Filing Details
- Accession Number:
- 0000049071-17-000107
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-05-04 16:05:37
- Reporting Period:
- 2017-05-04
- Filing Date:
- 2017-05-04
- Accepted Time:
- 2017-05-04 16:05:37
- 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 |
|---|---|---|---|---|---|---|---|
| 1565717 | S. Timothy Huval | Humana Inc. 500 West Main Street Louisville KY 40202 | Senior Vp & Chief Hr Officer | 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 | 2017-05-04 | 7,005 | $164.65 | 23,639 | No | 4 | M | Direct | |
| Humana Common | Acquisiton | 2017-05-04 | 6,934 | $167.81 | 30,573 | No | 4 | M | Direct | |
| Humana Common | Disposition | 2017-05-04 | 13,939 | $225.86 | 16,634 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | 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 | 2017-05-04 | 7,005 | $0.00 | 7,005 | $164.65 |
| Humana Common | Options | Disposition | 2017-05-04 | 6,934 | $0.00 | 6,934 | $167.81 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 7,005 | 2022-02-24 | No | 4 | M | Direct | |
| 13,870 | 2023-02-18 | No | 4 | M | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Humana Common | Options | $217.42 | 2024-03-08 | 23,247 | 23,247 | Direct | |
| Humana Common | Restricted Stock Units | $0.00 | 3,079 | 3,079 | Direct | ||
| Humana Common | Restricted Stock Units | $0.00 | 5,346 | 5,346 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2024-03-08 | 23,247 | 23,247 | Direct |
| 3,079 | 3,079 | Direct | |
| 5,346 | 5,346 | Direct |
Footnotes
- Right to buy pursuant to the 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 buy pursuant to Company's 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 03/08/2017. 15,498 options vesting in three annual increments, and 7,749 options fully vest three years from the date of grant.
- 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.
- Restricted stock units granted to reporting person on 03/08/2017, 3,564 shares vesting in three annual increments, and 1,782 shares fully vest three years from the date of grant.
- Shares sold at prices ranging from $225.10 to $226.67. Price reported is the average sale price.
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