Statement of Changes in Beneficial Ownership (4)
September 02 2020 - 6:58PM
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).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
*
Dixon Heather Brianne |
2. Issuer Name and Ticker or Trading Symbol
Walgreens Boots Alliance, Inc.
[
WBA
]
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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) SVP, Global Controller and CAO |
(Last)
(First)
(Middle)
C/O WALGREENS BOOTS ALLIANCE, INC., 108 WILMOT ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/1/2020 |
(Street)
DEERFIELD, IL 60015
(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 | 9/1/2020 | | M(1) | | 2539 | A | (2) | 6022 (3) | D | |
Common Stock | 9/1/2020 | | F(4) | | 744 | D | $36.76 | 5278 (3) | 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. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Units | (2) | 9/1/2020 | | M (1) | | | 2539 (5) | (6) | (6) | Common Stock | 2539.0 | $0 | 2539 (7) | D | |
Explanation of Responses: |
(1) | Shares issued upon settlement of restricted stock unit award granted on September 8, 2019 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"). |
(2) | Each restricted stock unit represents a contingent right to receive one share of common stock of Walgreens Boots Alliance, Inc., subject to the terms and conditions of the Plan. |
(3) | Includes restricted stock units granted on November 1, 2019 and restricted stock units issued in lieu of dividends (through August 31, 2020) on such restricted stock units. |
(4) | Disposition relating to the satisfaction of tax withholding obligations upon the vesting of restricted stock unit award granted in accordance with Rule 16b-3. |
(5) | Includes 97 restricted stock units issued in lieu of dividends (through August 31, 2020) on restricted stock units that vested on September 1, 2020. |
(6) | The restricted stock units granted on September 8, 2019 vest in two equal annual installments, beginning on September 1, 2020. Vested shares will be delivered as promptly as practicable following the vesting of the restricted stock units, subject to the terms and conditions of the Plan. |
(7) | Includes restricted stock units issued in lieu of dividends (through August 31, 2020) on outstanding restricted stock units granted on September 8, 2019. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Dixon Heather Brianne C/O WALGREENS BOOTS ALLIANCE, INC. 108 WILMOT ROAD DEERFIELD, IL 60015 |
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| SVP, Global Controller and CAO |
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Signatures
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/s/ Kelsey Chin, Attorney-in-Fact | | 9/2/2020 |
**Signature of Reporting Person | Date |
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