Filing Details
- Accession Number:
- 0000049071-18-000049
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-03-01 14:09:38
- Reporting Period:
- 2018-02-28
- Accepted Time:
- 2018-03-01 14:09:38
- 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 |
|---|---|---|---|---|---|---|---|
| 1103605 | S Heidi Margulis | Humana Inc. 500 West Main Street Louisville KY 40202 | Chief Corp. Affairs 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 | 2018-02-28 | 607 | $164.65 | 11,984 | No | 4 | M | Direct | |
| Humana Common | Disposition | 2018-02-28 | 362 | $276.43 | 11,622 | No | 4 | F | Direct | |
| Humana Common | Disposition | 2018-02-28 | 3,727 | $275.17 | 7,895 | No | 4 | S | Direct | |
| Humana Common | Disposition | 2018-02-28 | 119 | $0.00 | 7,776 | No | 4 | G | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | F | 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 | 2018-02-28 | 607 | $0.00 | 607 | $164.65 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 9,335 | 2022-02-24 | No | 4 | M | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Humana Common | Options | $102.16 | 2021-02-18 | 1,444 | 1,444 | Direct | |
| Humana Common | Options | $167.81 | 2023-02-18 | 14,764 | 14,764 | Direct | |
| Humana Common | Options | $217.42 | 2024-03-08 | 19,497 | 19,497 | Direct | |
| Humana Common | Options | $268.47 | 2025-02-19 | 5,218 | 5,218 | Direct | |
| Humana Common | Restricted Stock Units | $0.00 | 1,093 | 1,093 | Direct | ||
| Humana Common | Restricted Stock Units | $0.00 | 3,487 | 3,487 | Direct | ||
| Humana Common | Restricted Stock Units | $0.00 | 1,211 | 1,211 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2021-02-18 | 1,444 | 1,444 | Direct |
| 2023-02-18 | 14,764 | 14,764 | Direct |
| 2024-03-08 | 19,497 | 19,497 | Direct |
| 2025-02-19 | 5,218 | 5,218 | Direct |
| 1,093 | 1,093 | Direct | |
| 3,487 | 3,487 | Direct | |
| 1,211 | 1,211 | Direct |
Footnotes
- Right to buy pursuant to Humana Inc.'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 Humana Inc.'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. 12,998 options vesting in three annual increments, and 6,499 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, 2,989 shares vesting in three annual increments on 12/15/17, 12/15/18, and 12/15/19. 1,494 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.
- Shares swapped for payment of purchase price on incentive stock option exercise using fair market value on February 27, 2018 pursuant to Humana Inc's 2011 Stock Incentive Plan.
- Price reported is the average sales price.
- This transaction represents a gift/charitable donation effective February 28, 2018. This is not a market transaction and no value was received in return for the shares.
Billionaire Hedge Funds
