SEC Form 4 · accession 0001231553-16-000018
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
Aug 22, 2016
Accepted (ET)
Aug 24, 2016 · 4:32 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 StockF1 | Aug 22, 2016 | S | 37,188 | $120.1933 | D | 44,883 | D | |
| Common Stock | Aug 22, 2016 | M | 40,000 | $72.26 | A | 84,883 | D | |
| Common StockF2 | Aug 22, 2016 | F | 31,860 | $120.15 | D | 53,023 | D | |
| Common Stock | Aug 23, 2016 | S | 8,140 | $120.31 | D | 44,883 | D | |
| Common StockF3 | holding | — | — | — | 620 | 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 | $72.26 | Aug 22, 2016 | M | 40,000 | D | Mar 3, 2015 | Mar 2, 2024 | Common Stock | 40,000 | 42,250 | D |
Explanation of responses
- F1Average weighted share price. Shares sold in multiple transactions at prices ranging from $119.96 to $120.52, inclusive.
- F2Stock Appreciation Right is net settled; amount represents withholding of shares by the Company to pay exercise price and taxes.
- F3Represents the pro rata portion of the stock portion of Aetna Common Stock Fund held by reporting person on July 29, 2016 pursuant to Aetna Inc. 401(k) Plan. The information is based on information provided by the Plan Trustee as of that date.