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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) | $ 61.58 | 12/20/2018 | D | 1,872 | (2) | 05/09/2020 | Express Scripts Holding Company Common Stock | 1,872 | $ 0 (3) | 0 | D | ||||
Non-Qualified Stock Option (Right to Buy) | $ 67.05 | 12/20/2018 | D | 6,402 | (2) | 05/07/2021 | Express Scripts Holding Company Common Stock | 6,402 | $ 0 (3) | 0 | D | ||||
Non-Qualified Stock Option (Right to Buy) | $ 84.08 | 12/20/2018 | D | 5,604 | (2) | 05/06/2025 | Express Scripts Holding Company Common Stock | 5,604 | $ 0 (3) | 0 | D | ||||
Non-Qualified Stock Option (Right to Buy) | $ 72.74 | 12/20/2018 | D | 7,032 | (2) | 05/04/2026 | Express Scripts Holding Company Common Stock | 7,032 | $ 0 (3) | 0 | D | ||||
Non-Qualified Stock Option (Right to Buy) | $ 60.66 | 12/20/2018 | D | 8,006 | (2) | 05/11/2027 | Express Scripts Holding Company Common Stock | 8,006 | $ 0 (3) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MYERS WOODROW A JR C/O EXPRESS SCRIPTS HOLDING COMPANY ONE EXPRESS WAY ST. LOUIS, MO 63121 |
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/s/ Nick H. Varsam, as Attorney-in-Fact for Woodrow A. Myers, Jr. | 12/21/2018 | |
**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) | Pursuant to the agreement and plan of merger ("Merger Agreement") between the Issuer and Cigna Corporation, Halfmoon Parent, Inc., Halfmoon I, Inc. and Halfmoon II, Inc., upon closing of the merger of Halfmoon II, Inc. with and into the Issuer (the "Merger"), each common share of the Issuer was converted into the right to receive 0.2434 shares of Halfmoon Parent, Inc. common stock and $48.75 in cash. Each restricted stock unit was converted into a right to receive a cash payment in accordance with the payment ratio set forth in the Merger Agreement. |
(2) | The options vest on varying dates pursuant to the terms of the plans and/or agreements under which they were granted. |
(3) | Pursuant to the Merger Agreement, upon closing of the Merger, the option was converted into an option to purchase common shares of Halfmoon Parent, Inc. in accordance with the exchange ratio set forth in the Merger Agreement. |