Filing Details

Accession Number:
0000049071-17-000029
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-02-22 18:43:00
Reporting Period:
2017-02-18
Filing Date:
2017-02-22
Accepted Time:
2017-02-22 18:43:00
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
1185643 D Bruce Broussard Humana Inc.
500 West Main Street
Louisville KY 40202
President & Ceo Yes 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 2017-02-18 53,257 $0.00 155,108 No 4 M Direct
Humana Common Disposition 2017-02-18 25,413 $205.33 129,695 No 4 F Direct
Humana Common Acquisiton 2017-02-21 17,335 $72.84 147,030 No 4 M Direct
Humana Common Acquisiton 2017-02-21 50,286 $102.16 197,316 No 4 M Direct
Humana Common Disposition 2017-02-21 974 $205,325.00 196 No 4 F Direct
Humana Common Disposition 2017-02-21 104,256 $205.23 92,086 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 M Direct
No 4 F 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 2017-02-21 17,335 $0.00 17,335 $72.84
Humana Common Options Disposition 2017-02-21 50,286 $0.00 50,286 $102.16
Humana Common Restricted Stock Units Disposition 2017-02-18 16,519 $0.00 16,519 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2020-02-20 No 4 M Direct
0 2021-02-18 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 $164.65 2022-02-24 118,626 118,626 Direct
Humana Common Options $167.81 2023-02-18 117,441 117,441 Direct
Humana Common Restricted Stock Units $0.00 17,383 17,383 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2022-02-24 118,626 118,626 Direct
2023-02-18 117,441 117,441 Direct
17,383 17,383 Direct
Footnotes
  1. Right to buy pursuant to the Company's 2003 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to Reporting Person on 02/20/13, vesting in three increments from 02/20/14 to 02/20/16.
  2. Right to buy pursuant to the Company's 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to Reporting Person on 02/18/14, vesting in three increments from 02/18/15 to 02/18/17.
  3. Right to buy pursuant to the Company's 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to Reporting Person on 02/24/15, vesting in three increments from 02/24/16 to 02/24/18.
  4. Right to buy pursuant to Company's 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/18/16, vesting in three increments from 02/18/17 to 02/18/19.
  5. 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).
  6. Restricted stock units granted to Reporting Person on 02/18/2014, 100% of the award is vesting on 02/18/17.
  7. Restricted stock units granted to reporting person on 02/18/16, 33% of the award is vesting on 12/15/16, 12/15/17, and 12/15/18.
  8. Includes both time based (16,519) and performance based (36,738) based restricted stock units that vested on 2/18/17.
  9. Shares sold at prices ranging from $203.62 to $206.39.