SEC Form 4 · accession 0001127602-17-014315
Elevance Health, Inc. · ELV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Gloria M McCarthy
Officer — EVP & Chief Transformation Off
Period of report
Apr 3, 2017
Accepted (ET)
Apr 5, 2017 · 4:04 pm EDT
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 Stock | Apr 3, 2017 | M | 14,271 | $89.44 | A | 59,144 | D | |
| Common StockF2 | Apr 3, 2017 | S | 7,471 | $165.81 | D | 51,673 | D | |
| Common StockF3 | Apr 3, 2017 | S | 7,416 | $166.91 | D | 44,257 | D | |
| Common StockF4 | Apr 3, 2017 | S | 300 | $167.45 | D | 43,957 | D | |
| Common StockF5 | Apr 3, 2017 | A | 1,127 | $0.00 | A | 45,084 | 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)F6 | $89.44 | Apr 3, 2017 | M | 14,271 | D | — | Mar 3, 2021 | Common Stock | 14,271 | 0 | D |
| Employee Stock Option (Right to Buy)F7 | $166.97 | Apr 3, 2017 | A | 4,606 | A | — | Apr 3, 2027 | Common Stock | 4,606 | 4,606 | D |
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 3, 2017.
- F2This transaction was executed in multiple trades at prices ranging from $165.43 to $166.41. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F3This transaction was executed in multiple trades at prices ranging from $166.44 to $167.42. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F4This transaction was executed in multiple trades at prices ranging from $167.44 to $167.47 The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F5Represents restricted share units. Restrictions lapse as follows: 375 shares on 4/3/2018 and, 376 shares each on 4/3/2019 and 4/3/2020.
- F6The option, represents a right to purchase a total of 25,671 shares, and is exercisable in six semi-annual installments, with three installments of 4,278 shares each and three installments of 4,279 shares each, beginning on September 3, 2014, which is the six-month anniversary of the option grant date.
- F7The option represents a right to purchase a total of 4,606 shares, and is exercisable in six semi-annual installments, with two installments of 767 shares each and four installments of 768 shares each, beginning on October 3, 2017, which is the six-month anniversary of the option grant date.