UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
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) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Non-Qualified Stock Option (Right-to-Buy) | Â (1) | 03/06/2020 | Express Scripts Holding Company Common Stock | 27,234 | $ 58.17 | D | Â |
Non-Qualified Stock Option (Right-to-Buy) | Â (2) | 02/27/2019 | Express Scripts Holding Company Common Stock | 7,113 | $ 53.05 | D | Â |
Non-Qualified Stock Option (Right-to-Buy) | Â (3) | 02/27/2019 | Express Scripts Holding Company Common Stock | 32,712 | $ 53.05 | D | Â |
Non-Qualifed Stock Option (Right-to-Buy) | Â (4) | 03/02/2018 | Express Scripts Holding Company Common Stock | 24,558 | $ 56.5 | D | Â |
Non-Qualified Stock Option (Right-to-Buy) | Â (5) | 03/03/2017 | Express Scripts Holding Company Common Stock | 26,468 | $ 49.495 | D | Â |
Non-Qualified Stock Option (Right-to-Buy) | Â (6) | 02/26/2015 | Express Scripts Holding Company Common Stock | 8,068 | $ 31.92 | D | Â |
Phantom Stock Unit (7) | Â (7) | Â (7) | Express Scripts Holding Company Common Stock | 1,050.1888 | $ (7) | D | Â |
Phantom Stock Unit (8) | Â (8) | Â (8) | Express Scripts Holding Company Common Stock | 309.162 | $ (8) | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Wimberly Gary C/O EXPRESS SCRIPTS HOLDING COMPANY ONE EXPRESS WAY ST. LOUIS, MO 63121 |
 |  |  Sr. VP & Ch. Information Off. |  |
/s/ Gary M. Wimberly | 02/07/2014 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Grant of stock options pursuant to the Express Scripts, Inc. 2011 Long-Term Incentive Plan. Vests in three (3) equal installments on February 28, 2014, February 28, 2015, and February 28, 2016. |
(2) | Grant of stock options pursuant to the Express Scripts, Inc. 2011 Long-Term Incentive Plan. Vests on February 28, 2014. |
(3) | Grant of stock options pursuant to the Express Scripts, Inc. 2011 Long-Term Incentive Plan. Vests in three (3) equal installments on February 28, 2013, February 28, 2014, and February 28, 2015. |
(4) | Grant of stock options pursuant to the Express Scripts, Inc. 2000 Long-Term Incentive Plan. Vests in three (3) equal installments on February 28, 2012, February 28, 2013, and February 28, 2014. |
(5) | Grant of stock options pursuant to the Express Scripts, Inc. 2000 Long-Term Incentive Plan. All shares vested on February 28, 2013. |
(6) | Grant of stock options pursuant to the Express Scripts, Inc. 2000 Long-Term Incentive Plan. All shares vested on February 26, 2011. |
(7) | Phantom Stock Units credited under the Company's Executive Deferred Compensation Plan. All company credits to the participant's account vest in three (3) years after the plan year to which a particular credit relates. Upon distribution each Phantom Stock Unit converts to one share of the Company's Common Stock. |
(8) | Phantom Stock Units credited under the Company's Executive Deferred Compensation Plan by the participant. All participant credits are immediately vested. Upon distribution each Phantom Stock Unit converts to one share of the Company's Common Stock. The reporting person may transfer the investments from the phantom stock account relating to participant credits into an alternative investment account. |
 Remarks: Attached Ex-24 - Power of Attorney |