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Filing Details

Accession Number:: 0000049071-19-000138
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2019-12-17 16:34:41
Reporting Period:: 2019-12-15

Accepted Time:: 2019-12-17 16:34:41
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	Strategic Advisor	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	1,189	$0.00	9,017	No	4	M	Direct
Humana Common	Disposition	2019-12-15	468	$350.41	8,549	No	4	F	Direct
Humana Common	Acquisiton	2019-12-15	481	$0.00	9,030	No	4	M	Direct
Humana Common	Disposition	2019-12-15	190	$350.41	8,840	No	4	F	Direct
Humana Common	Acquisiton	2019-12-15	419	$0.00	9,259	No	4	M	Direct
Humana Common	Disposition	2019-12-15	165	$350.41	9,094	No	4	F	Direct
Humana Common	Disposition	2019-12-16	1,266	$359.64	7,828	No	4	S	Direct
Humana Common	Disposition	2019-12-16	1,489	$0.00	6,339	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	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	Restricted Stock Units	Disposition	2019-12-15	1,189	$0.00	1,189	$0.00
Humana Common	Restricted Stock Units	Disposition	2019-12-15	481	$0.00	481	$0.00
Humana Common	Restricted Stock Units	Disposition	2019-12-15	419	$0.00	419	$0.00

Remaning Holdings	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
1,782	No	4	M	Direct
482	No	4	M	Direct
839	No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Humana Common	135	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	$217.42	2024-03-08	12,916	12,916	Direct
Humana Common	Options	$268.47	2025-02-19	4,148	4,148	Direct
Humana Common	Options	$307.97	2026-02-25	5,568	5,568	Direct
Humana Common	Phantom Stock Units	$0.00		62	62	Indirect

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2024-03-08	12,916	12,916	Direct
2025-02-19	4,148	4,148	Direct
2026-02-25	5,568	5,568	Direct
	62	62	Indirect

Footnotes

Stock units held for the benefit of reporting person as of November 30, 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 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 buy pursuant to Company's 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/25/19, 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 03/08/2017, 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.
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 fluctation due to changes in stock price.
All shares sold at reported price.
Transaction reported represents a gift/charitable donation effective December 16, 2019 , in which no value was received in return.