SEC Form 4 · accession 0001022079-17-000120
QUEST DIAGNOSTICS INC · DGX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael E Prevoznik
Officer — SVP & General Counsel
Period of report
Apr 20, 2017
Accepted (ET)
Apr 24, 2017 · 4:18 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001022079
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Apr 20, 2017 | M | 1,013 | $55.65 | A | 41,335 | D | |
| Common Stock | Apr 20, 2017 | S | 1,013 | $100.00 | D | 40,322 | D | |
| Common Stock | Apr 20, 2017 | M | 28,500 | $56.82 | A | 68,822 | D | |
| Common StockF2 | Apr 20, 2017 | S | 28,500 | $100.00 | D | 40,327 | D | |
| Common StockF3 | holding | — | — | — | 4,792 | I | 401(k)/SDCP |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (Right to Buy)F4 | $55.65 | Apr 20, 2017 | M | 1,013 | A | — | Feb 10, 2020 | Common Stock | 1,013 | 0 | D |
| Stock Options (Right to Buy)F5 | $56.82 | Apr 20, 2017 | M | 28,500 | A | — | Feb 15, 2021 | Common Stock | 28,500 | 0 | D |
Explanation of responses
- F1This exercise and sale reported were effected pursuant to a Rule 10b5-1 sales plan adopted by the reporting person on February 10, 2017.
- F2The amount includes exempt purchases made under the Company's stock purchase plan since the date of the last filing on Form 4.
- F3These underlying shares were acquired on a periodic basis by the trustee of the Company's tax qualified Profit Sharing (401(k)) and/or Supplemental Deferred Compensation Plan. The information was obtained from the plan administrator as of a current date. The number of shares is based on the account balance of the Company stock fund under each Plan (which includes some money market instruments) divided by the market price of the Company's stock as of that date.
- F4The options vested in three equal annual installments beginning with the first on February 10, 2011, the second on February 10, 2012 and the final on February 10, 2013.
- F5The options vested in three equal annual installments beginning with the first on February 15, 2012, the second on February 15, 2013 and the final on February 15, 2014.