Statement of Changes in Beneficial Ownership (4)
25 2월 2021 - 4:58AM
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
*
Whited Elizabeth F |
2. Issuer Name and Ticker or Trading Symbol
UNION PACIFIC CORP
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UNP
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) EVP & CHIEF HR OFFICER |
(Last)
(First)
(Middle)
1400 DOUGLAS STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/22/2021 |
(Street)
OMAHA, NE 68179
(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 | 2/22/2021 | | M | | 5000 | A | $107.3 | 37633 | D | |
Common Stock | 2/22/2021 | | S(1) | | 5000 | D | $210.0 | 32633 | D | |
Common Stock | 2/22/2021 | | M | | 5000 | A | $107.3 | 37633 | D | |
Common Stock | 2/22/2021 | | S(1) | | 5000 | D | $207.8575 (2) | 32633 | D | |
Common Stock (3) | | | | | | | | 18247.5424 | I | By Deferral Account |
Common Stock | | | | | | | | 27825 | I | by Trust |
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 |
Non-Qualified Stock Option (right to buy) (4) | $107.3 | 2/22/2021 | | M | | | 5000 | 2/2/2018 (4) | 2/2/2027 | Common Stock | 5000 | $0.0 | 6491 | D | |
Non-Qualified Stock Option (right to buy) (4) | $107.3 | 2/22/2021 | | M | | | 5000 | 2/2/2018 (4) | 2/2/2027 | Common Stock | 5000 | $0.0 | 1491 | D | |
Explanation of Responses: |
(1) | This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on January 22, 2021. |
(2) | This transaction was executed in multiple trades at prices ranging from $206.831 to $208.96. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |
(3) | Represents conversion of restricted stock units to fully vested stock units with a distribution ratio of 1:1 - Payable only in shares of common stock at termination of employment or a date certain. |
(4) | This option became exercisable in three equal installments starting one year from the grant date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Whited Elizabeth F 1400 DOUGLAS STREET OMAHA, NE 68179 |
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| EVP & CHIEF HR OFFICER |
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Signatures
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By: Trevor L. Kingston, Attorney-in-Fact For: Elizabeth F. Whited | | 2/24/2021 |
**Signature of Reporting Person | Date |
Union Pacific (NYSE:UNP)
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