SEC Form 4 · accession 0000049071-18-000082

HUMANA INC · HUM

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

Reporting owner

Christopher H. Hunter

Officer — Chief Strategy Officer

Period of report

Jun 13, 2018

Accepted (ET)

Jun 15, 2018 · 4:01 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 13, 2018	M	2,934	$102.155	A	15,322	D
Humana Common^F10	Jun 13, 2018	F	991	$302.69	D	14,331	D
Humana Common	Jun 13, 2018	M	607	$164.645	A	14,938	D
Humana Common^F10	Jun 13, 2018	F	331	$302.69	D	14,607	D
Humana Common	Jun 13, 2018	M	8,241	$102.155	A	22,848	D
Humana Common	Jun 13, 2018	M	14,306	$164.645	A	37,154	D
Humana Common^F11	Jun 13, 2018	S	24,182	$305.9883	D	12,972	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	$102.155	Jun 13, 2018	M	11,175	D	—	Feb 18, 2021	Humana Common	11,175	0	D
Options^F2	$164.645	Jun 13, 2018	M	14,913	D	—	Feb 24, 2022	Humana Common	14,913	0	D
Options^F3	$167.805	holding	—	—	—	—	Feb 18, 2023	Humana Common	14,764	14,764	D
Options^F4	$217.415	holding	—	—	—	—	Mar 8, 2024	Humana Common	19,497	19,497	D
Options^F5	$268.47	holding	—	—	—	—	Feb 19, 2025	Humana Common	6,623	6,623	D
Restricted Stock Units^F6,F7	—	holding	—	—	—	—	—	Humana Common	1,093	1,093	D
Restricted Stock Units^F6,F8	—	holding	—	—	—	—	—	Humana Common	3,487	3,487	D
Restricted Stock Units^F6,F9	—	holding	—	—	—	—	—	Humana Common	1,536	1,536	D

Explanation of responses

F1Right to buy pursuant to the Company's 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to Reporting Person on 02/18/14, vesting in three increments from 02/18/15 to 02/18/17.
F10Shares swapped for payment of purchase price on stock option exercise using fair market value on June 12, 2018 pursuant to Humana Inc's 2011 Stock Incentive Plan.
F11Shares sold at prices ranging from $305.12 to $307.00. Price reported is the weighted average sales price.
F2Right to buy pursuant to the Company's 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to Reporting Person on 02/24/15, vesting in three increments from 02/24/16 to 02/24/18.
F3Right to buy pursuant to Company's 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/18/16, vesting in three increments from 02/18/17 to 02/18/19.
F4Right to buy pursuant to Company's 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 03/08/2017. 12,998 options vesting in three annual increments, and 6,499 options fully vest three years from the date of grant.
F5Right to buy pursuant to Company's 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/19/18, vesting in three increments from 02/19/19 to 02/19/21.
F6Each 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 Company's 2011 Plan.
F7Restricted stock units granted to reporting person on 02/18/16, 33% of the award is vesting on 12/15/16, 12/15/17, and 12/15/18.
F8Restricted stock units granted to reporting person on 03/08/2017, 2,989 shares vesting in three annual increments on 12/15/17, 12/15/18, and 12/15/19. 1,494 shares fully vest three years from the date of grant.
F9Restricted 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.