SEC Form 4 · accession 0001628619-18-000003
Walgreens Boots Alliance, Inc. · WBA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ornella Barra
Officer — Co-Chief Operating Officer
Period of report
Nov 1, 2018
Accepted (ET)
Nov 2, 2018 · 4:51 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 share | holding | — | — | — | 26,425 | D | ||
| Common Stock, par value $0.01 per shareF1 | holding | — | — | — | 1,700,000 | I | By OLB |
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)F5 | $79.90 | Nov 1, 2018 | A | 111,111 | A | — | Nov 1, 2028 | Common Stock | 111,111 | 111,111 | D |
| Employee Stock Option (right to buy)F2 | $84.68 | holding | — | — | — | — | Nov 1, 2025 | Common Stock | 84,466 | 84,466 | D |
| Employee Stock Option (right to buy)F3 | $82.46 | holding | — | — | — | Nov 1, 2019 | Nov 1, 2026 | Common Stock | 140,844 | 140,844 | D |
| Employee Stock Option (right to buy)F4 | $67.01 | holding | — | — | — | — | Nov 1, 2027 | Common Stock | 161,506 | 161,506 | D |
Explanation of responses
- F1Shares of Common Stock are held of record by a corporation, OLB Holdings Ltd. ("OLB"), which is 100% owned by the Reporting Person.
- F2The option vested with respect to 28,127 shares on November 1, 2016, with respect to a further 28,127 shares on November 1, 2017, and with respect to 28,212 shares on November 1, 2018, 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).
- F3The 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).
- F4The option vested with respect to 53,781 shares on November 1, 2018, and vests with respect to 53,781 shares on November 1, 2019 and with respect to 53,944 shares on November 1, 2020, 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).
- F5The option vests with respect to 37,000 shares on November 1, 2019, with respect to 37,000 shares on November 1, 2020 and with respect to 37,111 shares on November 1, 2021, 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).