Filing Details

Accession Number:
0000049071-17-000059
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-03-07 16:06:04
Reporting Period:
2017-03-06
Filing Date:
2017-03-07
Accepted Time:
2017-03-07 16:06:04
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
1018658 E James Murray Humana Inc.
500 West Main Street
Louisville KY 40202
Evp & Coo 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 2017-03-06 10,846 $164.65 45,635 No 4 M Direct
Humana Common Disposition 2017-03-06 10,846 $213.55 34,789 No 4 S Direct
Humana Common Disposition 2017-03-06 7,898 $213.65 2,940 No 4 S Indirect See Footnote
Humana Common Disposition 2017-03-06 12,407 $213.65 0 No 4 S Indirect See Footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 S Indirect See Footnote
No 4 S Indirect See Footnote
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Humana Common Options Disposition 2017-03-06 10,846 $0.00 10,846 $164.65
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
10,846 2022-02-24 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Humana Common 29 Indirect See Footnote
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Humana Common Options $167.81 2023-02-18 21,475 21,475 Direct
Humana Common Restricted Stock Units $0.00 4,768 4,768 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2023-02-18 21,475 21,475 Direct
4,768 4,768 Direct
Footnotes
  1. 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).
  2. 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.
  3. Right to buy pursuant to Company's 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/18/16, vesting in three increments from 02/18/17 to 02/18/19.
  4. 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).
  5. 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.
  6. Shares held in October 2015 GRAT.
  7. Shares held in October 2016 GRAT.
  8. Shares sold at prices ranging from $213.34 to $213.84.
  9. Shares sold at prices ranging from $213.34 to $213.92.