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Filing Details

Accession Number:: 0000049071-19-000112
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2019-12-05 09:01:33
Reporting Period:: 2019-12-03

Accepted Time:: 2019-12-05 09:01:33
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

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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	2019-12-03	8,010	$167.81	13,767	No	4	M	Direct
Humana Common	Acquisiton	2019-12-03	4,333	$217.42	18,100	No	4	M	Direct
Humana Common	Acquisiton	2019-12-03	2,207	$268.47	20,307	No	4	M	Direct
Humana Common	Acquisiton	2019-12-03	463	$271.14	20,770	No	4	M	Direct
Humana Common	Disposition	2019-12-03	14,554	$341.31	6,216	No	4	S	Direct
Humana Common	Disposition	2019-12-03	465	$341.07	5,751	No	4	S	Direct

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

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Humana Common	Options	Disposition	2019-12-03	8,010	$0.00	8,010	$167.81
Humana Common	Options	Disposition	2019-12-03	4,333	$0.00	4,333	$217.42
Humana Common	Options	Disposition	2019-12-03	2,207	$0.00	2,207	$268.47
Humana Common	Options	Disposition	2019-12-03	463	$0.00	463	$271.14

Remaning Holdings	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0	2023-02-18	No	4	M	Direct
11,832	2024-03-08	No	4	M	Direct
4,416	2025-02-19	No	4	M	Direct
928	2025-03-01	No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Humana Common	844	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	$307.97	2026-02-25	7,902	7,902	Direct
Humana Common	Restricted Stock Units	$0.00		2,721	2,721	Direct
Humana Common	Restricted Stock Units	$0.00		1,025	1,025	Direct
Humana Common	Restricted Stock Units	$0.00		216	216	Direct
Humana Common	Restricted Stock Units	$0.00		1,786	1,786	Direct
Humana Common	Phantom Stock Units	$0.00		127	127	Indirect

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2026-02-25	7,902	7,902	Direct
	2,721	2,721	Direct
	1,025	1,025	Direct
	216	216	Direct
	1,786	1,786	Direct
	127	127	Indirect

Footnotes

Shares held for the benefit of reporting person as of November 30, 2019 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 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 buy pursuant to Company's 2011 Stock Incentive Plan. Non-Qualified stock options granted to reporting person on 02/25/2019, vesting in three increments from 2/25/20 to 2/25/22.
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 03/08/17, 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.
Restricted stock units granted to reporting person on 02/25/19, 33% of the award is vesting on 12/15/19, 12/15/20 and 12/15/21.
Phantom Stock Units held for the benefit of reporting person as of November 30, 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 fluctuation due to changes in stock price.
Price reported is weighted average sales price.
All shares sold at reported price.