Filing Details
- Accession Number:
- 0000049071-18-000043
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-02-27 18:38:17
- Reporting Period:
- 2018-02-24
- Accepted Time:
- 2018-02-27 18:38:17
- 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 | Chief Legal Officer | 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 | 2018-02-24 | 4,472 | $0.00 | 13,447 | No | 4 | M | Direct | |
| Humana Common | Disposition | 2018-02-24 | 1,575 | $269.31 | 11,872 | No | 4 | F | Direct | |
| Humana Common | Acquisiton | 2018-02-27 | 7,005 | $164.65 | 18,877 | No | 4 | M | Direct | |
| Humana Common | Acquisiton | 2018-02-27 | 6,935 | $167.81 | 25,812 | No | 4 | M | Direct | |
| Humana Common | Disposition | 2018-02-27 | 16,389 | $273.37 | 9,423 | 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 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Humana Common | Options | Disposition | 2018-02-27 | 7,005 | $0.00 | 7,005 | $164.65 |
| Humana Common | Options | Disposition | 2018-02-27 | 6,935 | $0.00 | 6,935 | $167.81 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2022-02-24 | No | 4 | M | Direct | |
| 6,935 | 2023-02-18 | No | 4 | M | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Humana Common | Options | $217.42 | 2024-03-08 | 15,498 | 15,498 | Direct | |
| Humana Common | Options | $239.12 | 2024-06-28 | 7,366 | 7,366 | Direct | |
| Humana Common | Options | $268.47 | 2025-02-19 | 6,221 | 6,221 | Direct | |
| Humana Common | Restricted Stock Units | $0.00 | 1,540 | 1,540 | Direct | ||
| Humana Common | Restricted Stock Units | $0.00 | 2,377 | 2,377 | Direct | ||
| Humana Common | Restricted Stock Units | $0.00 | 1,620 | 1,620 | Direct | ||
| Humana Common | Restricted Stock Units | $0.00 | 1,443 | 1,443 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2024-03-08 | 15,498 | 15,498 | Direct |
| 2024-06-28 | 7,366 | 7,366 | Direct |
| 2025-02-19 | 6,221 | 6,221 | Direct |
| 1,540 | 1,540 | Direct | |
| 2,377 | 2,377 | Direct | |
| 1,620 | 1,620 | Direct | |
| 1,443 | 1,443 | Direct |
Footnotes
- 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.
- 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.
- Right to buy pursuant to Company's 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 03/08/2017, vesting in three annual increments.
- Right to buy pursuant to Company's 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 06/28/2017, 100% of the award is vesting on 06/28/20
- Right to buy pursuant to Company's 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/19/18, vesting in three increments from 02/19/19 to 02/19/21.
- 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 02/18/16, 33% of the award is vesting on 12/15/16, 12/15/17, and 12/15/18.
- Reporting Person disclaims Beneficial Ownership of one-half of each option or restricted stock unit held as of December 2016 pursuant to Divorce Decree, exempt under Rule 16a-12.
- Restricted stock units granted to reporting person on 03/08/2017, 33% of the award is vesting on 12/15/17, 12/15/18, and 12/15/19.
- Restricted stock units granted to reporting person on 06/28/17, 100% of the award is vesting on 06/28/20.
- Restricted stock units granted to reporting person on 02/19/18, 33% of the award is vesting on 12/15/18, 12/15/19, and 12/15/20.
- Includes Performance Stock Units that vested on 2/24/2018.
- Shares sold from prices ranging from $273.10422 to $275.75. Price reported is weighted avg sales price.
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