Filing Details
- Accession Number:
- 0000049071-17-000040
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-02-23 11:58:17
- Reporting Period:
- 2017-02-21
- Filing Date:
- 2017-02-23
- Accepted Time:
- 2017-02-23 11:58:17
- 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 |
---|---|---|---|---|---|---|---|
1025393 | Jr/Ky A David Jones | Chrysalis Ventures, Inc. 101 S. Fifth Street, Suite 1650 Louisville KY 40202 | Yes | No | 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 | 2017-02-21 | 27,000 | $205.04 | 27,050 | No | 4 | S | Indirect | See Footnote |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | S | Indirect | See Footnote |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Humana Common | 761 | Direct | |
Humana Common | 1,300 | Indirect | See Footnote |
Humana Common | 1,300 | Indirect | See Footnote |
Humana Common | 52,198 | Indirect | See Footnote |
Humana Common | 20,802 | Indirect | See Footnote |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Humana Common | Restricted Stock Units | $0.00 | 5,892 | 5,892 | Direct | ||
Humana Common | Restricted Stock Units | $0.00 | 95 | 95 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
5,892 | 5,892 | Direct | |
95 | 95 | Direct |
Footnotes
- Shares held by spouse as custodian for daughter.
- Shares held by spouse as custodian for son.
- Annual Director's fee payable in stock units which have been deferred at the election of the reporting person until his resignation of services as a director at which time the stock units will be payable in Humana Inc. common stock on a 1-for-1 basis, exempt pursuant to Rule 16(b)-3(d)(1).
- Director's dividend payment reinvested into stock units on vested and deferred stock units, deferred in accordance with the Plan until his resignation of services as a director at which time the deferred dividend stock units will be payable in Humana Inc. common stock on a 1-for-1 basis, exempt pursuant to Rule16(b)-3(d).
- Shares held by a revocable trust account (Dec 2009), on which reporting person is the sole trustee, holding certain shares of Humana Inc. common stock.
- Shares held by a grantor retained annuity trust (GRAT #1) exempt from Rule 16(a)-13, on which reporting person is the sole trustee.
- Shares held by grantor retained annuity trust (GRAT #2) exempt from Rule 16(a)-13, on which reporting person is the sole trustee.
- Includes 761 restricted stock units pursuant to the annual Director's Fee Program representing a contingent right to receive one share of Humana Inc. common stock, exempt under Rule 16b-3(d)(1)&(3) under the Company's 2011 Plan of which 100% is vesting on 12/31/2017.
- Shares sold at prices ranging from $204.51 to $206.43.