SEC Form 4 · accession 0000049071-17-000187
HUMANA INC · HUM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph William Jasser
Officer — Seg. President, Care Delivery
Period of report
Dec 15, 2017
Accepted (ET)
Dec 19, 2017 · 12:17 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 | 306 | $0.00 | A | 306 | D | |
| Humana Common | Dec 15, 2017 | F | 84 | $253.62 | D | 222 | 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 UnitsF2,F4 | $0.00 | Dec 15, 2017 | M | 306 | D | — | — | Humana Common | 306 | 1,072 | D |
| OptionsF1 | $217.415 | holding | — | — | — | — | Mar 8, 2024 | Humana Common | 5,998 | 5,998 | D |
| Restricted Stock UnitsF2,F3 | $0.00 | holding | — | — | — | — | — | Humana Common | 1,011 | 1,011 | D |
Explanation of responses
- F1Right to buy pursuant to Company's 2011 Stock Incentive Plan. Incentive stock options granted to reporting person on 03/08/2017. 3,999 options vesting in three annual increments, and 1,999 options fully vest three years from the date of grant.
- F2Right 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).
- F3Restricted stock units granted to reporting person on 01/04/2017, 33% of the award is vesting on 01/04/2018, 01/04/2019 and 01/04/2020.
- F4Restricted stock units granted to reporting person on 03/08/2017, 919 shares vesting in three annual increments on 12/15/17, 12/15/18, and 12/15/19. 459 shares fully vest three years from the date of grant.