SEC Form 4 · accession 0001122304-18-000015
AETNA INC /PA/ · AET
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark T Bertolini
Officer — Chairman and CEO
Period of report
Feb 5, 2018
Accepted (ET)
Feb 7, 2018 · 4:09 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 | Feb 5, 2018 | M | 197,897 | $50.70 | A | 387,682 | D | |
| Common StockF1 | Feb 5, 2018 | F | 119,305 | $180.95 | D | 268,377 | D | |
| Common StockF2 | holding | — | — | — | 119,447 | I | By CLAT | |
| Common StockF3 | holding | — | — | — | 295,436 | I | By 2016 GRAT | |
| Common StockF4 | holding | — | — | — | 158,635 | I | By 2017 GRAT | |
| Common StockF5 | holding | — | — | — | 107,576 | I | By 2017 GRAT II |
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 | $50.70 | Feb 5, 2018 | M | 197,897 | D | Feb 8, 2009 | Feb 7, 2018 | Common Stock | 197,897 | 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 shares held by Charitable Lead Annuity Trust ("CLAT") where Reporting Person is investment advisor.
- F3Represents shares held by 2016 Grantor Retained Annuity Trust ("GRAT") where Reporting Person is sole trustee.
- F4Represents shares held by 2017 GRAT where Reporting Person is sole trustee.
- F5Represents shares held by 2017 GRAT II where Reporting Person is sole trustee.