LeClaire Brian P. 4

4 · HUMANA INC · Filed Feb 21, 2019

Insider Transaction Report

Form 4

Period: 2019-02-19

HUMANA INCHUM

LeClaire Brian P.

Strategic Advisor

Transactions

Exercise/Conversion
Humana Common
2019-02-19+595→ 8,153 total
Tax Payment
Humana Common
[F9]
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
[F10]
2019-02-19$308.06/sh−4,327$1,332,981→ 7,828 total
Exercise/Conversion
Options
[F2]
2019-02-19−4,922→ 0 total
Exercise: $167.81Exp: 2023-02-18→ Humana Common (4,922 underlying)

Holdings

Humana Common
[F1]
(indirect: (See Footnote))
134
Options
[F3]
Exercise: $217.41Exp: 2024-03-08→ Humana Common (18,082 underlying)
18,082
Options
[F4]
Exercise: $268.47Exp: 2025-02-19→ Humana Common (6,221 underlying)
6,221
Restricted Stock Units
[F5][F6]
→ Humana Common (2,971 underlying)
2,971
Restricted Stock Units
[F5][F7]
→ Humana Common (963 underlying)
963
Phantom Stock Units
[F8]
(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.

Signature

Brian P. LeClaire|2019-02-21

Documents

1 file

4
edgar.xmlPrimary
PRIMARY DOCUMENT