SEC Form 3
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*
Heckman Todd

(Last) (First) (Middle)
C/O WALGREENS BOOTS ALLIANCE, INC.
108 WILMOT ROAD

(Street)
DEERFIELD IL 60015

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
07/27/2023
3. Issuer Name and Ticker or Trading Symbol
Walgreens Boots Alliance, Inc. [ WBA ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Interim Global Controller
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
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 10,044(1)(2) D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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) 11/01/2019 11/01/2026 Common Stock 7,335 $82.46 D
Employee Stock Option (Right to Buy) (3) 11/01/2027 Common Stock 8,831 $67.01 D
Employee Stock Option (Right to Buy) (4) 11/01/2028 Common Stock 6,172 $79.9 D
Employee Stock Option (Right to Buy) (5) 11/01/2029 Common Stock 7,550 $57.38 D
Employee Stock Option (Right to Buy) (6) 11/01/2030 Common Stock 5,160 $34.04 D
Employee Stock Option (Right to Buy) (7) 11/01/2031 Common Stock 11,385 $47.32 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 "2013 Plan"), RSUs granted under the Walgreens Boots Alliance, Inc. 2021 Omnibus Incentive Plan (together with the related award agreement and the applicable election forms thereunder, the "2021 Plan") and shares underlying the RSUs issued in lieu of dividends (through July 30, 2023) on the outstanding RSUs. (continued in footnote 2)
2. (continued from footnote 1) RSUs were granted and vest as follows (a) 516 RSUs granted on November 1, 2020 and vest on November 1, 2023; (b) 1,218 RSUs granted on November 1, 2021 that vest with respect to 608 units on November 1, 2023 and with respect to 610 units on November 1, 2024; and (c) 4,529 RSUs granted on November 1, 2022 that vest with respect to 1,508 units on November 1, 2023, with respect to 1,508 units on November 1, 2024, and with respect 1,513 units on November 1, 2025.
3. The option vests with respect to 2,940 shares on November 1, 2018, with respect to 2,941 shares on November 1, 2019, and with respect to 2,950 shares on November 1, 2020, subject to acceleration or forfeiture in certain circumstances in accordance with the terms and conditions of the 2013 Plan.
4. The option vests with respect to 2,055 shares on November 1, 2019, with respect to 2,055 shares on November 1, 2020, and with respect to 2,062 shares on November 1, 2021, subject to acceleration or forfeiture in certain circumstances in accordance with the terms and conditions of the 2013 Plan.
5. The option vests with respect to 2,514 shares on November 1, 2020, with respect to 2,514 shares on November 1, 2021, and with respect to 2,522 shares on November 1, 2022, subject to acceleration or forfeiture in certain circumstances in accordance with the terms and conditions of the 2013 Plan.
6. The option vests with respect to 2,576 shares on November 1, 2022, and with respect to 2,584 shares on November 1, 2023, subject to acceleration or forfeiture in certain circumstances in accordance with the terms and conditions of the 2013 Plan.
7. The option vests with respect to 3,791 shares on November 1, 2022, with respect to 3,791 shares on November 1, 2023, and with respect to 3,803 shares on November 1, 2024, subject to acceleration or forfeiture in certain circumstances in accordance with the terms and conditions of the 2021 Plan.
Remarks:
Mr. Heckman's complete title is Vice President, Interim Global Controller and Chief Accounting Officer.
/s/ Todd Heckman by Cherita Thomas, Attorney-in-Fact 08/07/2023
** 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.
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