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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 Option (right to buy) | $ 22.5086 | 11/29/2012 | M | 200,000 | (2) | 02/12/2013 | Common Stock | 200,000 | $ 0 | 0 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 29.3986 | 11/29/2012 | M | 112,500 | (3) | 11/28/2013 | Common Stock | 112,500 | $ 0 | 0 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 26.95 | 11/29/2012 | M | 37,500 | 11/28/2007 | 11/28/2013 | Common Stock | 37,500 | $ 0 | 0 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 31.535 | 11/29/2012 | M | 75,000 | (4) | 08/06/2014 | Common Stock | 75,000 | $ 0 | 0 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 33.1236 | 11/29/2012 | M | 75,000 | (5) | 08/06/2014 | Common Stock | 75,000 | $ 0 | 0 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 42.2986 | 11/29/2012 | M | 154,000 | (6) | 12/07/2014 | Common Stock | 154,000 | $ 0 | 0 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 39.85 | 11/29/2012 | M | 154,000 | (7) | 12/07/2014 | Common Stock | 154,000 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
WICHMANN DAVID S C/O UNITEDHEALTH GROUP 9900 BREN ROAD EAST MINNETONKA, MN 55343 |
EVP & CFO, Pres UHG Operations |
Dannette L. Smith, Attorney-in-Fact for: David S. Wichmann | 12/03/2012 | |
**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 was executed in multiple trades ranging from $53.53 to $54.565 per share. 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 transactions were effected. |
(2) | The stock options vested at a rate of 25% annually on February 12 from the years 2004 through 2007. |
(3) | The stock options vested at a rate of 33% annually on November 28 from the years 2004 through 2006. |
(4) | The stock options vested at a rate of 50% annually on August 6 in the years 2007 and 2008. |
(5) | The stock options vested at a rate of 50% annually on August 6 in the years 2005 and 2006. |
(6) | The stock options vested at a rate of 50% annually on December 7 in the years 2005 and 2006. |
(7) | The stock options vested at a rate of 50% annually on December 7 in the years 2007 and 2008. |