SEC Form 4 · accession 0001127602-17-010136
Elevance Health, Inc. · ELV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ronald W Penczek
Officer — SVP, Chief Accounting Officer
Period of report
Mar 1, 2017
Accepted (ET)
Mar 3, 2017 · 4:17 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001156039
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Mar 1, 2017 | F | 72 | $166.97 | D | 1,248 | D | |
| Common StockF2 | Mar 1, 2017 | A | 525 | $0.00 | A | 1,773 | D | |
| Common Stock | Mar 1, 2017 | M | 810 | $131.80 | A | 2,583 | D | |
| Common Stock | Mar 1, 2017 | S | 810 | $166.44 | D | 1,773 | D | |
| Common StockF1 | Mar 2, 2017 | F | 31 | $165.97 | D | 1,742 | D | |
| Common Stock | Mar 2, 2017 | S | 118 | $166.81 | D | 1,624 | D | |
| Common Stock | Mar 2, 2017 | M | 285 | $89.44 | A | 1,909 | D | |
| Common Stock | Mar 2, 2017 | S | 285 | $166.81 | D | 1,624 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F3 | $166.97 | Mar 1, 2017 | A | 2,141 | A | — | Mar 1, 2027 | Common Stock | 2,141 | 2,141 | D |
| Employee Stock Option (Right to Buy)F4 | $131.80 | Mar 1, 2017 | M | 810 | D | — | Mar 1, 2026 | Common Stock | 810 | 1,622 | D |
| Employee Stock Option (Right to Buy)F5 | $89.44 | Mar 2, 2017 | M | 285 | D | — | Mar 3, 2021 | Common Stock | 285 | 286 | D |
Explanation of responses
- F1PAYMENT OF TAX LIABILITY BY WITHHOLDING STOCK INCIDENT TO THE VESTING OF PREVIOUSLY GRANTED RESTRICTED STOCK.
- F2Represents restricted share units. Restrictions lapse as follows: 175 shares each on 3/1/2018, 3/1/2019 and 3/1/2020.
- F3The option represents a right to purchase a total of 2,141 shares, and is exercisable in six semi-annual installments, with one installment of 356 shares and five installments of 357 shares each, beginning on September 1, 2017, which is the six-month anniversary of the option grant date.
- F4The option represents a right to purchase a total of 2,432 shares, became exercisable in six semi-annual installments, with four installments of 405 shares each and two installments of 406 shares each, beginning on September 1, 2016, which was the six-month anniversary of the option grant date.
- F5The option represents a right to purchase a total of 1,711 shares, and is exercisable in five semi-annual installments of 285 shares each and one installment of 286 shares beginning on September 3, 2014, which is the six-month anniversary of the date on which the option was granted.