SEC Form 4 · accession 0001127602-17-027343
CVS HEALTH Corp · CVS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas M Moriarty
Officer — EVP & General Counsel
Period of report
Sep 11, 2017
Accepted (ET)
Sep 12, 2017 · 5:29 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 | Sep 11, 2017 | M | 41,093 | $48.67 | A | 70,102 | D | |
| Common StockF2 | Sep 11, 2017 | S | 41,093 | $79.61 | D | 29,009 | D | |
| Common Stock | Sep 11, 2017 | M | 49,174 | $54.53 | A | 78,183 | D | |
| Common StockF3 | Sep 11, 2017 | S | 49,174 | $79.61 | D | 29,009 | D | |
| Common Stock (pep) | holding | — | — | — | 6,709 | D | ||
| Common Stock (restricted) | holding | — | — | — | 43,668 | D | ||
| Stock Unit | holding | — | — | — | 22,803 | 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 | $48.67 | Sep 11, 2017 | M | 41,093 | D | Oct 1, 2015 | Oct 1, 2022 | Common Stock | 41,093 | 20,547 | D |
| Stock OptionF5 | $54.53 | Sep 11, 2017 | M | 49,174 | D | Apr 1, 2014 | Apr 1, 2020 | Common Stock | 49,174 | 0 | 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 | 51,361 | 51,361 | 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 | 125,224 | 125,224 | D |
Explanation of responses
- F1All sales were effected pursuant to a Rule 10b5-1 plan.
- F2Represents weighted average sale price for this group of sales, which occurred on the same trading day. Multiple sales were executed, with sales prices ranging between $79.33 and $80.00 per share.
- F3Represents weighted average sale price for this group of sales, which occurred on the same trading day. Multiple sales were executed, with sales prices ranging between $79.38 and $80.00 per share.
- F4Option becomes exercisable in three equal annual installments, commencing 10/1/2015.
- 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.