Filing Details
- Accession Number:
- 0000049071-19-000137
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-12-17 16:32:55
- Reporting Period:
- 2019-12-15
- Accepted Time:
- 2019-12-17 16:32:55
- 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 |
|---|---|---|---|---|---|---|---|
| 1595519 | H. Christopher Hunter | Humana Inc. 500 West Main Street Louisville KY 40202 | Seg Pres. Gr. & Military Bus. | 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 | 2019-12-15 | 997 | $0.00 | 13,680 | No | 4 | M | Direct | |
| Humana Common | Disposition | 2019-12-15 | 454 | $350.41 | 13,226 | No | 4 | F | Direct | |
| Humana Common | Acquisiton | 2019-12-15 | 512 | $0.00 | 13,738 | No | 4 | M | Direct | |
| Humana Common | Disposition | 2019-12-15 | 233 | $350.41 | 13,505 | No | 4 | F | Direct | |
| Humana Common | Acquisiton | 2019-12-15 | 460 | $0.00 | 13,965 | No | 4 | M | Direct | |
| Humana Common | Disposition | 2019-12-15 | 210 | $350.41 | 13,755 | No | 4 | F | Direct | |
| Humana Common | Acquisiton | 2019-12-16 | 4,333 | $217.42 | 18,088 | No | 4 | M | Direct | |
| Humana Common | Disposition | 2019-12-16 | 5,405 | $357.38 | 12,683 | No | 4 | S | Direct | |
| Humana Common | Disposition | 2019-12-16 | 287 | $0.00 | 12,396 | No | 4 | G | 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 | F | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | G | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Humana Common | Options | Disposition | 2019-12-16 | 4,333 | $0.00 | 4,333 | $217.42 |
| Humana Common | Restricted Stock Units | Disposition | 2019-12-15 | 997 | $0.00 | 997 | $0.00 |
| Humana Common | Restricted Stock Units | Disposition | 2019-12-15 | 512 | $0.00 | 512 | $0.00 |
| Humana Common | Restricted Stock Units | Disposition | 2019-12-15 | 460 | $0.00 | 460 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 15,164 | 2024-03-08 | No | 4 | M | Direct | |
| 1,494 | No | 4 | M | Direct | ||
| 513 | No | 4 | M | Direct | ||
| 920 | No | 4 | M | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Humana Common | Options | $268.47 | 2025-02-19 | 6,623 | 6,623 | Direct | |
| Humana Common | Options | $307.97 | 2026-02-25 | 6,106 | 6,106 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2025-02-19 | 6,623 | 6,623 | Direct |
| 2026-02-25 | 6,106 | 6,106 | Direct |
Footnotes
- 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.
- 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 buy pursuant to Company's 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/25/19, vesting in three increments from 02/25/20 to 02/25/22.
- 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) under Company's 2011 Plan.
- 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.
- 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.
- 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.
- Price reported is weighted avg sales price for 4,333 options. 1,072 long shares were sold at $357.8145.
- This transaction represents a gift/charitable donation effective December 16, 2019. There was no consideration received in return.
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