0001628619-15-000003.txt : 20151103 0001628619-15-000003.hdr.sgml : 20151103 20151103074110 ACCESSION NUMBER: 0001628619-15-000003 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20151030 FILED AS OF DATE: 20151103 DATE AS OF CHANGE: 20151103 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Walgreens Boots Alliance, Inc. CENTRAL INDEX KEY: 0001618921 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-DRUG STORES AND PROPRIETARY STORES [5912] IRS NUMBER: 471758322 STATE OF INCORPORATION: DE FISCAL YEAR END: 0831 BUSINESS ADDRESS: STREET 1: 108 WILMOT ROAD CITY: DEERFIELD STATE: IL ZIP: 60015 BUSINESS PHONE: (847) 315-2500 MAIL ADDRESS: STREET 1: 108 WILMOT ROAD CITY: DEERFIELD STATE: IL ZIP: 60015 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Pessina Stefano CENTRAL INDEX KEY: 0001554687 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36759 FILM NUMBER: 151192187 MAIL ADDRESS: STREET 1: 24 BOULEVARD DE TENAO CITY: MONTE CARLO STATE: O9 ZIP: 98000 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2015-10-30 0 0001618921 Walgreens Boots Alliance, Inc. WBA 0001554687 Pessina Stefano 24 BOULEVARD DU TENAO MONTE CARLO O9 98000 MONACO 1 1 1 0 Executive Vice Chairman, CEO Common Stock, par value $0.01 per share 2015-10-30 4 A 0 93608 0 A 94750 D Common Stock, par value $0.01 per share 74296870 I By ASP Common Stock, par value $0.01 per share 139689339 I By Gibco On October 30, 2015, the Compensation Committee determined that the performance criteria applicable to this restricted stock unit award granted on January 15, 2015 (not a derivative security within the meaning of Rule 16a-1(c) upon grant) under the Walgreens Boots Alliance, Inc. 2013 Omnibus Incentive Plan, as amended (together with the related award agreement, the 'Plan') had been satisfied. The shares underlying these restricted stock units will vest on January 15, 2018, subject to the terms and conditions of the Plan. Includes shares underlying restricted stock units issued in lieu of dividends (through October 30, 2015) on outstanding restricted stock units, including 1,142 shares with respect to the restricted stock unit award described in note (1) above. Shares of common stock are held of record by a corporation, Alliance Sante Participations S.A. ('ASP') which is 100% owned by another corporation, NEWCIP S.A., which is 100% controlled by the Reporting Person. ASP owns directly and of record 50% of the voting power of Sprint Acquisitions Holdings Limited (f/k/a AB Acquisitions Holdings Limited, 'Gibco') and 45.2% of the class of shares with an economic interest in the 139,689,339 WBA shares held by Gibco. Entities affiliated with Kohlberg Kravis & Roberts & Co. L.P. ('KKR') own the other 50% of the voting power of Gibco. As a result, through his indirect control of ASP, the Reporting Person may be deemed to control Gibco jointly with KKR and to share with KKR beneficial ownership of the 139,689,339 shares held directly and of record by Gibco. The Reporting Person expressly disclaims beneficial ownership over such shares, except to the extent of the pecuniary interest of ASP therein. Based on its ownership of 45.2% of the class of Gibco shares with an economic interest in the 139,689,339 shares held by Gibco, ASP (and indirectly the Reporting Person) has a pecuniary interest in 63,162,110 of the 139,689,339 shares held directly and of record by Gibco. Benjamin S.J. Burman, attorney-in-fact 2015-11-03