SEC Form 4 · accession 0000049071-17-000040

HUMANA INC · HUM

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Feb 21, 2017

Accepted (ET)

Feb 23, 2017 · 11:58 am 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^F9,F7	Feb 21, 2017	S	27,000	$205.0433	D	27,050	I	See Footnote
Humana Common^F8	holding	—	—		—	761	D
Humana Common^F2	holding	—	—		—	1,300	I	See Footnote
Humana Common^F1	holding	—	—		—	1,300	I	See Footnote
Humana Common^F6	holding	—	—		—	52,198	I	See Footnote
Humana Common^F5	holding	—	—		—	20,802	I	See Footnote

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Units^F3	—	holding	—	—	—	—	—	Humana Common	5,892	5,892	D
Restricted Stock Units^F4	—	holding	—	—	—	—	—	Humana Common	95	95	D

F1Shares held by spouse as custodian for daughter.
F2Shares held by spouse as custodian for son.
F3Annual Director's fee payable in stock units which have been deferred at the election of the reporting person until his resignation of services as a director at which time the stock units will be payable in Humana Inc. common stock on a 1-for-1 basis, exempt pursuant to Rule 16(b)-3(d)(1).
F4Director's dividend payment reinvested into stock units on vested and deferred stock units, deferred in accordance with the Plan until his resignation of services as a director at which time the deferred dividend stock units will be payable in Humana Inc. common stock on a 1-for-1 basis, exempt pursuant to Rule16(b)-3(d).
F5Shares held by a revocable trust account (Dec 2009), on which reporting person is the sole trustee, holding certain shares of Humana Inc. common stock.
F6Shares held by a grantor retained annuity trust (GRAT #1) exempt from Rule 16(a)-13, on which reporting person is the sole trustee.
F7Shares held by grantor retained annuity trust (GRAT #2) exempt from Rule 16(a)-13, on which reporting person is the sole trustee.
F8Includes 761 restricted stock units pursuant to the annual Director's Fee Program representing a contingent right to receive one share of Humana Inc. common stock, exempt under Rule 16b-3(d)(1)&(3) under the Company's 2011 Plan of which 100% is vesting on 12/31/2017.
F9Shares sold at prices ranging from $204.51 to $206.43.