Sec Form 4 Filing - GUERTIN SHAWN M @ AETNA INC /PA/ - 2018-09-24

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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, 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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1. Name and Address of Reporting Person
GUERTIN SHAWN M
2. Issuer Name and Ticker or Trading Symbol
AETNA INC /PA/ [ AET]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
Exec. Vice President, CFO
(Last) (First) (Middle)
AETNA INC., 151 FARMINGTON AVENUE
3. Date of Earliest Transaction (MM/DD/YY)
09/24/2018
(Street)
HARTFORD, CT06156
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 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 06/26/2018 G V 2,500 D $ 0 46,237 D
Common Stock 09/24/2018 M 1,856 ( 1 ) A $ 0 11,919 D
Common Stock 09/24/2018 F 861 ( 2 ) D $ 203.4 11,058 D
Common Stock 25,000 ( 3 ) I BY 2018 CRUT ( 4 )
Common Stock 11,174 ( 5 ) I BY 2018 GRAT ( 6 )
Common Stock 632.4519 ( 7 ) I By 401(k) Plan
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 (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
2015 Performance Stock Units ( 8 ) 09/24/2018 M 1,546 ( 9 ) ( 9 ) Common Stock 1,546 $ 0 0 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
GUERTIN SHAWN M
AETNA INC.
151 FARMINGTON AVENUE
HARTFORD, CT06156
Exec. Vice President, CFO
Signatures
Shawn M. Guertin, by Adam F. McAnaney, Attorney-in-fact 09/26/2018
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Represents vesting of previously reported Performance Stock Units (PSUs) granted under the 2010 Stock Incentive Plan (the "Plan").
( 2 )Represents tax withholding on previously reported PSUs granted under the Plan.
( 3 )On July 24, 2018, 25,000 shares from sole account were voluntarily transferred to 2018 Charitable Remainder Unitrust ("CRUT").
( 4 )Represents shares held in CRUT where Mr. Guertin is sole trustee.
( 5 )On July 24, 2018, 11,174 shares from sole account were voluntarily transferred to 2018 Grantor Retained Annuity Trust ("GRAT")
( 6 )Represents shares held in GRAT where Mr. Guertin is sole trustee.
( 7 )Represents the pro rata portion of the stock portion of Aetna Common Stock Fund held by reporting person on August 31, 2018 pursuant to Aetna Inc. 401(k) Plan. The information is based on information provided by the Plan Trustee as of that date.
( 8 )Each Performance Stock Unit represents a right to receive up to two shares of Aetna Inc. Common Stock net of taxes.
( 9 )Vesting of previously reported PSUs granted under the Plan on September 24, 2015.

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* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
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