SEC Form 4 · accession 0001554687-16-000006
Walgreens Boots Alliance, Inc. · WBA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stefano Pessina
Officer — Executive Vice Chairman, CEO · Director · 10% Owner
Period of report
Nov 4, 2016
Accepted (ET)
Nov 4, 2016 · 5:20 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001618921
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $0.01 per shareF2 | Nov 4, 2016 | P | 2,000,000 | $81.41 | A | 142,992,525 | I | By ASP |
| Common Stock, par value $0.01 per shareF1 | holding | — | — | — | 96,500 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F3 | $77.08 | holding | — | — | — | Feb 12, 2019 | Feb 12, 2026 | Common Stock | 263,273 | 263,273 | D |
| Employee Stock Option (right to buy)F4 | $82.46 | holding | — | — | — | Nov 1, 2019 | Nov 1, 2026 | Common Stock | 410,798 | 410,798 | D |
Explanation of responses
- F1Shares underlying restricted stock units (including 2,892 shares underlying restricted stock units issued in lieu of dividends (through November 4, 2016) in connection with the award of 93,608 restricted stock units granted on January 15, 2015). The shares underlying these restricted stock units will vest on January 15, 2018, subject to the terms and conditions of the Walgreens Boots Alliance, Inc. 2013 Omnibus Incentive Plan, as amended and the related award agreement.
- F2Shares of common stock are held of record by a corporation, Alliance Sante Participations S.A. ("ASP") which is 100% owned by another corporation, NEWCIP S.A., which is 100% controlled by the Reporting Person.
- F3The option vests on February 12, 2019, subject to acceleration or forfeiture in certain circumstances in accordance with the terms and conditions of the Walgreens Boots Alliance, Inc. 2013 Omnibus Incentive Plan, as amended (together with the related agreement thereunder).
- F4The option vests on November 1, 2019, subject to acceleration or forfeiture in certain circumstances in accordance with the terms and conditions of the Walgreens Boots Alliance, Inc. 2013 Omnibus Incentive Plan, as amended (together with the related agreement thereunder).