Filing Details
- Accession Number:
- 0000049071-20-000060
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-03-17 09:28:13
- Reporting Period:
- 2020-03-13
- Accepted Time:
- 2020-03-17 09:28:13
- 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 |
|---|---|---|---|---|---|---|---|
| 1628102 | H Cynthia Zipperle | Humana Inc. 500 West Main St Louisville KY 40202 | Svp, Chief Acct Officer & Cont | 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 | 2020-03-13 | 1,500 | $289.40 | 3,162 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Humana Common | 896 | Indirect | See Footnote |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Humana Common | Restricted Stock Units | $0.00 | 302 | 302 | Direct | ||
| Humana Common | Restricted Stock Units | $0.00 | 745 | 745 | Direct | ||
| Humana Common | Restricted Stock Units | $0.00 | 542 | 542 | Direct | ||
| Humana Common | Restricted Stock Units | $0.00 | 713 | 713 | Direct | ||
| Humana Common | Phantom Stock Units | $0.00 | 269 | 269 | Indirect |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 302 | 302 | Direct | |
| 745 | 745 | Direct | |
| 542 | 542 | Direct | |
| 713 | 713 | Direct | |
| 269 | 269 | Indirect |
Footnotes
- Shares held for the benefit of reporting person as of February 28, 2020 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 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 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 02/19/18, 100% of the award is vesting on 02/19/21.
- 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.
- Phantom Stock Units held for the benefit of reporting person as of February 28, 2020 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.
- All shares purchased at price reported.
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