SEC Form 4 · accession 0001127602-17-011593
CVS HEALTH Corp · CVS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Andrew Sussman
Officer — EVP, Clinical Services
Period of report
Mar 13, 2017
Accepted (ET)
Mar 14, 2017 · 4:21 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 | Mar 13, 2017 | M | 6,655 | $45.07 | A | 22,801 | D | |
| Common Stock | Mar 13, 2017 | S | 6,655 | $80.40 | D | 16,146 | D | |
| Common Stock | Mar 13, 2017 | S | 7,449 | $80.40 | D | 8,697 | D | |
| Common Stock (restricted) | holding | — | — | — | 17,313 | D | ||
| Stock Unit | holding | — | — | — | 10,145 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF2 | $45.07 | Mar 13, 2017 | M | 6,655 | D | Apr 2, 2012 | Apr 2, 2019 | Common Stock | 6,655 | 0 | D |
| Stock OptionF3 | $54.53 | holding | — | — | — | Apr 1, 2014 | Apr 1, 2020 | Common Stock | 11,802 | 11,802 | D |
| Stock OptionF4 | $74.29 | holding | — | — | — | Apr 1, 2015 | Apr 1, 2021 | Common Stock | 29,373 | 29,373 | D |
| Stock OptionF5 | $102.26 | holding | — | — | — | Apr 1, 2016 | Apr 1, 2022 | Common Stock | 23,968 | 23,968 | D |
| Stock OptionF6 | $104.82 | holding | — | — | — | Apr 1, 2017 | Apr 1, 2023 | Common Stock | 23,301 | 23,301 | D |
Explanation of responses
- F1All sales were effected pursuant to a Rule 10b5-1 plan.
- F2Option became exercisable in four equal annual installments, commencing 4/2/2013.
- F3Option became exercisable in four equal annual installments, commencing 4/1/2014.
- F4Option became exercisable in four equal annual installments, commencing 4/1/2015.
- F5Option became exercisable in four equal annual installments, commencing 4/1/2016.
- F6Option becomes exercisable in four equal annual installments, commencing 4/1/2017.