SEC Form 4 · accession 0000950138-16-001012
Express Scripts Holding Co. · ESRX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Neal J. Sample
Officer — Sr. VP & Ch. Information Off.
Period of report
Mar 9, 2016
Accepted (ET)
Mar 11, 2016 · 4:42 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 | Mar 9, 2016 | A | 7,666 | $0.00 | A | 7,666 | D | |
| Common StockF2 | Mar 9, 2016 | A | 14,374 | $0.00 | A | 22,040 | 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)F3 | $69.57 | Mar 9, 2016 | A | 38,988 | A | — | Mar 9, 2026 | Express Scripts Holding Company Common Stock | 38,988 | 38,988 | D |
Explanation of responses
- F1Grant 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.
- F2Grant of restricted stock units pursuant to Express Scripts, Inc. 2011 Long-Term Incentive Plan. One half of award vests on March 9, 2017, one fourth of award vests on March 9, 2018, and one fourth of award vests on March 9, 2019.
- F3Grant 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.