Filing Details
- Accession Number:
- 0000049071-17-000033
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-02-22 19:18:54
- Reporting Period:
- 2017-02-18
- Filing Date:
- 2017-02-22
- Accepted Time:
- 2017-02-22 19:18:54
- 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 |
---|---|---|---|---|---|---|---|
1103605 | S Heidi Margulis | Humana Inc. 500 West Main Street Louisville KY 40202 | Senior V.p. -Corporate Affairs | 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 | Acquisiton | 2017-02-18 | 5,128 | $0.00 | 24,499 | No | 4 | M | Direct | |
Humana Common | Disposition | 2017-02-18 | 1,788 | $205.33 | 22,711 | No | 4 | F | Direct | |
Humana Common | Disposition | 2017-02-21 | 100 | $205.33 | 22,611 | No | 4 | G | Direct | |
Humana Common | Acquisiton | 2017-02-21 | 978 | $102.16 | 23,589 | No | 4 | M | Direct | |
Humana Common | Disposition | 2017-02-21 | 487 | $205.33 | 23,102 | No | 4 | F | Direct | |
Humana Common | Disposition | 2017-02-21 | 13,452 | $205.28 | 9,650 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Direct | |
No | 4 | F | Direct | |
No | 4 | G | Direct | |
No | 4 | M | Direct | |
No | 4 | F | Direct | |
No | 4 | S | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Humana Common | Options | Disposition | 2017-02-21 | 978 | $0.00 | 978 | $102.16 |
Humana Common | Restricted Stock Units | Disposition | 2017-02-18 | 1,591 | $0.00 | 1,591 | $0.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
1,444 | 2021-02-18 | No | 4 | M | Direct | |
0 | No | 4 | M | Direct |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Humana Common | Options | $164.65 | 2022-02-24 | 9,942 | 9,942 | Direct | |
Humana Common | Options | $167.81 | 2023-02-18 | 14,764 | 14,764 | Direct | |
Humana Common | Restricted Stock Units | $0.00 | 2,186 | 2,186 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2022-02-24 | 9,942 | 9,942 | Direct |
2023-02-18 | 14,764 | 14,764 | Direct |
2,186 | 2,186 | Direct |
Footnotes
- Right to buy pursuant to Humana Inc.'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 Humana Inc.'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 buy pursuant to Company's 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/18/16, vesting in three increments from 02/18/17 to 02/18/19.
- 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 2/18/14, 100% of the award is vesting on 2/18/17.
- 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.
- Includes both time based (1,591) and performance based (3,537) restricted stock units that vested on 2/18/17.
- Shares sold at prices ranging from $204.05 to $206.47.