Filing Details
- Accession Number:
- 0000049071-17-000059
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-03-07 16:06:04
- Reporting Period:
- 2017-03-06
- Filing Date:
- 2017-03-07
- Accepted Time:
- 2017-03-07 16:06:04
- 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 |
---|---|---|---|---|---|---|---|
1018658 | E James Murray | Humana Inc. 500 West Main Street Louisville KY 40202 | Evp & Coo | 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 | 2017-03-06 | 10,846 | $164.65 | 45,635 | No | 4 | M | Direct | |
Humana Common | Disposition | 2017-03-06 | 10,846 | $213.55 | 34,789 | No | 4 | S | Direct | |
Humana Common | Disposition | 2017-03-06 | 7,898 | $213.65 | 2,940 | No | 4 | S | Indirect | See Footnote |
Humana Common | Disposition | 2017-03-06 | 12,407 | $213.65 | 0 | No | 4 | S | Indirect | See Footnote |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Direct | |
No | 4 | S | Direct | |
No | 4 | S | Indirect | See Footnote |
No | 4 | S | Indirect | See Footnote |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Humana Common | Options | Disposition | 2017-03-06 | 10,846 | $0.00 | 10,846 | $164.65 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
10,846 | 2022-02-24 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Humana Common | 29 | Indirect | See Footnote |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Humana Common | Options | $167.81 | 2023-02-18 | 21,475 | 21,475 | Direct | |
Humana Common | Restricted Stock Units | $0.00 | 4,768 | 4,768 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2023-02-18 | 21,475 | 21,475 | Direct |
4,768 | 4,768 | Direct |
Footnotes
- Shares held for the benefit of reporting person as of February 28, 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).
- 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 02/18/16, 33% of the award is vesting on 12/15/16, 12/15/17, and 12/15/18.
- Shares held in October 2015 GRAT.
- Shares held in October 2016 GRAT.
- Shares sold at prices ranging from $213.34 to $213.84.
- Shares sold at prices ranging from $213.34 to $213.92.