SEC Form 4 · accession 0001122304-16-000236
AETNA INC /PA/ · AET
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark T Bertolini
Officer — Chairman and CEO · Director
Period of report
May 2, 2016
Accepted (ET)
May 4, 2016 · 4:20 pm EDT
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 | May 2, 2016 | M | 106,570 | $39.93 | A | 496,588 | D | |
| Common StockF2 | May 2, 2016 | F | 73,060 | $113.85 | D | 423,528 | D | |
| Common StockF3 | May 3, 2016 | S | 33,510 | $114.0005 | D | 390,018 | D | |
| Common Stock | holding | — | — | — | 454,071 | I | By GRAT |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation Right | $39.93 | May 2, 2016 | M | 106,570 | D | Jun 30, 2007 | Jun 29, 2016 | Common Stock | 106,570 | 0 | D |
Explanation of responses
- F1Excludes 454,071 shares previously owned directly which were contributed to a grantor retained annuity trust on April 18, 2016 in which Mr. Bertolini is Trustee.
- F2Stock Appreciation Right is net settled; amount represents withholding of shares by the Company to pay exercise price and taxes.
- F3Average sale price.