SEC Form 4 · accession 0000721371-15-000184
CARDINAL HEALTH INC · CAH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Falk T Stephen
Officer — EVP, Gen. Counsel & Corp. Sec.
Period of report
Nov 6, 2015
Accepted (ET)
Nov 9, 2015 · 4:02 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000721371
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Shares | Aug 28, 2015 | G | 75 | $0.00 | D | 33,633 | D | |
| Common Shares | Nov 6, 2015 | M | 9,138 | $39.81 | A | 42,771 | D | |
| Common Shares | Nov 6, 2015 | M | 14,910 | $51.49 | A | 57,681 | D | |
| Common Shares | Nov 6, 2015 | M | 6,037 | $71.43 | A | 63,718 | D | |
| Common SharesF1 | Nov 6, 2015 | S | 30,085 | $87.66 | D | 33,633 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F2 | $39.81 | Nov 6, 2015 | M | 9,138 | D | — | Aug 15, 2022 | Common Shares | 9,138 | 0 | D |
| Employee Stock Option (right to buy)F3 | $51.49 | Nov 6, 2015 | M | 14,910 | D | — | Aug 15, 2023 | Common Shares | 14,910 | 7,455 | D |
| Employee Stock Option (right to buy)F4 | $71.43 | Nov 6, 2015 | M | 6,037 | D | — | Aug 15, 2024 | Common Shares | 6,037 | 12,075 | D |
Explanation of responses
- F1The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $87.43 to $87.84, inclusive. The reporting person undertakes to provide to Cardinal Health, Inc., any security holder of Cardinal Health, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote 1 to this Form 4.
- F2The option, representing a right to purchase a total of 27,412 shares, vested and became exercisable in three equal annual installments beginning on August 15, 2013.
- F3The option, representing a right to purchase a total of 22,365 shares, vested and became exercisable 33% on August 15, 2014 and 33% on August 15, 2015. The remaining 33% vests on August 15, 2016.
- F4The option, representing a right to purchase a total of 18,112 shares, vested and became exercisable 33% on August 15, 2015. The remaining portion of the option vests 33% on August 15, 2016 and 33% on August 15, 2017.