SEC Form 4 · accession 0000950138-16-001018
Express Scripts Holding Co. · ESRX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sara E Wade
Officer — Sr. VP, Ch. Human Res. Off.
Period of report
Mar 9, 2016
Accepted (ET)
Mar 11, 2016 · 4:50 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 | 12,369 | $0.00 | A | 38,132 | D | |
| Common StockF2 | Mar 9, 2016 | F | 5,931 | $69.57 | D | 32,201 | D | |
| Common StockF3 | Mar 9, 2016 | A | 10,301 | $0.00 | A | 42,502 | 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)F4 | $69.57 | Mar 9, 2016 | A | 52,390 | A | — | Mar 9, 2026 | Express Scripts Holding Company Common Stock | 52,390 | 52,390 | D |
Explanation of responses
- F1Vesting of performance shares granted under Express Scripts, Inc. 2011 Long-Term Incentive Plan.
- F2Represents shares tendered to Company to cover Reporting Person's tax liability due upon vesting of performance shares.
- F3Grant 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.
- F4Grant 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.