Filing Details
- Accession Number:
- 0000049071-19-000117
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-12-10 09:29:43
- Reporting Period:
- 2019-12-06
- Accepted Time:
- 2019-12-10 09:29:43
- 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 |
|---|---|---|---|---|---|---|---|
| 1561149 | D Elizabeth Bierbower | Humana Inc. 500 West Main Street Louisville KY 40202 | Strategic Advisor | 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 | 2019-12-06 | 7,403 | $102.16 | 22,680 | No | 4 | M | Direct | |
| Humana Common | Acquisiton | 2019-12-06 | 978 | $102.16 | 23,658 | No | 4 | M | Direct | |
| Humana Common | Acquisiton | 2019-12-06 | 1,897 | $164.65 | 25,555 | No | 4 | M | Direct | |
| Humana Common | Disposition | 2019-12-06 | 9,300 | $350.02 | 16,255 | 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 | 2019-12-06 | 8,381 | $0.00 | 8,381 | $102.16 |
| Humana Common | Options | Disposition | 2019-12-06 | 1,897 | $0.00 | 1,897 | $164.65 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2021-02-18 | No | 4 | M | Direct | |
| 5,730 | 2022-02-24 | No | 4 | M | Direct |
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 | 8,925 | 8,925 | Direct | |
| Humana Common | Options | $217.42 | 2024-03-08 | 14,997 | 14,997 | Direct | |
| Humana Common | Options | $268.47 | 2025-02-19 | 4,817 | 4,817 | Direct | |
| Humana Common | Options | $307.97 | 2026-02-25 | 5,029 | 5,029 | Direct | |
| Humana Common | Restricted Stock Units | $0.00 | 1,916 | 1,916 | Direct | ||
| Humana Common | Restricted Stock Units | $0.00 | 745 | 745 | Direct | ||
| Humana Common | Restricted Stock Units | $0.00 | 1,136 | 1,136 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2023-02-18 | 8,925 | 8,925 | Direct |
| 2024-03-08 | 14,997 | 14,997 | Direct |
| 2025-02-19 | 4,817 | 4,817 | Direct |
| 2026-02-25 | 5,029 | 5,029 | Direct |
| 1,916 | 1,916 | Direct | |
| 745 | 745 | Direct | |
| 1,136 | 1,136 | Direct |
Footnotes
- Right to buy pursuant to Company's 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/18/2014, vesting in three increments from 02/18/2015 to 02/18/2017.
- 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. 9,998 options vesting in 3 annual increments, and 4,999 options fully vest three years from 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 02/19/2018, vesting in three increments from 02/19/19 to 02/19/21.
- Right to buy pursuant to Company's 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/25/2019, vesting in three increments from 02/25/20 to 02/25/22.
- 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. 2,299 shares vesting in three annual increments on 12/15/17, 12/15/18, and 12/15/19. 1,149 shares fully vest three years from 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 02/25/19, 33% of the award is vesting on 12/15/19, 12/15/20 and 12/15/21.
- Price reported is weightd avg sales price.
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