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Filing Details

Accession Number:: 0000049071-17-000032
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2017-02-22 19:15:50
Reporting Period:: 2017-02-18

Filing Date:: 2017-02-22
Accepted Time:: 2017-02-22 19:15:50
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
1628102	H Cynthia Zipperle	Humana Inc. 500 West Main St Louisville KY 40202	Vice President, Cao,Controller	No	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Humana Common	Acquisiton	2017-02-18	2,584	$0.00	6,542	No	4	M	Direct
Humana Common	Disposition	2017-02-18	921	$205.33	5,621	No	4	F	Direct
Humana Common	Acquisiton	2017-02-21	4,213	$44.96	9,834	No	4	M	Direct
Humana Common	Disposition	2017-02-21	4,213	$204.67	5,621	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	F	Direct
No	4	M	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Humana Common	Options	Disposition	2017-02-21	4,213	$0.00	4,213	$44.96
Humana Common	Restricted Stock Units	Disposition	2017-02-18	1,224	$0.00	1,224	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0		2017-04-20	No	4	M	Direct
0			No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Humana Common	890	Indirect	See Footnote

Reported Derivative Holdings

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Sec. Name	Sec. Type	Price	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Humana Common	Options	$67.48	2019-12-13	1,196	1,196	Direct
Humana Common	Restricted Stock Units	$0.00		1,063	1,063	Direct
Humana Common	Restricted Stock Units	$0.00		1,590	1,590	Direct
Humana Common	Phantom Stock Units	$0.00		237	237	Indirect

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2019-12-13	1,196	1,196	Direct
	1,063	1,063	Direct
	1,590	1,590	Direct
	237	237	Indirect

Footnotes

Right to buy pursuant to Company's 2003 Incentive Stock Plan. Non-Qualified stock options granted to reporting person on 04/20/10, vesting in three increments from 04/20/11 to 04/20/13.
Right to buy pursuant to Company's 2003 Incentive Stock Plan. Non-Qualified stock options granted to reporting person on 12/13/12, vesting in three increments from 12/13/13 to 12/13/15.
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 02/18/14, 100% of the award is vesting on 02/18/17.
Restricted stock units granted to reporting person on 02/24/15, 100% of the award is vesting on 02/24/18.
Restricted stock units granted to reporting person on 02/18/16, 33% of the award is vesting on 12/15/16, 12/15/17, and 12/15/18.
Shares held for the benefit of reporting person as of January 31, 2017 under the Humana Retirement Savings Plan including routine payroll deductions, quarterly dividend allocation, and a routine disposition of shares to fund an administrative fee assessment under a Tax-Conditioned Plan, exempt under Rule 16b-3(c).
Phantom Stock Units held for the benefit of reporting person as of January 31, 2017 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 fluctuation due to changes in stock price.
Includes both time based (1,224) and performance based (1,360) restricted stock units that vested on 2/18/17.