UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Non-Qualified Stock Options (right to buy | Â (3) | 02/12/2024 | Common Stock | 10,071 | $ 70.24 | D | Â |
Non-Qualified Stock Options (right to buy | Â (4) | 02/10/2025 | Common Stock | 17,188 | $ 108.97 | D | Â |
Non-Qualified Stock Options (right to buy | Â (5) | 02/09/2026 | Common Stock | 31,308 | $ 111.16 | D | Â |
Non-Qualified Stock Options (right to buy | Â (6) | 02/08/2027 | Common Stock | 36,592 | $ 160.31 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Nelson Steven H C/O UNITEDHEALTH GROUP 9900 BREN ROAD EAST MINNETONKA, MN 55343 |
 |  |  EVP & CEO, UnitedHealthcare |  |
Faraz A. Choudhry, Attorney-in-Fact for Steven H. Nelson | 08/25/2017 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | Amount does not include Performance Share Awards granted to the executive officer on February 10, 2015, February 9, 2016 and February 8, 2017, as performance awards not tied to stock price are not derivative securities for purposes of Section 16 under guidance from the staff of the SEC. The number of Performance Share Awards that the executive officer will receive will be determined at the end of the respective 3-year performance period and will be dependent upon the achievement of cumulative 3-year EPS and average return-on-equity performance metrics approved by the Compensation and Human Resources Committee. The target number of Performance Share Awards is 14,225, 14,844 and 13,100 for 2015, 2016 and 2017, respectively. |
(2) | Includes shares received through UnitedHealth Group Incorporated's Employee Stock Purchase Plan. |
(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. |
(5) | The stock options vest at a rate of 25% annually on February 9 from the years 2017 through 2020. |
(6) | The stock options vest at a rate of 25% annually on February 8 from the years 2018 through 2021. |
 Remarks: Exhibit List: Exhibit 24 - Power of Attorney |