SEC Form 4 · accession 0001127602-16-048902
CVS HEALTH Corp · CVS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Andrew Sussman
Officer — EVP & Pres, CVS MinuteClinic
Period of report
Apr 1, 2016
Accepted (ET)
Apr 5, 2016 · 7:21 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 Stock | Apr 1, 2016 | S | 2,844 | $105.00 | D | 11,041 | D | |
| Common StockF2 | Apr 1, 2016 | F | 1,319 | $104.82 | D | 12,473 | D | |
| Common Stock (restricted)F3 | Apr 1, 2016 | A | 3,100 | $104.82 | A | 17,313 | D | |
| Stock Unit | holding | — | — | — | 8,115 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF4 | $104.82 | Apr 1, 2016 | A | 23,301 | A | Apr 1, 2017 | Apr 1, 2023 | Common Stock | 23,301 | 23,301 | D |
| Stock OptionF5 | $45.07 | holding | — | — | — | Apr 2, 2012 | Apr 2, 2019 | Common Stock | 6,655 | 6,655 | D |
| Stock OptionF6 | $36.96 | holding | — | — | — | Sep 1, 2012 | Sep 1, 2019 | Common Stock | 0 | 0 | D |
| Stock OptionF7 | $54.53 | holding | — | — | — | Apr 1, 2014 | Apr 1, 2020 | Common Stock | 11,802 | 11,802 | D |
| Stock OptionF8 | $74.29 | holding | — | — | — | Apr 1, 2015 | Apr 1, 2021 | Common Stock | 29,373 | 29,373 | D |
| Stock OptionF9 | $102.26 | holding | — | — | — | Apr 1, 2016 | Apr 1, 2022 | Common Stock | 23,968 | 23,968 | D |
Explanation of responses
- F1Sales were effected pursuant to a Rule 10b5-1 plan.
- F2Surrender of shares in payment of withholding taxes due upon the vesting of a restricted stock unit award.
- F3Consists of restricted stock units awarded pursuant to Issuer's 2010 Incentive Compensation Plan. Restrictions lapse 50% on 4/1/2019 and 50% on 4/1/2021.
- F4Option becomes exercisable in four equal annual installments, commencing 4/1/2017.
- F5Option became exercisable in four equal annual installments, commencing 4/2/2013.
- F6Option became exercisable in three equal annual installments, commencing 9/1/2012.
- F7Option became exercisable in four equal annual installments, commencing 4/1/2014.
- F8Option became exercisable in four equal annual installments, commencing 4/1/2015.
- F9Option became exercisable in four equal annual installments, commencing 4/1/2016.