Statement of Changes in Beneficial Ownership (4)
June 21 2017 - 4:57PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Foulkes Helena
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2. Issuer Name
and
Ticker or Trading Symbol
CVS HEALTH Corp
[
CVS
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
EVP, President-CVS Pharmacy
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(Last)
(First)
(Middle)
ONE CVS DRIVE
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3. Date of Earliest Transaction
(MM/DD/YYYY)
6/19/2017
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(Street)
WOONSOCKET, RI 02895-
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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6/19/2017
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M
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14303
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A
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$34.96
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59299.6533
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D
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Common Stock
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6/19/2017
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M
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6029
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A
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$34.96
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65328.6533
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D
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Common Stock
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6/19/2017
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S
(1)
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20332
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D
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$76.98
(2)
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44996.6533
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D
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Common Stock (restricted)
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51191
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D
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ESOP Common Stock
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4071.4622
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I
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By ESOP
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Stock Unit
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55594.6176
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Stock Option
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$34.96
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6/19/2017
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M
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14303
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4/1/2014
(3)
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4/1/2021
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Common Stock
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14303
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$0
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14304
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D
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Stock Option
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$34.96
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6/19/2017
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M
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6029
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4/1/2012
(4)
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4/1/2018
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Common Stock
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6029
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$0
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6029
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D
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Stock Option
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$45.07
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4/2/2013
(5)
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4/2/2019
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Common Stock
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19965
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19965
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D
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Stock Option
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$54.53
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4/1/2014
(6)
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4/1/2020
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Common Stock
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39340
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39340
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D
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Stock Option
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$74.29
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4/1/2015
(7)
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4/1/2021
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Common Stock
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52452
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52452
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D
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Stock Option
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$102.26
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4/1/2016
(8)
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4/1/2022
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Common Stock
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59922
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59922
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D
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Stock Option
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$104.82
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4/1/2017
(9)
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4/1/2023
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Common Stock
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71696
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71696
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D
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Stock Option
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$78.05
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4/3/2018
(10)
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4/3/2024
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Common Stock
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150268
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150268
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D
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Explanation of Responses:
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(1)
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All sales were effected pursuant to a Rule 10b5-1 plan.
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(2)
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Represents weighted average sale price for this trading day. Multiple sales were executed, with sales prices ranging between $76.58 and $77.39 per share.
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(3)
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Option became exercisable in three equal annual installments, commencing 4/1/2014.
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(4)
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Option became exercisable in four equal annual installments, commencing 4/1/2012.
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(5)
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Option became exercisable in four equal annual installments, commencing 4/2/2013.
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(6)
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Option became exercisable in four equal annual installments, commencing 4/1/2014.
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(7)
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Option became exercisable in four equal annual installments, commencing 4/1/2015.
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(8)
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Option became exercisable in four equal annual installments, commencing 4/1/2016.
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(9)
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Option became exercisable in four equal annual installments, commencing 4/1/2017.
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(10)
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Option becomes exercisable in four equal annual installments, commencing 4/3/2018.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Foulkes Helena
ONE CVS DRIVE
WOONSOCKET, RI 02895-
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EVP, President-CVS Pharmacy
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Signatures
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Helena Foulkes
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6/21/2017
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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