SEC Form 4 · accession 0000950138-17-000438
Express Scripts Holding Co. · ESRX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Seymour Sternberg
Director
Period of report
May 11, 2017
Accepted (ET)
May 15, 2017 · 6:24 pm EDT
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,F2,F3 | May 11, 2017 | A | 1,648 | $0.00 | A | 6,150 | D | |
| Common Stock | holding | — | — | — | 2,758 | I | By Spouse | |
| Common StockF2,F3 | holding | — | — | — | 15,645 | I | By 2016 GRAT |
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 | $60.66 | May 11, 2017 | A | 8,006 | A | — | May 11, 2027 | Express Scripts Holding Company Common Stock | 8,006 | 8,006 | D |
Explanation of responses
- F1Grant of restricted stock units pursuant to Express Scripts Holding Company 2016 Long-Term Incentive Plan. Awards vest in three equal installments on May 1, 2018, May 1, 2019, and May 1, 2020.
- F2The balance reflects a March 13, 2017 transfer of 6,233 shares from the Reporting Person's grantor retained annuity trust (the "GRAT") to the Reporting Person. These shares were previously reported as indirectly beneficially owned by the Reporting Person and are now reported as directly owned by the Reporting Person.
- F3The balance reflects a March 31, 2017 transfer of 6,100 shares from the Reporting Person to the GRAT. These shares were previously reported as directly owned by the Reporting Person and are now reported as indirectly beneficially owned by the Reporting Person.
- F4Grant of stock option pursuant to Express Scripts Holding Company 2016 Long-Term Incentive Plan. Vests in three equal installments on May 1, 2018, May 1, 2019, and May 1, 2020.