SEC Form 4 · accession 0000049071-18-000002
HUMANA INC · HUM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Karen B DeSalvo
Director
Period of report
Jan 2, 2018
Accepted (ET)
Jan 3, 2018 · 3:53 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 | holding | — | — | — | 0 | 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 UnitsF1,F3 | — | Jan 2, 2018 | A | 658 | A | — | — | Humana Common | 658 | 658 | D |
| Restricted Stock UnitsF1,F2 | — | holding | — | — | — | — | — | Humana Common | 634 | 634 | D |
Explanation of responses
- F1Right 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).
- F2Initial award of $155,000 worth of restricted stock units pursuant to the annual Director's Fee Program. 100% of the award will vest on 11/10/2018 and forfeited in its entirety if service is less than one year.
- F3Each restricted stock unit represents 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. 100% of the award is vesting on 12/31/18.