Filing Details
- Accession Number:
- 0000049071-19-000021
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-02-21 16:06:20
- Reporting Period:
- 2019-02-19
- Accepted Time:
- 2019-02-21 16:06:20
- 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 | 2019-02-19 | 595 | $0.00 | 8,153 | No | 4 | M | Direct | |
| Humana Common | Disposition | 2019-02-19 | 325 | $307.22 | 7,828 | No | 4 | F | Direct | |
| Humana Common | Acquisiton | 2019-02-19 | 4,327 | $0.00 | 12,155 | No | 4 | M | Direct | |
| Humana Common | Disposition | 2019-02-19 | 4,327 | $308.06 | 7,828 | 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 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Humana Common | Options | Disposition | 2019-02-19 | 4,922 | $0.00 | 4,922 | $167.81 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2023-02-18 | 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 | $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 | Restricted Stock Units | $0.00 | 2,971 | 2,971 | Direct | ||
| Humana Common | Restricted Stock Units | $0.00 | 963 | 963 | Direct | ||
| Humana Common | Phantom Stock Units | $0.00 | 61 | 61 | Indirect |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2024-03-08 | 18,082 | 18,082 | Direct |
| 2025-02-19 | 6,221 | 6,221 | Direct |
| 2,971 | 2,971 | Direct | |
| 963 | 963 | Direct | |
| 61 | 61 | Indirect |
Footnotes
- Stock units held for the benefit of reporting person as of January 31, 2019 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).
- 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. 15,498 options vesting in three annual increments, and 7,749 options fully vest three years from the date of grant.
- 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.
- 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 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.
- 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.
- Phantom Stock Units held for the benefit of reporting person as of January 31, 2019 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.
- Shares swapped for payment of purchase price on stock option exercise using fair market value on February 15, 2019 pursuant to Humana Inc's 2011 Stock Incentive Plan.
- All shares sold at price of $308.0612.
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