Filing Details
- Accession Number:
- 0000049071-20-000171
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-12-21 09:47:07
- Reporting Period:
- 2020-12-17
- Accepted Time:
- 2020-12-21 09:47:07
- 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 |
|---|---|---|---|---|---|---|---|
| 1025393 | Jr/Ky A David Jones | Chrysalis Ventures, Inc. 101 S. Fifth Street, Suite 1650 Louisville KY 40202 | Yes | No | 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 | Disposition | 2020-12-17 | 5,000 | $392.76 | 77,272 | No | 4 | S | Indirect | See Footnote |
| Humana Common | Disposition | 2020-06-30 | 5,000 | $0.00 | 72,272 | No | 4 | G | Indirect | See Footnote |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Indirect | See Footnote |
| No | 4 | G | Indirect | See Footnote |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Humana Common | 453 | Direct | |
| Humana Common | 800 | 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 | 5,892 | 5,892 | Direct | ||
| Humana Common | Restricted Stock Units | $0.00 | 95 | 95 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 5,892 | 5,892 | Direct | |
| 95 | 95 | Direct |
Footnotes
- Shares held in two trusts for the benefit of reporting person's son/daughter, respectively, in each case where the reporting person is the sole trustee.
- Annual Director's fee payable in stock units which have been deferred at the election of the reporting person until his resignation of services as a director at which time the stock units will be payable in Humana Inc. common stock on a 1-for-1 basis, exempt pursuant to Rule 16(b)-3(d)(1).
- Director's dividend payment reinvested into stock units on vested and deferred stock units, deferred in accordance with the Plan until his resignation of services as a director at which time the deferred dividend stock units will be payable in Humana Inc. common stock on a 1-for-1 basis, exempt pursuant to Rule16(b)-3(d).
- Shares held by a revocable trust account (Dec 2009), on which reporting person is the sole trustee, holding certain shares of Humana Inc. common stock.
- Includes 453 restricted stock units pursuant to the annual Director's Fee Program representing a contingent right to receive one share of Humana Inc. common stock, exempt under Rule 16b-3(d)(1)&(3) under the Company's 2019 Amended & Restated Plan of which 100% is vesting on 12/31/20.
- Shares contributed by the David Jones Jr Revocable Trust to an exchange fund in return for shares of the exchange fund. The Humana Inc. common stock was valued at $392.76 per share, using close of business prices on the day prior to the exchange date, for purposes of determining the number of shares of the exchange fund issued to the Revocable Trust.
- Shares reported represent a gift/chartiable donation, effective June 30, 2020, in which no value was received in return.
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