SEC Form 4 · accession 0000950138-16-000943
Express Scripts Holding Co. · ESRX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David A Norton
Officer — SVP, Specialty & Supply Chain
Period of report
Feb 28, 2016
Accepted (ET)
Mar 1, 2016 · 5:54 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 StockF1 | Feb 28, 2016 | F | 1,685 | $71.33 | D | 11,160 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock UnitF2,F3,F4 | $0.00 | Feb 29, 2016 | A | 189 | A | — | — | Express Scripts Holding Company Common Stock | 189 | 308 | D |
Explanation of responses
- F1Represents shares tendered to Company to cover Reporting Person's tax liability due upon vesting of restricted stock units previously awarded under long-term incentive plans.
- F2Phantom Stock Unit credited under the Company's Executive Deferred Compensation Plan.
- F3Upon distribution each Phantom Stock Unit converts to one share of the Company's Common Stock.
- F4Basic 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.