SEC Form 4 · accession 0001127602-19-009277
CVS HEALTH Corp · CVS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James David Clark
Officer — SVP, Cont & Chief Acct Officer
Period of report
Feb 28, 2019
Accepted (ET)
Mar 1, 2019 · 5:45 pm EST
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 | Feb 28, 2019 | F | 288 | $57.83 | D | 8,557 | D | |
| Common Stock (restricted)F2 | Feb 28, 2019 | A | 1,323 | $57.83 | A | 9,088 | D | |
| Common Stock | Mar 1, 2019 | S | 1,664 | $58.14 | D | 6,893 | D | |
| Common Stock | Mar 1, 2019 | M | 1,664 | $45.07 | A | 8,557 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF3 | $45.07 | Mar 1, 2019 | M | 1,664 | D | Apr 2, 2013 | Apr 2, 2019 | Common Stock | 1,664 | 0 | D |
| Stock OptionF4 | $54.53 | holding | — | — | — | Apr 1, 2014 | Apr 1, 2020 | Common Stock | 3,030 | 3,030 | D |
| Stock OptionF5 | $74.29 | holding | — | — | — | Apr 1, 2015 | Apr 1, 2021 | Common Stock | 5,350 | 5,350 | D |
| Stock OptionF6 | $102.26 | holding | — | — | — | Apr 1, 2016 | Apr 1, 2022 | Common Stock | 6,059 | 6,059 | D |
| Stock OptionF7 | $104.82 | holding | — | — | — | Apr 1, 2017 | Apr 1, 2023 | Common Stock | 7,044 | 7,044 | D |
| Stock OptionF8 | $78.05 | holding | — | — | — | Apr 3, 2018 | Apr 3, 2024 | Common Stock | 9,050 | 9,050 | D |
| Stock OptionF9 | $62.21 | holding | — | — | — | Apr 1, 2019 | Apr 1, 2025 | Common Stock | 7,513 | 7,513 | D |
Explanation of responses
- F1Surrender of shares in payment of withholding taxes due upon the vesting of stock awards under the Issuer's 2017 Incentive Compensation Plan..
- F2Consists of Restricted Stock Units awarded pursuant to Issuer's 2017 Incentive Compensation Plan and its Performance-Based Restricted Stock Unit Plan. Restrictions lapse in three equal installments, commencing February 28, 2020.
- F3Remaining Options became exercisable in four equal annual installments beginning on 4/2/2013.
- F4Remaining Options became exercisable in four equal annual installments beginning on 4/1/2014.
- F5Remaining Options became exercisable in four equal annual installments beginning on 4/1/2015.
- F6Options became exercisable in four equal annual installments beginning on 4/1/2016.
- F7Options became exercisable in four equal annual installments beginning on 4/1/2017.
- F8Options became exercisable in four equal annual installments beginning on 4/3/2018.
- F9Options become exercisable in four equal annual installments, commencing 4/1/2019.