Jonathan C. Roberts - Nov 3, 2021 Form 4 Insider Report for CVS HEALTH Corp (CVS)

Role
EVP & Chief Operating Officer
Signature
Jonathan C. Roberts
Stock symbol
CVS
Transactions as of
Nov 3, 2021
Transactions value $
-$5,342,251
Form type
4
Date filed
11/5/2021, 04:35 PM
Next filing
Jan 28, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CVS Common Stock Options Exercise $5M +109K +101.64% $45.93 216K Nov 3, 2021 Direct
transaction CVS Common Stock Sale -$10.3M -109K -50.41% $95.00 107K Nov 3, 2021 Direct F1
holding CVS Common Stock 34.7K Nov 3, 2021 By GRAT
holding CVS Common Stock (restricted) 12.8K Nov 3, 2021 Direct
holding CVS ESOP Common Stock 6.05K Nov 3, 2021 By ESOP
holding CVS Stock Unit 338K Nov 3, 2021 Direct

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction CVS Stock Option Options Exercise $0 -109K -100% $0.00* 0 Nov 3, 2021 Common Stock 109K $45.93 Direct F2
holding CVS Phantom Stock Credits 1.42K Nov 3, 2021 Common Stock 1.42K $1.00 Direct F3
holding CVS Stock Option 68.5K Nov 3, 2021 Common Stock 68.5K $102.26 Direct F4
holding CVS Stock Option 161K Nov 3, 2021 Common Stock 161K $104.82 Direct F5
holding CVS Stock Option 200K Nov 3, 2021 Common Stock 200K $78.05 Direct F6
holding CVS Stock Option 248K Nov 3, 2021 Common Stock 248K $62.21 Direct F7
holding CVS Stock Option 303K Nov 3, 2021 Common Stock 303K $54.19 Direct F8
holding CVS Stock Option 239K Nov 3, 2021 Common Stock 239K $58.34 Direct F9, F10
holding CVS Stock Option 173K Nov 3, 2021 Common Stock 173K $74.30 Direct F11
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 All sales were effected pursuant to a Rule 10b5-1 plan.
F2 Option became exercisable in three equal annual installments, commencing 9/4/2015.
F3 Reflects year-end company-match share credits under a non-qualified deferred compensation plan; share credits are payable in cash only, at such time as has been elected by the reporting person.
F4 Option became exercisable in four equal annual installments, commencing 4/1/2016.
F5 Option became exercisable in four equal annual installments, commencing 4/1/2017.
F6 Option became exercisable in four equal annual installments, commencing 4/3/2018.
F7 Option became exercisable in four equal annual installments, commencing 4/1/2019.
F8 Option became exercisable in four equal annual installments, commencing 4/1/2020.
F9 The number of shares subject to the option were calculated using a 30-day average price.
F10 Options became exercisable in four equal installments, commencing 4/1/2021.
F11 Option becomes exercisable in four equal installments, commencing 4/1/2022.