Filing Details

Accession Number:
0000049071-18-000066
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-05-07 14:27:24
Reporting Period:
2018-05-03
Accepted Time:
2018-05-07 14:27:24
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
1103605 S Heidi Margulis Humana Inc.
500 West Main Street
Louisville KY 40202
Chief Corp. Affairs 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 2018-05-03 1,444 $102.16 9,220 No 4 M Direct
Humana Common Acquisiton 2018-05-03 9,335 $164.65 18,555 No 4 M Direct
Humana Common Acquisiton 2018-05-03 9,842 $167.81 28,397 No 4 M Direct
Humana Common Disposition 2018-05-03 20,621 $285.90 7,776 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M 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 2018-05-03 1,444 $0.00 1,444 $102.16
Humana Common Options Disposition 2018-05-03 9,335 $0.00 9,335 $164.65
Humana Common Options Disposition 2018-05-03 9,842 $0.00 9,842 $167.81
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2021-02-18 No 4 M Direct
0 2022-02-24 No 4 M Direct
4,922 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 19,497 19,497 Direct
Humana Common Options $268.47 2025-02-19 5,218 5,218 Direct
Humana Common Restricted Stock Units $0.00 1,093 1,093 Direct
Humana Common Restricted Stock Units $0.00 3,487 3,487 Direct
Humana Common Restricted Stock Units $0.00 1,211 1,211 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2024-03-08 19,497 19,497 Direct
2025-02-19 5,218 5,218 Direct
1,093 1,093 Direct
3,487 3,487 Direct
1,211 1,211 Direct
Footnotes
  1. Right to buy pursuant to Humana Inc.'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.
  2. Right to buy pursuant to Humana Inc.'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 buy pursuant to Company's 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 03/08/2017. 12,998 options vesting in three annual increments, and 6,499 options fully vest three years from the date of grant.
  5. 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.
  6. 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).
  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. Restricted stock units granted to reporting person on 03/08/2017, 2,989 shares vesting in three annual increments on 12/15/17, 12/15/18, and 12/15/19. 1,494 shares fully vest three years from the date of grant.
  9. 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.
  10. Shares sold at prices ranging from $285.5775 to $286.53. Price reported is weighted average sales price.