SEC Form 4 · accession 0000950138-15-000119
Express Scripts Holding Co. · ESRX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
George Paz
Officer — Chairman & CEO · Director
Period of report
Feb 6, 2015
Accepted (ET)
Feb 10, 2015 · 4:54 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001532063
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jan 22, 2014 | G | 4,122 | $0.00 | D | 784,131 | D | |
| Common Stock | Jan 22, 2014 | G | 4,122 | $0.00 | A | 68,677 | I | By Spouse Trust |
| Common Stock | Jan 22, 2014 | G | 4,445 | $0.00 | D | 779,686 | D | |
| Common Stock | Jan 22, 2014 | G | 4,445 | $0.00 | A | 69,000 | I | By Reporting Person's Trust |
| Common Stock | Dec 30, 2014 | G | 11,628 | $0.00 | D | 768,058 | D | |
| Common Stock | Jan 5, 2015 | G | 1,060 | $0.00 | D | 766,998 | D | |
| Common Stock | Jan 5, 2015 | G | 1,060 | $0.00 | A | 69,737 | I | By Spouse Trust |
| Common Stock | Jan 5, 2015 | G | 1,060 | $0.00 | D | 765,938 | D | |
| Common Stock | Jan 5, 2015 | G | 1,060 | $0.00 | A | 70,060 | I | By Reporting Person's Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock UnitF3,F4,F5 | $0.00 | Feb 6, 2015 | A | 733 | A | — | — | Express Scripts Holding Company Common Stock | 733 | 69,280 | D |
Explanation of responses
- F1Gift of shares to irrevocable trust for the benefit of the Reporting Person's spouse.
- F2Gift of shares to irrevocable trust for the benefit of the Reporting Person.
- F3Phantom Stock Unit credited under the Company's Executive Deferred Compensation Plan.
- F4Upon distribution each Phantom Stock Unit converts to one share of the Company's Common Stock.
- F5Basic Company Credit by Express Scripts Holding Company to Participant's Account in the Executive Deferred Compensation Plan; shares vest 3 (three) years after the plan year to which such credit relates.