Initial Statement of Beneficial Ownership (3)
September 29 2022 - 05:46PM
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
Estimated average burden
hours per response... 0.5 |
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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 * Ban
Kevin M. |
2. Date of Event Requiring Statement
(MM/DD/YYYY)
9/20/2022
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3. Issuer Name and Ticker or Trading
Symbol Walgreens Boots Alliance, Inc. [WBA] |
(Last)
(First)
(Middle)
C/O 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)
EVP, Chief Medical Officer / |
(Street)
DEERFIELD, IL 60015
(City)
(State)
(Zip)
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5. 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 |
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 |
4964 (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) |
(3) |
11/1/2030 |
Common Stock |
15470.0 |
$34.04 |
D |
|
Employee Stock Option (Right to Buy) |
(4) |
11/1/2031 |
Common Stock |
15644.0 |
$47.32 |
D |
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Explanation of
Responses: |
(1) |
Reflects 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 "2013 Plan"), RSUs granted under the
Walgreens Boots Alliance, Inc. 2021 Omnibus Incentive Plan
(together with the related award agreement and the applicable
election forms thereunder, the "2021 Plan") and shares underlying
restricted stock units issued in lieu of dividends (through
September 15, 2022) on the outstanding restricted stock units.
(continued in footnote 2) |
(2) |
(continued from footnote 1)
RSUs were granted and vest as follows (a) 2,059 RSUs granted on
November 1, 2020 that vest with respect to 1,028 units on November
1, 2022, and with respect to 1,031 units on November 1, 2023; and
(b) 2,607 RSUs granted on November 1, 2021 that vest with respect
to 868 units on November 1, 2022, with respect to 868 units on
November 1, 2023, and with respect to 871 units on November 1,
2024. |
(3) |
The option vests with
respect to 5,151 shares on November 1, 2021, with respect to 5,152
shares on November 1, 2022, and with respect to 5,167 shares on
November 1, 2023, subject to acceleration or forfeiture in certain
circumstances in accordance with the terms and conditions of the
2013 Plan. |
(4) |
The option vests with
respect to 5,209 shares on November 1, 2022, with respect to 5,209
shares on November 1, 2023, and with respect to 5,226 shares on
November 1, 2024, subject to acceleration or forfeiture in certain
circumstances in accordance with the terms and conditions of the
2021 Plan. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
Ban Kevin M.
C/O WALGREENS BOOTS ALLIANCE, INC.
108 WILMOT ROAD
DEERFIELD, IL 60015 |
|
|
EVP, Chief Medical Officer |
|
Signatures
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/s/ Kevin M. Ban by Cherita Thomas,
Attorney-in-Fact |
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9/29/2022 |
**Signature of
Reporting Person |
Date |
Reminder: Report on a separate line for each class
of securities beneficially owned directly or
indirectly. |
* |
If the form is filed by more than one
reporting person, see Instruction 5(b)(v). |
** |
Intentional misstatements or omissions
of facts constitute Federal Criminal Violations. See 18
U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: |
File three copies of this Form, one of
which must be manually signed. If space is insufficient, see
Instruction 6 for procedure. |
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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