Filing Details

Accession Number:
0000049071-17-000032
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-02-22 19:15:50
Reporting Period:
2017-02-18
Filing Date:
2017-02-22
Accepted Time:
2017-02-22 19:15:50
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
1628102 H Cynthia Zipperle Humana Inc.
500 West Main St
Louisville KY 40202
Vice President, Cao,Controller 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 2,584 $0.00 6,542 No 4 M Direct
Humana Common Disposition 2017-02-18 921 $205.33 5,621 No 4 F Direct
Humana Common Acquisiton 2017-02-21 4,213 $44.96 9,834 No 4 M Direct
Humana Common Disposition 2017-02-21 4,213 $204.67 5,621 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 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 4,213 $0.00 4,213 $44.96
Humana Common Restricted Stock Units Disposition 2017-02-18 1,224 $0.00 1,224 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2017-04-20 No 4 M Direct
0 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Humana Common 890 Indirect See Footnote
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Humana Common Options $67.48 2019-12-13 1,196 1,196 Direct
Humana Common Restricted Stock Units $0.00 1,063 1,063 Direct
Humana Common Restricted Stock Units $0.00 1,590 1,590 Direct
Humana Common Phantom Stock Units $0.00 237 237 Indirect
Expiration Date Amount Remaning Holdings Nature of Ownership
2019-12-13 1,196 1,196 Direct
1,063 1,063 Direct
1,590 1,590 Direct
237 237 Indirect
Footnotes
  1. Right to buy pursuant to Company's 2003 Incentive Stock Plan. Non-Qualified stock options granted to reporting person on 04/20/10, vesting in three increments from 04/20/11 to 04/20/13.
  2. Right to buy pursuant to Company's 2003 Incentive Stock Plan. Non-Qualified stock options granted to reporting person on 12/13/12, vesting in three increments from 12/13/13 to 12/13/15.
  3. 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).
  4. Restricted stock units granted to reporting person on 02/18/14, 100% of the award is vesting on 02/18/17.
  5. Restricted stock units granted to reporting person on 02/24/15, 100% of the award is vesting on 02/24/18.
  6. 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.
  7. Shares held for the benefit of reporting person as of January 31, 2017 under the Humana Retirement Savings Plan including routine payroll deductions, quarterly dividend allocation, and a routine disposition of shares to fund an administrative fee assessment under a Tax-Conditioned Plan, exempt under Rule 16b-3(c).
  8. 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 fluctuation due to changes in stock price.
  9. Includes both time based (1,224) and performance based (1,360) restricted stock units that vested on 2/18/17.