Initial Statement of Beneficial Ownership (3)
October 15 2021 - 4:33PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Kendrick Charles Morgan JR |
2. Date of Event Requiring Statement (MM/DD/YYYY)
10/5/2021
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3. Issuer Name and Ticker or Trading Symbol
Anthem, Inc. [ANTM]
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(Last)
(First)
(Middle)
220 VIRGINIA AVE |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) EVP & President, Commercial / |
(Street)
INDIANAPOLIS, IN 46204
(City)
(State)
(Zip)
| 5. 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
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 10949 (1) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Employee Stock Option (Right to Buy) | 3/1/2021 (2) | 3/1/2028 | Common Stock | 568.0 | $232.04 | D | |
Employee Stock Option (Right to Buy) | (3) | 3/1/2029 | Common Stock | 1999.0 | $307.68 | D | |
Employee Stock Option (Right to Buy) | (4) | 3/2/2030 | Common Stock | 4161.0 | $271.27 | D | |
Employee Stock Option (Right to Buy) | (5) | 3/1/2031 | Common Stock | 2963.0 | $311.48 | D | |
Explanation of Responses: |
(1) | Includes 1,463 restricted share units. Restrictions lapse as follows: 458 shares on 3/1/2022, 261 shares on 3/2/2022, 241 shares on 3/1/2023, 262 shares on 3/02/2023 and 241 shares on 3/1/2024 |
(2) | The option represents a right to purchase a total of 3,404 shares and is exercisable in six semi-annual installments, with four installments of 567 shares each and two installments of 568 shares each beginning on 9/01/2018, which is the six-month anniversary of the date on which the option was granted. |
(3) | The option represents a right to purchase a total of 2,997 shares, and is exercisable in three annual installments, with one installment of 998 shares, one installment of 999 shares and one installment of 1,000 shares, beginning on 3/1/2020, which is the one-year anniversary of the option grant date. |
(4) | The option represents a right to purchase a total of 4,161 shares and is exercisable in three annual installments of 1,387 shares each, beginning on 3/2/2021, which is the one-year anniversary of the option grant date. |
(5) | The option represents a right to purchase a total of 2,963 shares, and is exercisable in three annual installments, with one installment of 987 shares and two installments of 988 shares each, beginning on 3/1/2022, which is the one-year anniversary of the option grant date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Kendrick Charles Morgan JR 220 VIRGINIA AVE INDIANAPOLIS, IN 46204 |
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| EVP & President, Commercial |
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Signatures
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/s/ Kathleen S. Kiefer, Attorney in fact | | 10/15/2021 |
**Signature of Reporting Person | Date |
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