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Filing Details

Accession Number:: 0000049071-18-000148
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2018-12-18 16:09:16
Reporting Period:: 2018-12-15

Accepted Time:: 2018-12-18 16:09:16
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
1699801	Kevin William Fleming	Humana Inc. 500 West Main Street Louisville KY 40202	Seg President, Healthcare Svcs	No	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Humana Common	Acquisiton	2018-12-15	870	$0.00	8,893	No	4	M	Direct
Humana Common	Disposition	2018-12-15	399	$304.05	8,494	No	4	F	Direct
Humana Common	Acquisiton	2018-12-15	996	$0.00	9,490	No	4	M	Direct
Humana Common	Disposition	2018-12-15	457	$304.05	9,033	No	4	F	Direct
Humana Common	Acquisiton	2018-12-15	511	$0.00	9,544	No	4	M	Direct
Humana Common	Disposition	2018-12-15	235	$304.05	9,309	No	4	F	Direct
Humana Common	Acquisiton	2018-12-15	107	$0.00	9,416	No	4	M	Direct
Humana Common	Disposition	2018-12-15	50	$304.05	9,366	No	4	F	Direct
Humana Common	Disposition	2018-12-18	2,043	$295.03	7,323	No	4	S	Direct
Humana Common	Disposition	2018-12-18	660	$0.00	6,663	No	4	G	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	F	Direct
No	4	M	Direct
No	4	F	Direct
No	4	M	Direct
No	4	F	Direct
No	4	M	Direct
No	4	F	Direct
No	4	S	Direct
No	4	G	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Humana Common	Restricted Stock Units	Disposition	2018-12-15	870	$0.00	870	$0.00
Humana Common	Restricted Stock Units	Disposition	2018-12-15	996	$0.00	996	$0.00
Humana Common	Restricted Stock Units	Disposition	2018-12-15	511	$0.00	511	$0.00
Humana Common	Restricted Stock Units	Disposition	2018-12-15	107	$0.00	107	$0.00

Remaning Holdings	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0	No	4	M	Direct
2,721	No	4	M	Direct
1,025	No	4	M	Direct
216	No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Humana Common	116	Indirect	See Footnote

Reported Derivative Holdings

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Sec. Name	Sec. Type	Price	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Humana Common	Options	$167.81	2023-02-18	4,005	4,005	Direct
Humana Common	Options	$217.42	2024-03-08	20,497	20,497	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		3,341	3,341	Direct
Humana Common	Phantom Stock Units	$0.00		23	23	Indirect

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2023-02-18	4,005	4,005	Direct
2024-03-08	20,497	20,497	Direct
2025-02-19	6,623	6,623	Direct
2025-03-01	1,391	1,391	Direct
	3,341	3,341	Direct
	23	23	Indirect

Footnotes

Shares held for the benefit of reporting person as of November 30, 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 02/18/2016, 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 2/19/19 to 2/19/21.
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 02/24/15, 100% of the award is vesting on 02/24/2018.
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 November 30, 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.
Price reported is weighted average sales price.
This transaction represents a gift/charitable donation effective December 18, 2018, in which no value was received in return.