Filing Details
- Accession Number:
- 0000049071-18-000105
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-08-08 11:01:24
- Reporting Period:
- 2018-08-06
- Accepted Time:
- 2018-08-08 11:01:24
- 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 |
|---|---|---|---|---|---|---|---|
| 1579300 | Beveridge, Roy A | Humana Inc. 500 West Main Street Louisville KY 40202 | Chief Medical 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 | 2018-08-06 | 1,291 | $81.80 | 15,274 | No | 4 | M | Direct | |
| Humana Common | Disposition | 2018-08-06 | 328 | $322.73 | 14,946 | No | 4 | F | Direct | |
| Humana Common | Acquisiton | 2018-08-06 | 607 | $164.65 | 15,553 | No | 4 | M | Direct | |
| Humana Common | Disposition | 2018-08-06 | 310 | $322.73 | 15,243 | No | 4 | F | Direct | |
| Humana Common | Acquisiton | 2018-08-06 | 14,306 | $164.65 | 29,549 | No | 4 | M | Direct | |
| Humana Common | Disposition | 2018-08-06 | 14,306 | $324.25 | 15,243 | 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 | 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 | 2018-08-06 | 1,291 | $0.00 | 1,291 | $81.80 |
| Humana Common | Options | Disposition | 2018-08-06 | 14,913 | $0.00 | 14,913 | $164.65 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2020-06-17 | No | 4 | M | Direct | |
| 0 | 2022-02-24 | No | 4 | M | Direct |
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 | 14,764 | 14,764 | Direct | |
| Humana Common | Options | $217.42 | 2024-03-08 | 15,997 | 15,997 | Direct | |
| Humana Common | Options | $268.47 | 2025-02-19 | 4,415 | 4,415 | Direct | |
| Humana Common | Restricted Stock Units | $0.00 | 1,093 | 1,093 | Direct | ||
| Humana Common | Restricted Stock Units | $0.00 | 2,836 | 2,836 | Direct | ||
| Humana Common | Restricted Stock Units | $0.00 | 1,024 | 1,024 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2023-02-18 | 14,764 | 14,764 | Direct |
| 2024-03-08 | 15,997 | 15,997 | Direct |
| 2025-02-19 | 4,415 | 4,415 | Direct |
| 1,093 | 1,093 | Direct | |
| 2,836 | 2,836 | Direct | |
| 1,024 | 1,024 | Direct |
Footnotes
- Right to buy pursuant to Humana Inc.'s 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 06/17/13, vesting in three increments from 06/17/14 to 06/17/16.
- 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.
- 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. 10,998 options vesting in three annual increments, and 4,999 options fully vest three years from the date of grant.
- 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.
- Restricted stock units granted to reporting person on 03/08/2017, 2,529 shares vesting in three annual increments on 12/15/17, 12/15/18, and 12/15/19. 1,149 shares fully vest three years from the date of grant.
- 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.
- Shares swapped for payment of purchase price on stock option exercise using fair market value on August 3, 2018 pursuant to Humana Inc.'s 2011 Stock Incentive Plan.
- Shares sold at prices ranging from $323.49 to $325.08. Price reported is weighted average sales price.
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