SEC Form 4 · accession 0001127602-19-009904
Elevance Health, Inc. · ELV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gloria M McCarthy
Officer — EVP & Chief Administrative Off
Period of report
Mar 1, 2019
Accepted (ET)
Mar 5, 2019 · 4:10 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, 2019 | F | 6,342 | $307.68 | D | 32,414 | D | |
| Common StockF2 | Mar 1, 2019 | A | 9,125 | $0.00 | A | 41,539 | D | |
| Common StockF3 | Mar 1, 2019 | A | 2,641 | $0.00 | A | 44,180 | D | |
| Common StockF4 | Mar 1, 2019 | A | 1,087 | $0.00 | A | 45,267 | D | |
| Common Stock | Mar 4, 2019 | M | 1,362 | $146.93 | A | 46,629 | D | |
| Common StockF6 | Mar 4, 2019 | S | 500 | $300.12 | D | 46,129 | D | |
| Common StockF7 | Mar 4, 2019 | S | 500 | $301.46 | D | 45,629 | D | |
| Common StockF8 | Mar 4, 2019 | S | 2,500 | $302.32 | D | 43,129 | D | |
| Common StockF9 | Mar 4, 2019 | S | 1,500 | $303.22 | D | 41,629 | D | |
| Common StockF10 | Mar 4, 2019 | S | 600 | $304.09 | D | 41,029 | D | |
| Common StockF11 | Mar 4, 2019 | S | 1,101 | $306.32 | D | 39,928 | D | |
| Common StockF12 | Mar 4, 2019 | S | 600 | $307.54 | D | 39,328 | D | |
| Common StockF13 | Mar 4, 2019 | S | 400 | $308.35 | D | 38,928 | 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)F14 | $307.68 | Mar 1, 2019 | A | 12,187 | A | — | Mar 1, 2029 | Common Stock | 12,187 | 12,187 | D |
| Employee Stock Option (Right to Buy)F15 | $146.93 | Mar 4, 2019 | M | 1,362 | D | — | Mar 2, 2025 | Common Stock | 1,362 | 0 | D |
Explanation of responses
- F1PAYMENT OF TAX LIABILITY BY WITHHOLDING STOCK INCIDENT TO THE VESTING OF PREVIOUSLY GRANTED RESTRICTED STOCK.
- F10This transaction was executed in multiple trades at prices ranging from $303.93 to $304.24. 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.
- F11This transaction was executed in multiple trades at prices ranging from $305.79 to $306.62. 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.
- F12This transaction was executed in multiple trades at prices ranging from $307.17 to $308.13. 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.
- F13This transaction was executed in multiple trades at prices ranging from $308.23 to $308.50. 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.
- F14The option represents a right to purchase a total of 12,187 shares, and is exercisable in three annual installments, with two installments of 4,062 shares each and one installment of 4,063 shares, beginning on 3/1/2020, which is the one-year anniversary of the option grant date.
- F15? The option represents a right to purchase a total of 16,762 shares, and is exercisable in six semi-annual installments, with four installments of 2,794 shares each and two installments of 2,793 shares each, beginning on 9/2/2015, which is the six-month anniversary of option grant date.
- F2Represents performance based restricted share units. Restrictions lapse on 3/1/19.
- F3Represents restricted share units. Restrictions lapse as follows: 880 shares each on 3/1/2020 and 3/1/2021, and 881 on 3/1/2022.
- F4Represents performance based restricted share units. Restrictions lapse on 10/3/19.
- F5The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 16, 2018.
- F6This transaction was executed in multiple trades at prices ranging from $299.70 to $300.62 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.
- F7This transaction was executed in multiple trades at prices ranging from $300.87 to $301.79. 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.
- F8This transaction was executed in multiple trades at prices ranging from $301.88 to $302.73. 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.
- F9This transaction was executed in multiple trades at prices ranging from $302.92 to $303.60. 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.