0001127602-19-009904.txt : 20190305 0001127602-19-009904.hdr.sgml : 20190305 20190305161046 ACCESSION NUMBER: 0001127602-19-009904 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190301 FILED AS OF DATE: 20190305 DATE AS OF CHANGE: 20190305 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MCCARTHY GLORIA M CENTRAL INDEX KEY: 0001203671 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-16751 FILM NUMBER: 19658423 MAIL ADDRESS: STREET 1: WELLPOINT, INC STREET 2: 120 MONUMENT CIRCLE CITY: INDIANAPOLIS STATE: IN ZIP: 46204 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: 220 VIRGINIA AVENUE CITY: INDIANAPOLIS STATE: IN ZIP: 46204 BUSINESS PHONE: 3174886000 MAIL ADDRESS: STREET 1: 220 VIRGINIA AVENUE 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 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2019-03-01 0001156039 Anthem, Inc. ANTM 0001203671 MCCARTHY GLORIA M 220 VIRGINIA AVENUE INDIANAPOLIS IN 46204 1 EVP & Chief Administrative Off Common Stock 2019-03-01 4 F 0 6342 307.68 D 32414.1293 D Common Stock 2019-03-01 4 A 0 9125 0 A 41539.1293 D Common Stock 2019-03-01 4 A 0 2641 0 A 44180.1293 D Common Stock 2019-03-01 4 A 0 1087 0 A 45267.1293 D Common Stock 2019-03-04 4 M 0 1362 146.93 A 46629.1293 D Common Stock 2019-03-04 4 S 0 500 300.12 D 46129.1293 D Common Stock 2019-03-04 4 S 0 500 301.46 D 45629.1293 D Common Stock 2019-03-04 4 S 0 2500 302.32 D 43129.1293 D Common Stock 2019-03-04 4 S 0 1500 303.22 D 41629.1293 D Common Stock 2019-03-04 4 S 0 600 304.09 D 41029.1293 D Common Stock 2019-03-04 4 S 0 1101 306.32 D 39928.1293 D Common Stock 2019-03-04 4 S 0 600 307.54 D 39328.1293 D Common Stock 2019-03-04 4 S 0 400 308.35 D 38928.1293 D Employee Stock Option (Right to Buy) 307.68 2019-03-01 4 A 0 12187 0 A 2029-03-01 Common Stock 12187 12187 D Employee Stock Option (Right to Buy) 146.93 2019-03-04 4 M 0 1362 0 D 2025-03-02 Common Stock 1362 0 D PAYMENT OF TAX LIABILITY BY WITHHOLDING STOCK INCIDENT TO THE VESTING OF PREVIOUSLY GRANTED RESTRICTED STOCK. Represents performance based restricted share units. Restrictions lapse on 3/1/19. 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. Represents performance based restricted share units. Restrictions lapse on 10/3/19. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. ? 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. /s/ Kathleen S. Kiefer, Attorney in fact 2019-03-05