Filing Details
- Accession Number:
- 0000049071-17-000037
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-02-22 20:09:50
- Reporting Period:
- 2017-02-18
- Filing Date:
- 2017-02-22
- Accepted Time:
- 2017-02-22 20:09:50
- 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 |
|---|---|---|---|---|---|---|---|
| 1441437 | Todoroff M Christopher | Humana Inc. 500 West Main Street Louisville KY 40202 | Sr. Vp And General Counsel | 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 | 10,651 | $0.00 | 23,675 | No | 4 | M | Direct | |
| Humana Common | Disposition | 2017-02-18 | 4,644 | $205.33 | 19,031 | No | 4 | F | Direct | |
| Humana Common | Acquisiton | 2017-02-21 | 15,086 | $102.16 | 34,117 | No | 4 | M | Direct | |
| Humana Common | Acquisiton | 2017-02-21 | 4,861 | $72.84 | 38,978 | No | 4 | M | Direct | |
| Humana Common | Disposition | 2017-02-21 | 487 | $205.24 | 38,491 | No | 4 | F | Direct | |
| Humana Common | Disposition | 2017-02-21 | 24,140 | $205.33 | 14,351 | 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 | 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 | 4,861 | $0.00 | 4,681 | $72.84 |
| Humana Common | Options | Disposition | 2017-02-21 | 15,086 | $0.00 | 15,086 | $102.16 |
| Humana Common | Restricted Stock Units | Disposition | 2017-02-18 | 3,304 | $0.00 | 3,304 | $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 | |
| 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 | 21,014 | 21,014 | Direct | |
| Humana Common | Options | $167.81 | 2023-02-18 | 20,804 | 20,804 | Direct | |
| Humana Common | Restricted Stock Units | $0.00 | 3,079 | 3,079 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2022-02-24 | 21,014 | 21,014 | Direct |
| 2023-02-18 | 20,804 | 20,804 | Direct |
| 3,079 | 3,079 | Direct |
Footnotes
- 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 02/18/14, 100% of the award is vesting on 02/18/17.
- 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.
- Reporting Person disclaims Beneficial Ownership of one-half of each option or restricted stock unit held as of December 2016 pursuant to Divorce Decree, except under Rule 16a-12.
- On December 21, 2016 reporting person tranferred 383 shares of direct ownership pursuant to a Domestic Relations Order signed on November 17, 2016. Reporting person was afforded a filing exemption under Rule 16a-12, which extends to securities transferred pursuant to a Domestic Relations Order, pursuant to IRC Section 414(p)(1)(B).
- Includes both time based (3,304) and performance based (7,347) restricted stock units that vested on 2/18/17.
- Shares sold at prices ranging from $205.00 to $206.261.
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