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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) | 03/02/2018 | M | 8,358 | (11) | (11) | Common Stock | 8,358 | $ 0 | 0 | D | ||||
Performance Stock Units | (5) | 03/02/2018 | M | 34,329 | (12) | (12) | Common Stock | 34,329 | $ 0 | 0 | D | ||||
Restricted Stock Units | (2) | 03/02/2018 | A | 76,044 | (13) | (13) | Common Stock | 76,044 | $ 0 | 76,044 | D | ||||
Restricted Stock Units | (2) | 03/02/2018 | A | 17,572 | (14) | (14) | Common Stock | 17,572 | $ 0 | 17,572 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Bertolini Mark T 151 FARMINGTON AVENUE HARTFORD, CT 06156 |
X | Chairman and CEO |
Mark T. Bertolini by Judith H. Jones, Attorney-in-Fact | 03/06/2018 | |
**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 ("RSUs") granted under the Aetna Inc. 2010 Stock Incentive Plan (the "Plan"). |
(2) | Each RSU represents a right to receive one share of Aetna Inc. Common Stock net of taxes. |
(3) | Represents tax withholding on vesting of previously reported RSUs. |
(4) | Represents vesting of previously reported Performance Stock Units ("PSUs") granted under the Plan. |
(5) | Each PSU represents a right to receive up to two shares of Aetna Inc. Common Stock net of taxes. |
(6) | Represents tax withholding on vesting of previously reported PSUs. |
(7) | Represents shares held in Charitable Lead Annuity Trust ("CLAT") where Reporting Person is investment advisor. |
(8) | Represents shares held by 2016 Grantor Retained Annuity Trust ("GRAT") where Reporting Person is sole trustee. |
(9) | Represents shares held by 2017 GRAT where Reporting Person is sole trustee. |
(10) | Represents shares held by 2017 GRAT II where Reporting Person is sole trustee. |
(11) | RSUs granted under the Plan. |
(12) | PSUs granted under the Plan. |
(13) | RSUs granted under the Plan vest in three annual installments beginning December 2, 2018. |
(14) | RSUs granted under the Plan vest in three annual installments beginning March 2, 2019. |