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CVS HEALTH Corp — Director's Dealing 2017
Apr 4, 2017
29875_dirs_2017-04-04_c755bbb7-c574-452a-a961-9523fd2ee0cf.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: 2017-04-01
Reporting Person: MERLO LARRY J (Director, President and CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-04-01 | Common Stock | F | 12906 | $78.50 | Disposed | 333361.5612 | Direct |
| 2017-04-02 | Common Stock | F | 19944 | $78.50 | Disposed | 313417.5612 | Direct |
| 2017-04-03 | Common Stock (restricted) | A | 43241 | $78.05 | Acquired | 184116 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-04-03 | Stock Option | $78.05 | A | 338105 | Acquired | 2024-04-03 | Common Stock (338105) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 360627.1752 | Indirect |
| ESOP Common Stock | 6643.1158 | Indirect |
| Stock Unit | 605987.9724 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Phantom Stock Credits | $1.00 | Common Stock (5139.61) | 5139.61 | Direct | |
| Stock Option | $34.96 | 2018-04-01 | Common Stock (241150) | 241150 | Direct |
| Stock Option | $45.07 | 2019-04-02 | Common Stock (332736) | 332736 | Direct |
| Stock Option | $54.53 | 2020-04-01 | Common Stock (314713) | 314713 | Direct |
| Stock Option | $74.29 | 2021-04-01 | Common Stock (335697) | 335697 | Direct |
| Stock Option | $102.26 | 2022-04-01 | Common Stock (273929) | 273929 | Direct |
| Stock Option | $104.82 | 2023-04-01 | Common Stock (286787) | 286787 | 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: Each share credit is equivalent to one share; 1-for-1 conversion.
F5: 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.
F6: 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.
F7: Option became exercisable in four equal annual installments, commencing 4/1/2012.
F8: Option became exercisable in four equal annual installments, commencing 4/2/2013.
F9: Option became exercisable in four equal annual installments, commencing 4/1/2014.
F10: Option became exercisable in four equal annual installments, commencing 4/1/2015.
F11: Option became exercisable in four equal annual installments, commencing 4/1/2016.
F12: Option became exercisable in four equal annual installments, commencing 4/1/2017.