SEC Form 4 · accession 0001122304-18-000028
AETNA INC /PA/ · AET
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark T Bertolini
Officer — Chairman and CEO · Director
Period of report
Mar 2, 2018
Accepted (ET)
Mar 6, 2018 · 4:12 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 | Mar 2, 2018 | M | 8,358 | — | A | 285,207 | D | |
| Common StockF3 | Mar 2, 2018 | F | 3,791 | $177.53 | D | 281,416 | D | |
| Common StockF4,F5 | Mar 2, 2018 | M | 41,195 | — | A | 322,611 | D | |
| Common StockF6 | Mar 2, 2018 | F | 18,683 | $177.53 | D | 303,928 | D | |
| Common StockF7 | holding | — | — | — | 119,447 | I | By CLAT | |
| Common StockF8 | holding | — | — | — | 295,436 | I | By 2016 GRAT | |
| Common StockF9 | holding | — | — | — | 158,635 | I | By 2017 GRAT | |
| Common StockF10 | 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,F11 | — | Mar 2, 2018 | M | 8,358 | D | — | — | Common Stock | 8,358 | 0 | D |
| Performance Stock UnitsF5,F12 | — | Mar 2, 2018 | M | 34,329 | D | — | — | Common Stock | 34,329 | 0 | D |
| Restricted Stock UnitsF2,F13 | — | Mar 2, 2018 | A | 76,044 | A | — | — | Common Stock | 76,044 | 76,044 | D |
| Restricted Stock UnitsF2,F14 | — | Mar 2, 2018 | A | 17,572 | A | — | — | Common Stock | 17,572 | 17,572 | D |
Explanation of responses
- F1Represents vesting of previously reported Restricted Stock Units ("RSUs") granted under the Aetna Inc. 2010 Stock Incentive Plan (the "Plan").
- F10Represents shares held by 2017 GRAT II where Reporting Person is sole trustee.
- F11RSUs granted under the Plan.
- F12PSUs granted under the Plan.
- F13RSUs granted under the Plan vest in three annual installments beginning December 2, 2018.
- F14RSUs granted under the Plan vest in three annual installments beginning March 2, 2019.
- F2Each RSU represents a right to receive one share of Aetna Inc. Common Stock net of taxes.
- F3Represents tax withholding on vesting of previously reported RSUs.
- F4Represents vesting of previously reported Performance Stock Units ("PSUs") granted under the Plan.
- F5Each PSU represents a right to receive up to two shares of Aetna Inc. Common Stock net of taxes.
- F6Represents tax withholding on vesting of previously reported PSUs.
- F7Represents shares held in Charitable Lead Annuity Trust ("CLAT") where Reporting Person is investment advisor.
- F8Represents shares held by 2016 Grantor Retained Annuity Trust ("GRAT") where Reporting Person is sole trustee.
- F9Represents shares held by 2017 GRAT where Reporting Person is sole trustee.