SEC Form 4 · accession 0000049071-18-000076

HUMANA INC · HUM

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

Reporting owner

Elizabeth D Bierbower

Officer — Segment President, Group Bus.

Period of report

Jun 11, 2018

Accepted (ET)

Jun 12, 2018 · 1:58 pm EDT

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
Humana Common	Jun 11, 2018	M	1,804	$79.655	A	21,683	D
Humana Common	Jun 11, 2018	M	362	$72.84	A	22,045	D
Humana Common	Jun 11, 2018	M	1,372	$72.84	A	23,417	D
Humana Common^F12	Jun 11, 2018	S	6,036	$300.9129	D	17,381	D

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Options^F1	$79.655	Jun 11, 2018	M	1,804	D	—	Jun 20, 2019	Humana Common	1,804	0	D
Options^F2	$72.84	Jun 11, 2018	M	1,734	D	—	Feb 20, 2019	Humana Common	1,734	0	D
Options^F3	$102.155	holding	—	—	—	—	Feb 18, 2021	Humana Common	8,381	8,381	D
Options^F4	$164.645	holding	—	—	—	—	Feb 24, 2022	Humana Common	7,627	7,627	D
Options^F5	$167.805	holding	—	—	—	—	Feb 18, 2023	Humana Common	8,925	8,925	D
Options^F6	$217.415	holding	—	—	—	—	Mar 8, 2024	Humana Common	14,997	14,997	D
Options^F7	$268.47	holding	—	—	—	—	Feb 19, 2025	Humana Common	4,817	4,817	D
Restricted Stock Units^F8,F9	—	holding	—	—	—	—	—	Humana Common	646	646	D
Restricted Stock Units^F8,F10	—	holding	—	—	—	—	—	Humana Common	2,682	2,682	D
Restricted Stock Units^F8,F11	—	holding	—	—	—	—	—	Humana Common	1,117	1,117	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.
F10Restricted 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.
F11Restricted stock units granted to reporting person on 02/19/18, 33% of the award is vesting on 12/15/18, 12/15/19 and 12/15/20.
F12Shares sold at prices ranging from $300.43 to $300.964. Price reported is weighted average sales price.
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 buy pursuant to Company's 2011 Stock Incentive Plan. Non-Qualified stock options granted to reporting person on 02/19/2018, vesting in three increments from 02/19/19 to 02/19/21.
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 02/18/16, 33% of the award is vesting on 12/15/16, 12/15/2017 and 12/15/2018.