Filing Details

Accession Number:
0000049071-17-000035
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-02-22 19:59:40
Reporting Period:
2017-02-18
Filing Date:
2017-02-22
Accepted Time:
2017-02-22 19:59:40
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
1528285 P. Brian Leclaire Humana Inc.
500 West Main Street
Louisville KY 40202
Svp & Chief Information Off. 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 2017-02-18 7,889 $0.00 25,734 No 4 M Direct
Humana Common Disposition 2017-02-18 3,202 $205.33 22,532 No 4 F Direct
Humana Common Acquisiton 2017-02-22 2,254 $72.84 24,786 No 4 M Direct
Humana Common Acquisiton 2017-02-22 7,450 $102.16 32,236 No 4 M Direct
Humana Common Acquisiton 2017-02-22 4,921 $167.81 37,157 No 4 M Direct
Humana Common Disposition 2017-02-22 974 $204.66 36,183 No 4 F Direct
Humana Common Disposition 2017-02-22 26,894 $205.24 9,289 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 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 2017-02-22 2,254 $0.00 2,254 $72.84
Humana Common Options Disposition 2017-02-22 7,450 $0.00 7,450 $102.16
Humana Common Options Disposition 2017-02-22 4,921 $0.00 4,921 $167.81
Humana Common Restricted Stock Units Disposition 2017-02-18 2,447 $0.00 2,447 $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
9,843 2023-02-18 No 4 M Direct
0 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Humana Common 134 Indirect (See Footnote)
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 14,913 14,913 Direct
Humana Common Restricted Stock Units $0.00 2,186 2,186 Direct
Humana Common Phantom Stock Units $0.00 61 61 Indirect
Expiration Date Amount Remaning Holdings Nature of Ownership
2022-02-24 14,913 14,913 Direct
2,186 2,186 Direct
61 61 Indirect
Footnotes
  1. Stock units held for the benefit of reporting person as of January 31, 2017 under the Humana Retirement & Savings Plan including a routine disposition of shares to fund an administrative fee assessment under a Tax-Conditioned Plan, both exempt under Rule 16b-3(c).
  2. Right to buy pursuant to 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.
  3. Right to buy pursuant to 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.
  4. Right to buy pursuant to 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.
  5. 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.
  6. 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).
  7. Restricted stock units granted to reporting person on 2/18/14, 100% of the award is vesting on 2/18/17.
  8. 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.
  9. Phantom Stock Units held for the benefit of reporting person as of January 31, 2017 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 fluctation due to changes in stock price.
  10. Includes both time based (2,447) and performance based (5,442) restricted stock units that vested on 2/18/17.
  11. Price indicated reflects the purchase price for shares exercised under the 2003 Plan using the Fair Market Value on 2/22/2017. The purchase price for shares exercised under the 2011 Plan was determined using the Fair Market Value on 2/21/2017 of $205.24.
  12. Shares sold at a prices ranging from $204.870 to $205.7650.