Home > Insider Trading > Filing (0000049071-20-000050)

Filing Details

Accession Number:: 0000049071-20-000050
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2020-03-03 14:42:12
Reporting Period:: 2020-02-28

Accepted Time:: 2020-03-03 14:42:12
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
1782445	M Susan Diamond	Humana Inc. 500 West Main Street Louisville KY 40202	Segment President, Home Bus.	No	Yes	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Humana Common	Acquisiton	2020-02-28	1,785	$319.68	2,114	No	4	P	Indirect	See Footnote

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Indirect	See Footnote

Reported Derivative Transactions

Show Other Fields >>

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Humana Common	Phantom Stock Units	Acquisiton	2020-02-28	317	$319.68	317	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
317			No	4	P	Indirect

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Humana Common	929	Direct

Reported Derivative Holdings

Show Other Fields >>

Sec. Name	Sec. Type	Price	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Humana Common	Options	$350.79	2027-02-24	4,298	4,298	Direct
Humana Common	Restricted Stock Units	$0.00		1,149	1,149	Direct
Humana Common	Restricted Stock Units	$0.00		1,242	1,242	Direct
Humana Common	Restricted Stock Units	$0.00		563	563	Direct
Humana Common	Restricted Stock Units	$0.00		1,023	1,023	Direct
Humana Common	Restricted Stock Units	$0.00		872	872	Direct
Humana Common	Restricted Stock Units	$0.00		855	855	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2027-02-24	4,298	4,298	Direct
	1,149	1,149	Direct
	1,242	1,242	Direct
	563	563	Direct
	1,023	1,023	Direct
	872	872	Direct
	855	855	Direct

Footnotes

Shares held for the benefit of the reporting person as of February 28, 2020 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).
Right to buy pursuant to Company's 2019 Amended & Restated Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/24/2020, vesting in three annual increments from 2/24/21 to 2/24/23.
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).
Right to receive one share per restricted stock unit pursuant to the Company's 2019 Amended & Restated 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 03/08/17. 2,299 shares vesting in three annual increments on 12/15/17, 12/15/18, and 12/15/19; and 1,149 shares fully vesting three years from the date of grant. Shares reported are what remain unvested.
Restricted stock units granted to reporting person on 02/19/18, 931 shares vesting in three annual increments on 12/15/18, 12/15/19 and 12/15/20. and 931 shares vest fully three years from the date of grant. Shares reported are what remain unvested.
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 12/15/2021.
Restricted stock units granted to reporting person on 06/01/19, 100% of the award is vesting on 6/1/2022.
Restricted stock units granted to reporting person on 07/01/19, 33% of the award is vesting on 07/01/20, 07/01/21, and 07/01/2022.
Restricted stock units granted to reporting person on 02/24/2020, 33% of the award is vesting on 12/15/20, 12/15/21, and 12/15/22.
Phantom Stock Units held for the benefit of reporting person as of February 28, 2020 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.
Shares purchased through Retirement Savings Plan, valued at closing HUM stock price of $319.68.
Shares purchased through Retirement Equalization Plan, valued at closing HUM stock price of $319.68.