Filing Details

Accession Number:
0000049071-18-000089
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-06-21 13:53:15
Reporting Period:
2018-06-19
Accepted Time:
2018-06-21 13:53:15
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
1699799 Alan Timothy Wheatley Humana Inc.
500 West Main Street
Louisville KY 40202
Segment President, Retail 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 2018-06-19 459 $217.42 3,889 No 4 M Direct
Humana Common Acquisiton 2018-06-19 8,136 $164.65 12,025 No 4 M Direct
Humana Common Acquisiton 2018-06-19 3,873 $217.42 15,898 No 4 M Direct
Humana Common Disposition 2018-06-19 11,468 $299.40 4,430 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
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 2018-06-19 8,136 $0.00 8,136 $164.65
Humana Common Options Disposition 2018-06-19 4,332 $0.00 4,332 $217.42
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
16,165 2024-03-08 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Humana Common 757 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 8,010 8,010 Direct
Humana Common Options $268.47 2025-02-19 6,623 6,623 Direct
Humana Common Options $271.14 2025-03-01 1,391 1,391 Direct
Humana Common Restricted Stock Units $0.00 870 870 Direct
Humana Common Restricted Stock Units $0.00 3,717 3,717 Direct
Humana Common Restricted Stock Units $0.00 1,536 1,536 Direct
Humana Common Restricted Stock Units $0.00 323 323 Direct
Humana Common Phantom Stock Units $0.00 117 117 Indirect
Expiration Date Amount Remaning Holdings Nature of Ownership
2023-02-18 8,010 8,010 Direct
2025-02-19 6,623 6,623 Direct
2025-03-01 1,391 1,391 Direct
870 870 Direct
3,717 3,717 Direct
1,536 1,536 Direct
323 323 Direct
117 117 Indirect
Footnotes
  1. Shares held for the benefit of reporting person as of May 31, 2018 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).
  2. Right to buy pursuant to Company's 2011 Stock Incentive Plan. Non-Qualified stock options granted to reporting person on 02/24/2015, vesting in three increments from 02/24/2016 to 02/24/2018.
  3. Right to buy pursuant to Company's 2011 Stock Incentive Plan. Non-Qualified stock options granted to reporting person on 02/18/2016, vesting in three increments from 02/18/2017 to 02/18/2019.
  4. 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 7,499 options fully vest three years from the date of grant.
  5. Right to buy pursuant to Company's 2011 Stock Incentive Plan. Non-Qualified stock options granted to reporting person on 02/19/2018, vesting in three increments from 02/19/2019 to 02/19/2021.
  6. Right to buy pursuant to Company's 2011 Stock Incentive Plan. Non-Qualified stock options granted to reporting person on 03/1/2018, vesting in three increments from 3/1/19 to 3/1/21.
  7. 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).
  8. Restricted stock units granted to reporting person on 02/18/16, 33% of the award is vesting on 12/15/16, 12/15/2017 and 12/15/2018.
  9. Restricted stock units granted to reporting person on 03/08/17, 2,989 shares vesting in three annual increments on 12/15/17, 12/15/18, and 12/15/19. 1,724 shares fully vest three years from the date of grant.
  10. 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.
  11. Restricted stock units granted to reporting person on 03/1/18, 33% of the award is vesting on 12/15/18, 12/15/19 and 12/15/20.
  12. Phantom Stock Units held for the benefit of reporting person as of May 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 fluctuation due to changes in stock price.
  13. Shares sold at prices ranging from $299.30 to $299.47. Price reported is weighted average sales price.