SEC Form 4 · accession 0000950138-18-000014
Express Scripts Holding Co. · ESRX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Glen D. Stettin
Officer — Sr. VP, Clin. Res. & New Sol.
Period of report
Jan 2, 2018
Accepted (ET)
Jan 4, 2018 · 4:06 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 | Jan 2, 2018 | S | 3,448 | $76.00 | D | 37,055 | D | |
| Common Stock | Jan 2, 2018 | M | 158 | $75.23 | A | 37,213 | D | |
| Common StockF2 | Jan 2, 2018 | F | 49 | $75.23 | D | 37,164 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock UnitsF3,F4 | $0.00 | Jan 2, 2018 | I | 635 | A | — | — | Express Scripts Holding Company Common Stock | 635 | 1,488 | D |
| Phantom Stock UnitsF3,F4 | $0.00 | Jan 2, 2018 | M | 159 | D | — | — | Express Scripts Holding Company Common Stock | 159 | 1,329 | D |
Explanation of responses
- F1The sale transaction reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan.
- F2Represents shares tendered to Company to cover Reporting Person's tax liability due upon settlement of Phantom Stock Units.
- F3Phantom Stock Units acquired under the Company's Executive Deferred Compensation Plan pursuant to a previously made election.
- F4Upon 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.