SEC Form 4 · accession 0001122304-17-000036
AETNA INC /PA/ · AET
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Shawn M Guertin
Officer — Exec. Vice President, CFO
Period of report
Mar 21, 2017
Accepted (ET)
Mar 23, 2017 · 4:25 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 | Mar 21, 2017 | S | 11,671 | $130.6241 | D | 44,880 | D | |
| Common Stock | Mar 21, 2017 | M | 42,250 | $72.26 | A | 87,130 | D | |
| Common StockF2 | Mar 21, 2017 | F | 32,753 | $129.09 | D | 54,377 | D | |
| Common Stock | Mar 22, 2017 | S | 9,497 | $128.6068 | D | 44,880 | D | |
| Common Stock | Mar 22, 2017 | M | 51,431 | $100.50 | A | 96,311 | D | |
| Common Stock | Mar 22, 2017 | M | 27,688 | $103.45 | A | 123,999 | D | |
| Common StockF2 | Mar 22, 2017 | F | 70,685 | $128.33 | D | 53,314 | D | |
| Common StockF3 | Mar 23, 2017 | S | 8,434 | $128.4099 | D | 44,880 | D | |
| Common StockF4 | holding | — | — | — | 623 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation Rights | $72.26 | Mar 21, 2017 | M | 42,250 | D | Mar 3, 2015 | Mar 2, 2024 | Common Stock | 42,250 | 0 | D |
| Stock Appreciation Rights | $100.50 | Mar 22, 2017 | M | 51,431 | D | Mar 2, 2016 | Mar 1, 2025 | Common Stock | 51,431 | 25,715 | D |
| Stock Appreciation Rights | $103.45 | Mar 22, 2017 | M | 27,688 | D | Feb 19, 2017 | Feb 18, 2026 | Common Stock | 27,688 | 55,376 | D |
Explanation of responses
- F1Average weighted share price. Shares sold in multiple transactions at prices ranging from $130.610 to $130.734, inclusive.
- F2Stock Appreciation Right is net settled; amount represents withholding of shares by the Company to pay exercise price and taxes.
- F3Average weighted share price. Shares sold in multiple transactions at prices ranging from $128.25 to $128.62, inclusive.
- F4Represents the pro rata portion of the stock portion of Aetna Common Stock Fund held by reporting person on March 17, 2017 pursuant to Aetna Inc. 401(k) Plan. The information is based on information provided by the Plan Trustee as of that date.