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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Units | (2) | 02/03/2014 | M | 9,208 | (7) | (7) | Common Stock | 9,208 | $ 0 | 18,416 | D | ||||
Restricted Stock Units | (2) | 02/03/2014 | M | 22,326 | (7) | (7) | Common Stock | 22,326 | $ 0 | 22,327 | D | ||||
Performance Stock Units | (4) | 02/03/2014 | M | 54,354 | (8) | (8) | Common Stock | 54,354 | $ 0 | 0 | D | ||||
Market Stock Units | (6) | 02/03/2014 | M | 61,384 | (9) | (9) | Common Stock | 61,384 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Bertolini Mark T AETNA INC. 151 FARMINGTON AVENUE HARTFORD, CT 06156 |
X | Chairman, CEO and President |
Mark T. Bertolini by Judith H. Jones, Attorney-in-Fact | 02/05/2014 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Represents vesting of previously reported Restricted Stock Units granted under the 2010 Stock Incentive Plan ("the Plan"). |
(2) | Each Restricted Stock Unit represents a right to receive one share of Aetna Inc. Common Stock net of taxes. |
(3) | Represents vesting of previously reported Performance Stock Units granted under the Plan. |
(4) | Each Performance Stock Units represent a right to receive up to two shares of Aetna Inc. Common Stock net of taxes. |
(5) | Represents vesting of previously reported Market Stock Units granted under the Plan. |
(6) | Each Market Stock Unit represents a right to receive up to 1.5 shares of Aetna Inc. Common Stock net of taxes. Vesting amount was determined based on the weighted average closing stock price for the thirty trading days prior to the vest date. |
(7) | Restricted Stock Units granted under the Plan. |
(8) | Performance Stock Units granted under the Plan. |
(9) | Market Stock Units granted under the Plan. |