29/2016 | |
**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) | The reported shares are owned by CSHG 1122 FUNDO DE INVESTIMENTO MULTIMERCADO - CREDITO PRIVADO INVESTIMENTO NO EXTERIOR, which is a wholly owned affiliate of the reporting person. These shares are restricted and have not been registered under the Securities Act of 1933, as amended. |
(2) | The stock options vests at a rate of 25% annually on December 21 from the years 2013 through 2016. |
(3) | The stock options vest at a rate of 25% annually on February 12 from the years 2015 through 2018. |
(4) | The stock options vest at a rate of 25% annually on February 10 from the years 2016 through 2019. |