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
- 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).
- 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.
- 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.
- 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.
- 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.
- 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.
- 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, 12/15/2017 and 12/15/2018.
- 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.
- 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.
- 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.
- 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.
- Shares sold at prices ranging from $299.30 to $299.47. Price reported is weighted average sales price.
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