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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
STERNBERG SEYMOUR C/O EXPRESS SCRIPTS HOLDING COMPANY ONE EXPRESS WAY ST. LOUIS, MO 63121 |
X |
/s/ Martin P. Akins, as Attorney-in-Fact for Seymour Sternberg | 03/03/2016 | |
**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 balance reflects the following changes in the form of Reporting Person's beneficial ownership of shares. On December 23, 2015, 3,928 shares held in a grantor retained annuity trust (GRAT I), and indirectly beneficially owned by Reporting Person, were transferred by GRAT I to, and were directly owned by, Reporting Person. On December 31, 2015, 14,039 shares held in a separate grantor retained annuity trust (GRAT II), and indirectly beneficially owned by Reporting Person, were transferred by GRAT II to, and were directly owned by, Reporting Person. On December 31, 2015, 17,967 shares directly owned by Reporting Person were transferred to a new GRAT (GRAT III). On February 26, 2016, 17,098 shares held in GRAT II and 17,967 shares held in GRAT III, all of which were indirectly beneficially owned by Reporting Person, were transferred by GRAT II and GRAT III to, and are directly owned by, Reporting Person. |