Filing Details
- Accession Number:
- 0000049071-20-000143
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-11-06 13:10:48
- Reporting Period:
- 2020-11-04
- Accepted Time:
- 2020-11-06 13:10:48
- 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
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Humana Common | Acquisiton | 2020-11-04 | 459 | $217.42 | 7,628 | No | 4 | M | Direct | |
| Humana Common | Disposition | 2020-11-04 | 238 | $420.05 | 7,390 | No | 4 | F | Direct | |
| Humana Common | Acquisiton | 2020-11-04 | 918 | $217.42 | 8,308 | No | 4 | M | Direct | |
| Humana Common | Disposition | 2020-11-04 | 476 | $420.05 | 7,832 | No | 4 | F | Direct | |
| Humana Common | Acquisiton | 2020-11-04 | 4,333 | $217.42 | 12,165 | No | 4 | M | Direct | |
| Humana Common | Acquisiton | 2020-11-04 | 7,040 | $217.42 | 19,205 | No | 4 | M | Direct | |
| Humana Common | Disposition | 2020-11-04 | 11,373 | $451.71 | 7,832 | No | 4 | S | Direct | |
| Humana Common | Disposition | 2020-11-05 | 542 | $0.00 | 7,290 | No | 4 | G | Direct | |
| Humana Common | Disposition | 2020-06-30 | 1,330 | $0.00 | 5,960 | No | 4 | G | 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 | G | Direct | |
| No | 4 | G | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Humana Common | Options | Disposition | 2020-11-04 | 12,750 | $0.00 | 12,750 | $217.42 |
| 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 |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Humana Common | 117 | Indirect | See Footnote |
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 | 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 | Options | $350.79 | 2027-02-24 | 6,446 | 6,446 | Direct | |
| Humana Common | Restricted Stock Units | $0.00 | 513 | 513 | Direct | ||
| Humana Common | Restricted Stock Units | $0.00 | 108 | 108 | Direct | ||
| Humana Common | Restricted Stock Units | $0.00 | 1,083 | 1,083 | Direct | ||
| Humana Common | Restricted Stock Units | $0.00 | 1,283 | 1,283 | 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 |
| 2027-02-24 | 6,446 | 6,446 | Direct |
| 513 | 513 | Direct | |
| 108 | 108 | Direct | |
| 1,083 | 1,083 | Direct | |
| 1,283 | 1,283 | Direct | |
| 23 | 23 | Indirect |
Footnotes
- Shares held for the benefit of reporting person as of October 31, 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 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.
- 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 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 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 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 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 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 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 October 31, 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.
- Shares swapped for the payment of purchase price on stock option exercise using fair market value on November 3, 2020 pursuant to Humana Inc.'s 2011 Stock Incentive Plan.
- Shares represent a charitable gift/donation, effective November 5, 2020, in which no value was received in return.
- Shares represent a charitable gift/donation, effective June 30, 2020, in which no value was received in return.
- Shares sold at prices ranging from $450.00 to $454.515. Price reported is weighted average sales price.
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