0001127602-15-010111.txt : 20150304 0001127602-15-010111.hdr.sgml : 20150304 20150304172054 ACCESSION NUMBER: 0001127602-15-010111 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150302 FILED AS OF DATE: 20150304 DATE AS OF CHANGE: 20150304 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Anthem, Inc. CENTRAL INDEX KEY: 0001156039 STANDARD INDUSTRIAL CLASSIFICATION: HOSPITAL & MEDICAL SERVICE PLANS [6324] IRS NUMBER: 352145715 STATE OF INCORPORATION: IN FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 120 MONUMENT CIRCLE CITY: INDIANAPOLIS STATE: IN ZIP: 46204 BUSINESS PHONE: 3174886000 MAIL ADDRESS: STREET 1: 120 MONUMENT CIRCLE CITY: INDIANAPOLIS STATE: IN ZIP: 46204 FORMER COMPANY: FORMER CONFORMED NAME: WELLPOINT, INC DATE OF NAME CHANGE: 20100105 FORMER COMPANY: FORMER CONFORMED NAME: WELLPOINT INC DATE OF NAME CHANGE: 20041130 FORMER COMPANY: FORMER CONFORMED NAME: ANTHEM INC DATE OF NAME CHANGE: 20010730 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Gallina John E CENTRAL INDEX KEY: 0001433032 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-16751 FILM NUMBER: 15674454 MAIL ADDRESS: STREET 1: 120 MONUMENT CIRCLE CITY: INDIANAPOLIS STATE: IN ZIP: 46204 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2015-03-02 0001156039 Anthem, Inc. ANTM 0001433032 Gallina John E 120 MONUMENT CIRCLE INDIANAPOLIS IN 46204 1 SVP & Chief Accounting Officer Common Stock 2015-03-02 4 F 0 2394 146.93 D 19807.75 D Common Stock 2015-03-02 4 A 0 1319 0 A 21126.75 D Common Stock 2015-03-03 4 A 0 6985 0 A 28111.75 D Common Stock 2015-03-03 4 F 0 1592 145.99 D 26519.75 D Common Stock 2015-03-03 4 M 0 13333 80.81 A 39852.75 D Common Stock 2015-03-03 4 M 0 2720 65.98 A 42572.75 D Common Stock 2015-03-03 4 M 0 6374 66.23 A 48946.75 D Common Stock 2015-03-03 4 M 0 7895 61.88 A 56841.75 D Common Stock 2015-03-03 4 M 0 3232 89.44 A 60073.75 D Common Stock 2015-03-03 4 S 0 35054 145.19 D 25019.75 D Common Stock 2015-03-03 5 G 0 E 408 0 D 24611.75 D Common Stock 2015-03-03 4 S 0 4100 146.10 D 20511.75 D Common Stock 2015-03-03 4 S 0 400 146.82 D 20111.75 D Common Stock 2015-03-03 4 S 0 1.75 145.99 D 20110 D Employee Stock Option (Right to Buy) 146.93 2015-03-02 4 A 0 5775 0 A 2025-03-02 Common Stock 5775 5775 D Employee Stock Option (Right to Buy) 80.81 2015-03-03 4 M 0 13333 0 D 2017-03-01 Common Stock 13333 0 D Employee Stock Option (Right to Buy) 65.98 2015-03-03 4 M 0 2720 0 D 2018-03-01 Common Stock 2720 0 D Employee Stock Option (Right to Buy) 66.23 2015-03-03 4 M 0 6374 0 D 2019-03-01 Common Stock 6374 0 D Employee Stock Option (Right to Buy) 61.88 2015-03-03 4 M 0 7895 0 D 2020-03-01 Common Stock 7895 3948 D Employee Stock Option (Right to Buy) 89.44 2015-03-03 4 M 0 3232 0 D 2021-03-03 Common Stock 3232 6466 D PAYMENT OF TAX LIABILITY BY WITHHOLDING STOCK INCIDENT TO THE VESTING OF PREVIOUSLY GRANTED RESTRICTED STOCK. Represents restricted stock units. Restrictions lapse as follows: 439 on 3/2/16; and 440 each on 3/2/17 and 3/2/18. Represents performance based restricted stock units. Restrictions lapse as follows: 2,328 each on 3/3/15 and 3/3/16; and 2,329 on 3/3/17. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 14, 2014. This transaction was executed in multiple trades at prices ranging from $144.65 to $145.64. 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. This transaction was executed in multiple trades at prices ranging from $145.65 to $146.62. 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. This transaction was executed in multiple trades at prices ranging from $146.78 to $146.85. 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. The option, representing a right to purchase a total of 5,775 shares, is exercisable in three equal semi-annual installments of 962 shares each and three equal semi-annual installments of 963 shares each beginning on September 2, 2015, which is the six-month anniversary of the date on which the option was granted. The option, representing a right to purchase a total of 13,333 shares, became exercisable in five equal semi-annual installments of 2,222 shares each and one equal semi-annual installment of 2,223 shares beginning on September 1, 2007, which was the six-month anniversary of the date on which the option was granted The option, representing a right to purchase a total of 8,158 shares, became exercisable in two equal semi-annual installments of 1,359 shares each and four equal semi-annual installments of 1,360 shares each beginning on September 1, 2011, which is the six-month anniversary of the date on which the option was granted. )The option, representing a right to purchase a total of 9,560 shares, became exercisable in four equal semi-annual installments of 1,593 shares each and two equal semi-annual installments of 1,594 shares each beginning on September 1, 2012, which was the six-month anniversary of the date on which the option was granted. The option, representing a right to purchase a total of 11,843 shares, became exercisable in one installment of 1,973 shares and five equal semi-annual installments of 1,974 shares each beginning on September 1, 2013, which was the six-month anniversary of the date on which the option was granted. The option, representing a right to purchase a total of 9,698 shares, became exercisable in four equal semi-annual installments of 1,616 shares each and two equal semi-annual installments of 1,617 shares each beginning on September 3, 2014, which was the six-month anniversary of the date on which the option was granted. /s/ Kathleen S. Kiefer, Attorney in fact 2015-03-04