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ANTX Anthem Corporate Units (delisted)

56.86
0.00 (0.00%)
23 Jul 2024 - Closed
Delayed by 15 minutes
Share Name Share Symbol Market Type
Anthem Corporate Units (delisted) NYSE:ANTX NYSE Ordinary Share
  Price Change % Change Share Price High Price Low Price Open Price Shares Traded Last Trade
  0.00 0.00% 56.86 0.00 01:00:00

Statement of Changes in Beneficial Ownership (4)

05/03/2018 9:47pm

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 *

GRIFFIN BRIAN T
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 & President, CSBD
(Last)          (First)          (Middle)

120 MONUMENT CIRCLE
3. Date of Earliest Transaction (MM/DD/YYYY)

3/1/2018
(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   3/1/2018     F    856   (1) D $232.04   9158   D    
Common Stock   3/1/2018     A    3502   (2) A $0   12660   D    
Common Stock   3/2/2018     F    2259   (1) D $233.08   10401   D    
Common Stock   3/2/2018     A    5462   (3) A $0   15863   D    
Common Stock                  2245   (4) I   2016 GRAT Trust  
Common Stock                  17767   (4) I   2017 GRAT I Trust  
Common Stock                  17767   (4) I   2017 GRAT II Trust  

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)   $232.04   3/1/2018     A      14761         (5) 3/1/2028   Common Stock   14761   $0   14761   D    

Explanation of Responses:
(1)  PAYMENT OF TAX LIABILITY BY WITHHOLDING STOCK INCIDENT TO THE VESTING OF PREVIOUSLY GRANTED RESTRICTED STOCK.
(2)  Represents restricted share units. Restrictions lapse as follows: 1,167 shares each on 3/1/2019 and 3/1/2020, and 1,168 on 3/1/2021.
(3)  Represents performance based restricted share units. Restrictions lapsed on 3/2/18.
(4)  The previous balances in the reporting persons GRAT trusts: 14,417 in 2016 GRAT II and 13,298 shares in 2016 GRAT II, have been redistributed to the following: 2,245 in 2016 GRAT, 17,767 shares in 2017 GRAT I and 17,767 shares in 2017 GRAT II, which also includes 10,014 shares previously reported as directly held shares.
(5)  The option represents a right to purchase a total of 14,761 shares, and is exercisable in six semi-annual installments, with five installments of 2,460 shares each and one installment of 2,461 shares, beginning on September 1, 2018, which is the six-month anniversary of the option grant date.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
GRIFFIN BRIAN T
120 MONUMENT CIRCLE
INDIANAPOLIS, IN 46204


EVP & President, CSBD

Signatures
/s/ Kathleen S. Kiefer, Attorney in fact 3/5/2018
** 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 control number.

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