SEC Form 4 · accession 0000950138-17-000321
Express Scripts Holding Co. · ESRX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Everett Neville
Officer — Sr VP-Supply Chain & Specialty
Period of report
Oct 7, 2015
Accepted (ET)
Mar 15, 2017 · 4:02 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001532063
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock UnitsF1,F3,F2 | $0.00 | Oct 7, 2015 | I | 25 | A | — | — | Express Scripts Holding Company Common Stock | 25 | 731 | D |
| Phantom Stock UnitsF1,F3,F2 | $0.00 | Jan 4, 2016 | I | 36 | A | — | — | Express Scripts Holding Company Common Stock | 36 | 767 | D |
Explanation of responses
- F1Phantom Stock Units acquired under the Company's Executive Deferred Compensation Plan. These transactions were not timely reported due to internal administrative error.
- F2Upon distribution each Phantom Stock Unit converts to one share of the Company's Common Stock. Phantom Stock Units reflected herein may be transferred by the reporting person into an alternative investment account at any time.
- F3Total reflects contributions of Phantom Stock Units subsequent to the two transactions reported on this Form 4.