SEC Form 4 · accession 0001122304-17-000026
AETNA INC /PA/ · AET
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Margaret M McCarthy
Officer — EVP, Operations & Technology
Period of report
Mar 3, 2017
Accepted (ET)
Mar 7, 2017 · 4:47 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, 2017 | M | 23,250 | — | A | 71,560 | D | |
| Common StockF3 | Mar 3, 2017 | F | 10,974 | $130.69 | D | 60,586 | D | |
| Common StockF5 | holding | — | — | — | 1,858 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Performance Stock UnitsF2,F4 | — | Mar 3, 2017 | M | 11,625 | D | — | — | Common Stock | 11,625 | 0 | D |
Explanation of responses
- F1Represents vesting of previously reported Performance Stock Units granted under the 2010 Stock Incentive Plan (the "Plan").
- F2Each Performance Stock Unit represents a right to receive up to two shares of Aetna Inc. Common Stock net of taxes.
- F3Represents tax withholding on vesting of previously reported Performance Stock Units.
- F4Performance Stock Units granted under the Plan.
- F5Represents the pro rata portion of the stock portion of Aetna Common Stock Fund held by reporting person on February 28, 2017 pursuant to Aetna Inc. 401(k) Plan. The information is based on information provided by the Plan Trustee as of that date.