SEC Form 4 · accession 0001122304-17-000027
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
Mar 3, 2017
Accepted (ET)
Mar 7, 2017 · 5:47 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 Stock | Mar 6, 2017 | M | 54,833 | $72.60 | A | 71,680 | D | |
| Common StockF1 | Mar 6, 2017 | F | 41,619 | $131.30 | D | 30,061 | D | |
| Common StockF2 | holding | — | — | — | 117 | I | 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 UnitsF3,F4 | $0.00 | Mar 3, 2017 | M | 7,474 | D | — | — | Common Stock | 7,474 | 0 | D |
| Deferred Stock Unit AccountF5,F4 | $0.00 | Mar 3, 2017 | M | 14,265 | A | — | — | Common Stock | 14,265 | 14,265 | D |
| Stock Appreciation Rights | $72.26 | Mar 6, 2017 | M | 54,833 | D | Mar 3, 2015 | Mar 2, 2024 | Common Stock | 54,833 | 0 | D |
Explanation of responses
- F1Stock Appreciation Right is net settled; amount represents withholding of shares by the Company to pay exercise price and taxes.
- F2Represents 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.
- F3Each Performance Stock Unit represents a right to recieve up to two shares of Aetna Inc. Common Stock.
- F4Performance Stock Units granted under the Plan.
- F5Represents vesting of previously reported Performance Stock Units granted under the 2010 Stock Incentive Plan (the "Plan"). Upon vesting the Reporting Person elected to defer units to a stock unit account.