SEC Form 4 · accession 0000049071-15-000047
HUMANA INC · HUM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James E Murray
Officer — EVP & COO
Period of report
Mar 6, 2015
Accepted (ET)
Mar 6, 2015 · 4:09 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 | Mar 6, 2015 | G | 45 | $0.00 | D | 94,650 | D | |
| Humana CommonF1 | holding | — | — | — | 3,983 | I | See Footnote | |
| Humana CommonF2 | holding | — | — | — | 1,356 | I | See Footnote | |
| Humana CommonF11 | holding | — | — | — | 7,200 | I | See Footnote | |
| Humana CommonF3 | holding | — | — | — | 1,247 | I | See Footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OptionsF4 | $88.6475 | holding | — | — | — | — | Feb 23, 2019 | Humana Common | 16,249 | 16,249 | D |
| OptionsF5 | $72.84 | holding | — | — | — | — | Feb 20, 2020 | Humana Common | 13,868 | 13,868 | D |
| OptionsF6 | $102.155 | holding | — | — | — | — | Feb 18, 2021 | Humana Common | 24,584 | 24,584 | D |
| OptionsF7 | $164.645 | holding | — | — | — | — | Feb 24, 2022 | Humana Common | 32,538 | 32,538 | D |
| Restricted Stock UnitsF8,F9 | — | holding | — | — | — | — | — | Humana Common | 6,864 | 6,864 | D |
| Restricted Stock UnitsF8,F10 | — | holding | — | — | — | — | — | Humana Common | 5,384 | 5,384 | D |
| Phantom Stock UnitsF12 | — | holding | — | — | — | — | — | Humana Common | 2,515 | 2,515 | I |
Explanation of responses
- F1Shares held by reporting person's spouse.
- F10Restricted stock units granted to reporting person on 02/18/14, 100% of the award is vesting on 02/18/17.
- F11Shares held in Family Trust - Mr. Murray's spouse is the trustee and his family members are the beneficiaries.
- F12Phantom Stock Units held for the benefit of reporting person as of February 28, 2015 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 fluctuation due to changes in stock price.
- F2Shares held in The Murray Family Partnership.
- F3Shares held for the benefit of reporting person as of February 28, 2015 under the Humana Retirement Savings Plan including routine payroll deductions, quarterly dividend allocation, and a routine disposition of shares to fund an administrative fee assessment under a Tax-Conditioned Plan, exempt under Rule 16b-3(c).
- F4Right to buy pursuant to Company's 2003 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/23/12, vesting in three increments from 02/23/13 to 02/23/15.
- F5Right to buy pursuant to 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.
- F6Right to buy pursuant to 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.
- F7Right to buy pursuant to 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.
- F8Right 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).
- F9Restricted stock units granted to reporting person on 02/20/13, 100% of the award is vesting on 02/20/16.