Filing Details
- Accession Number:
- 0000049071-20-000055
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-03-10 11:34:21
- Reporting Period:
- 2020-03-08
- Accepted Time:
- 2020-03-10 11:34:21
- 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 |
|---|---|---|---|---|---|---|---|
| 1565717 | S. Timothy Huval | Humana Inc. 500 West Main Street Louisville KY 40202 | Chief Administrative 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 | 2020-03-08 | 1,782 | $0.00 | 9,774 | No | 4 | M | Direct | |
| Humana Common | Disposition | 2020-03-08 | 802 | $359.85 | 8,972 | No | 4 | F | Direct | |
| Humana Common | Acquisiton | 2020-03-09 | 459 | $217.42 | 9,431 | No | 4 | M | Direct | |
| Humana Common | Disposition | 2020-03-09 | 278 | $359.85 | 9,153 | No | 4 | F | Direct | |
| Humana Common | Acquisiton | 2020-03-09 | 5,167 | $217.42 | 14,320 | No | 4 | M | Direct | |
| Humana Common | Acquisiton | 2020-03-09 | 7,290 | $217.42 | 21,610 | No | 4 | M | Direct | |
| Humana Common | Disposition | 2020-03-09 | 12,457 | $342.89 | 9,153 | No | 4 | S | Direct | |
| Humana Common | Disposition | 2020-03-09 | 980 | $343.06 | 8,173 | 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 | F | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | 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 | 2020-03-09 | 12,916 | $0.00 | 12,916 | $217.42 |
| Humana Common | Restricted Stock Units | Disposition | 2020-03-08 | 1,782 | $0.00 | 1,782 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2024-03-08 | No | 4 | M | Direct | |
| 0 | No | 4 | M | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Humana Common | Options | $268.47 | 2025-02-19 | 4,416 | 4,416 | Direct | |
| Humana Common | Options | $307.97 | 2026-02-25 | 6,106 | 6,106 | Direct | |
| Humana Common | Options | $350.79 | 2027-02-24 | 6,088 | 6,088 | Direct | |
| Humana Common | Restricted Stock Units | $0.00 | 513 | 513 | Direct | ||
| Humana Common | Restricted Stock Units | $0.00 | 920 | 920 | Direct | ||
| Humana Common | Restricted Stock Units | $0.00 | 1,212 | 1,212 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2025-02-19 | 4,416 | 4,416 | Direct |
| 2026-02-25 | 6,106 | 6,106 | Direct |
| 2027-02-24 | 6,088 | 6,088 | Direct |
| 513 | 513 | Direct | |
| 920 | 920 | Direct | |
| 1,212 | 1,212 | Direct |
Footnotes
- 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 the 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 buy pursuant to Company's 2019 Amended & Restated Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/24/2020, vesting in three annual increments from 2/24/21 to 2/24/23.
- 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 receive one share per restricted stock unit pursuant to the Company's 2019 Amended & Restated 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.
- Restricted stock units granted to reporting person on 02/24/2020, 33% of the award is vesting on 12/15/20, 12/15/21, and 12/15/22.
- Shares swapped for the payment of purchase price on stock option exercise, using Fair Market Value of Humana Inc. common stock on March 6, 2020.
- Price reported is weighted avg sales price.
- All shares sold at price reported.
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