Initial Statement of Beneficial Ownership (3)
February 06 2020 - 7:01AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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
*
Ashworth Richard M |
2. Date of Event Requiring Statement (MM/DD/YYYY)
1/30/2020
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3. Issuer Name and Ticker or Trading Symbol
Walgreens Boots Alliance, Inc. [WBA]
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(Last)
(First)
(Middle)
WALGREENS BOOTS ALLIANCE, INC., 108 WILMOT ROAD |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) SVP, President of Walgreen Co. / |
(Street)
DEERFIELD, IL 60015
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 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 Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 74541 (1)(2) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Employee Stock Option (Right to Buy) | 9/1/2014 | 9/1/2021 | Common Stock | 9921 | $35.65 | D | |
Employee Stock Option (Right to Buy) | 11/1/2015 | 11/1/2022 | Common Stock | 15898 | $35.50 | D | |
Employee Stock Option (Right to Buy) | 11/1/2016 | 11/1/2023 | Common Stock | 12398 | $60.52 | D | |
Employee Stock Option (Right to Buy) | 11/1/2017 | 11/1/2024 | Common Stock | 40283 | $64.22 | D | |
Employee Stock Option (Right to Buy) | 11/1/2018 | 11/1/2025 | Common Stock | 37209 | $84.68 | D | |
Employee Stock Option (Right to Buy) | 11/1/2019 | 11/1/2026 | Common Stock | 56337 | $82.46 | D | |
Employee Stock Option (Right to Buy) | (3) | 11/1/2027 | Common Stock | 61910 | $67.01 | D | |
Employee Stock Option (Right to Buy) | (4) | 11/1/2028 | Common Stock | 47407 | $79.90 | D | |
Employee Stock Option (Right to Buy) | (5) | 11/1/2029 | Common Stock | 50420 | $57.38 | D | |
Employee Stock Option (Right to Buy) | (6) | 1/29/2030 | Common Stock | 26162 | $52.28 | D | |
Explanation of Responses: |
(1) | Includes shares underlying restricted stock units ("RSUs") granted under the amended and restated Walgreens Boots Alliance, Inc. 2013 Omnibus Incentive Plan (together with the related award agreement and the applicable election forms thereunder, the "Plan"), and shares underlying restricted stock units issued in lieu of dividends (through January 30, 2020) on outstanding restricted stock units, which were granted and vest as follows: (a) 19,535 RSUs granted on September 1, 2019 that vest with respect to 9,767 shares on September 1, 2020 and with respect to 9,768 shares on September 1, 2021; (continued in footnote 2) |
(2) | (continued from footnote 1) (b) 7,657 RSUs granted on November 1, 2019 and that vest with respect to 2,549 shares on November 1, 2020, with respect to 2,550 shares on November 1, 2021 and with respect to 2,558 shares on November 1, 2022; and (c) 4,782 RSUs granted on January 29, 2020 and that vest with respect to 1,592 shares on January 29, 2021, with respect to 1,592 shares on January 29, 2022 and with respect to 1,598 shares on January 29, 2023. |
(3) | The option vests with respect to 20,616 shares on November 1, 2018, with respect to 20,616 shares on November 1, 2019, and with respect to 20,678 shares on November 1, 2020, subject to acceleration or forfeiture in certain circumstances in accordance with the terms and conditions of the Plan. |
(4) | The option vests with respect to 15,786 shares on November 1, 2019, with respect to 15,787 shares on November 1, 2020, and with respect to 15,834 shares on November 1, 2021, subject to acceleration or forfeiture in certain circumstances in accordance with the terms and conditions of the Plan. |
(5) | The option vests with respect to 16,789 shares on November 1, 2020, with respect to 16,790 shares on November 1, 2021, and with respect to 16,841 shares on November 1, 2022, subject to acceleration or forfeiture in certain circumstances in accordance with the terms and conditions of the Plan. |
(6) | The option vests with respect to 8,711 shares on January 29, 2021, with respect to 8,712 shares on January 29, 2022, and with respect to 8,739 shares on January 29, 2023, subject to acceleration or forfeiture in certain circumstances in accordance with the terms and conditions of the Plan. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Ashworth Richard M WALGREENS BOOTS ALLIANCE, INC. 108 WILMOT ROAD DEERFIELD, IL 60015 |
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| SVP, President of Walgreen Co. |
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Signatures
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/s/ Kelsey Chin, attorney-in-fact | | 2/6/2020 |
**Signature of Reporting Person | Date |
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