SEC Form 4 · accession 0001127602-15-013956
CVS HEALTH Corp · CVS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Troyen A Brennan
Officer — EVP, Chief Medical Officer
Period of report
Apr 1, 2015
Accepted (ET)
Apr 3, 2015 · 4:56 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000064803
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Apr 1, 2015 | F | 2,234 | $102.26 | D | 57,510 | D | |
| Common Stock | Apr 1, 2015 | M | 16,747 | $34.96 | A | 74,257 | D | |
| Common StockF3 | Apr 1, 2015 | S | 16,747 | $102.26 | D | 57,510 | D | |
| Common Stock (restricted)F4 | Apr 1, 2015 | A | 6,845 | $102.26 | A | 43,858 | D | |
| Common StockF5 | Apr 2, 2015 | F | 3,989 | $102.71 | D | 61,841 | D | |
| Common Stock | Apr 2, 2015 | M | 16,637 | $45.07 | A | 78,478 | D | |
| Common StockF6 | Apr 2, 2015 | S | 16,637 | $102.71 | D | 61,841 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF7 | $34.96 | Apr 1, 2015 | M | 16,747 | D | Apr 1, 2012 | Apr 1, 2018 | Common Stock | 16,747 | 0 | D |
| Stock OptionF8 | $102.26 | Apr 1, 2015 | A | 47,937 | A | Apr 1, 2016 | Apr 1, 2022 | Common Stock | 47,937 | 47,937 | D |
| Stock OptionF9 | $45.07 | Apr 2, 2015 | M | 16,637 | D | Apr 2, 2013 | Apr 2, 2019 | Common Stock | 16,637 | 16,637 | D |
| Stock OptionF10 | $54.53 | holding | — | — | — | Apr 1, 2014 | Apr 1, 2020 | Common Stock | 47,207 | 47,207 | D |
| Stock OptionF11 | $74.29 | holding | — | — | — | Apr 1, 2015 | Apr 1, 2021 | Common Stock | 54,550 | 54,550 | D |
Explanation of responses
- F1Surrender of shares in payment of withholding taxes due upon the vesting of a restricted stock award.
- F10Option became exercisable in four equal annual installments, commencing 4/1/2014.
- F11Option became exercisable in four equal annual installments, commencing 4/1/2015.
- F2All sales were effected pursuant to a Rule 10b5-1 plan.
- F3Represents weighted average sale price for this trading day. Multiple sales were executed, with sales prices ranging between $101.60 and $102.47 per share.
- F4Consists of Restricted Stock Units awarded pursuant to Issuer's 2010 Incentive Compensation Plan. Restrictions lapse 50% on 4/1/2018 and 50% 4/1/2020.
- F5Surrender of shares in payment of withholding taxes due upon the vesting of a restricted stock award.
- F6Represents weighted average sale price for this trading day. Multiple sales were executed, with sales prices ranging between $101.75 and $103.24 per share.
- F7Option became exercisable in four equal annual installments, commencing 4/1/2012.
- F8Option becomes exercisable in four equal annual installments, commencing 4/1/2016.
- F9Option became exercisable in four equal annual installments, commencing 4/2/2013.