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CVS HEALTH Corp — Director's Dealing 2017
Apr 4, 2017
29875_dirs_2017-04-04_9925d2a9-2ef5-4e3f-906b-d96b63d9bd16.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: CVS HEALTH Corp (CVS)
CIK: 0000064803
Period of Report: 2017-04-02
Reporting Person: Roberts Jonathan C (EVP & Chief Operating Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-04-02 | Common Stock | F | 4655 | $78.50 | Disposed | 33812.1293 | Direct |
| 2017-04-03 | Common Stock (restricted) | A | 25624 | $78.05 | Acquired | 70780 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-04-03 | Stock Option | $78.05 | A | 200358 | Acquired | 2024-04-03 | Common Stock (200358) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock (pep) | 11702.5082 | Direct |
| ESOP Common Stock | 5319.994 | Indirect |
| Stock Unit | 141331.4939 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Phantom Stock Credits | $1.00 | Common Stock (1418.9113) | 1418.9113 | Direct | |
| Stock Option | $34.96 | 2018-04-01 | Common Stock (85743) | 85743 | Direct |
| Stock Option | $45.07 | 2019-04-02 | Common Stock (77639) | 77639 | Direct |
| Stock Option | $54.53 | 2020-04-01 | Common Stock (68844) | 68844 | Direct |
| Stock Option | $74.29 | 2021-04-01 | Common Stock (73433) | 73433 | Direct |
| Stock Option | $45.93 | 2022-09-04 | Common Stock (108870) | 108870 | Direct |
| Stock Option | $102.26 | 2022-04-01 | Common Stock (68482) | 68482 | Direct |
| Stock Option | $104.82 | 2023-04-01 | Common Stock (161318) | 161318 | Direct |
Footnotes
F1: Surrender of shares in payment of withholding taxes due upon the vesting of a restricted stock unit award.
F2: Consists of restricted stock units awarded pursuant to Issuer's 2010 Incentive Compensation Plan. Restrictions lapse 50% on 4/3/2020 and 50% on 4/3/2022.
F3: Option becomes exercisable in four equal annual installments, commencing 4/3/2018.
F4: Reflects year-end company-match share credits under a non-qualified deferred compensation plan; share credits are payable in cash only, at such time as has been elected by the reporting person.
F5: Option became exercisable in four equal annual installments, commencing 4/1/2012.
F6: Option became exercisable in four equal annual installments, commencing 4/2/2013.
F7: Option became exercisable in four equal annual installments, commencing 4/1/2014.
F8: Option became exercisable in four equal annual installments, commencing 4/1/2015.
F9: Option became exercisable in three equal annual installments, commencing 9/4/2015.
F10: Option became exercisable in four equal annual installments, commencing 4/1/2016.
F11: Option became exercisable in four equal annual installments, commencing 4/1/2017.