Filing Details
- Accession Number:
- 0000049071-20-000148
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-11-09 12:13:00
- Reporting Period:
- 2020-11-05
- Accepted Time:
- 2020-11-09 12:13:00
- 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 |
|---|---|---|---|---|---|---|---|
| 1609525 | A Brian Kane | Humana Inc. 500 West Main Street Louisville KY 40202 | Chief Financial 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 | 2020-11-05 | 29,995 | $217.42 | 67,023 | No | 4 | M | Direct | |
| Humana Common | Disposition | 2020-11-05 | 218 | $459.86 | 66,805 | No | 4 | F | Direct | |
| Humana Common | Disposition | 2020-11-05 | 29,536 | $446.87 | 37,269 | No | 4 | S | Direct | |
| Humana Common | Disposition | 2020-11-05 | 19,617 | $442.74 | 17,652 | No | 4 | S | Direct | |
| Humana Common | Disposition | 2020-11-05 | 120 | $0.00 | 17,532 | No | 4 | G | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | 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 | 2020-11-05 | 29,995 | $0.00 | 29,995 | $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 Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Humana Common | Options | $268.47 | 2025-02-19 | 12,041 | 12,041 | Direct | |
| Humana Common | Options | $307.97 | 2026-02-25 | 11,674 | 11,674 | Direct | |
| Humana Common | Options | $350.79 | 2027-02-24 | 12,535 | 12,535 | Direct | |
| Humana Common | Restricted Stock Units | $0.00 | 932 | 932 | Direct | ||
| Humana Common | Restricted Stock Units | $0.00 | 1,759 | 1,759 | Direct | ||
| Humana Common | Restricted Stock Units | $0.00 | 2,494 | 2,494 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2025-02-19 | 12,041 | 12,041 | Direct |
| 2026-02-25 | 11,674 | 11,674 | Direct |
| 2027-02-24 | 12,535 | 12,535 | Direct |
| 932 | 932 | Direct | |
| 1,759 | 1,759 | Direct | |
| 2,494 | 2,494 | 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. 19,997 options vesting in three annual increments, and 9,998 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 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 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 on November 4, 2020 pursuant to Humana Inc.'s 2011 Stock Incentive Plan.
- Shares sold at prices ranging from $442.84 to $450.87. Price reported is weighted average sales price.
- Shares sold at prices ranging from $439.58 to $450.90. Price reported is weighted average sales price.
- Shares represent gift/charitable donation effective November 5, 2020, in which no value was received in return.
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