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CVS HEALTH Corp

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2884
SEC CIK
0000064803
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1,748

Last 12 months

Inside the activity.

0 purchase rows · 8 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 202608
Jun 202600
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Sep 202600
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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
May 03, 2012 Filed May 7, 2012 20:45 UTC
SGARRO DOUGLAS AEVP and CLO
Exercise / conversionStock Option · Derivative 137,930 $0.00 Strike: $41.17 $0.00
Disclosure

SEC source: 0001127602-12-016055 · form4.xml · derivative · entry 6

SGARRO DOUGLAS A · CIK 0001194417 · EVP and CLO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,043

Underlying: Common Stock · 137,930 shares

Expires 2015-04-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: Option became exercisable in three equal annual installments, commencing 4/1/2009.

Read SEC document
May 03, 2012 Filed May 7, 2012 20:45 UTC
SGARRO DOUGLAS AEVP and CLO
SaleCommon Stock 137,930 $46.19 $6,370,407.39
Disclosure

SEC source: 0001127602-12-016055 · form4.xml · nonDerivative · entry 2

SGARRO DOUGLAS A · CIK 0001194417 · EVP and CLO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 214.1895

F1 · kind: All transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.

F2 · price: Represents weighted average sale price with this trading day. Multiple sales were executed, with sales price ranging between $46.17 and $46.21 per share.

Read SEC document
May 03, 2012 Filed May 7, 2012 20:45 UTC
SGARRO DOUGLAS AEVP and CLO
Exercise / conversionCommon Stock 137,930 $41.17 $5,678,578.10
Disclosure

SEC source: 0001127602-12-016055 · form4.xml · nonDerivative · entry 1

SGARRO DOUGLAS A · CIK 0001194417 · EVP and CLO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 138,144.1895

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
April 04, 2012 Filed Apr 4, 2012 20:59 UTC
SGARRO DOUGLAS AEVP and CLO
SaleCommon Stock 4,608 $44.65 $205,747.20
Disclosure

SEC source: 0001127602-12-013324 · form4.xml · nonDerivative · entry 8

SGARRO DOUGLAS A · CIK 0001194417 · EVP and CLO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 214.1895

F1 · kind: All sales were effected pursuant to a Rule 10b5-1 plan.

F6 · price: Represents weighted average sale price for this trading day. Multiple sales were executed, with sales prices ranging between $44.64 and $44.66 per share.

Read SEC document
April 02, 2012 Filed Apr 4, 2012 19:58 UTC
Brennan Troyen AEVP, Chief Medical Officer
GrantStock Option · Derivative 66,548 $45.07 Strike: $45.07 $2,999,318.36
Disclosure

SEC source: 0001127602-12-013290 · form4.xml · derivative · entry 7

Brennan Troyen A · CIK 0001351402 · EVP, Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,548

Underlying: Common Stock · 66,548 shares

Expires 2019-04-02

F6 · derivative.exercise_date: Option becomes exercisable in four equal annual installments, commencing 4/2/2013.

Read SEC document
April 02, 2012 Filed Apr 4, 2012 19:58 UTC
Brennan Troyen AEVP, Chief Medical Officer
Exercise / conversionStock Option · Derivative 48,178 $0.00 Strike: $28.10 $0.00
Disclosure

SEC source: 0001127602-12-013290 · form4.xml · derivative · entry 6

Brennan Troyen A · CIK 0001351402 · EVP, Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 48,178 shares

Expires 2016-04-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_date: Option became exercisable in three equal annual installments, commencing 4/1/2010.

Read SEC document
April 02, 2012 Filed Apr 4, 2012 19:58 UTC
Brennan Troyen AEVP, Chief Medical Officer
Tax withholdingCommon Stock 2,549 $45.07 $114,883.43
Disclosure

SEC source: 0001127602-12-013290 · form4.xml · nonDerivative · entry 4

Brennan Troyen A · CIK 0001351402 · EVP, Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,920.1987

F4 · shares: Surrender of shares in payment of withholding taxes due.

Read SEC document
April 02, 2012 Filed Apr 4, 2012 19:58 UTC
Brennan Troyen AEVP, Chief Medical Officer
GrantCommon Stock (restricted) 16,641 $45.07 $750,009.87
Disclosure

SEC source: 0001127602-12-013290 · form4.xml · nonDerivative · entry 3

Brennan Troyen A · CIK 0001351402 · EVP, Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,573

F3 · shares: Consists of Restricted Stock Units awarded pursuant to Issuer's 2010 Incentive Compensation Plan. Restrictions lapse 50% on 4/2/2015 and 50% on 4/2/2017.

Read SEC document
April 02, 2012 Filed Apr 4, 2012 19:58 UTC
Brennan Troyen AEVP, Chief Medical Officer
SaleCommon Stock 48,178 $44.96 $2,166,116.60
Disclosure

SEC source: 0001127602-12-013290 · form4.xml · nonDerivative · entry 2

Brennan Troyen A · CIK 0001351402 · EVP, Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,469.1987

F1 · kind: All sales were effected pursuant to a Rule 10b5-1 plan.

F2 · shares: Represents weighted average sale price for this trading day. Multiple sales were executed, with sales prices ranging between $44.21 and $45.19 per share.

Read SEC document
April 02, 2012 Filed Apr 4, 2012 19:58 UTC
Brennan Troyen AEVP, Chief Medical Officer
Exercise / conversionCommon Stock 48,178 $28.10 $1,353,801.80
Disclosure

SEC source: 0001127602-12-013290 · form4.xml · nonDerivative · entry 1

Brennan Troyen A · CIK 0001351402 · EVP, Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,647.1987

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
April 02, 2012 Filed Apr 4, 2012 20:03 UTC
MERLO LARRY JDirector · President and CEO
GrantStock Option · Derivative 332,736 $45.07 Strike: $45.07 $14,996,411.52
Disclosure

SEC source: 0001127602-12-013293 · form4.xml · derivative · entry 6

MERLO LARRY J · CIK 0001194413 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 332,736

Underlying: Common Stock · 332,736 shares

Expires 2019-04-02

F2 · derivative.exercise_date: Option becomes exercisable in four equal annual installments, commencing 4/2/2013.

Read SEC document
April 02, 2012 Filed Apr 4, 2012 20:03 UTC
MERLO LARRY JDirector · President and CEO
GrantCommon Stock (restricted) 83,204 $45.07 $3,750,004.28
Disclosure

SEC source: 0001127602-12-013293 · form4.xml · nonDerivative · entry 1

MERLO LARRY J · CIK 0001194413 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 288,004

F1 · shares: Consists of Restricted Stock Units awarded pursuant to Issuer's 2010 Incentive Compensation Plan. Restrictions lapse 50% on 4/2/2015 and 50% on 4/2/2017.

Read SEC document
April 02, 2012 Filed Apr 4, 2012 20:06 UTC GrantStock Option · Derivative 110,912 $45.07 Strike: $45.07 $4,998,803.84
Disclosure

SEC source: 0001127602-12-013295 · form4.xml · derivative · entry 5

Denton David M · CIK 0001428718 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,912

Underlying: Common Stock · 110,912 shares

Expires 2019-04-02

F3 · derivative.exercise_date: Option becomes exercisable in four equal annual installments, commencing 4/2/2013.

Read SEC document
April 02, 2012 Filed Apr 4, 2012 20:06 UTC Tax withholdingCommon Stock 800 $45.07 $36,056.00
Disclosure

SEC source: 0001127602-12-013295 · form4.xml · nonDerivative · entry 2

Denton David M · CIK 0001428718 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,046.8264

F2 · shares: Surrender of shares in payment of withholding taxes due.

Read SEC document
April 02, 2012 Filed Apr 4, 2012 20:06 UTC GrantCommon Stock (restricted) 27,735 $45.07 $1,250,016.45
Disclosure

SEC source: 0001127602-12-013295 · form4.xml · nonDerivative · entry 1

Denton David M · CIK 0001428718 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

F1 · shares: Consists of Restricted Stock Units awarded pursuant to Issuer's 2010 Incentive Compensation Plan. Restrictions lapse 50% on 4/2/2015 and 50% on 4/2/2017.

Read SEC document
April 02, 2012 Filed Apr 4, 2012 20:09 UTC
Roberts Jonathan CEVP & COO, Caremark
GrantStock Option · Derivative 77,639 $45.07 Strike: $45.07 $3,499,189.73
Disclosure

SEC source: 0001127602-12-013297 · form4.xml · derivative · entry 5

Roberts Jonathan C · CIK 0001410515 · EVP & COO, Caremark

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,639

Underlying: Common Stock · 77,639 shares

Expires 2019-04-02

F3 · derivative.exercise_date: Option becomes exercisable in four equal annual installments, commencing 4/2/2013.

Read SEC document
April 02, 2012 Filed Apr 4, 2012 20:09 UTC
Roberts Jonathan CEVP & COO, Caremark
Tax withholdingCommon Stock 1,794 $45.07 $80,855.58
Disclosure

SEC source: 0001127602-12-013297 · form4.xml · nonDerivative · entry 2

Roberts Jonathan C · CIK 0001410515 · EVP & COO, Caremark

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,819.2866

F2 · shares: Surrender of shares in payment of withholding taxes due.

Read SEC document
April 02, 2012 Filed Apr 4, 2012 20:09 UTC
Roberts Jonathan CEVP & COO, Caremark
GrantCommon Stock (restricted) 19,415 $45.07 $875,034.05
Disclosure

SEC source: 0001127602-12-013297 · form4.xml · nonDerivative · entry 1

Roberts Jonathan C · CIK 0001410515 · EVP & COO, Caremark

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,228

F1 · shares: Consists of Restricted Stock Units awarded pursuant to Issuer's 2010 Incentive Compensation Plan. Restrictions lapse 50% on 4/2/2015 and 50% on 4/2/2017.

Read SEC document
April 02, 2012 Filed Apr 4, 2012 20:15 UTC
COSBY MARKEVP & President-CVS/pharmacy
GrantStock Option · Derivative 66,548 $45.07 Strike: $45.07 $2,999,318.36
Disclosure

SEC source: 0001127602-12-013298 · form4.xml · derivative · entry 3

COSBY MARK · CIK 0001214180 · EVP & President-CVS/pharmacy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,548

Underlying: Common Stock · 66,548 shares

Expires 2019-04-02

F2 · derivative.exercise_date: Option becomes exercisable in four equal annual installments, commencing 4/2/2013.

Read SEC document
April 02, 2012 Filed Apr 4, 2012 20:15 UTC
COSBY MARKEVP & President-CVS/pharmacy
GrantCommon Stock (restricted) 16,641 $45.07 $750,009.87
Disclosure

SEC source: 0001127602-12-013298 · form4.xml · nonDerivative · entry 1

COSBY MARK · CIK 0001214180 · EVP & President-CVS/pharmacy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,487

F1 · shares: Consists of Restricted Stock Units awarded pursuant to Issuer's 2010 Incentive Compensation Plan. Restrictions lapse 50% on 4/2/2015 and 50% on 4/2/2017.

Read SEC document
April 02, 2012 Filed Apr 4, 2012 20:18 UTC
Foulkes HelenaExecutive Vice President
GrantStock Option · Derivative 39,929 $45.07 Strike: $45.07 $1,799,600.03
Disclosure

SEC source: 0001127602-12-013299 · form4.xml · derivative · entry 6

Foulkes Helena · CIK 0001429996 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,929

Underlying: Common Stock · 39,929 shares

Expires 2019-04-02

F3 · derivative.exercise_date: Option becomes exercisable in four equal annual installments, commencing 4/2/2013.

Read SEC document
April 02, 2012 Filed Apr 4, 2012 20:18 UTC
Foulkes HelenaExecutive Vice President
Tax withholdingCommon Stock 2,551 $45.07 $114,973.57
Disclosure

SEC source: 0001127602-12-013299 · form4.xml · nonDerivative · entry 2

Foulkes Helena · CIK 0001429996 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,290.077

F2 · shares: Surrender of shares in payment of withholding taxes due.

Read SEC document
April 02, 2012 Filed Apr 4, 2012 20:18 UTC
Foulkes HelenaExecutive Vice President
GrantCommon Stock (restricted) 9,985 $45.07 $450,023.95
Disclosure

SEC source: 0001127602-12-013299 · form4.xml · nonDerivative · entry 1

Foulkes Helena · CIK 0001429996 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,358

F1 · shares: Consists of Restricted Stock Units awarded pursuant to Issuer's 2010 Incentive Compensation Plan. Restrictions lapse 50% on 4/2/2015 and 50% on 4/2/2017.

Read SEC document
April 02, 2012 Filed Apr 4, 2012 20:20 UTC
Joyner J. DavidEVP, Sales & Account Services
GrantStock Option · Derivative 35,492 $45.07 Strike: $45.07 $1,599,624.44
Disclosure

SEC source: 0001127602-12-013300 · form4.xml · derivative · entry 3

Joyner J. David · CIK 0001515598 · EVP, Sales & Account Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,492

Underlying: Common Stock · 35,492 shares

Expires 2019-04-02

F3 · derivative.exercise_date: Option becomes exercisable in four equal annual installments, commencing 4/2/2013.

Read SEC document
April 02, 2012 Filed Apr 4, 2012 20:20 UTC
Joyner J. DavidEVP, Sales & Account Services
Tax withholdingCommon Stock 2,153 $45.07 $97,035.71
Disclosure

SEC source: 0001127602-12-013300 · form4.xml · nonDerivative · entry 2

Joyner J. David · CIK 0001515598 · EVP, Sales & Account Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,786

F2 · shares: Surrender of shares in payment of withholding taxes due.

Read SEC document
April 02, 2012 Filed Apr 4, 2012 20:20 UTC
Joyner J. DavidEVP, Sales & Account Services
GrantCommon Stock (restricted) 8,876 $45.07 $400,041.32
Disclosure

SEC source: 0001127602-12-013300 · form4.xml · nonDerivative · entry 1

Joyner J. David · CIK 0001515598 · EVP, Sales & Account Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,419

F1 · shares: Consists of Restricted Stock Units awarded pursuant to Issuer's 2010 Incentive Compensation Plan. Restrictions lapse 50% on 4/2/2015 and 50% on 4/2/2017.

Read SEC document
April 02, 2012 Filed Apr 4, 2012 20:29 UTC
Bisaccia LisaSVP, Chief HR Officer
GrantStock Option · Derivative 31,056 $45.07 Strike: $45.07 $1,399,693.92
Disclosure

SEC source: 0001127602-12-013303 · form4.xml · derivative · entry 5

Bisaccia Lisa · CIK 0001479663 · SVP, Chief HR Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,056

Underlying: Common Stock · 31,056 shares

Expires 2019-04-02

F3 · derivative.exercise_date: Option becomes exercisable in four equal annual installments, commencing 4/2/2013.

Read SEC document
April 02, 2012 Filed Apr 4, 2012 20:29 UTC
Bisaccia LisaSVP, Chief HR Officer
Tax withholdingCommon Stock 2,578 $45.07 $116,190.46
Disclosure

SEC source: 0001127602-12-013303 · form4.xml · nonDerivative · entry 2

Bisaccia Lisa · CIK 0001479663 · SVP, Chief HR Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,085

F2 · shares: Surrender of shares in payment of withholding taxes due.

Read SEC document
April 02, 2012 Filed Apr 4, 2012 20:29 UTC
Bisaccia LisaSVP, Chief HR Officer
GrantCommon Stock (restricted) 7,766 $45.07 $350,013.62
Disclosure

SEC source: 0001127602-12-013303 · form4.xml · nonDerivative · entry 1

Bisaccia Lisa · CIK 0001479663 · SVP, Chief HR Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,968.0004

F1 · shares: Consists of Restricted Stock Units awarded pursuant to Issuer's 2010 Incentive Compensation Plan. Restrictions lapse 50% on 4/2/2015 and 50% on 4/2/2017.

Read SEC document
April 02, 2012 Filed Apr 4, 2012 20:47 UTC
Sussman AndrewSVP & President, MinuteClinic
GrantStock Option · Derivative 26,619 $45.07 Strike: $45.07 $1,199,718.33
Disclosure

SEC source: 0001127602-12-013316 · form4.xml · derivative · entry 4

Sussman Andrew · CIK 0001515706 · SVP & President, MinuteClinic

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,619

Underlying: Common Stock · 26,619 shares

Expires 2019-04-02

F2 · derivative.exercise_date: Option becomes exercisable in four equal annual installments, commencing 4/2/2013.

Read SEC document
April 02, 2012 Filed Apr 4, 2012 20:47 UTC
Sussman AndrewSVP & President, MinuteClinic
GrantCommon Stock (restricted) 6,657 $45.07 $300,030.99
Disclosure

SEC source: 0001127602-12-013316 · form4.xml · nonDerivative · entry 1

Sussman Andrew · CIK 0001515706 · SVP & President, MinuteClinic

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,304

F1 · shares: Consists of Restricted Stock Units awarded pursuant to Issuer's 2010 Incentive Compensation Plan. Restrictions lapse 50% on 4/2/2015 and 50% on 4/2/2017.

Read SEC document
April 02, 2012 Filed Apr 4, 2012 20:51 UTC
Lofberg Per GHEVP and President, Caremark
GrantStock Option · Derivative 347,343 $45.07 Strike: $45.07 $15,654,749.01
Disclosure

SEC source: 0001127602-12-013322 · form4.xml · derivative · entry 1

Lofberg Per GH · CIK 0001318289 · EVP and President, Caremark

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 347,343

Underlying: Common Stock · 347,343 shares

Expires 2019-12-31

F1 · derivative.exercise_date: Option becomes exercisable on December 31, 2013.

Read SEC document
April 02, 2012 Filed Apr 4, 2012 20:55 UTC
Daniels LairdSVP, Cont & Chief Acct Officer
GrantStock Option · Derivative 19,965 $45.07 Strike: $45.07 $899,822.55
Disclosure

SEC source: 0001127602-12-013323 · form4.xml · derivative · entry 4

Daniels Laird · CIK 0001479828 · SVP, Cont & Chief Acct Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,965

Underlying: Common Stock · 19,965 shares

Expires 2019-04-02

F3 · derivative.exercise_date: Option becomes exercisable in four equal annual installments, commencing 4/2/2013.

Read SEC document
April 02, 2012 Filed Apr 4, 2012 20:55 UTC
Daniels LairdSVP, Cont & Chief Acct Officer
Tax withholdingCommon Stock 247 $45.07 $11,132.29
Disclosure

SEC source: 0001127602-12-013323 · form4.xml · nonDerivative · entry 2

Daniels Laird · CIK 0001479828 · SVP, Cont & Chief Acct Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,822.9237

F2 · shares: Surrender of shares in payment of withholding taxes due.

Read SEC document
April 02, 2012 Filed Apr 4, 2012 20:55 UTC
Daniels LairdSVP, Cont & Chief Acct Officer
GrantCommon Stock (restricted) 4,993 $45.07 $225,034.51
Disclosure

SEC source: 0001127602-12-013323 · form4.xml · nonDerivative · entry 1

Daniels Laird · CIK 0001479828 · SVP, Cont & Chief Acct Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,267

F1 · shares: Consists of Restricted Stock Units awarded pursuant to Issuer's 2010 Incentive Compensation Plan. Restrictions lapse on 4/2/2016.

Read SEC document
April 02, 2012 Filed Apr 4, 2012 20:59 UTC
SGARRO DOUGLAS AEVP and CLO
Exercise / conversionStock Option · Derivative 64,237 $0.00 Strike: $28.10 $0.00
Disclosure

SEC source: 0001127602-12-013324 · form4.xml · derivative · entry 14

SGARRO DOUGLAS A · CIK 0001194417 · EVP and CLO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 64,237 shares

Expires 2016-04-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F9 · derivative.exercise_date: Option became exercisable in three equal annual installments, commencing 4/1/2010.

Read SEC document
April 02, 2012 Filed Apr 4, 2012 20:59 UTC
SGARRO DOUGLAS AEVP and CLO
Exercise / conversionStock Option · Derivative 23,445 $0.00 Strike: $34.96 $0.00
Disclosure

SEC source: 0001127602-12-013324 · form4.xml · derivative · entry 13

SGARRO DOUGLAS A · CIK 0001194417 · EVP and CLO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,336

Underlying: Common Stock · 23,445 shares

Expires 2018-04-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F8 · derivative.exercise_date: Option becomes exercisable in four equal annual installments, commencing 4/1/2012.

Read SEC document
April 02, 2012 Filed Apr 4, 2012 20:59 UTC
SGARRO DOUGLAS AEVP and CLO
Exercise / conversionStock Option · Derivative 44,622 $0.00 Strike: $36.23 $0.00
Disclosure

SEC source: 0001127602-12-013324 · form4.xml · derivative · entry 12

SGARRO DOUGLAS A · CIK 0001194417 · EVP and CLO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,622

Underlying: Common Stock · 44,622 shares

Expires 2017-04-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F7 · derivative.exercise_date: Option became exercisable in three equal annual installments, commencing 4/1/2011.

Read SEC document
April 02, 2012 Filed Apr 4, 2012 20:59 UTC
SGARRO DOUGLAS AEVP and CLO
SaleCommon Stock 64,237 $44.96 $2,888,095.52
Disclosure

SEC source: 0001127602-12-013324 · form4.xml · nonDerivative · entry 7

SGARRO DOUGLAS A · CIK 0001194417 · EVP and CLO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,822.1895

F1 · kind: All sales were effected pursuant to a Rule 10b5-1 plan.

F5 · price: Represents weighted average sale price for this trading day. Multiple sales were executed, with sales prices ranging between $44.21 and $45.18 per share.

Read SEC document
April 02, 2012 Filed Apr 4, 2012 20:59 UTC
SGARRO DOUGLAS AEVP and CLO
SaleCommon Stock 23,445 $44.96 $1,054,087.20
Disclosure

SEC source: 0001127602-12-013324 · form4.xml · nonDerivative · entry 6

SGARRO DOUGLAS A · CIK 0001194417 · EVP and CLO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,059.1895

F1 · kind: All sales were effected pursuant to a Rule 10b5-1 plan.

F4 · price: Represents weighted average sale price for this trading day. Multiple sales were executed, with sales prices ranging between $44.21 and $45.18 per share.

Read SEC document
April 02, 2012 Filed Apr 4, 2012 20:59 UTC
SGARRO DOUGLAS AEVP and CLO
SaleCommon Stock 44,622 $44.96 $2,006,205.12
Disclosure

SEC source: 0001127602-12-013324 · form4.xml · nonDerivative · entry 5

SGARRO DOUGLAS A · CIK 0001194417 · EVP and CLO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,504.1895

F1 · kind: All sales were effected pursuant to a Rule 10b5-1 plan.

F3 · price: Represents weighted average sale price for this trading day. Multiple sales were executed, with sales prices ranging between $44.21 and $45.18 per share.

Read SEC document
April 02, 2012 Filed Apr 4, 2012 20:59 UTC
SGARRO DOUGLAS AEVP and CLO
Exercise / conversionCommon Stock 64,237 $28.10 $1,805,059.70
Disclosure

SEC source: 0001127602-12-013324 · form4.xml · nonDerivative · entry 4

SGARRO DOUGLAS A · CIK 0001194417 · EVP and CLO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,126.1895

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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April 02, 2012 Filed Apr 4, 2012 20:59 UTC
SGARRO DOUGLAS AEVP and CLO
Exercise / conversionCommon Stock 23,445 $34.96 $819,637.20
Disclosure

SEC source: 0001127602-12-013324 · form4.xml · nonDerivative · entry 3

SGARRO DOUGLAS A · CIK 0001194417 · EVP and CLO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,288.1895

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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April 02, 2012 Filed Apr 4, 2012 20:59 UTC
SGARRO DOUGLAS AEVP and CLO
Tax withholdingCommon Stock 3,399 $45.07 $153,192.93
Disclosure

SEC source: 0001127602-12-013324 · form4.xml · nonDerivative · entry 2

SGARRO DOUGLAS A · CIK 0001194417 · EVP and CLO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,889.1895

F2 · shares: Surrender of shares in payment of withholding taxes due.

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April 02, 2012 Filed Apr 4, 2012 20:59 UTC
SGARRO DOUGLAS AEVP and CLO
Exercise / conversionCommon Stock 44,622 $36.23 $1,616,655.06
Disclosure

SEC source: 0001127602-12-013324 · form4.xml · nonDerivative · entry 1

SGARRO DOUGLAS A · CIK 0001194417 · EVP and CLO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,843.1895

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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April 02, 2012 Filed May 4, 2012 18:47 UTC Amendment
Foulkes HelenaExecutive Vice President
Tax withholdingCommon Stock 2,551 $45.07 $114,973.57
Disclosure

SEC source: 0001127602-12-015915 · form4a.xml · nonDerivative · entry 1

Foulkes Helena · CIK 0001429996 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,512.077

F1 · balance_after: The purpose of this Amended Form 4A is to correct the total share amount which was reported incorrectly on the original Form 4 due to a computer error.

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April 02, 2012 Filed Jun 12, 2012 19:54 UTC Amendment
Daniels LairdSVP, Cont & Chief Acct Officer
GrantCommon Stock (restricted) 4,993 $45.07 $225,034.51
Disclosure

SEC source: 0001127602-12-019906 · form4a.xml · nonDerivative · entry 1

Daniels Laird · CIK 0001479828 · SVP, Cont & Chief Acct Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,267

F1 · shares: The purpose of this Form 4/A is to correct the vesting schedule of the reporting person's restricted stock award, which was initially incorrectly reported due to a clerical error. Restrictions lapse 50% on 4/2/2015 and 50% on 4/2/2017.

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March 16, 2012 Filed Mar 20, 2012 20:11 UTC Exercise / conversionStock Option · Derivative 17,848 $0.00 Strike: $36.23 $0.00
Disclosure

SEC source: 0001127602-12-011394 · form4.xml · derivative · entry 6

MCGUIGAN STUART M · CIK 0001335234 · SVP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,698

Underlying: Common Stock · 17,848 shares

Expires 2017-04-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: Option became exercisable in three equal annual installments, commencing 4/1/2011.

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March 16, 2012 Filed Mar 20, 2012 20:11 UTC SaleCommon Stock 17,848 $45.22 $807,086.56
Disclosure

SEC source: 0001127602-12-011394 · form4.xml · nonDerivative · entry 2

MCGUIGAN STUART M · CIK 0001335234 · SVP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,966.6882

F1 · price: Represents weighted average sale price for this trading day. Multiple sales were executed, with sales prices ranging between $45.21 and $45.24 per share.

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March 16, 2012 Filed Mar 20, 2012 20:11 UTC Exercise / conversionCommon Stock 17,848 $36.23 $646,633.04
Disclosure

SEC source: 0001127602-12-011394 · form4.xml · nonDerivative · entry 1

MCGUIGAN STUART M · CIK 0001335234 · SVP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,814.6882

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.