Upgrade to SI Premium - Free Trial

Form 4 AETNA INC /PA/ For: Mar 02 Filed by: Bertolini Mark T

March 6, 2018 4:14 PM
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Expires: December 31, 2014
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person *
Bertolini Mark T
(Last) (First) (Middle)
151 FARMINGTON AVENUE
(Street)
HARTFORD CT 06156
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
AETNA INC /PA/ [ AET ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
X Officer (give title below) Other (specify below)
Chairman and CEO
3. Date of Earliest Transaction (Month/Day/Year)
03/02/2018
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 03/02/2018 M 8,358 (1) A (2) 285,207 D
Common Stock 03/02/2018 F 3,791 (3) D $ 177.53 281,416 D
Common Stock 03/02/2018 M 41,195 (4) A (5) 322,611 D
Common Stock 03/02/2018 F 18,683 (6) D $ 177.53 303,928 D
Common Stock 119,447 I By CLAT (7)
Common Stock 295,436 I By 2016 GRAT (8)
Common Stock 158,635 I By 2017 GRAT (9)
Common Stock 107,576 I By 2017 GRAT II (10)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
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
Explanation of Responses:
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.
Mark T. Bertolini by Judith H. Jones, Attorney-in-Fact 03/06/2018
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.

Categories

SEC Filings