SEC Form 4 · accession 0000950138-16-001008
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
Mar 9, 2016
Accepted (ET)
Mar 11, 2016 · 4:35 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 | Mar 9, 2016 | G | 290 | $0.00 | D | 810,146 | D | |
| Common Stock | Mar 9, 2016 | G | 290 | $0.00 | A | 70,027 | I | By Spouse Trust |
| Common Stock | Mar 9, 2016 | G | 290 | $0.00 | D | 809,856 | D | |
| Common Stock | Mar 9, 2016 | G | 290 | $0.00 | A | 70,350 | I | By Reporting Person's Trust |
| Common StockF3 | Mar 9, 2016 | A | 83,500 | $0.00 | A | 893,356 | D | |
| Common StockF4 | Mar 9, 2016 | F | 40,039 | $69.57 | D | 853,317 | D | |
| Common StockF5 | Mar 9, 2016 | A | 49,111 | $0.00 | A | 902,428 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (Right-to-Buy)F6 | $69.57 | Mar 9, 2016 | A | 249,770 | A | — | Mar 9, 2026 | Express Scripts Holding Company Common Stock | 249,770 | 249,770 | 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.
- F3Vesting of performance shares granted under Express Scripts, Inc. 2011 Long-Term Incentive Plan.
- F4Represents shares tendered to Company to cover Reporting Person's tax liability due upon vesting of performance shares.
- F5Grant of restricted stock units pursuant to Express Scripts, Inc. 2011 Long-Term Incentive Plan. Awards vest in three equal installments on February 28, 2017, February 28, 2018, and February 28, 2019.
- F6Grant of stock option pursuant to Express Scripts, Inc. 2011 Long-Term Incentive Plan. Vests in three equal installments on February 28, 2017, February 28, 2018, and February 28, 2019.