Filing Details
- Accession Number:
- 0000049071-17-000057
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-03-06 16:48:38
- Reporting Period:
- 2017-03-03
- Filing Date:
- 2017-03-06
- Accepted Time:
- 2017-03-06 16:48:38
- 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 | Disposition | 2017-03-03 | 1,885 | $213.37 | 3,736 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Humana Common | 888 | 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
- 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.
- 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).
- Restricted stock units granted to reporting person on 02/24/15, 100% of the award is vesting on 02/24/18.
- 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.
- Shares held for the benefit of reporting person as of February 28, 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).
- Phantom Stock Units held for the benefit of reporting person as of February 28, 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.
- Shares sold at prices ranging from $213.361 to $213.41.
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