4//SEC Filing
LeClaire Brian P. 4
Accession 0000049071-19-000138
CIK 0000049071other
Filed
Dec 16, 7:00 PM ET
Accepted
Dec 17, 4:34 PM ET
Size
30.0 KB
Accession
0000049071-19-000138
Insider Transaction Report
Form 4
HUMANA INCHUM
LeClaire Brian P.
SVP & Chief Service & Info Off
Transactions
- Tax Payment
Humana Common
2019-12-15$350.41/sh−165$57,818→ 9,094 total - Tax Payment
Humana Common
2019-12-15$350.41/sh−468$163,992→ 8,549 total - Exercise/Conversion
Humana Common
2019-12-15+481→ 9,030 total - Tax Payment
Humana Common
2019-12-15$350.41/sh−190$66,578→ 8,840 total - Sale
Humana Common
2019-12-16$359.64/sh−1,266$455,309→ 7,828 total - Exercise/Conversion
Restricted Stock Units
2019-12-15−481→ 482 total→ Humana Common (481 underlying) - Exercise/Conversion
Restricted Stock Units
2019-12-15−419→ 839 total→ Humana Common (419 underlying) - Exercise/Conversion
Humana Common
2019-12-15+1,189→ 9,017 total - Exercise/Conversion
Humana Common
2019-12-15+419→ 9,259 total - Gift
Humana Common
2019-12-16−1,489→ 6,339 total - Exercise/Conversion
Restricted Stock Units
2019-12-15−1,189→ 1,782 total→ Humana Common (1,189 underlying)
Holdings
- 4,148
Options
Exercise: $268.47Exp: 2025-02-19→ Humana Common (4,148 underlying) - 62(indirect: See Footnote)
Phantom Stock Units
→ Humana Common (62 underlying) - 12,916
Options
Exercise: $217.41Exp: 2024-03-08→ Humana Common (12,916 underlying) - 135(indirect: (See Footnote))
Humana Common
- 5,568
Options
Exercise: $307.96Exp: 2026-02-25→ Humana Common (5,568 underlying)
Footnotes (11)
- [F1]Stock units held for the benefit of reporting person as of November 30, 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 reported price.
- [F11]Transaction reported represents a gift/charitable donation effective December 16, 2019 , in which no value was received in return.
- [F2]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.
- [F3]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.
- [F4]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.
- [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]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.
- [F9]Phantom Stock Units held for the benefit of reporting person as of November 30, 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.
Documents
Issuer
HUMANA INC
CIK 0000049071
Entity typeother
Related Parties
1- filerCIK 0001528285
Filing Metadata
- Form type
- 4
- Filed
- Dec 16, 7:00 PM ET
- Accepted
- Dec 17, 4:34 PM ET
- Size
- 30.0 KB