Filing Details

Accession Number:
0000049071-19-000112
Form Type:
4
Zero Holdings:
No
Publication Time:
2019-12-05 09:01:33
Reporting Period:
2019-12-03
Accepted Time:
2019-12-05 09:01:33
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
1699799 Alan Timothy Wheatley Humana Inc.
500 West Main Street
Louisville KY 40202
Segment President, Retail 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 2019-12-03 8,010 $167.81 13,767 No 4 M Direct
Humana Common Acquisiton 2019-12-03 4,333 $217.42 18,100 No 4 M Direct
Humana Common Acquisiton 2019-12-03 2,207 $268.47 20,307 No 4 M Direct
Humana Common Acquisiton 2019-12-03 463 $271.14 20,770 No 4 M Direct
Humana Common Disposition 2019-12-03 14,554 $341.31 6,216 No 4 S Direct
Humana Common Disposition 2019-12-03 465 $341.07 5,751 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 M Direct
No 4 S 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 2019-12-03 8,010 $0.00 8,010 $167.81
Humana Common Options Disposition 2019-12-03 4,333 $0.00 4,333 $217.42
Humana Common Options Disposition 2019-12-03 2,207 $0.00 2,207 $268.47
Humana Common Options Disposition 2019-12-03 463 $0.00 463 $271.14
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2023-02-18 No 4 M Direct
11,832 2024-03-08 No 4 M Direct
4,416 2025-02-19 No 4 M Direct
928 2025-03-01 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Humana Common 844 Indirect See Footnote
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Humana Common Options $307.97 2026-02-25 7,902 7,902 Direct
Humana Common Restricted Stock Units $0.00 2,721 2,721 Direct
Humana Common Restricted Stock Units $0.00 1,025 1,025 Direct
Humana Common Restricted Stock Units $0.00 216 216 Direct
Humana Common Restricted Stock Units $0.00 1,786 1,786 Direct
Humana Common Phantom Stock Units $0.00 127 127 Indirect
Expiration Date Amount Remaning Holdings Nature of Ownership
2026-02-25 7,902 7,902 Direct
2,721 2,721 Direct
1,025 1,025 Direct
216 216 Direct
1,786 1,786 Direct
127 127 Indirect
Footnotes
  1. Shares held for the benefit of reporting person as of November 30, 2019 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. Non-Qualified stock options granted to reporting person on 02/18/2016, vesting in three increments from 02/18/2017 to 02/18/2019.
  3. 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 7,499 options fully vest three years from the date of grant.
  4. Right to buy pursuant to Company's 2011 Stock Incentive Plan. Non-Qualified stock options granted to reporting person on 02/19/2018, vesting in three increments from 02/19/2019 to 02/19/2021.
  5. Right to buy pursuant to Company's 2011 Stock Incentive Plan. Non-Qualified stock options granted to reporting person on 03/1/2018, vesting in three increments from 3/1/19 to 3/1/21.
  6. Right to buy pursuant to Company's 2011 Stock Incentive Plan. Non-Qualified stock options granted to reporting person on 02/25/2019, vesting in three increments from 2/25/20 to 2/25/22.
  7. 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).
  8. Restricted stock units granted to reporting person on 03/08/17, 2,989 shares vesting in three annual increments on 12/15/17, 12/15/18, and 12/15/19. 1,724 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. Restricted stock units granted to reporting person on 03/1/18, 33% of the award is vesting on 12/15/18, 12/15/19 and 12/15/20.
  11. Restricted stock units granted to reporting person on 02/25/19, 33% of the award is vesting on 12/15/19, 12/15/20 and 12/15/21.
  12. Phantom Stock Units held for the benefit of reporting person as of November 30, 2019 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.
  13. Price reported is weighted average sales price.
  14. All shares sold at reported price.