SEC Form 4 · accession 0000049071-15-000038
HUMANA INC · HUM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Timothy S. Huval
Officer — Senior VP & Chief HR Officer
Period of report
Feb 24, 2015
Accepted (ET)
Feb 25, 2015 · 7:10 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000049071
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Humana Common | holding | — | — | — | 0 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OptionsF3 | $164.645 | Feb 24, 2015 | A | 21,014 | A | — | Feb 24, 2022 | Humana Common | 21,014 | 21,014 | D |
| OptionsF1 | $72.84 | holding | — | — | — | — | Feb 20, 2020 | Humana Common | 14,041 | 14,041 | D |
| OptionsF2 | $102.155 | holding | — | — | — | — | Feb 18, 2021 | Humana Common | 15,086 | 15,086 | D |
| Restricted Stock UnitsF4,F5 | — | holding | — | — | — | — | — | Humana Common | 21,709 | 21,709 | D |
| Restricted Stock UnitsF4,F6 | — | holding | — | — | — | — | — | Humana Common | 4,633 | 4,633 | D |
| Restricted Stock UnitsF4,F7 | — | holding | — | — | — | — | — | Humana Common | 3,304 | 3,304 | D |
Explanation of responses
- F1Right to buy pursuant to the Company's 2003 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/20/13, vesting in three increments from 02/20/14 to 02/20/16.
- F2Right to buy pursuant to the Company's 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/18/14, vesting in three increments from 02/18/15 to 02/18/17.
- F3Right to buy pursuant to the Company's 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/24/15, vesting in three increments from 02/24/16 to 02/24/18.
- F4Right 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).
- F5Restricted stock units granted to Reporting Person on 01/02/2013, 100% of the award is vesting on 01/02/16.
- F6Restricted stock units granted to Reporting Person on 02/20/2013, 100% of the award is vesting on 02/20/16.
- F7Restricted stock units granted to Reporting Person on 02/18/2014, 100% of the award is vesting on 02/18/17.