SEC Form 3
FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 12/06/2017 | 3. Issuer Name and Ticker or Trading Symbol United Continental Holdings, Inc. [ UAL ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 6,975(1) | D | |
Common Stock | 9,128(2) | I | See footnote(2)(3) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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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: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Restricted Stock Units | (4) | (4) | Common Stock | 6,371 | (5) | D | |
Restricted Stock Units | (6) | (6) | Common Stock | 2,720 | (5) | I | See footnote(3) |
Explanation of Responses: |
1. Includes (i) 1,601 restricted shares of which 950 shares vest on February 28, 2018 and 651 shares vest on February 28, 2019 and (ii) 5,374 shares held in a revocable trust in the name of the reporting person. |
2. Includes (i) 2,363 restricted shares held by spouse of which 1,506 shares vest on February 28, 2018 and 857 shares vest on February 28, 2019 and (ii) 6,765 shares held in a revocable trust in the name of the spouse of the reporting person. |
3. By spouse of the reporting person. |
4. The restricted stock units ("RSUs") vest in three installments of 2,123 RSUs on February 28, 2018, 2,124 RSUs on February 28, 2019, and 2,124 RSUs on February 28, 2020. |
5. Each RSU represents the economic equivalent of one share of UAL common stock and shall be settled in shares of UAL common stock upon vesting. |
6. The RSUs vest in three installments of 906 RSUs on February 28, 2018, 907 RSUs on February 28, 2019, and 907 RSUs on February 28, 2020. |
Remarks: |
Exhibit List: Exhibit 24- Authorization and Designation |
/s/ Sarah Hagy for Kate Gebo | 12/15/2017 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |