Filing Details

Accession Number:
0000049071-18-000151
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-12-18 16:38:22
Reporting Period:
2018-12-15
Accepted Time:
2018-12-18 16:38:22
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
1528285 P. Brian Leclaire Humana Inc.
500 West Main Street
Louisville KY 40202
Chief Information 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 2018-12-15 1,093 $0.00 8,651 No 4 M Direct
Humana Common Disposition 2018-12-15 509 $304.05 8,142 No 4 F Direct
Humana Common Acquisiton 2018-12-15 1,188 $0.00 9,330 No 4 M Direct
Humana Common Disposition 2018-12-15 554 $304.05 8,776 No 4 F Direct
Humana Common Acquisiton 2018-12-15 480 $0.00 9,256 No 4 M Direct
Humana Common Disposition 2018-12-15 224 $304.05 9,032 No 4 F Direct
Humana Common Disposition 2018-12-18 1,474 $299.29 7,558 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 M 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 Restricted Stock Units Disposition 2018-12-15 1,093 $0.00 1,093 $0.00
Humana Common Restricted Stock Units Disposition 2018-12-15 1,188 $0.00 1,188 $0.00
Humana Common Restricted Stock Units Disposition 2018-12-15 480 $0.00 480 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 No 4 M Direct
2,971 No 4 M Direct
963 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Humana Common 134 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 4,922 4,922 Direct
Humana Common Options $217.42 2024-03-08 18,082 18,082 Direct
Humana Common Options $268.47 2025-02-19 6,221 6,221 Direct
Humana Common Phantom Stock Units $0.00 61 61 Indirect
Expiration Date Amount Remaning Holdings Nature of Ownership
2023-02-18 4,922 4,922 Direct
2024-03-08 18,082 18,082 Direct
2025-02-19 6,221 6,221 Direct
61 61 Indirect
Footnotes
  1. Stock units held for the benefit of reporting person as of November 30, 2018 under the Humana Retirement & Savings Plan including a routine disposition of shares to fund an administrative fee assessment under a Tax-Conditioned Plan, both exempt under Rule 16b-3(c).
  2. 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.
  3. 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. 15,498 options vesting in three annual increments, and 7,749 options fully vest three years from the date of grant.
  4. 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.
  5. 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).
  6. 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.
  7. Restricted stock units granted to reporting person on 03/08/2017, 3,564 shares vesting in three annual increments on 12/15/17, 12/15/18, and 12/15/19. 1,782 shares fully vest three years from the date of grant.
  8. 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.
  9. 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 fluctation due to changes in stock price.
  10. All shares sold at price of $299.2897.
  11. Due to scrivener's error, the total shares are updated from a transposition in beneficial shares owned in previous filing.