Filing Details
- Accession Number:
- 0000049071-18-000044
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-02-27 18:39:28
- Reporting Period:
- 2018-02-24
- Accepted Time:
- 2018-02-27 18:39:28
- 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 | Chief Information 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 | 2018-02-24 | 3,174 | $0.00 | 13,062 | No | 4 | M | Direct | |
Humana Common | Disposition | 2018-02-24 | 1,040 | $269.31 | 12,022 | No | 4 | F | Direct | |
Humana Common | Acquisiton | 2018-02-26 | 4,971 | $164.65 | 16,993 | No | 4 | M | Direct | |
Humana Common | Disposition | 2018-02-26 | 372 | $269.31 | 16,621 | No | 4 | F | Direct | |
Humana Common | Acquisiton | 2018-02-26 | 4,921 | $167.81 | 21,542 | No | 4 | M | Direct | |
Humana Common | Disposition | 2018-02-26 | 12,719 | $274.68 | 8,823 | No | 4 | S | Direct | |
Humana Common | Disposition | 2018-02-27 | 120 | $0.00 | 8,703 | No | 4 | G | 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 | F | Direct | |
No | 4 | M | Direct | |
No | 4 | S | Direct | |
No | 4 | G | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Humana Common | Options | Disposition | 2018-02-26 | 4,971 | $0.00 | 4,971 | $164.65 |
Humana Common | Options | Disposition | 2018-02-26 | 4,921 | $0.00 | 4,921 | $167.81 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | 2022-02-24 | No | 4 | M | Direct | |
4,922 | 2023-02-18 | 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 | $217.42 | 2024-03-08 | 23,247 | 23,247 | Direct | |
Humana Common | Options | $268.47 | 2025-02-19 | 6,221 | 6,221 | Direct | |
Humana Common | Restricted Stock Units | $0.00 | 1,093 | 1,093 | Direct | ||
Humana Common | Restricted Stock Units | $0.00 | 4,159 | 4,159 | Direct | ||
Humana Common | Restricted Stock Units | $0.00 | 1,443 | 1,443 | Direct | ||
Humana Common | Phantom Stock Units | $0.00 | 61 | 61 | Indirect |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2024-03-08 | 23,247 | 23,247 | Direct |
2025-02-19 | 6,221 | 6,221 | Direct |
1,093 | 1,093 | Direct | |
4,159 | 4,159 | Direct | |
1,443 | 1,443 | Direct | |
61 | 61 | Indirect |
Footnotes
- Stock units held for the benefit of reporting person as of January 31, 2018 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 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 buy pursuant to Company's 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/19/18, vesting in three increments from 02/19/19 to 02/19/21.
- 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 on 12/15/17, 12/15/18, and 12/15/19. 1,782 shares fully vest three years from the date of grant.
- Restricted stock units granted to reporting person on 02/19/18, 33% of the award is vesting on 12/15/18, 12/15/19, and 12/15/20.
- Phantom Stock Units held for the benefit of reporting person as of January 31, 2018 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 Performance Stock Units that vested on 2/24/18.
- Shares swapped for payment of purchase price on incentive stock option exercise using fair market value on February 23, 2018 pursuant to Humana Inc's 2011 Stock Incentive Plan.
- Shares sold at prices ranging from $274.31 to $274.986. Price reported is weighted average sales price.
- This transaction represents a gift/charitable donation effective February 27, 2018. This is not a market transaction and no value was received in return for the shares.
- The number of Options (14,913) granted on 2/24/15 was correct. Due to scrivener's error, it was changed on 2/24/17 to 14,306. This was a difference of 607 shares that should have remained in Table II for the reporting person.