SEC Form 4 · accession 0001122304-18-000031
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 2, 2018
Accepted (ET)
Mar 6, 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 | Mar 2, 2018 | M | 12,538 | — | A | 54,421 | D | |
| Common StockF3 | Mar 2, 2018 | F | 5,684 | $177.53 | D | 48,737 | D | |
| Common StockF4 | holding | — | — | — | 630 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Performance Stock UnitsF2,F5 | — | Mar 2, 2018 | M | 10,448 | D | — | — | Common Stock | 10,448 | 0 | D |
| Restricted Stock UnitsF6,F7 | — | Mar 2, 2018 | A | 23,940 | A | — | — | Common Stock | 23,940 | 23,940 | D |
Explanation of responses
- F1Represents vesting of previously reported Performance Stock Units ("PSUs") granted under the 2010 Stock Incentive Plan (the "Plan").
- F2Each PSU represents a right to receive up to two shares of Aetna Inc. Common Stock net of taxes.
- F3Represents tax withholding on vesting of previously reported PSUs.
- F4Represents the pro rata portion of the stock portion of Aetna Common Stock Fund held by reporting person on February 28, 2018 pursuant to Aetna Inc. 401(k) Plan. The information is based on information provided by the Plan Trustee as of that date.
- F5PSUs granted under the Plan.
- F6Each Restricted Stock Unit ("RSU") represents a right to receive one share of Aetna Inc. Common Stock net of taxes.
- F7RSUs granted under the Plan vest in three annual installments beginning December 2, 2018.