Filing Details
- Accession Number:
- 0000049071-18-000067
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-05-07 15:13:25
- Reporting Period:
- 2018-05-03
- Accepted Time:
- 2018-05-07 15:13:25
- 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 |
|---|---|---|---|---|---|---|---|
| 1185643 | D Bruce Broussard | Humana Inc. 500 West Main Street Louisville KY 40202 | President & Ceo | Yes | 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 | 2018-05-03 | 607 | $164.65 | 89,259 | No | 4 | M | Direct | |
| Humana Common | Disposition | 2018-05-03 | 349 | $287.14 | 88,910 | No | 4 | F | Direct | |
| Humana Common | Acquisiton | 2018-05-03 | 38,935 | $164.65 | 127,845 | No | 4 | M | Direct | |
| Humana Common | Disposition | 2018-05-03 | 22,326 | $287.14 | 105,519 | No | 4 | F | Direct | |
| Humana Common | Disposition | 2018-05-03 | 7,630 | $284.78 | 97,889 | No | 4 | F | Direct | |
| Humana Common | Acquisiton | 2018-05-03 | 39,147 | $167.81 | 137,036 | No | 4 | M | Direct | |
| Humana Common | Disposition | 2018-05-03 | 22,878 | $287.14 | 114,158 | No | 4 | F | Direct | |
| Humana Common | Disposition | 2018-05-03 | 7,469 | $284.78 | 106,689 | No | 4 | F | Direct | |
| Humana Common | Disposition | 2018-05-03 | 17,604 | $286.17 | 89,085 | No | 4 | S | 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 | F | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | F | 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 | 2018-05-03 | 39,542 | $0.00 | 39,542 | $164.65 |
| Humana Common | Options | Disposition | 2018-05-03 | 39,147 | $0.00 | 39,147 | $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 | |
| 39,147 | 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 | 105,988 | 105,988 | Direct | |
| Humana Common | Options | $268.47 | 2025-02-19 | 44,152 | 44,152 | Direct | |
| Humana Common | Restricted Stock Units | $0.00 | 8,693 | 8,693 | Direct | ||
| Humana Common | Restricted Stock Units | $0.00 | 16,252 | 16,252 | Direct | ||
| Humana Common | Restricted Stock Units | $0.00 | 10,243 | 10,243 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2024-03-08 | 105,988 | 105,988 | Direct |
| 2025-02-19 | 44,152 | 44,152 | Direct |
| 8,693 | 8,693 | Direct | |
| 16,252 | 16,252 | Direct | |
| 10,243 | 10,243 | 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, vesting in three annual increments.
- Right to buy pursuant to Company's 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/19/2018, vesting in three annual increments.
- 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, 33% of the award is vesting on 12/15/17, 12/15/18, and 12/15/19.
- Restricted stock units granted to reporting person on 02/19/2018, 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 stock option exercise using fair market value on May 2, 2018 pursuant to Humana Inc's 2011 Stock Incentive Plan.
- Shares swapped for payment of taxes on stock option exercise using fair market value on May 3, 2018 pursuant to Humana Inc's 2011 Stock Incentive Plan.
- Shares sold at prices ranging from $285.95 to $286.475. Price reported is weighted average sales price.
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