FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 01/30/2020 |
3. Issuer Name and Ticker or Trading Symbol
Walgreens Boots Alliance, Inc. [ WBA ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 74,541(1)(2) | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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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: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option (Right to Buy) | 09/01/2014 | 09/01/2021 | Common Stock | 9,921 | $35.65 | D | |
Employee Stock Option (Right to Buy) | 11/01/2015 | 11/01/2022 | Common Stock | 15,898 | $35.5 | D | |
Employee Stock Option (Right to Buy) | 11/01/2016 | 11/01/2023 | Common Stock | 12,398 | $60.52 | D | |
Employee Stock Option (Right to Buy) | 11/01/2017 | 11/01/2024 | Common Stock | 40,283 | $64.22 | D | |
Employee Stock Option (Right to Buy) | 11/01/2018 | 11/01/2025 | Common Stock | 37,209 | $84.68 | D | |
Employee Stock Option (Right to Buy) | 11/01/2019 | 11/01/2026 | Common Stock | 56,337 | $82.46 | D | |
Employee Stock Option (Right to Buy) | (3) | 11/01/2027 | Common Stock | 61,910 | $67.01 | D | |
Employee Stock Option (Right to Buy) | (4) | 11/01/2028 | Common Stock | 47,407 | $79.9 | D | |
Employee Stock Option (Right to Buy) | (5) | 11/01/2029 | Common Stock | 50,420 | $57.38 | D | |
Employee Stock Option (Right to Buy) | (6) | 01/29/2030 | Common Stock | 26,162 | $52.28 | D |
Explanation of Responses: |
1. Includes shares underlying restricted stock units ("RSUs") granted under the amended and restated Walgreens Boots Alliance, Inc. 2013 Omnibus Incentive Plan (together with the related award agreement and the applicable election forms thereunder, the "Plan"), and shares underlying restricted stock units issued in lieu of dividends (through January 30, 2020) on outstanding restricted stock units, which were granted and vest as follows: (a) 19,535 RSUs granted on September 1, 2019 that vest with respect to 9,767 shares on September 1, 2020 and with respect to 9,768 shares on September 1, 2021; (continued in footnote 2) |
2. (continued from footnote 1) (b) 7,657 RSUs granted on November 1, 2019 and that vest with respect to 2,549 shares on November 1, 2020, with respect to 2,550 shares on November 1, 2021 and with respect to 2,558 shares on November 1, 2022; and (c) 4,782 RSUs granted on January 29, 2020 and that vest with respect to 1,592 shares on January 29, 2021, with respect to 1,592 shares on January 29, 2022 and with respect to 1,598 shares on January 29, 2023. |
3. The option vests with respect to 20,616 shares on November 1, 2018, with respect to 20,616 shares on November 1, 2019, and with respect to 20,678 shares on November 1, 2020, subject to acceleration or forfeiture in certain circumstances in accordance with the terms and conditions of the Plan. |
4. The option vests with respect to 15,786 shares on November 1, 2019, with respect to 15,787 shares on November 1, 2020, and with respect to 15,834 shares on November 1, 2021, subject to acceleration or forfeiture in certain circumstances in accordance with the terms and conditions of the Plan. |
5. The option vests with respect to 16,789 shares on November 1, 2020, with respect to 16,790 shares on November 1, 2021, and with respect to 16,841 shares on November 1, 2022, subject to acceleration or forfeiture in certain circumstances in accordance with the terms and conditions of the Plan. |
6. The option vests with respect to 8,711 shares on January 29, 2021, with respect to 8,712 shares on January 29, 2022, and with respect to 8,739 shares on January 29, 2023, subject to acceleration or forfeiture in certain circumstances in accordance with the terms and conditions of the Plan. |
Remarks: |
/s/ Kelsey Chin, attorney-in-fact | 02/06/2020 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |