Sec Form 4 Filing - Moriarty Thomas M @ CVS HEALTH Corp - 2021-03-29

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
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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1. Name and Address of Reporting Person
Moriarty Thomas M
2. Issuer Name and Ticker or Trading Symbol
CVS HEALTH Corp [ CVS]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
EVP & General Counsel
(Last) (First) (Middle)
ONE CVS DRIVE
3. Date of Earliest Transaction (MM/DD/YY)
03/29/2021
(Street)
WOONSOCKET, RI02895
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 03/29/2021 M 62,943 A $ 74.29 62,943 D
Common Stock 03/29/2021 S( 1 ) 62,943 D $ 76.15 ( 2 ) 0 D
Common Stock 18,226.0221 I By GRAT
Common Stock (restricted) 12,778 D
Stock Unit 45,455.2448 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option $ 74.29 03/29/2021 M 62,943 04/01/2015( 3 ) 04/01/2021 Common Stock 62,943 $ 0 0 D
Stock Option $ 48.67 10/01/2015( 4 ) 10/01/2022 Common Stock 0 0 D
Stock Option $ 102.26 04/01/2016( 5 ) 04/01/2022 Common Stock 51,361 51,361 D
Stock Option $ 104.82 04/01/2017( 6 ) 04/01/2023 Common Stock 71,696 71,696 D
Stock Option $ 78.05 04/03/2018( 7 ) 04/03/2024 Common Stock 125,224 125,224 D
Stock Option $ 62.21 04/01/2019( 8 ) 04/01/2025 Common Stock 145,959 145,959 D
Stock Option $ 54.19 04/01/2020( 9 ) 04/01/2029 Common Stock 202,007 202,007 D
Stock Option $ 58.34 ( 10 ) 04/01/2021( 11 ) 04/01/2030 Common Stock 197,116 197,116 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Moriarty Thomas M
ONE CVS DRIVE
WOONSOCKET, RI02895
EVP & General Counsel
Signatures
/s/ Thomas M. Moriarty 03/30/2021
Signature of Reporting Person Date
Explanation of Responses:
( 1 )All sales were effected pursuant to a Rule 10b5-1 plan.
( 2 )Represents weighted average sale price for this group of sales, which occurred on the same trading day. Multiple sales were executed, with sale prices ranging between $75.51 and $76.68 per share.
( 3 )Option became exercisable in four equal annual installments, commencing 4/1/2015.
( 4 )Option became exercisable in three equal annual installments, commencing 10/1/2015.
( 5 )Option became exercisable in four equal annual installments, commencing 4/1/2016.
( 6 )Option became exercisable in four equal annual installments, commencing 4/1/2017.
( 7 )Option became exercisable in four equal annual installments, commencing 4/3/2018.
( 8 )Option became exercisable in four equal annual installments, commencing 4/1/2019.
( 9 )Option became exercisable in four equal annual installments, commencing 4/1/2020.
( 10 )The number of shares subject to the option were calculated using a 30-day average price.
( 11 )Option becomes exercisable in four equal annual installments, commencing 4/1/2021.

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