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Filing Details

Accession Number:: 0000049071-19-000135
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2019-12-17 14:25:20
Reporting Period:: 2019-12-15

Accepted Time:: 2019-12-17 14:25:20
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
1699801	Kevin William Fleming	Humana Inc. 500 West Main Street Louisville KY 40202	Seg Pres, Clin & Phm Solutions	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	2019-12-15	997	$0.00	7,660	No	4	M	Direct
Humana Common	Disposition	2019-12-15	308	$350.41	7,352	No	4	F	Direct
Humana Common	Acquisiton	2019-12-15	512	$0.00	7,864	No	4	M	Direct
Humana Common	Disposition	2019-12-15	173	$350.41	7,691	No	4	F	Direct
Humana Common	Acquisiton	2019-12-15	108	$0.00	7,799	No	4	M	Direct
Humana Common	Disposition	2019-12-15	50	$350.41	7,749	No	4	F	Direct
Humana Common	Acquisiton	2019-12-15	541	$0.00	8,290	No	4	M	Direct
Humana Common	Disposition	2019-12-15	248	$350.41	8,042	No	4	F	Direct
Humana Common	Acquisiton	2019-12-16	4,005	$167.81	12,047	No	4	M	Direct
Humana Common	Acquisiton	2019-12-16	7,747	$217.42	19,794	No	4	M	Direct
Humana Common	Disposition	2019-12-16	13,131	$354.43	6,663	No	4	S	Direct
Humana Common	Disposition	2019-12-16	500	$0.00	6,163	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	M	Direct
No	4	M	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	Options	Disposition	2019-12-16	4,005	$0.00	4,005	$167.81
Humana Common	Options	Disposition	2019-12-16	7,747	$0.00	7,747	$217.42
Humana Common	Restricted Stock Units	Disposition	2019-12-15	997	$0.00	997	$0.00
Humana Common	Restricted Stock Units	Disposition	2019-12-15	512	$0.00	512	$0.00
Humana Common	Restricted Stock Units	Disposition	2019-12-15	108	$0.00	108	$0.00
Humana Common	Restricted Stock Units	Disposition	2019-12-15	541	$0.00	541	$0.00

Remaning Holdings	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0	2023-02-18	No	4	M	Direct
12,750	2024-03-08	No	4	M	Direct
1,724		No	4	M	Direct
513		No	4	M	Direct
108		No	4	M	Direct
1,083		No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Humana Common	117	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	$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	Options	$307.97	2026-02-25	7,184	7,184	Direct
Humana Common	Phantom Stock Units	$0.00		23	23	Indirect

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2025-02-19	6,623	6,623	Direct
2025-03-01	1,391	1,391	Direct
2026-02-25	7,184	7,184	Direct
	23	23	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 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).
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 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 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.
Restricted stock units granted to reporting person on 2/25/19, 33% of the award is vesting on 12/15/19, 12/15/20 and 12/15/21.
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 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.
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 avg sales price for 11,752 options. 1,379 long shares were sold at $354.2379.
Transaction represents a gift/charitable donation effective December 16, in which no value was received in return.