SEC Form 4 · accession 0001122304-17-000023
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
Mar 2, 2017
Accepted (ET)
Mar 6, 2017 · 4:28 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 2, 2017 | M | 8,358 | — | A | 308,066 | D | |
| Common StockF3 | Mar 2, 2017 | F | 4,091 | $129.51 | D | 303,975 | D | |
| Common StockF1,F2 | Mar 3, 2017 | M | 9,549 | — | A | 313,524 | D | |
| Common StockF3 | Mar 3, 2017 | F | 4,674 | $130.69 | D | 308,850 | D | |
| Common StockF4,F5 | Mar 3, 2017 | M | 83,034 | — | A | 391,884 | D | |
| Common StockF6 | Mar 3, 2017 | F | 40,638 | $130.69 | D | 351,246 | D | |
| Common StockF9 | holding | — | — | — | 120,000 | I | by Charitable Lead Annuity Trust ("CLAT") | |
| Common StockF10 | holding | — | — | — | 454,071 | I | by Grantor Retained Annuity Trust ("GRAT") |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2,F7 | — | Mar 2, 2017 | M | 8,358 | D | — | — | Common Stock | 8,358 | 8,358 | D |
| Restricted Stock UnitsF2,F7 | — | Mar 3, 2017 | M | 9,549 | D | — | — | Common Stock | 9,549 | 0 | D |
| Performance Stock UnitsF5,F8 | — | Mar 3, 2017 | M | 41,517 | D | — | — | Common Stock | 41,517 | 0 | D |
Explanation of responses
- F1Represents vesting of previously reported Restricted Stock Units granted under the Aetna Inc. 2010 Stock Incentive Plan (the "Plan").
- F10Represents shares held in a Grantor Retained Annuity Trust ("GRAT") where Mr. Bertolini is sole trustee.
- 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.
- F4Represents vesting of previously reported Performance Stock Units granted under the Plan.
- F5Each Performance Stock Unit represents a right to receive up to two shares of Aetna Inc. Common Stock net of taxes.
- F6Represents tax withholding on vesting of previously reported Performance Stock Units.
- F7Restricted Stock Units granted under the Plan.
- F8Performance Stock Units granted under the Plan.
- F9Represents shares held in Charitable Lead Annuity Trust ("CLAT") where Mr. Bertolini is investment advisor.