Filing Details

Accession Number:
0000049071-17-000037
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-02-22 20:09:50
Reporting Period:
2017-02-18
Filing Date:
2017-02-22
Accepted Time:
2017-02-22 20:09:50
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
1441437 Todoroff M Christopher Humana Inc.
500 West Main Street
Louisville KY 40202
Sr. Vp And General Counsel 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 10,651 $0.00 23,675 No 4 M Direct
Humana Common Disposition 2017-02-18 4,644 $205.33 19,031 No 4 F Direct
Humana Common Acquisiton 2017-02-21 15,086 $102.16 34,117 No 4 M Direct
Humana Common Acquisiton 2017-02-21 4,861 $72.84 38,978 No 4 M Direct
Humana Common Disposition 2017-02-21 487 $205.24 38,491 No 4 F Direct
Humana Common Disposition 2017-02-21 24,140 $205.33 14,351 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 4,861 $0.00 4,681 $72.84
Humana Common Options Disposition 2017-02-21 15,086 $0.00 15,086 $102.16
Humana Common Restricted Stock Units Disposition 2017-02-18 3,304 $0.00 3,304 $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 21,014 21,014 Direct
Humana Common Options $167.81 2023-02-18 20,804 20,804 Direct
Humana Common Restricted Stock Units $0.00 3,079 3,079 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2022-02-24 21,014 21,014 Direct
2023-02-18 20,804 20,804 Direct
3,079 3,079 Direct
Footnotes
  1. 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.
  2. 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.
  3. 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.
  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 02/18/14, 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. Reporting Person disclaims Beneficial Ownership of one-half of each option or restricted stock unit held as of December 2016 pursuant to Divorce Decree, except under Rule 16a-12.
  9. On December 21, 2016 reporting person tranferred 383 shares of direct ownership pursuant to a Domestic Relations Order signed on November 17, 2016. Reporting person was afforded a filing exemption under Rule 16a-12, which extends to securities transferred pursuant to a Domestic Relations Order, pursuant to IRC Section 414(p)(1)(B).
  10. Includes both time based (3,304) and performance based (7,347) restricted stock units that vested on 2/18/17.
  11. Shares sold at prices ranging from $205.00 to $206.261.