Statement of Changes in Beneficial Ownership (4)
March 05 2019 - 4:13PM
Edgar (US Regulatory)
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 OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
MCCARTHY GLORIA M
|
2. Issuer Name
and
Ticker or Trading Symbol
Anthem, Inc.
[
ANTM
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
EVP & Chief Administrative Off
|
(Last)
(First)
(Middle)
220 VIRGINIA AVENUE
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/1/2019
|
(Street)
INDIANAPOLIS, IN 46204
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
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. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. 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
|
3/1/2019
|
|
F
|
|
6342
(1)
|
D
|
$307.68
|
32414.1293
|
D
|
|
Common Stock
|
3/1/2019
|
|
A
|
|
9125
(2)
|
A
|
$0
|
41539.1293
|
D
|
|
Common Stock
|
3/1/2019
|
|
A
|
|
2641
(3)
|
A
|
$0
|
44180.1293
|
D
|
|
Common Stock
|
3/1/2019
|
|
A
|
|
1087
(4)
|
A
|
$0
|
45267.1293
|
D
|
|
Common Stock
|
3/4/2019
|
|
M
|
|
1362
|
A
|
$146.93
|
46629.1293
|
D
|
|
Common Stock
|
3/4/2019
|
|
S
(5)
|
|
500
|
D
|
$300.12
(6)
|
46129.1293
|
D
|
|
Common Stock
|
3/4/2019
|
|
S
(5)
|
|
500
|
D
|
$301.46
(7)
|
45629.1293
|
D
|
|
Common Stock
|
3/4/2019
|
|
S
(5)
|
|
2500
|
D
|
$302.32
(8)
|
43129.1293
|
D
|
|
Common Stock
|
3/4/2019
|
|
S
(5)
|
|
1500
|
D
|
$303.22
(9)
|
41629.1293
|
D
|
|
Common Stock
|
3/4/2019
|
|
S
(5)
|
|
600
|
D
|
$304.09
(10)
|
41029.1293
|
D
|
|
Common Stock
|
3/4/2019
|
|
S
(5)
|
|
1101
|
D
|
$306.32
(11)
|
39928.1293
|
D
|
|
Common Stock
|
3/4/2019
|
|
S
(5)
|
|
600
|
D
|
$307.54
(12)
|
39328.1293
|
D
|
|
Common Stock
|
3/4/2019
|
|
S
(5)
|
|
400
|
D
|
$308.35
(13)
|
38928.1293
|
D
|
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Trans. Date
|
3A. Deemed Execution Date, if any
|
4. Trans. 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
|
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 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
|
Employee Stock Option (Right to Buy)
|
$307.68
|
3/1/2019
|
|
A
|
|
12187
|
|
(14)
|
3/1/2029
|
Common Stock
|
12187
|
$0
|
12187
|
D
|
|
Employee Stock Option (Right to Buy)
|
$146.93
|
3/4/2019
|
|
M
|
|
|
1362
|
(15)
|
3/2/2025
|
Common Stock
|
1362
|
$0
|
0
|
D
|
|
Explanation of Responses:
|
(1)
|
PAYMENT OF TAX LIABILITY BY WITHHOLDING STOCK INCIDENT TO THE VESTING OF PREVIOUSLY GRANTED RESTRICTED STOCK.
|
(2)
|
Represents performance based restricted share units. Restrictions lapse on 3/1/19.
|
(3)
|
Represents restricted share units. Restrictions lapse as follows: 880 shares each on 3/1/2020 and 3/1/2021, and 881 on 3/1/2022.
|
(4)
|
Represents performance based restricted share units. Restrictions lapse on 10/3/19.
|
(5)
|
The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 16, 2018.
|
(6)
|
This transaction was executed in multiple trades at prices ranging from $299.70 to $300.62 The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff,
the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
|
(7)
|
This transaction was executed in multiple trades at prices ranging from $300.87 to $301.79. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
|
(8)
|
This transaction was executed in multiple trades at prices ranging from $301.88 to $302.73. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
|
(9)
|
This transaction was executed in multiple trades at prices ranging from $302.92 to $303.60. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon
request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
|
(10)
|
This transaction was executed in multiple trades at prices ranging from $303.93 to $304.24. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
|
(11)
|
This transaction was executed in multiple trades at prices ranging from $305.79 to $306.62. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon
request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
|
(12)
|
This transaction was executed in multiple trades at prices ranging from $307.17 to $308.13. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
|
(13)
|
This transaction was executed in multiple trades at prices ranging from $308.23 to $308.50. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon
request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
|
(14)
|
The option represents a right to purchase a total of 12,187 shares, and is exercisable in three annual installments, with two installments of 4,062 shares each and one installment of 4,063 shares, beginning on 3/1/2020, which is the one-year anniversary of the option grant date.
|
(15)
|
? The option represents a right to purchase a total of 16,762 shares, and is exercisable in six semi-annual installments, with four installments of 2,794 shares each and two installments of 2,793 shares each, beginning on 9/2/2015, which is the six-month anniversary of option grant date.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
MCCARTHY GLORIA M
220 VIRGINIA AVENUE
INDIANAPOLIS, IN 46204
|
|
|
EVP & Chief Administrative Off
|
|
Signatures
|
/s/ Kathleen S. Kiefer, Attorney in fact
|
|
3/5/2019
|
**
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 control number.
|
Anthem (NYSE:ANTM)
Historical Stock Chart
From Oct 2024 to Nov 2024
Anthem (NYSE:ANTM)
Historical Stock Chart
From Nov 2023 to Nov 2024