LeClaire Brian P. 4

Accession 0000049071-19-000021

CIK 0000049071other

View on SEC.gov Company Profile

Filed

Feb 20, 7:00 PM ET

Accepted

Feb 21, 4:06 PM ET

Size

21.1 KB

Accession

0000049071-19-000021

Insider Transaction Report

Form 4

Period: 2019-02-19

HUMANA INCHUM

LeClaire Brian P.

SVP & Chief Service & Info Off

Transactions

Exercise/Conversion
Humana Common
2019-02-19+595→ 8,153 total
Tax Payment
Humana Common
2019-02-19$307.21/sh−325$99,845→ 7,828 total
Exercise/Conversion
Humana Common
2019-02-19+4,327→ 12,155 total
Sale
Humana Common
2019-02-19$308.06/sh−4,327$1,332,981→ 7,828 total
Exercise/Conversion
Options
2019-02-19−4,922→ 0 total
Exercise: $167.81Exp: 2023-02-18→ Humana Common (4,922 underlying)

Holdings

Options
Exercise: $268.47Exp: 2025-02-19→ Humana Common (6,221 underlying)
6,221
Restricted Stock Units
→ Humana Common (963 underlying)
963
Humana Common
(indirect: (See Footnote))
134
Options
Exercise: $217.41Exp: 2024-03-08→ Humana Common (18,082 underlying)
18,082
Restricted Stock Units
→ Humana Common (2,971 underlying)
2,971
Phantom Stock Units
(indirect: See Footnote)
→ Humana Common (61 underlying)
61

Footnotes (10)

[F1]Stock units held for the benefit of reporting person as of January 31, 2019 under the Humana Retirement & Savings Plan including a routine disposition of shares to fund an administrative fee assessment under a Tax-Conditioned Plan, both exempt under Rule 16b-3(c).
[F10]All shares sold at price of $308.0612.
[F2]Right to buy pursuant to Company's 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/18/16, vesting in three increments from 02/18/17 to 02/18/19.
[F3]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. 15,498 options vesting in three annual increments, and 7,749 options fully vest three years from the date of grant.
[F4]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.
[F5]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).
[F6]Restricted stock units granted to reporting person on 03/08/2017, 3,564 shares vesting in three annual increments on 12/15/17, 12/15/18, and 12/15/19. 1,782 shares fully vest three years from the date of grant.
[F7]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.
[F8]Phantom Stock Units held for the benefit of reporting person as of January 31, 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 fluctation due to changes in stock price.
[F9]Shares swapped for payment of purchase price on stock option exercise using fair market value on February 15, 2019 pursuant to Humana Inc's 2011 Stock Incentive Plan.

Documents

1 file

4
edgar.xmlPrimary
PRIMARY DOCUMENT

Issuer

HUMANA INC

CIK 0000049071

→

Entity typeother

Related Parties

filerCIK 0001528285

Filing Metadata

Form type: 4
Filed: Feb 20, 7:00 PM ET
Accepted: Feb 21, 4:06 PM ET
Size: 21.1 KB

View on SEC.gov