SEC Form 4 · accession 0001127602-17-021306
CVS HEALTH Corp · CVS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David M Denton
Officer — EVP and CFO
Period of report
Jun 12, 2017
Accepted (ET)
Jun 13, 2017 · 4:22 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 | Jun 12, 2017 | M | 12,420 | $40.28 | A | 176,983 | D | |
| Common Stock | Jun 12, 2017 | M | 110,912 | $45.07 | A | 287,895 | D | |
| Common Stock | Jun 12, 2017 | M | 107,178 | $34.96 | A | 395,073 | D | |
| Common Stock | Jun 12, 2017 | S | 230,510 | $80.00 | D | 164,563 | D | |
| Common Stock (restricted) | holding | — | — | — | 152,877 | D | ||
| ESOP Common Stock | holding | — | — | — | 1,689 | I | By ESOP |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF2 | $40.28 | Jun 12, 2017 | M | 12,420 | D | Mar 5, 2011 | Mar 5, 2018 | Common Stock | 12,420 | 0 | D |
| Stock OptionF3 | $45.07 | Jun 12, 2017 | M | 110,912 | D | Apr 2, 2013 | Apr 2, 2019 | Common Stock | 110,912 | 0 | D |
| Stock OptionF4 | $34.96 | Jun 12, 2017 | M | 107,178 | D | Apr 1, 2012 | Apr 1, 2018 | Common Stock | 107,178 | 0 | D |
| Stock OptionF5 | $54.53 | holding | — | — | — | Apr 1, 2014 | Apr 1, 2020 | Common Stock | 108,183 | 108,183 | D |
| Stock OptionF6 | $74.29 | holding | — | — | — | Apr 1, 2015 | Apr 1, 2021 | Common Stock | 62,943 | 62,943 | D |
| Stock OptionF7 | $102.26 | holding | — | — | — | Apr 1, 2016 | Apr 1, 2022 | Common Stock | 59,922 | 59,922 | D |
| Stock OptionF8 | $104.82 | holding | — | — | — | Apr 1, 2017 | Apr 1, 2023 | Common Stock | 71,696 | 71,696 | D |
| Stock OptionF9 | $78.05 | holding | — | — | — | Apr 3, 2018 | Apr 3, 2024 | Common Stock | 100,179 | 100,179 | D |
Explanation of responses
- F1All sales were effected pursuant to a Rule 10b5-1 plan.
- F2Option became exercisable in three equal annual installments, commencing 3/5/2011.
- F3Option became exercisable in four equal annual installments, commencing 4/2/2013.
- F4Option became exercisable in four equal annual installments, commencing 4/1/2012.
- F5Option became exercisable in four equal annual installments, commencing 4/1/2014.
- F6Option became exercisable in four equal annual installments, commencing 4/1/2015.
- F7Option became exercisable in four equal annual installments, commencing 4/1/2016.
- F8Option became exercisable in four equal annual installments, commencing 4/1/2017.
- F9Option becomes exercisable in four equal annual installments, commencing 4/3/2018.