Filing Details
- Accession Number:
- 0000049071-15-000046
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-03-03 17:20:25
- Reporting Period:
- 2015-03-02
- Filing Date:
- 2015-03-03
- Accepted Time:
- 2015-03-03 17:20:25
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 49071 | Humana Inc | HUM | Hospital & Medical Service Plans (6324) | 610647538 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1528285 | P. Brian Leclaire | Humana Inc. 500 West Main Street Louisville KY 40202 | Svp & Chief Information Off. | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Humana Common | Disposition | 2015-03-02 | 5,500 | $161.79 | 11,965 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Humana Common | 132 | Indirect | See Footnote |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Humana Common | Options | $72.84 | 2020-02-20 | 2,254 | 2,254 | Direct | |
| Humana Common | Options | $102.16 | 2021-02-18 | 7,450 | 7,450 | Direct | |
| Humana Common | Options | $164.65 | 2022-02-24 | 14,913 | 14,913 | Direct | |
| Humana Common | Restricted Stock Units | $0.00 | 2,231 | 2,231 | Direct | ||
| Humana Common | Restricted Stock Units | $0.00 | 2,447 | 2,447 | Direct | ||
| Humana Common | Phantom Stock Units | $0.00 | 61 | 61 | Indirect |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2020-02-20 | 2,254 | 2,254 | Direct |
| 2021-02-18 | 7,450 | 7,450 | Direct |
| 2022-02-24 | 14,913 | 14,913 | Direct |
| 2,231 | 2,231 | Direct | |
| 2,447 | 2,447 | Direct | |
| 61 | 61 | Indirect |
Footnotes
- Stock units held for the benefit of reporting person as of January 31, 2015 under the Humana Retirement & Savings Plan including a routine disposition of shares to fund an administrative fee assessment under a Tax-Conditioned Plan, both exempt under Rule 16b-3(c).
- Right to buy pursuant to Company's 2003 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/20/13, vesting in three increments from 02/20/14 to 02/20/16.
- Right to buy pursuant to Company's 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/18/14, vesting in three increments from 02/18/15 to 02/18/17.
- Right to buy pursuant to Company's 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/24/15, vesting in three increments from 02/24/16 to 02/24/18.
- Right to receive one share per restricted stock unit pursuant to the Company's 2011 Stock Incentive Plan. Each restricted stock unit represents a contingent right to receive one share of Humana Inc. common stock, exempt under Rule 16b-3(d)(1) & (3).
- Restricted stock units granted to reporting person on 2/20/13, 100% of the award is vesting on 2/20/16.
- Restricted stock units granted to reporting person on 2/18/14, 100% of the award is vesting on 2/18/17.
- Phantom Stock Units held for the benefit of reporting person as of January 31, 2015 based on the value of Humana common stock on a 1-for-1 basis, under the Humana Retirement Equalization Plan. The ending number of units reflects normal fluctation due to changes in stock price.
- Shares sold at prices ranging from $161.75 to $161.828
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