4//SEC Filing
GUERTIN SHAWN M 4
Accession 0001122304-18-000160
CIK 0001122304other
Filed
Nov 27, 7:00 PM ET
Accepted
Nov 28, 4:19 PM ET
Size
27.5 KB
Accession
0001122304-18-000160
Insider Transaction Report
Form 4
GUERTIN SHAWN M
Sr. Vice President, CFO
Transactions
- Disposition to Issuer
Common Stock
2018-11-28−11,058→ 0 total - Disposition to Issuer
Common Stock
2018-11-28−25,000→ 0 total(indirect: By 2018 CRUT) - Disposition to Issuer
Stock Appreciation Rights
2018-11-28−81,864→ 0 totalExercise: $125.27→ Common Stock (81,864 underlying) - Disposition to Issuer
Common Stock
2018-11-28−11,174→ 0 total(indirect: By 2018 GRAT) - Disposition to Issuer
Common Stock
2018-11-28−634.741→ 0 total(indirect: By 401(k)) - Disposition to Issuer
Stock Appreciation Rights
2018-11-28−55,376→ 0 totalExercise: $103.45→ Common Stock (55,376 underlying) - Disposition to Issuer
Restricted Stock Units
2018-11-28−23,940→ 0 total→ Common Stock (23,940 underlying) - Disposition to Issuer
Stock Appreciation Rights
2018-11-28−11,415→ 0 totalExercise: $116.44→ Common Stock (11,415 underlying) - Disposition to Issuer
Performance Stock Units
2018-11-28−23,780→ 0 total→ Common Stock (23,780 underlying) - Disposition to Issuer
Performance Stock Units
2018-11-28−10,179→ 0 total→ Common Stock (10,179 underlying) - Disposition to Issuer
Stock Appreciation Rights
2018-11-28−25,715→ 0 totalExercise: $100.50→ Common Stock (25,715 underlying)
Footnotes (11)
- [F1]Converted pursuant to the merger agreement (the "Merger Agreement") between CVS Health Corporation ("CVS Health") and Aetna Inc. ("Aetna") into $145 in cash and 0.8378 shares of CVS Health Common Stock for each share of Aetna Common Stock.
- [F10]PSUs earned at a specified level in conjunction with the change in control of Aetna and pursuant to the terms of the relevant PSU award agreement. The PSUs were originally granted under the Plan on February 17, 2017. These PSUs were converted to time-vesting CVS Health RSUs pursuant to the terms of the Merger Agreement.
- [F11]RSUs under the Plan granted on March 2, 2018. These RSUs were converted to CVS Health RSUs pursuant to the terms of the Merger Agreement.
- [F2]Represents shares held in 2018 Grantor Retained Annuity Trust ("GRAT") for which the Reporting Person is sole trustee.
- [F3]Represents shares held in 2018 Charitable Remainder Unitrust ("CRUT") for which the Reporting Person is sole trustee.
- [F4]Represents the pro rata portion of the stock portion of the Aetna Common Stock Fund held by Reporting Person on October 31, 2018 pursuant to the Aetna Inc. 401(k) Plan. The information is based on information provided by the Plan Trustee as of that date.
- [F5]Represents Stock Appreciation Rights ("SARs") granted under the Aetna Inc. 2010 Stock Incentive Plan (the "Plan") on March 2, 2015. These SARs were canceled pursuant to the terms of the Merger Agreement in exchange for an amount in cash for each SAR equal to (a) $145 plus (b) 0.8378 multiplied by the average of the volume weighted averages of the trading prices of CVS Health Common Stock on each of the five consecutive trading days ending on the trading day two trading days prior to the closing date, less (c) the exercise price (the "SAR Amount").
- [F6]Represents SARs granted under the Plan on September 24, 2015. These SARs were canceled pursuant to the terms of the Merger Agreement in exchange for an amount in cash for each SAR equal to the SAR Amount.
- [F7]Represents SARs granted under the Plan on February 19, 2016. Of this amount, 50% had vested. Each vested SAR was canceled pursuant to the terms of the Merger Agreement in exchange for an amount in cash equal to the SAR Amount. Each unvested SAR was converted to a CVS Health SAR pursuant to the terms of the Merger Agreement.
- [F8]Represents SARs granted under the Plan on February 17, 2017, of which 33.3% had vested. Each vested SAR was canceled pursuant to the terms of the Merger Agreement in exchange for an amount in cash for each SAR equal to the SAR Amount. Each unvested SAR was converted to a CVS Health SAR pursuant to the terms of the Merger Agreement.
- [F9]Represents Performance Stock Units ("PSUs") earned at a specified level in conjunction with the change in control of Aetna and pursuant to the terms of the relevant PSU award agreement. The PSUs were originally granted under the Plan on February 19, 2016. These PSUs were converted to time-vesting CVS Health Restricted Stock Units ("RSUs") pursuant to the terms of the Merger Agreement.
Documents
Issuer
AETNA INC /PA/
CIK 0001122304
Entity typeother
Related Parties
1- filerCIK 0001231553
Filing Metadata
- Form type
- 4
- Filed
- Nov 27, 7:00 PM ET
- Accepted
- Nov 28, 4:19 PM ET
- Size
- 27.5 KB