SEC Form 4 · accession 0000049071-15-000041
HUMANA INC · HUM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bruce D Broussard
Officer — President & CEO
Period of report
Feb 24, 2015
Accepted (ET)
Feb 26, 2015 · 6:16 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 | Feb 25, 2015 | M | 17,344 | $72.84 | A | 77,288 | D | |
| Humana Common | Feb 25, 2015 | M | 25,143 | $102.155 | A | 102,431 | D | |
| Humana Common | Feb 25, 2015 | F | 606 | $165.04 | D | 101,825 | D | |
| Humana CommonF7 | Feb 25, 2015 | S | 41,105 | $165.2927 | D | 60,720 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OptionsF1 | $72.84 | Feb 25, 2015 | M | 17,334 | D | — | Feb 20, 2020 | Humana Common | 17,334 | 17,335 | D |
| OptionsF2 | $102.155 | Feb 25, 2015 | M | 25,143 | D | — | Feb 18, 2021 | Humana Common | 25,143 | 50,286 | D |
| OptionsF3 | $164.645 | Feb 24, 2015 | A | 118,626 | A | — | Feb 24, 2022 | Humana Common | 118,626 | 118,626 | D |
| Restricted Stock UnitsF4,F5 | — | holding | — | — | — | — | — | Humana Common | 17,161 | 17,161 | D |
| Restricted Stock UnitsF4,F6 | — | holding | — | — | — | — | — | Humana Common | 16,519 | 16,519 | 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 02/20/2013, 100% of the award is vesting on 02/20/16.
- F6Restricted stock units granted to Reporting Person on 02/18/2014, 100% of the award is vesting on 02/18/17.
- F7Shares sold ranging from $165.0297 to $165.47