SEC Form 4 · accession 0000049071-17-000183
HUMANA INC · HUM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Elizabeth D Bierbower
Officer — President, Group Segment
Period of report
Dec 15, 2017
Accepted (ET)
Dec 19, 2017 · 12:09 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 | Dec 15, 2017 | M | 1,412 | $0.00 | A | 19,454 | D | |
| Humana Common | Dec 15, 2017 | F | 666 | $253.62 | D | 18,788 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF7,F8 | $0.00 | Dec 15, 2017 | M | 646 | D | — | — | Humana Common | 646 | 646 | D |
| Restricted Stock UnitsF7,F9 | $0.00 | Dec 15, 2017 | M | 766 | D | — | — | Humana Common | 766 | 2,682 | D |
| OptionsF1 | $79.655 | holding | — | — | — | — | Jun 20, 2019 | Humana Common | 1,804 | 1,804 | D |
| OptionsF2 | $72.84 | holding | — | — | — | — | Feb 20, 2019 | Humana Common | 1,734 | 1,734 | D |
| OptionsF3 | $102.155 | holding | — | — | — | — | Feb 18, 2021 | Humana Common | 8,381 | 8,381 | D |
| OptionsF4 | $164.645 | holding | — | — | — | — | Feb 24, 2022 | Humana Common | 7,627 | 7,627 | D |
| OptionsF5 | $167.805 | holding | — | — | — | — | Feb 18, 2023 | Humana Common | 8,925 | 8,925 | D |
| OptionsF6 | $217.415 | holding | — | — | — | — | Mar 8, 2024 | Humana Common | 14,997 | 14,997 | D |
Explanation of responses
- F1Right to buy pursuant to Company's 2003 Stock Incentive Plan. Non-Qualified stock options granted to reporting person on 06/20/2012, vesting in three increments from 06/20/2013 to 06/20/2015.
- F2Right to buy pursuant to Company's 2003 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/20/2013, vesting in three increments from 02/20/2014 to 02/20/2016.
- F3Right to buy pursuant to Company's 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/18/2014, vesting in three increments from 02/18/2015 to 02/18/2017.
- F4Right to buy pursuant to Company's 2011 Stock Incentive Plan. Non-Qualified stock options granted to reporting person on 02/24/2015, vesting in three increments from 02/24/2016 to 02/24/2018.
- F5Right to buy pursuant to Company's 2011 Stock Incentive Plan. Non-Qualified stock options granted to reporting person on 02/18/2016, vesting in three increments from 02/18/2017 to 02/18/2019.
- F6Right to buy pursuant to Company's 2011 Stock Incentive Plan. Non-Qualified stock options granted to reporting person on 03/08/2017. 9,998 options vesting in 3 annual increments, and 4,999 options fully vest three years from date of grant.
- F7Right 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).
- F8Restricted stock units granted to reporting person on 02/18/16, 33% of the award is vesting on 12/15/16, 12/15/2017 and 12/15/2018.
- F9Restricted stock units granted to reporting person on 03/08/17. 2,299 shares vesting in three annual increments on 12/15/17, 12/15/18, and 12/15/19. 1,149 shares fully vest three years from date of grant.