SEC Form 4 · accession 0001122304-17-000098
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
Sep 18, 2017
Accepted (ET)
Sep 20, 2017 · 4:39 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 Stock | Sep 18, 2017 | M | 44,084 | $100.50 | A | 67,538 | D | |
| Common Stock | Sep 18, 2017 | M | 22,623 | $103.45 | A | 90,161 | D | |
| Common StockF1 | Sep 18, 2017 | F | 54,604 | $161.00 | D | 35,557 | D | |
| Common StockF2 | holding | — | — | — | 127 | 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 Right | $100.50 | Sep 18, 2017 | M | 44,084 | D | Mar 2, 2015 | Mar 1, 2025 | Common Stock | 44,084 | 22,042 | D |
| Stock Appreciation Right | $103.45 | Sep 18, 2017 | M | 22,623 | D | Feb 19, 2016 | Feb 18, 2026 | Common Stock | 22,623 | 45,246 | 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 August 31, 2017 pursuant to Aetna Inc. 401(k) Plan. The information is based on information provided by the Plan Trustee as of that date.