Filing Details

Accession Number:
0000049071-20-000148
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-11-09 12:13:00
Reporting Period:
2020-11-05
Accepted Time:
2020-11-09 12:13:00
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
1609525 A Brian Kane Humana Inc.
500 West Main Street
Louisville KY 40202
Chief Financial 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 2020-11-05 29,995 $217.42 67,023 No 4 M Direct
Humana Common Disposition 2020-11-05 218 $459.86 66,805 No 4 F Direct
Humana Common Disposition 2020-11-05 29,536 $446.87 37,269 No 4 S Direct
Humana Common Disposition 2020-11-05 19,617 $442.74 17,652 No 4 S Direct
Humana Common Disposition 2020-11-05 120 $0.00 17,532 No 4 G Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 F Direct
No 4 S 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 2020-11-05 29,995 $0.00 29,995 $217.42
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2024-03-08 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 12,041 12,041 Direct
Humana Common Options $307.97 2026-02-25 11,674 11,674 Direct
Humana Common Options $350.79 2027-02-24 12,535 12,535 Direct
Humana Common Restricted Stock Units $0.00 932 932 Direct
Humana Common Restricted Stock Units $0.00 1,759 1,759 Direct
Humana Common Restricted Stock Units $0.00 2,494 2,494 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2025-02-19 12,041 12,041 Direct
2026-02-25 11,674 11,674 Direct
2027-02-24 12,535 12,535 Direct
932 932 Direct
1,759 1,759 Direct
2,494 2,494 Direct
Footnotes
  1. 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. 19,997 options vesting in three annual increments, and 9,998 options fully vest three years from the date of grant.
  2. 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.
  3. 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.
  4. 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.
  5. 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).
  6. 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).
  7. 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.
  8. 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.
  9. 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.
  10. Shares swapped for the payment of purchase price on stock option exercise using fair market value on November 4, 2020 pursuant to Humana Inc.'s 2011 Stock Incentive Plan.
  11. Shares sold at prices ranging from $442.84 to $450.87. Price reported is weighted average sales price.
  12. Shares sold at prices ranging from $439.58 to $450.90. Price reported is weighted average sales price.
  13. Shares represent gift/charitable donation effective November 5, 2020, in which no value was received in return.