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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Non-Qualified Stock Option (Right-to-Buy) | $ 36.5 | 02/25/2014 | M | 538 | (3) | 12/10/2017 | Express Scripts Holding Company Common Stock | 538 | (2) | 0 | D | ||||
Non-Qualified Stock Option (Right-to-Buy) | $ 34.79 | 02/25/2014 | M | 10,644 | (4) | 05/21/2018 | Express Scripts Holding Company Common Stock | 10,644 | (2) | 0 | D | ||||
Non-Qualified Stock Option (Right-to-Buy) | $ 32.94 | 02/25/2014 | M | 11,587 | (5) | 05/20/2019 | Express Scripts Holding Company Common Stock | 11,587 | (2) | 0 | D | ||||
Non-Qualified Stock Option (Right-to-Buy) | $ 43.66 | 02/25/2014 | M | 9,835 | (6) | 05/12/2020 | Express Scripts Holding Company Common Stock | 9,835 | (2) | 0 | D | ||||
Non-Qualified Stock Option (Right-to-Buy) | $ 47.07 | 02/25/2014 | M | 8,892 | (7) | 05/24/2021 | Express Scripts Holding Company Common Stock | 8,892 | (2) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ROPER WILLIAM L C/O EXPRESS SCRIPTS HOLDING COMPANY ONE EXPRESS WAY ST. LOUIS, MO 63121 |
X |
/s/ William L. Roper | 02/26/2014 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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). |
(1) | The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $74.00 to $74.33, inclusive. The Reporting Person undertakes to provide to Express Scripts Holding Company, any security holder of Express Scripts Holding Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price. |
(2) | Grant of stock options pursuant to the Medco Health Solutions, Inc. 2002 Stock Incentive Plan, and assumed by the Issuer under the Agreement and Plan of Merger, dated as of July 20, 2011, as amended on November 7, 2011, by and among Express Scripts, Inc., Medco Health Solutions, Inc., the Issuer, Aristotle Merger Sub, Inc., and Plato Merger Sub, Inc. |
(3) | All shares vested on December 11, 2008. |
(4) | All shares vested on May 22, 2009. |
(5) | All shares vested on May 21, 2010. |
(6) | All shares vested on May 12, 2011. |
(7) | All shares vested on May 24, 2012. |