SEC Form 4 · accession 0001122304-16-000281
AETNA INC /PA/ · AET
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Francis S Soistman Jr.
Officer — Exec. VP, Government Services
Period of report
Aug 12, 2016
Accepted (ET)
Aug 16, 2016 · 4:32 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,F2 | Aug 12, 2016 | M | 11,403 | — | A | 27,322 | D | |
| Common Stock | Aug 12, 2016 | F | 5,805 | $119.58 | D | 21,517 | D | |
| Common StockF3 | holding | — | — | — | 295 | I | By 401(k) Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Market Stock UnitsF2,F4 | — | Aug 12, 2016 | M | 7,602 | D | — | — | Common Stock | 7,602 | 0 | D |
Explanation of responses
- F1Represents vesting of previously reported Market Stock Units granted under the 2010 Stock Incentive Plan (the "Plan").
- F2Each Market Stock Unit represents a right to receive up to 1.5 shares of Aetna Inc. Common Stock net of taxes. Vesting amount was determined based on the weighted average closing stock price for the thirty trading days prior to the vesting date.
- F3Represents the pro rata portion of the stock portion of Aetna Common Stock Fund held by reporting person on July 29, 2016 pursuant to Aetna Inc. 401(k) Plan. The information is based on information provided by the Plan Trustee as of that date.
- F4Market Stock Units granted under the Plan.