Statement of Changes in Beneficial Ownership (4)
September 02 2021 - 4:58PM
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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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
*
Barra Ornella |
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) Chief Operating Officer, Int'l |
(Last)
(First)
(Middle)
24 BOULEVARD DU TENAO |
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/1/2021 |
(Street)
MONTE CARLO, O9 98000
(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, par value $0.01 per share | 9/1/2021 | | F(1) | | 1753 | D | $50.29 | 155162 (2) | D | |
Common Stock, par value $0.01 per share | | | | | | | | 1718000 | I | By OLB (3) |
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) | $84.68 | | | | | | | (4) | 11/1/2025 | Common Stock | 84466 | | 84466 | D | |
Employee Stock Option (right to buy) | $82.46 | | | | | | | 11/1/2019 (5) | 11/1/2026 | Common Stock | 140844 | | 140844 | D | |
Employee Stock Option (right to buy) | $67.01 | | | | | | | (6) | 11/1/2027 | Common Stock | 161506 | | 161506 | D | |
Employee Stock Option (right to buy) | $79.9 | | | | | | | (7) | 11/1/2028 | Common Stock | 133333 | | 133333 | D | |
Employee Stock Option (right to buy) | $57.38 | | | | | | | (8) | 11/1/2029 | Common Stock | 141806 | | 141806 | D | |
Employee Stock Option (right to buy) | $34.04 | | | | | | | (9) | 11/1/2030 | Common Stock | 139233 | | 139233 | D | |
Explanation of Responses: |
(1) | Disposition relating to the satisfaction of tax withholding obligations upon the settlement of 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") in accordance with Rule 16b-3. |
(2) | Includes 2,320 shares underlying restricted stock units issued in lieu of dividends (through September 2, 2021) on outstanding restricted stock units. |
(3) | Shares of Common Stock are held of record by a corporation, OLB Holdings Ltd. ("OLB"), which is 100% owned by the Reporting Person. |
(4) | The option vested with respect to 28,127 shares on November 1, 2016, with respect to a further 28,127 shares on November 1, 2017, and with respect to 28,212 shares on November 1, 2018, subject to forfeiture in certain circumstances in accordance with the terms and conditions of the Plan. |
(5) | The option vested on November 1, 2019, subject to forfeiture in certain circumstances in accordance with the terms and conditions of the Plan. |
(6) | The option vested with respect to 53,781 shares on November 1, 2018, with respect to a further 53,781 shares on November 1, 2019 and with respect to 53,944 shares on November 1, 2020, subject to forfeiture in certain circumstances in accordance with the terms and conditions of the Plan. |
(7) | The option vested with respect to 44,399 shares on November 1, 2019 and with respect to a further 44,400 shares on November 1, 2020, and vests with respect to 44,534 shares on November 1, 2021, subject to acceleration or forfeiture in certain circumstances in accordance with the terms and conditions of the Plan. |
(8) | The option vested with respect to 47,221 shares on November 1, 2020, and vests with respect to a further 47,221 shares on November 1, 2021, and with respect to 47,364 shares on November 1, 2022, subject to acceleration or forfeiture in certain circumstances in accordance with the terms and conditions of the Plan. |
(9) | 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 Plan. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Barra Ornella 24 BOULEVARD DU TENAO MONTE CARLO, O9 98000 |
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| Chief Operating Officer, Int'l |
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Signatures
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Benjamin S.J. Burman, attorney-in-fact | | 9/2/2021 |
**Signature of Reporting Person | Date |
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