SEC Form 4 · accession 0001122304-15-000046
AETNA INC /PA/ · AET
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Mark T Bertolini
Officer — Chairman and CEO · Director
Period of report
Mar 2, 2015
Accepted (ET)
Mar 4, 2015 · 4:18 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001122304
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Mar 3, 2015 | M | 9,549 | — | A | 733,840 | D | |
| Common StockF3 | Mar 3, 2015 | F | 4,646 | $99.79 | D | 729,194 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation RightF4 | $100.50 | Mar 2, 2015 | A | 36,316 | A | Mar 2, 2016 | Mar 1, 2025 | Common Stock | 36,316 | 36,316 | D |
| Restricted Stock UnitsF2,F5 | — | Mar 2, 2015 | A | 26,527 | A | — | — | Common Stock | 26,527 | 26,527 | D |
| Restricted Stock UnitsF2,F6 | — | Mar 3, 2015 | M | 9,549 | D | — | — | Common Stock | 9,549 | 19,098 | D |
Explanation of responses
- F1Represents vesting of previously reported Restricted Stock Units granted under the Aetna Inc. 2010 Stock Incentive Plan (the "Plan").
- F2Each Restricted Stock Unit represents a right to receive one share of Aetna Inc. Common Stock net of taxes.
- F3Represents tax withholding on vesting of previously reported Restricted Stock Units.
- F4Stock Appreciation Right granted under the Plan, exercisable in three annual installments beginning March 2, 2016.
- F5Restricted Stock Units granted under the Plan, units will vest in three annual installments beginning March 2, 2016.
- F6Restricted Stock Units previously granted under the Plan.