Filing Details
- Accession Number:
- 0000049071-17-000035
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-02-22 19:59:40
- Reporting Period:
- 2017-02-18
- Filing Date:
- 2017-02-22
- Accepted Time:
- 2017-02-22 19:59:40
- 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 | Acquisiton | 2017-02-18 | 7,889 | $0.00 | 25,734 | No | 4 | M | Direct | |
| Humana Common | Disposition | 2017-02-18 | 3,202 | $205.33 | 22,532 | No | 4 | F | Direct | |
| Humana Common | Acquisiton | 2017-02-22 | 2,254 | $72.84 | 24,786 | No | 4 | M | Direct | |
| Humana Common | Acquisiton | 2017-02-22 | 7,450 | $102.16 | 32,236 | No | 4 | M | Direct | |
| Humana Common | Acquisiton | 2017-02-22 | 4,921 | $167.81 | 37,157 | No | 4 | M | Direct | |
| Humana Common | Disposition | 2017-02-22 | 974 | $204.66 | 36,183 | No | 4 | F | Direct | |
| Humana Common | Disposition | 2017-02-22 | 26,894 | $205.24 | 9,289 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | 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 | 2017-02-22 | 2,254 | $0.00 | 2,254 | $72.84 |
| Humana Common | Options | Disposition | 2017-02-22 | 7,450 | $0.00 | 7,450 | $102.16 |
| Humana Common | Options | Disposition | 2017-02-22 | 4,921 | $0.00 | 4,921 | $167.81 |
| Humana Common | Restricted Stock Units | Disposition | 2017-02-18 | 2,447 | $0.00 | 2,447 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2020-02-20 | No | 4 | M | Direct | |
| 0 | 2021-02-18 | No | 4 | M | Direct | |
| 9,843 | 2023-02-18 | No | 4 | M | Direct | |
| 0 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Humana Common | 134 | Indirect | (See Footnote) |
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 | 14,913 | 14,913 | Direct | |
| Humana Common | Restricted Stock Units | $0.00 | 2,186 | 2,186 | Direct | ||
| Humana Common | Phantom Stock Units | $0.00 | 61 | 61 | Indirect |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2022-02-24 | 14,913 | 14,913 | Direct |
| 2,186 | 2,186 | Direct | |
| 61 | 61 | Indirect |
Footnotes
- Stock units held for the benefit of reporting person as of January 31, 2017 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 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.
- 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 fluctation due to changes in stock price.
- Includes both time based (2,447) and performance based (5,442) restricted stock units that vested on 2/18/17.
- Price indicated reflects the purchase price for shares exercised under the 2003 Plan using the Fair Market Value on 2/22/2017. The purchase price for shares exercised under the 2011 Plan was determined using the Fair Market Value on 2/21/2017 of $205.24.
- Shares sold at a prices ranging from $204.870 to $205.7650.
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