Filing Details
- Accession Number:
- 0000049071-20-000170
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-12-17 17:44:21
- Reporting Period:
- 2020-12-15
- Accepted Time:
- 2020-12-17 17:44:21
- 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 | 2020-12-15 | 513 | $0.00 | 12,576 | No | 4 | M | Direct | |
| Humana Common | Disposition | 2020-12-15 | 234 | $390.49 | 12,342 | No | 4 | F | Direct | |
| Humana Common | Acquisiton | 2020-12-15 | 460 | $0.00 | 12,802 | No | 4 | M | Direct | |
| Humana Common | Disposition | 2020-12-15 | 210 | $390.49 | 12,592 | No | 4 | F | Direct | |
| Humana Common | Acquisiton | 2020-12-15 | 404 | $0.00 | 12,996 | No | 4 | M | Direct | |
| Humana Common | Disposition | 2020-12-15 | 184 | $390.49 | 12,812 | No | 4 | F | Direct | |
| Humana Common | Disposition | 2020-12-16 | 2,199 | $391.93 | 10,613 | No | 4 | S | Direct | |
| Humana Common | Disposition | 2020-12-17 | 520 | $0.00 | 10,093 | 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 | S | Direct | |
| No | 4 | G | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Humana Common | Restricted Stock Units | Disposition | 2020-12-15 | 513 | $0.00 | 513 | $0.00 |
| Humana Common | Restricted Stock Units | Disposition | 2020-12-15 | 460 | $0.00 | 460 | $0.00 |
| Humana Common | Restricted Stock Units | Disposition | 2020-12-15 | 404 | $0.00 | 404 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | M | Direct | ||
| 460 | No | 4 | M | Direct | ||
| 808 | No | 4 | M | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Humana Common | Options | $217.42 | 2024-03-08 | 459 | 459 | Direct | |
| 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 | |
| Humana Common | Options | $350.79 | 2027-02-24 | 6,088 | 6,088 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2024-03-08 | 459 | 459 | Direct |
| 2025-02-19 | 6,623 | 6,623 | Direct |
| 2026-02-25 | 6,106 | 6,106 | Direct |
| 2027-02-24 | 6,088 | 6,088 | 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.
- 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.
- 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.
- 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 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.
- 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.
- Price reported is weighted average sales price.
- Shares disposed of represent a gift/charitable donation, effective December 17, 2020, in which no value was received in return.
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