SEC Form 4 · accession 0001122304-18-000023
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 20, 2018
Accepted (ET)
Feb 22, 2018 · 4:14 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 | Feb 20, 2018 | M | 6,610 | — | A | 274,987 | D | |
| Common StockF1,F2 | Feb 20, 2018 | M | 8,893 | — | A | 283,880 | D | |
| Common StockF3 | Feb 20, 2018 | F | 7,031 | $178.03 | D | 276,849 | D | |
| Common StockF5 | holding | — | — | — | 119,447 | I | By CLAT | |
| Common StockF6 | holding | — | — | — | 295,436 | I | By 2016 GRAT | |
| Common StockF7 | holding | — | — | — | 158,635 | I | By 2017 GRAT | |
| Common StockF8 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2,F4 | — | Feb 20, 2018 | M | 6,610 | D | — | — | Common Stock | 6,610 | 13,220 | D |
| Restricted Stock UnitsF2,F4 | — | Feb 20, 2018 | M | 8,893 | D | — | — | Common Stock | 8,893 | 8,893 | D |
Explanation of responses
- F1Represents vesting of previously reported Restricted Stock Units granted under the 2010 Stock Incentive Plan (the "Plan").
- F2Each Restricted Stock Unit represents a right to receive one share of Aetna Inc. Common Stock net of taxes.
- F3Represents tax withholding on vesting of previously reported Restricted Stock Units.
- F4Restricted Stock Units previously granted under the Plan.
- F5Represents shares held by Charitable Lead Annuity Trust ("CLAT") where Reporting Person is investment advisor.
- F6Represents shares held by 2016 Grantor Retained Annuity Trust ("GRAT") where Reporting Person is sole trustee.
- F7Represents shares held by 2017 GRAT where Reporting Person is sole trustee.
- F8Represents shares held by 2017 GRAT II where Reporting Person is sole trustee.