SEC Form 4 · accession 0001231553-17-000010
AETNA INC /PA/ · AET
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph P Newhouse
Director
Period of report
Feb 21, 2017
Accepted (ET)
Feb 22, 2017 · 4:38 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 | holding | — | — | — | 4,064 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock UnitsF1,F2,F3 | — | Feb 21, 2017 | I | 5,578 | D | — | — | Common Stock | 5,578 | 16,734 | D |
Explanation of responses
- F1Units convert to Common Stock on a one-for-one basis.
- F2Value of Units accrued transferred to a deferred interest account pursuant to the Aetna Inc. 2010 Non-Employee Director Compensation Plan (the "Plan") in a discretionary transaction in accordance with Rule 16b-3(f).
- F3Units accrued under Plan pursuant to deferral of Director's fees. Subject to terms of Plan, Units may be settled in Aetna Common Stock, in cash or a combination of both upon reporting person's retirement.