Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| BROWN FORMAN CORPBFA, BFB · Entity 3449 | Director | July 22, 2021 | July 26, 2021 |
| UNITED PARCEL SERVICE INCUPS · Entity 2301 | Pres Intl, Healthcare and SCS | May 15, 2026 | May 15, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
BROWN FORMAN CORP
Report date July 22, 2021 · Filed July 26, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Deferred Stock UnitsSEC Table II · derivative / convertible security | Direct | 2,152.9324 |
Reported balance
After 2021-07-22 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2021-07-22 · Grant · Acquired 2,152.9324 · Balance 2,152.9324 F1: Under the Brown-Forman Corporation Non-Employee Director Deferred Stock Unit Program, each DSU represents the right to receive one share of the Company's Class A common stock. Grants made on July 22, 2021, were based on the closing price of the Company's Class A common stock on that date ($67.35). On each dividend payment date, participants are credited with DSU equivalents, and the DSU total on this form has been updated to reflect such credits. F2: Annual grants of DSUs vest over the course of the Board year. DSUs are paid out in Class A common stock on the first February 1 that is at least six months following the director's termination from Board service. |
Filing footnotes · ownership attribution and instrument terms
F1: Under the Brown-Forman Corporation Non-Employee Director Deferred Stock Unit Program, each DSU represents the right to receive one share of the Company's Class A common stock. Grants made on July 22, 2021, were based on the closing price of the Company's Class A common stock on that date ($67.35). On each dividend payment date, participants are credited with DSU equivalents, and the DSU total on this form has been updated to reflect such credits.
F2: Annual grants of DSUs vest over the course of the Board year. DSUs are paid out in Class A common stock on the first February 1 that is at least six months following the director's termination from Board service.
UNITED PARCEL SERVICE INC
Report date May 15, 2026 · Filed May 15, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 99,443.7051 |
Last balance in matching sequence
After 2026-05-15 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2026-05-15 · Exercise / conversion · Acquired 3,551.5808 · Balance 101,025.7051 F1: Includes 2,720.7921 shares in the reporting person's 401(k) account. Row 2 · 2026-05-15 · Tax withholding · Disposed 1,582 · Balance 99,443.7051 F1: Includes 2,720.7921 shares in the reporting person's 401(k) account. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 10,655 |
Reported balance
After 2026-05-15 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2026-05-15 · Exercise / conversion · Disposed 3,551.5808 · Balance 10,655 F2: Restricted stock units convert into shares of UPS Class A common stock on a one for one basis for no cash consideration. F3: Restricted stock units vest 25% in May 2026, 25% in May 2027 and 50% in May 2028. Current vesting represents the first tranche of the 3 year vesting cycle. F4: Includes units credited upon the payment of dividends on the underlying Class A common stock. |
Filing footnotes · ownership attribution and instrument terms
F1: Includes 2,720.7921 shares in the reporting person's 401(k) account.
F2: Restricted stock units convert into shares of UPS Class A common stock on a one for one basis for no cash consideration.
F3: Restricted stock units vest 25% in May 2026, 25% in May 2027 and 50% in May 2028. Current vesting represents the first tranche of the 3 year vesting cycle.
F4: Includes units credited upon the payment of dividends on the underlying Class A common stock.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| January 27, 2021 Filed Jan 29, 2021 22:31 UTC | UNITED PARCEL SERVICE INC UPS · Entity 2301 | Exercise / conversionRestricted Performance Units · Derivative | 941.3749 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-21-001307 · doc4.xml · derivative · entry 9 Gutmann Kathleen M. · CIK 0001611542 · Chief Sales & Solutions Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,884 Underlying: Class A Common Stock · 941.3749 shares Expires 2023-01-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Represents Restricted Performance Units (RPUs) granted as Management Incentive Awards under the United Parcel Service, Inc. Incentive Compensation Plan. Each RPU represents the right to receive one share of Class A common stock. F3 · derivative.exercise_date: RPUs vest ratably over five years from the date of grant. F4 · balance_after: Includes dividend equivalent units attributed to the RPUs. Read SEC document |
| January 27, 2021 Filed Jan 29, 2021 22:31 UTC | UNITED PARCEL SERVICE INC UPS · Entity 2301 | Exercise / conversionRestricted Performance Units · Derivative | 565.977 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-21-001307 · doc4.xml · derivative · entry 8 Gutmann Kathleen M. · CIK 0001611542 · Chief Sales & Solutions Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 565 Underlying: Class A Common Stock · 565.977 shares Expires 2022-01-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Represents Restricted Performance Units (RPUs) granted as Management Incentive Awards under the United Parcel Service, Inc. Incentive Compensation Plan. Each RPU represents the right to receive one share of Class A common stock. F3 · derivative.exercise_date: RPUs vest ratably over five years from the date of grant. F4 · balance_after: Includes dividend equivalent units attributed to the RPUs. Read SEC document |
| January 27, 2021 Filed Jan 29, 2021 22:31 UTC | UNITED PARCEL SERVICE INC UPS · Entity 2301 | Exercise / conversionRestricted Performance Units · Derivative | 957.2986 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-21-001307 · doc4.xml · derivative · entry 7 Gutmann Kathleen M. · CIK 0001611542 · Chief Sales & Solutions Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 957.2986 shares Expires 2021-01-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Represents Restricted Performance Units (RPUs) granted as Management Incentive Awards under the United Parcel Service, Inc. Incentive Compensation Plan. Each RPU represents the right to receive one share of Class A common stock. F3 · derivative.exercise_date: RPUs vest ratably over five years from the date of grant. Read SEC document |
| January 27, 2021 Filed Jan 29, 2021 22:31 UTC | UNITED PARCEL SERVICE INC UPS · Entity 2301 | Tax withholdingClass A Common Stock | 457 | $158.90 | $72,617.30 |
DisclosureSEC source: 0001225208-21-001307 · doc4.xml · nonDerivative · entry 6 Gutmann Kathleen M. · CIK 0001611542 · Chief Sales & Solutions Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,147.5479 F1 · balance_after: Includes 2,102.1886 shares in the Reporting Person's 401(k) account. Read SEC document |
| January 27, 2021 Filed Jan 29, 2021 22:31 UTC | UNITED PARCEL SERVICE INC UPS · Entity 2301 | Tax withholdingClass A Common Stock | 425 | $158.90 | $67,532.50 |
DisclosureSEC source: 0001225208-21-001307 · doc4.xml · nonDerivative · entry 5 Gutmann Kathleen M. · CIK 0001611542 · Chief Sales & Solutions Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,604.5479 F1 · balance_after: Includes 2,102.1886 shares in the Reporting Person's 401(k) account. Read SEC document |
| January 27, 2021 Filed Jan 29, 2021 22:31 UTC | UNITED PARCEL SERVICE INC UPS · Entity 2301 | Tax withholdingClass A Common Stock | 256 | $158.90 | $40,678.40 |
DisclosureSEC source: 0001225208-21-001307 · doc4.xml · nonDerivative · entry 4 Gutmann Kathleen M. · CIK 0001611542 · Chief Sales & Solutions Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,029.5479 F1 · balance_after: Includes 2,102.1886 shares in the Reporting Person's 401(k) account. Read SEC document |
| January 27, 2021 Filed Jan 29, 2021 22:31 UTC | UNITED PARCEL SERVICE INC UPS · Entity 2301 | Exercise / conversionClass A Common Stock | 565.977 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-21-001307 · doc4.xml · nonDerivative · entry 3 Gutmann Kathleen M. · CIK 0001611542 · Chief Sales & Solutions Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,285.5479 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Includes 2,102.1886 shares in the Reporting Person's 401(k) account. Read SEC document |
| January 27, 2021 Filed Jan 29, 2021 22:31 UTC | UNITED PARCEL SERVICE INC UPS · Entity 2301 | Exercise / conversionClass A Common Stock | 941.3749 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-21-001307 · doc4.xml · nonDerivative · entry 2 Gutmann Kathleen M. · CIK 0001611542 · Chief Sales & Solutions Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,719.5709 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Includes 2,102.1886 shares in the Reporting Person's 401(k) account. Read SEC document |
| January 27, 2021 Filed Jan 29, 2021 22:31 UTC | UNITED PARCEL SERVICE INC UPS · Entity 2301 | Exercise / conversionClass A Common Stock | 957.2986 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-21-001307 · doc4.xml · nonDerivative · entry 1 Gutmann Kathleen M. · CIK 0001611542 · Chief Sales & Solutions Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,778.196 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Includes 2,102.1886 shares in the Reporting Person's 401(k) account. Read SEC document |
| December 11, 2020 Filed Jan 29, 2021 21:08 UTC | UNITED PARCEL SERVICE INC UPS · Entity 2301 | GiftClass A Common Stock | 400 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-21-001281 · doc5.xml · nonDerivative · entry 1 Gutmann Kathleen M. · CIK 0001611542 · Chief Sales & Solutions Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,820.8974 F1 · balance_after: Includes 2,102.1886 shares in the Reporting Person's 401(k) account. Read SEC document |
| August 13, 2020 Filed Aug 14, 2020 20:39 UTC | UNITED PARCEL SERVICE INC UPS · Entity 2301 | Exercise / conversionOption to Purchase UPS Class A Common · Derivative | 3,069 | $0.00 Strike: $74.25 | $0.00 |
DisclosureSEC source: 0001225208-20-010646 · doc4.xml · derivative · entry 8 Gutmann Kathleen M. · CIK 0001611542 · Chief Sales & Solutions Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 3,069 shares Expires 2021-05-04 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 13, 2020 Filed Aug 14, 2020 20:39 UTC | UNITED PARCEL SERVICE INC UPS · Entity 2301 | Exercise / conversionOption to Purchase UPS Class A Common · Derivative | 3,498 | $0.00 Strike: $82.87 | $0.00 |
DisclosureSEC source: 0001225208-20-010646 · doc4.xml · derivative · entry 7 Gutmann Kathleen M. · CIK 0001611542 · Chief Sales & Solutions Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 3,498 shares Expires 2023-03-01 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 13, 2020 Filed Aug 14, 2020 20:39 UTC | UNITED PARCEL SERVICE INC UPS · Entity 2301 | Exercise / conversionOption to Purchase UPS Class A Common · Derivative | 3,505 | $0.00 Strike: $76.89 | $0.00 |
DisclosureSEC source: 0001225208-20-010646 · doc4.xml · derivative · entry 6 Gutmann Kathleen M. · CIK 0001611542 · Chief Sales & Solutions Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 3,505 shares Expires 2022-03-01 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 13, 2020 Filed Aug 14, 2020 20:39 UTC | UNITED PARCEL SERVICE INC UPS · Entity 2301 | SaleClass A Common Stock | 7,766 | $156.77 | $1,217,475.82 |
DisclosureSEC source: 0001225208-20-010646 · doc4.xml · nonDerivative · entry 5 Gutmann Kathleen M. · CIK 0001611542 · Chief Sales & Solutions Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,184.1807 F1 · balance_after: Includes 2,065.4719 shares in the Reporting Person's 401(k) account. Read SEC document |
| August 13, 2020 Filed Aug 14, 2020 20:39 UTC | UNITED PARCEL SERVICE INC UPS · Entity 2301 | Tax withholdingClass A Common Stock | 2,306 | $157.79 | $363,863.74 |
DisclosureSEC source: 0001225208-20-010646 · doc4.xml · nonDerivative · entry 4 Gutmann Kathleen M. · CIK 0001611542 · Chief Sales & Solutions Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,950.1807 F1 · balance_after: Includes 2,065.4719 shares in the Reporting Person's 401(k) account. Read SEC document |
| August 13, 2020 Filed Aug 14, 2020 20:39 UTC | UNITED PARCEL SERVICE INC UPS · Entity 2301 | Exercise / conversionClass A Common Stock | 3,069 | $74.25 | $227,873.25 |
DisclosureSEC source: 0001225208-20-010646 · doc4.xml · nonDerivative · entry 3 Gutmann Kathleen M. · CIK 0001611542 · Chief Sales & Solutions Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,256.1807 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Includes 2,065.4719 shares in the Reporting Person's 401(k) account. Read SEC document |
| August 13, 2020 Filed Aug 14, 2020 20:39 UTC | UNITED PARCEL SERVICE INC UPS · Entity 2301 | Exercise / conversionClass A Common Stock | 3,498 | $82.87 | $289,879.26 |
DisclosureSEC source: 0001225208-20-010646 · doc4.xml · nonDerivative · entry 2 Gutmann Kathleen M. · CIK 0001611542 · Chief Sales & Solutions Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,187.1807 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Includes 2,065.4719 shares in the Reporting Person's 401(k) account. Read SEC document |
| August 13, 2020 Filed Aug 14, 2020 20:39 UTC | UNITED PARCEL SERVICE INC UPS · Entity 2301 | Exercise / conversionClass A Common Stock | 3,505 | $76.89 | $269,499.45 |
DisclosureSEC source: 0001225208-20-010646 · doc4.xml · nonDerivative · entry 1 Gutmann Kathleen M. · CIK 0001611542 · Chief Sales & Solutions Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,689.1807 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Includes 2,065.4719 shares in the Reporting Person's 401(k) account. Read SEC document |
| July 30, 2020 Filed Aug 3, 2020 21:44 UTC | BROWN FORMAN CORP BFA, BFB · Entity 3449 | GrantDeferred Stock Units · Derivative | 2,142.5171 | $0.00 | $0.00 |
DisclosureSEC source: 0000014693-20-000124 · wf-form4_159649101957558.xml · derivative · entry 1 Gutmann Kathleen M. · CIK 0001611542 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,644.8471 Underlying: Class A Common · 2,142.5171 shares Expires not disclosed F1 · derivative.exercise_price: Under the Brown-Forman Corporation Non-Employee Director Deferred Stock Unit Program, each DSU represents the right to receive one share of the Company's Class A common stock. Grants made on July 30, 2020, were based on the closing price of the Company's Class A common stock on that date ($63.01). On each dividend payment date, participants are credited with DSU equivalents, and the DSU total on this form has been updated to reflect such credits. F2 · derivative.exercise_date: Annual grants of DSUs vest over the course of the Board year. DSUs are paid out in Class A common stock on the first February 1 that is at least six months following the director's termination from Board service. F2 · derivative.expiration_date: Annual grants of DSUs vest over the course of the Board year. DSUs are paid out in Class A common stock on the first February 1 that is at least six months following the director's termination from Board service. Read SEC document |
| May 13, 2020 Filed May 15, 2020 20:22 UTC | UNITED PARCEL SERVICE INC UPS · Entity 2301 | GrantRestricted Stock Units · Derivative | 33,062 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-007828 · doc4.xml · derivative · entry 1 Gutmann Kathleen M. · CIK 0001611542 · Chief Sales & Solutions Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,062 Underlying: Class A Common Stock · 33,062 shares Expires 2023-05-13 F1 · derivative.exercise_price: Represents Restricted Stock Units (RSUs) granted under the United Parcel Service, Inc. Incentive Compensation Plan. These RSUs will convert into shares of UPS Class A common stock on a one for one basis. F2 · derivative.exercise_date: Grant of Restricted Stock Units (RSUs) pursuant to UPS incentive compensation plan. RSUs vest as follows: 25% on each of May 13, 2021 and 2022; 50% on May 13, 2023. Read SEC document |
| February 21, 2020 Filed Feb 21, 2020 21:25 UTC | UNITED PARCEL SERVICE INC UPS · Entity 2301 | Exercise / conversionRestricted Performance Units · Derivative | 5,889.9554 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-003121 · doc4.xml · derivative · entry 6 Gutmann Kathleen M. · CIK 0001611542 · Chief Sales & Solutions Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 5,889.9554 shares Expires 2020-02-14 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: One unit is equivalent to one share of UPS Class A common stock. F2 · shares: Includes dividend equivalent units attributable to the RPUs prior to conversion. F5 · derivative.exercise_date: The RPUs vested one year after the date of grant. F5 · derivative.expiration_date: The RPUs vested one year after the date of grant. Read SEC document |
| February 21, 2020 Filed Feb 21, 2020 21:25 UTC | UNITED PARCEL SERVICE INC UPS · Entity 2301 | Exercise / conversionRestricted Performance Units · Derivative | 14,910 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-003121 · doc4.xml · derivative · entry 5 Gutmann Kathleen M. · CIK 0001611542 · Chief Sales & Solutions Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 14,910 shares Expires 2020-02-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: One unit is equivalent to one share of UPS Class A common stock. F4 · derivative.exercise_date: The RPUs were vested when earned on February 12, 2020. F4 · derivative.expiration_date: The RPUs were vested when earned on February 12, 2020. Read SEC document |
| February 21, 2020 Filed Feb 21, 2020 21:25 UTC | UNITED PARCEL SERVICE INC UPS · Entity 2301 | Tax withholdingClass A Common Stock | 6,725 | $117.06 | $787,228.50 |
DisclosureSEC source: 0001225208-20-003121 · doc4.xml · nonDerivative · entry 4 Gutmann Kathleen M. · CIK 0001611542 · Chief Sales & Solutions Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,095.905 F1 · balance_after: Includes 1,977.1962 shares in the Reporting Person's 401(k) account. Read SEC document |
| February 21, 2020 Filed Feb 21, 2020 21:25 UTC | UNITED PARCEL SERVICE INC UPS · Entity 2301 | Tax withholdingClass A Common Stock | 2,657 | $105.95 | $281,509.15 |
DisclosureSEC source: 0001225208-20-003121 · doc4.xml · nonDerivative · entry 3 Gutmann Kathleen M. · CIK 0001611542 · Chief Sales & Solutions Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,820.905 F1 · balance_after: Includes 1,977.1962 shares in the Reporting Person's 401(k) account. Read SEC document |
| February 21, 2020 Filed Feb 21, 2020 21:25 UTC | UNITED PARCEL SERVICE INC UPS · Entity 2301 | Exercise / conversionClass A Common Stock | 5,889.9554 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-003121 · doc4.xml · nonDerivative · entry 2 Gutmann Kathleen M. · CIK 0001611542 · Chief Sales & Solutions Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,477.905 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · shares: Includes dividend equivalent units attributable to the RPUs prior to conversion. F1 · balance_after: Includes 1,977.1962 shares in the Reporting Person's 401(k) account. Read SEC document |
| February 21, 2020 Filed Feb 21, 2020 21:25 UTC | UNITED PARCEL SERVICE INC UPS · Entity 2301 | Exercise / conversionClass A Common Stock | 14,910 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-003121 · doc4.xml · nonDerivative · entry 1 Gutmann Kathleen M. · CIK 0001611542 · Chief Sales & Solutions Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,587.9496 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Includes 1,977.1962 shares in the Reporting Person's 401(k) account. Read SEC document |
| February 12, 2020 Filed Feb 14, 2020 21:17 UTC | UNITED PARCEL SERVICE INC UPS · Entity 2301 | GrantRestricted Performance Units · Derivative | 14,910 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-002372 · doc4.xml · derivative · entry 3 Gutmann Kathleen M. · CIK 0001611542 · Chief Sales & Solutions Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,910 Underlying: Class A Common Stock · 14,910 shares Expires 2020-02-12 F3 · derivative.exercise_price: Restricted Performance Units (RPUs) granted as Long-Term Incentive Performance awards under the United Parcel Service, Inc. Incentive Compensation Plan. Each RPU represents the right to receive one share of Class A common stock. Read SEC document |
| February 12, 2020 Filed Feb 14, 2020 21:17 UTC | UNITED PARCEL SERVICE INC UPS · Entity 2301 | GrantRestricted Performance Units · Derivative | 2,283 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-002372 · doc4.xml · derivative · entry 2 Gutmann Kathleen M. · CIK 0001611542 · Chief Sales & Solutions Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,283 Underlying: Class A Common Stock · 2,283 shares Expires not disclosed F2 · derivative.exercise_price: Restricted Performance Units (RPUs) granted as Management Incentive Performance awards under the United Parcel Service, Inc. Incentive Compensation Plan. Each RPU represents the right to receive one share of Class A common stock. RPUs vest and convert to shares of Class A common stock on the first anniversary of the grant date. F2 · derivative.exercise_date: Restricted Performance Units (RPUs) granted as Management Incentive Performance awards under the United Parcel Service, Inc. Incentive Compensation Plan. Each RPU represents the right to receive one share of Class A common stock. RPUs vest and convert to shares of Class A common stock on the first anniversary of the grant date. F2 · derivative.expiration_date: Restricted Performance Units (RPUs) granted as Management Incentive Performance awards under the United Parcel Service, Inc. Incentive Compensation Plan. Each RPU represents the right to receive one share of Class A common stock. RPUs vest and convert to shares of Class A common stock on the first anniversary of the grant date. Read SEC document |
| February 12, 2020 Filed Feb 14, 2020 21:17 UTC | UNITED PARCEL SERVICE INC UPS · Entity 2301 | GrantOption to Purchase Class A Common · Derivative | 15,064 | $0.00 Strike: $105.54 | $0.00 |
DisclosureSEC source: 0001225208-20-002372 · doc4.xml · derivative · entry 1 Gutmann Kathleen M. · CIK 0001611542 · Chief Sales & Solutions Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,064 Underlying: Class A Common Stock · 15,064 shares Expires 2030-02-12 F1 · derivative.exercise_date: Securities vest at the rate of 20% annually beginning February 12, 2021 Read SEC document |
| January 22, 2020 Filed Jan 24, 2020 21:10 UTC | UNITED PARCEL SERVICE INC UPS · Entity 2301 | Exercise / conversionRestricted Performance Units · Derivative | 910.9438 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-001120 · doc4.xml · derivative · entry 12 Gutmann Kathleen M. · CIK 0001611542 · Chief Sales & Solutions Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,733 Underlying: Class A Common Stock · 910.9438 shares Expires 2023-01-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Represents Restricted Performance Units (RPUs) granted as Management Incentive Awards under the United Parcel Service, Inc. Incentive Compensation Plan. Each RPU represents the right to receive one share of Class A common stock. F3 · derivative.exercise_date: RPUs vest ratably over five years from the date of grant. F4 · balance_after: Includes dividend equivalent units attributed to the RPUs. Read SEC document |
| January 22, 2020 Filed Jan 24, 2020 21:10 UTC | UNITED PARCEL SERVICE INC UPS · Entity 2301 | Exercise / conversionRestricted Performance Units · Derivative | 547.2762 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-001120 · doc4.xml · derivative · entry 11 Gutmann Kathleen M. · CIK 0001611542 · Chief Sales & Solutions Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,094 Underlying: Class A Common Stock · 547.2762 shares Expires 2022-01-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Represents Restricted Performance Units (RPUs) granted as Management Incentive Awards under the United Parcel Service, Inc. Incentive Compensation Plan. Each RPU represents the right to receive one share of Class A common stock. F3 · derivative.exercise_date: RPUs vest ratably over five years from the date of grant. F4 · balance_after: Includes dividend equivalent units attributed to the RPUs. Read SEC document |
| January 22, 2020 Filed Jan 24, 2020 21:10 UTC | UNITED PARCEL SERVICE INC UPS · Entity 2301 | Exercise / conversionRestricted Performance Units · Derivative | 926.5193 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-001120 · doc4.xml · derivative · entry 10 Gutmann Kathleen M. · CIK 0001611542 · Chief Sales & Solutions Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 926 Underlying: Class A Common Stock · 926.5193 shares Expires 2021-01-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Represents Restricted Performance Units (RPUs) granted as Management Incentive Awards under the United Parcel Service, Inc. Incentive Compensation Plan. Each RPU represents the right to receive one share of Class A common stock. F3 · derivative.exercise_date: RPUs vest ratably over five years from the date of grant. F4 · balance_after: Includes dividend equivalent units attributed to the RPUs. Read SEC document |
| January 22, 2020 Filed Jan 24, 2020 21:10 UTC | UNITED PARCEL SERVICE INC UPS · Entity 2301 | Exercise / conversionRestricted Performance Units · Derivative | 718.6407 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-001120 · doc4.xml · derivative · entry 9 Gutmann Kathleen M. · CIK 0001611542 · Chief Sales & Solutions Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 718.6407 shares Expires 2020-01-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Represents Restricted Performance Units (RPUs) granted as Management Incentive Awards under the United Parcel Service, Inc. Incentive Compensation Plan. Each RPU represents the right to receive one share of Class A common stock. F3 · derivative.exercise_date: RPUs vest ratably over five years from the date of grant. Read SEC document |
| January 22, 2020 Filed Jan 24, 2020 21:10 UTC | UNITED PARCEL SERVICE INC UPS · Entity 2301 | Tax withholdingClass A Common Stock | 415 | $117.93 | $48,940.95 |
DisclosureSEC source: 0001225208-20-001120 · doc4.xml · nonDerivative · entry 8 Gutmann Kathleen M. · CIK 0001611542 · Chief Sales & Solutions Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,677.9496 F1 · balance_after: Includes 1,977.1962 shares in the Reporting Person's 401(k) account Read SEC document |
| January 22, 2020 Filed Jan 24, 2020 21:10 UTC | UNITED PARCEL SERVICE INC UPS · Entity 2301 | Tax withholdingClass A Common Stock | 411 | $117.93 | $48,469.23 |
DisclosureSEC source: 0001225208-20-001120 · doc4.xml · nonDerivative · entry 7 Gutmann Kathleen M. · CIK 0001611542 · Chief Sales & Solutions Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,092.9496 F1 · balance_after: Includes 1,977.1962 shares in the Reporting Person's 401(k) account Read SEC document |
| January 22, 2020 Filed Jan 24, 2020 21:10 UTC | UNITED PARCEL SERVICE INC UPS · Entity 2301 | Tax withholdingClass A Common Stock | 363 | $117.93 | $42,808.59 |
DisclosureSEC source: 0001225208-20-001120 · doc4.xml · nonDerivative · entry 6 Gutmann Kathleen M. · CIK 0001611542 · Chief Sales & Solutions Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,503.9496 F1 · balance_after: Includes 1,977.1962 shares in the Reporting Person's 401(k) account Read SEC document |
| January 22, 2020 Filed Jan 24, 2020 21:10 UTC | UNITED PARCEL SERVICE INC UPS · Entity 2301 | Tax withholdingClass A Common Stock | 247 | $117.93 | $29,128.71 |
DisclosureSEC source: 0001225208-20-001120 · doc4.xml · nonDerivative · entry 5 Gutmann Kathleen M. · CIK 0001611542 · Chief Sales & Solutions Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,866.9496 F1 · balance_after: Includes 1,977.1962 shares in the Reporting Person's 401(k) account Read SEC document |
| January 22, 2020 Filed Jan 24, 2020 21:10 UTC | UNITED PARCEL SERVICE INC UPS · Entity 2301 | Exercise / conversionClass A Common Stock | 547.2762 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-001120 · doc4.xml · nonDerivative · entry 4 Gutmann Kathleen M. · CIK 0001611542 · Chief Sales & Solutions Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,113.9496 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Includes 1,977.1962 shares in the Reporting Person's 401(k) account Read SEC document |
| January 22, 2020 Filed Jan 24, 2020 21:10 UTC | UNITED PARCEL SERVICE INC UPS · Entity 2301 | Exercise / conversionClass A Common Stock | 718.6407 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-001120 · doc4.xml · nonDerivative · entry 3 Gutmann Kathleen M. · CIK 0001611542 · Chief Sales & Solutions Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,566.6734 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Includes 1,977.1962 shares in the Reporting Person's 401(k) account Read SEC document |
| January 22, 2020 Filed Jan 24, 2020 21:10 UTC | UNITED PARCEL SERVICE INC UPS · Entity 2301 | Exercise / conversionClass A Common Stock | 910.9438 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-001120 · doc4.xml · nonDerivative · entry 2 Gutmann Kathleen M. · CIK 0001611542 · Chief Sales & Solutions Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,848.0327 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Includes 1,977.1962 shares in the Reporting Person's 401(k) account Read SEC document |
| January 22, 2020 Filed Jan 24, 2020 21:10 UTC | UNITED PARCEL SERVICE INC UPS · Entity 2301 | Exercise / conversionClass A Common Stock | 926.5193 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-001120 · doc4.xml · nonDerivative · entry 1 Gutmann Kathleen M. · CIK 0001611542 · Chief Sales & Solutions Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,937.0889 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Includes 1,977.1962 shares in the Reporting Person's 401(k) account Read SEC document |
| November 06, 2019 Filed Jan 24, 2020 21:07 UTC | UNITED PARCEL SERVICE INC UPS · Entity 2301 | GiftClass A Common Stock | 400 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-001111 · doc5.xml · nonDerivative · entry 1 Gutmann Kathleen M. · CIK 0001611542 · Chief Sales & Solutions Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,010.5696 F1 · balance_after: Includes 1,977.1962 shares in the Reporting Person's 401(k) account Read SEC document |
| July 25, 2019 Filed Jul 29, 2019 21:53 UTC | BROWN FORMAN CORP BFA, BFB · Entity 3449 | GrantDeferred Stock Units · Derivative | 2,530.9336 | $0.00 | $0.00 |
DisclosureSEC source: 0000014693-19-000139 · wf-form4_156443721265616.xml · derivative · entry 1 Gutmann Kathleen M. · CIK 0001611542 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,413.6674 Underlying: Class A Common · 2,530.9336 shares Expires not disclosed F1 · derivative.exercise_price: Under the Brown-Forman Corporation Non-Employee Director Deferred Stock Unit Program, each DSU represents the right to receive one share of the Company's Class A common stock. Grants made on July 25, 2019, were based on the closing price of the Company's Class A common stock on that date ($53.34). On each dividend payment date, participants are credited with DSU equivalents, and the DSU total on this form has been updated to reflect such credits. F2 · derivative.exercise_date: Annual grants of DSUs vest over the course of the Board year. DSUs are paid out in Class A common stock on the first February 1 that is at least six months following the Director's termination from Board service. F2 · derivative.expiration_date: Annual grants of DSUs vest over the course of the Board year. DSUs are paid out in Class A common stock on the first February 1 that is at least six months following the Director's termination from Board service. Read SEC document |
| February 25, 2019 Filed Feb 27, 2019 21:06 UTC | UNITED PARCEL SERVICE INC UPS · Entity 2301 | Exercise / conversionRestricted Performance Units · Derivative | 12,087 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-003851 · doc4.xml · derivative · entry 3 Gutmann Kathleen M. · CIK 0001611542 · Chief Sales & Solutions Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 12,087 shares Expires 2019-02-14 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: One unit is equivalent to one share of UPS Class A Common stock. F3 · derivative.exercise_date: The RPUs were vested when earned on February 14, 2019. F3 · derivative.expiration_date: The RPUs were vested when earned on February 14, 2019. Read SEC document |
| February 25, 2019 Filed Feb 27, 2019 21:06 UTC | UNITED PARCEL SERVICE INC UPS · Entity 2301 | Tax withholdingClass A Common Stock | 5,452 | $97.53 | $531,733.56 |
DisclosureSEC source: 0001225208-19-003851 · doc4.xml · nonDerivative · entry 2 Gutmann Kathleen M. · CIK 0001611542 · Chief Sales & Solutions Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,280.9925 F1 · balance_after: Includes 1,847.6191 shares in the Reporting Person's 401(k) account. Read SEC document |
| February 25, 2019 Filed Feb 27, 2019 21:06 UTC | UNITED PARCEL SERVICE INC UPS · Entity 2301 | Exercise / conversionClass A Common Stock | 12,087 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-003851 · doc4.xml · nonDerivative · entry 1 Gutmann Kathleen M. · CIK 0001611542 · Chief Sales & Solutions Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,732.9925 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Includes 1,847.6191 shares in the Reporting Person's 401(k) account. Read SEC document |
| February 14, 2019 Filed Feb 15, 2019 21:07 UTC | UNITED PARCEL SERVICE INC UPS · Entity 2301 | GrantRestricted Performance Units · Derivative | 5,688 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-002759 · doc4.xml · derivative · entry 3 Gutmann Kathleen M. · CIK 0001611542 · Chief Sales & Solutions Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,688 Underlying: Class A Common Stock · 5,688 shares Expires 2020-02-14 F3 · derivative.exercise_price: Represents Restricted Performance Units (RPUs) granted as Management Incentive Awards under the United Parcel Service, Inc. Incentive Compensation Plan. Each RPU represents the right to receive one share of Class A common stock. Read SEC document |
| February 14, 2019 Filed Feb 15, 2019 21:07 UTC | UNITED PARCEL SERVICE INC UPS · Entity 2301 | GrantRestricted Performance Units · Derivative | 12,087 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-002759 · doc4.xml · derivative · entry 2 Gutmann Kathleen M. · CIK 0001611542 · Chief Sales & Solutions Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,087 Underlying: Class A Common Stock · 12,087 shares Expires 2019-02-14 F2 · derivative.exercise_price: Represents Restricted Performance Units (RPUs) granted as Long-Term Incentive Performance Awards under the United Parcel Service, Inc. Incentive Compensation Plan. Each RPU represents the right to receive one share of Class A common stock. Read SEC document |
| February 14, 2019 Filed Feb 15, 2019 21:07 UTC | UNITED PARCEL SERVICE INC UPS · Entity 2301 | GrantOption to Purchase Class A Common · Derivative | 9,704 | $0.00 Strike: $111.80 | $0.00 |
DisclosureSEC source: 0001225208-19-002759 · doc4.xml · derivative · entry 1 Gutmann Kathleen M. · CIK 0001611542 · Chief Sales & Solutions Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,704 Underlying: Class A Common Stock · 9,704 shares Expires 2029-02-14 F1 · derivative.exercise_date: Securities vest at the rate of 20% annually beginning February 14, 2020. Read SEC document |
| January 23, 2019 Filed Jan 25, 2019 22:11 UTC | UNITED PARCEL SERVICE INC UPS · Entity 2301 | Exercise / conversionRestricted Performance Units · Derivative | 879.3236 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-001296 · doc4.xml · derivative · entry 15 Gutmann Kathleen M. · CIK 0001611542 · Chief Sales & Solutions Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,519 Underlying: Class A Common Stock · 879.3236 shares Expires 2023-01-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Represents Restricted Performance Units (RPUs) granted as Management Incentive Awards under the United Parcel Service, Inc. Incentive Compensation Plan. Each RPU represents the right to receive one share of Class A common stock. F3 · derivative.exercise_date: RPUs vest ratably over five years from the date of grant. F4 · balance_after: Includes dividend equivalent units attributed to the RPUs. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.