Statement of Changes in Beneficial Ownership (4)
November 02 2020 - 4:41PM
Edgar (US Regulatory)
FORM 4
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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
*
Gourlay Alexander W. |
2. Issuer Name and Ticker or Trading Symbol
Walgreens Boots Alliance, Inc.
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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) Co-Chief Operating Officer |
(Last)
(First)
(Middle)
C/O WALGREENS BOOTS ALLIANCE, INC., 108 WILMOT ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/1/2020 |
(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 | 11/1/2020 | | A(1) | | 27778 | A | $0 | 846148 (2) | D | |
Common Stock | 11/1/2020 | | F(3) | | 3505 | D | $34.04 | 842643 (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. 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 |
Employee Stock Option (Right to Buy) | $34.04 | 11/1/2020 | | A | | 139233 | | (4) | 11/1/2030 | Common Stock | 139233.0 | $0 | 139233 | D | |
Explanation of Responses: |
(1) | Restricted stock unit award 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") vests in one-third increments on each of the first, second and third anniversaries of the November 1, 2020 date of grant, subject to acceleration or forfeiture in certain circumstances in accordance with the terms and conditions of the Plan. |
(2) | Includes shares underlying restricted stock units issued in lieu of dividends (through October 31, 2020) on outstanding restricted stock units. |
(3) | Disposition relating to the satisfaction of tax withholding obligations upon the vesting of restricted stock unit award granted in accordance with Rule 16b-3. |
(4) | The option vests with respect to 46,364 shares on November 1, 2021, with respect to 46,365 shares on November 1, 2022, and with respect to 46,504 shares on November 1, 2023, subject to acceleration or forfeiture in certain circumstances in accordance with the terms and conditions of the amended and restated Walgreens Boots Alliance, Inc. 2013 Omnibus Incentive Plan (together with the related grant agreement thereunder). |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Gourlay Alexander W. C/O WALGREENS BOOTS ALLIANCE, INC. 108 WILMOT ROAD DEERFIELD, IL 60015 |
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| Co-Chief Operating Officer |
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Signatures
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/s/ Kelsey Chin, Attorney-in-Fact | | 11/2/2020 |
**Signature of Reporting Person | Date |
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